k United States
Environmental Protection
Agency
^^
1C«
6th National Training Conference
on PRP Search Enhancement
Portland, Oregon
May 13-16, 2008
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http://www.excite. corn
ormerIy a crawled-based search engine, Excite was acquired by InfoSpace in 2002
and uses the same underlying technology as the other InfoSpace meta search
engines, but maintains its own portal features.
Fazzle
http://www.fazzle.com /
Fazzle offers a highly flexible and customizable interface to a wide variety of
information sources, ranging from general web results to specialized search
resources in a number of subject specific categories. Formerly called
Sea rchO n line.
Gimenei
http://gimenei . com !
Gimenei queries an undisclosed number of search engines and removes duplicates
from results. Its most useful feature is an advanced search form that allows you
to limit your search to a specific country.
eRocket
ntt : //www . ice rocket com /
Meta search engine with thumbnail displays. The Quick View display, similar to what
WiseNut has long offered, is cool. The service queries WiseNut, Yahoo, Teoma
and then somewhat repetitively also includes Yahoo-powered MSN, AltaVista
and AlITheWeb. Disclosure of search sources within the actual search results is
not done, sadly. Makes it hard to know exactly where the results are coming
from.
Info.com
httix//www. info.com
lnfo.com provides results from 14 search engines and pay-per-click directories,
including Google, Ask Jeeves, Yahoo, Kanoodle, LookSmart, About, Overture
and Open Directory. Also offers shopping, news, eBay, audio and video search,
as well as a number of other interesting features. (Review: New Metasearch
Engine: lnfo.com Search Engine Watch Blog, Oct. 18, 2004)
foGrid
http://www.infog rid . com
-------
In a compact format, InfoGrid provides direct links to major search sites and topical
web sites in different categories. Meta search and news searching is also
offered.
Infonetware RealTerm Search
http://www.infonetware.com
This site is primarily designed to demonstrate classification technology from Infogistics.
It’s a meta search engine, and it does topical classification of results, like
Vivisimo. However, it is unique in that you can select several different topics,
then “drill down” to see results from all of them, rather than being restricted to the
results from only one topic.
Ixquick
http://www.ixguick.com /
Meta search engine that ranks results based on the number of “top 10” rankings a site
receives from the various search engines.
iZito
httix//www.izito . com
iZito is a meta search engine with a clever feature. Click on any listing you are
interested in using the P icon next to the listing title. That “parks” the listing into
your to do list. Click on the P tab, and you can see all the pages you’ve culled.
It’s an easy, handy way to make a custom result set. Also interesting is the ability
to show listings in up to three columns across the screen, letting you see more
results at once. (Review: iZito & Uiiko: Meta Search With Personality Search
Engine Watch Blog, Sept. 29, 2004)
Jux2
http://www.jux2.com /
This search result comparison tool is cool. It allows you to search two major search
engines at the same time, then see results that are found on both first, followed
by results found on only one of them next. The small overlap visual tool displayed
is great. I used to make examples like this to explain search engine overlap and
why one search engine may not cover everything. Now I have an easy dynamic
way to do this. The stats link at the bottom of the home page provides more
visuals. (Update: Jux2 Adds New Features , Search Engine Watch BIog, Oct. 13,
2004)
-------
Meceoo
‘ttp://www.meceoo.com /
uvieta search with the ability to create an “exclusion list” to block pages from particular
web sites being included. For example, want to meta search only against .org
sites? French version also offered.
MetaCrawler
httr ://www.metacrawIer.com
One of the oldest meta search services, MetaCrawler began in July 1995 at the
University of Washington. MetaCrawler was purchased by InfoSpace, an online
content provider, in Feb. 97.
MetaEureka
http://www.metaeureka . com
Search against several major search engines and paid listings services. Offers a nice
option to see Alexa info about pages that are listed.
ProFusion
ittp://www. profusion . com
Brings back listings from several major search engines as well as “Invisible Web”
resources. Formerly based at the University of Kansas, the site was purchased
by search company Intelliseek in April 2000.
Query Server
http://www.gueryserver.com/web.htm
Search against major web-wide search engines, as well as major news, health, money
and government search services.
Turbol 0
http://turbo l0 . com
TurbolO is a metasearch Engine accesses both traditional web search engines and
some invisible web databases, with a very speedy interface. (Review: Make way
for the contender to Google’s crown , The Register, May 30, 2003)
ea rch .com
http://www.search . com
-------
Search.com is a meta search engine operated by CNET. It offers both web-wide
search and a wide variety of specialty search options. Search.com absorbed
SavvySearch in October 1999. SavvySearch was one of the older metasearch
services, around since May 1995 and formerly based at Colorado State
University.
Ujiko
htti ://www.uIiko.com /
From the makers of visual meta search tool KartOO, this is a really slick service to try.
Do your search, then scroll through the list. See something bad? Click the trash
can icon, and the listing goes away. It’s a great way to prune your results -- even
better would have been if everything trashed brought up something new to look
at. That would be a help for those who simply refuse to go past the first page of
resu Its.
See something you like? Click the heart icon and you can rate the listing. This
information is memorized, to help ensure the sites you choose to better in future
searches. Unlike KartOO, Ujiko uses results from only one search engine:
Yahoo. It also offers many more features I haven’t even yet explored, but you can
learn more about them here: http://www.uiiko.com/en htm / . Gary Price also
gives a rundown here:
http://www.resourceshelf.com/archives/2O04 04 01 resourceshelf archive.htrnl
The only downside? Flash is required.
We bC rawle r
http://www.webcrawler.com
Formerly a crawled-based search engine owned by Excite, Webcrawler was acquired
by InfoSpace in 2002 and uses the same underlying technology as the other
InfoSpace meta search engines, but offers a fast and clean, ad-free interface.
ZapMeta
httr://www.zapmeta . corn
Provides a variety of ways to sort the results retrieved, plus provides interesting
visualization tools and other features. (Review: ZapMeta: A Promising New Meta
Search Engine , Feb. 26, 2004)
Specialty Choices
The metacrawlers listed below let you meta search in specific subject areas.
Family Friendly Search
-------
http://www.familyfriendlysearch . com
Meta search service that queries major kid-friendly search engines.
,oFish
http://www.qofish . com
Meta search service for licensed and commercially available digital media downloads
including music, movies, music videos, ringtones, mobile games and PC games,
searching over 12 million media files. (Review: GoFish Multimedia Sho pinci
Search: IceRocket Deal & Closer Look , Search Engine Watch Blog, Feb. 4,
2005)
Searchy.co.uk
http://www.searchy.co.uk
Searches 15 U.K. engines. The advanced search form allows you to change the order
that results are presented, either by speed or manually to suit your own
preferences.
Watson for the Macintosh
ttp://www.apple.com/downloads/macosx/internet utilities/watson html
Watson is a “Swiss Army Knife” with nineteen interfaces to web content and services --
an improvement on Sherlock, with nearly twice as many tools, including Google
Searching.
All-In-One Search Pages
Unlike metacrawlers, all-in-one search pages do not send your query to many search
engines at the same time. Instead, they generally list a wide-variety of search
engines and allow you to.search at your choice without having to go directly to
that search engine.
Google Versus Yahoo Tool
http://www.lanc reiter.com/exec/yahoo-vs-qooqle . html
See visually how results compare on Google versus Yahoo.
One Page MultiSearch Engines
o Ilwww biorciul coml
Clean interface lets you query major services from one page
Proteus
-------
http /!www thrall org/proteus html
Lets you easily send your search to one of several search engines It also has links to search engine help pages
Queryster
http://www.gueryster.com
Queryster lets you quickly get results from one of several major search engines, simply
by clicking an icon. (Review: A Fun Multi-Search Tool , Feb. 23, 2004)
YurNet
http://www.yurnet.com
Select your search engines from the many choices offered. The results will all appear
within one page, side-by-side. It’s a great way to compare results, though a bit
hard to read with more than two search engines selected.
Meta Search Articles
For other articles and older reviews, also see the Search Engine Reviews page.
Meta Search Engines are Back
SearchDay, Dec. 4, 2003
http://www.searchenginewatch.com/searchday/article.php/31 09441
It’s been a busy year for the major meta search engines, with a number of notable
developments that have restored their usefulness as worthy search tools.
Meta Search Engines: An Introduction
SearchDay, September 16, 2002
http:I/searchenginewatch . com/searchday/article. ph p12160771
This week, SearchDay focuses on the world of meta search engines, looking under the
hood at how they work and profiling the major players and their offerings
The Big Four Meta Search Engines
SearchDay, September 17, 2002
http://searchenginewatch . com/searchday/article. php/21 60781
Though there are dozens of useful meta search engines, InfoSpace is the industry
gorilla, operating the four arguably best known and most heavily used properties.
-------
The Best and Most Popular Meta Search Engines
SearchDay, September 18, 2002
nttp://searchenginewatch . com/searchday/article.php/2160791
Meta search engines look pretty much the same up front, but their approach to
presenting results varies widely. Here’s a list of Search Engine Watch’s pick of
the best and most popular metas for searching the web.
A Meta Search Engine Roundup
SearchDay, September 19, 2002
http://searchenqinewatch . com/searchday/article.php/21 60801
Completing our roundup of meta search engines, this list focuses on services that are
competent and in many cases worthy of a look, but don’t meet all of our
evaluation criteria.
Meta Search Or Meta Ads?
The Search Engine Report, June 4, 2001
ttp://searchenciinewatch . com/sererort/article. Dhr/21 63821
A review of meta search services by Search Engine Watch shows that some are
providing results where more than half of their listings are paid links. A guide to
what’s paid, what’s not and how to get the most from your meta search service.
Looking for more articles and reviews of meta search engines? See the Meta Search
category of the Search Topics section of Search Engine Watch available to
Search Engine Watch members.
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Articles by Chris Sherman
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Agenda
L PRP Search Enhancement Team
Roster of Conference Participants
Presenter Biographies I
Using Collaboration and Innovation to Identify PRPs
Contaminant Sampling for PRP Confirmation
Mercury Sites
PRP Search Consultation Process
Mining Sites
Insurance Issues
Managing Your Interviewee
Statute of Limitations (SOLs)
PRP Search Benchmarking
Property Law
Owners and Other Liable Parties
Using Bankruptcy to Gather Information
Current Developments in Liability Law
Present the Information
New Enforcement Measures
Freedom of Information Act (FOIA)
Electronic PRP Search Resources
PRPSh Record Ht Fiird Prepare andPreserve
Records
Portland Harbor Site History
Miscellaneous Resource Information
Acronyms & Abbreviations
Glossary
I
I
60C037
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11
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-------
PRP Search Enhancement Team
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NATIONAL PRP SEARCH ENHANCEMENT TEAM and CONTACTS
— April24 2008—
Realon Regional Contact Address
Region I James Israel U.S. EPA. Region 1
(P) (617) 918-1270 1 Congress Street Office of Regional Counse
Boston, MA 02203-2211
Region 2 Carol Berns U.S. EPA, Region 2
(P) (212) 637-3177 290 Broadway - 17th Floor
(F) (212) 637-3104 New York, New York 10007-1866
Region 3 Carlyn Prisk Office of Enforcement & Cost Recovery Branch
(P) (215) 814.2625 1650 Arch Street/3HS62
(F) (215)8143005 Philadelphia, PA 19103
Region 4 Herb Miller Superfund Enforcement & Information Mgmt. Branch
(P) (404) 562-8860 Waste Management Division
(F) (404) 562-8842 61 Forsyth Street, S.W.
Atlanta, GA 30303
Region 5 Fouad Dababneh
(P) (312) 353.3944 Remedial Enforcement Support Section
Gladys Watts 77 West Jackson Blvd. (Mall Code SR-6J)
(P) (312) 886-7591 Chicago, IL 60604
Region 6 Courtney Kudla
(P) (214) 665-8008 Enforcement Assessment Team
Alt. Bob Werner Superfljnd Division (SF-TE)
1445 Ross Avenue (Fountain Place)
(P) (214) 665-6724 Dallas, TX 75202-2733
Region 7 Cheryle Micinski
USEPA RegIon 7
(P) (913) 551-7274 Regional Counsel
(F) (913) 551-7925 901 North 5 Street
Alt. Norma Tharp Kansas City, KS 66101
(P) (913)561-7076
Office of Enforcement, Compliance, and
Region 8 Mike Rudy Environmental Justice
(P) (303) 3126332 1595 Wynkoop Street (BENF-RC)
Denver, CO 60202-1129
Region 9 Steve Arbaugh Supo , nd Division
(P) (415)9723113 75 Hawthorne StreetISFD-7-B
(F) (415) 972-3520 San Francisco, CA 94105
Alt. Linda Ketellapper
(P) (415)9723104
Region 10 Susan Haas 1200 6th Avenue
(P) (206) 5532120 Mail Code: MIS ECL.-1 10
Grechen Schmidt seattle, WA 98101
(P) (206) 553-2587
Headquarters Nancy Deck, Team Leader Office Of Site Remediation Enforcement
(P) 564-6039 1200 Pennsylvania Avenue, N.W., 2273-A
(F) (202) 564-0074 Washington, D.C. 20460
Headquarters Eric French Office Of Site Remedlation Enforcement
(P) 564-0051 1200 Pennsylvania Avenue, N.W., 2273-A
(F) (202) 564-0074 Washington, D.C. 20460
Headquarters Clarence Featherson Office Of Site Remediatlon Enforcement
(P) (202) 564-4234 1200 PennsylvanIa Avenue, N.W., 2272-A
(F) (202) 501-0269 WashIngton, D.C. 20460
Headquarters Stephen iCeim Office Of Site Remediatlon Enforcement
(P) (202) 564-6073 1200 Pennsylvania Avenue, N.W., 2273-A
(F) (202) 564-0074 Washington, D.C. 20460
Headquarters Monica Gardner, Office Of Site Remedlation Enforcement
Management Adviser 1200 Pennsylvania Avenue, N.W.. 2273-A
(P) (202) 564-6053 Washington, D.C. 20460
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-------
Roster of Conference Participants
-------
Sixth National Training Conference on PRP Search Enhancement
Roster of Conference Participants
May 13-16, 2008
Portland, OR
Aldridge
Barbara
214 665 2712
U.S. EPA Region 6
1445 Ross Ave
6SF TE
Dallas, TX 75202
aldridge barbara@epa gov
Allen
Donald
703 682 2609
DPRA Incorporated
1655 North Fort Myer Drive
Suite 925
Arlington, VA 22209
don allen@dpra corn
Arbaugh
Steven
415-972-3113
U S EPA Region 9
75 Hawthorne Street
San Francisco, CA 94518
arbaugh steve©epa gov
Barker Andrews
Susan
785-296-5334
Kansas Dept of Health & Environment
1000 Sw Jackson
Ste560
Topeka, KS 66612
sandrews@kdhe state ks us
Berns
Carol
212-637-3177
U S EPA Region 2
290 Broadway
17th Floor
New York, NY 10007-1 86
berns carol@epa gov
Bradsher
Jamie
214-665-7111
US EPA Region 6
1445 Ross Ave
Dallas, TX 75202
bradsherjamie@epa gov
Breslin
Ann
215-814-3311
U S EPA Region 3
1650 Arch Street
Philadelphia, PA 19103
breslin ann@epa gov
Brown
Cynthia
214-665-7480
U S EPA Region 6
1445 Ross Ave
Mail code 6SF-TE
Dallas, TX 75202
brown cynthia@epa gov
Carson
Wanda
404 562-8861
U S EPA Region 4
61 Forsyth Street
Atlanta, GA 30303
carson wanda@epa gov
Chia
Sing
214 665 8301
U S. EPA Region 6
1445 Ross Ave
(6SF-T)
Dallas, TX 75202
chia sing@epa gov
-------
Sixth National Training Conference on PRP Search Enhancement
Roster of Conference Participants
May 13-16, 2008
Portland, OR
Co
Grace
312 353 6779
U S EPA Region 5
77W Jackson Blvd
Mail Code SR-6J
Chicago, IL 60604
cc grace@epa gov
Cobb
Wilda
404-562-9530
U S EPA Region 4
3843 Lake Forrest Dnve, NE
Atlanta, GA 30342
cobb wilda@epa gov
Cole
Kelly
206-553-1506
U.S. EPA Region 10
1200 6th Ave Suite 900
Su e 900
Seattle, WA 98105
cole kelly@epa gov
Cote
Heather
617-918-1320
U S. EPA Region 1
One Congress Street
Su e 1100 (SES)
Boston, MA 02114
cote heather@epa gov
Ccx
Thanne
415-972-3908
U S EPA Region 9
75 Hawthorne Street
Mail Code SF0 7-5
San Francisco, CA 94105
cox elizabeth©epa gay
Deck
Nancy
202 564-6039
U S EPA
1200 Pennsylvania Ave. NW
2263-A
Washington, DC 20460
deck nancy@epa gov
Derwart
Melissa
202.208-3070
Department of Interior
1849 C Street, NW
MS 5530
Washington, DC 20240
melissa doi@gmail corn
Featherson
Clarence
202 564-4234
U S EPA
1200 Pennsylvania Aye, NW
Washington, DC 20460
featherson.clarence@epa.gov
Fidis
Alexander
206-553-4710
U S EPA Region 10
1200 6th Ave Suite 900
Mail Stop ORC-158
Seattle, WA 98101
fidis alexander@epa gov
Fitzmaurice
Tom
206-553-6118
US EPA Region 10
1200 6th Ave Suite 900
Seattle, WA 98101
FitzrnaurlceTom@epa gov
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Sixth National Training Conference on PRP Search Enhancement
Roster of Conference Participants
May 13-16, 2008
Portland, OR
French
Eric
202-564-0051
U S EPA
1200 Pennsylvania Ave. NW
Washington. DC 20460
french enc©epa gov
Frenkel
David
703 682 2613
DPRA Incorporated
1655 North Fort Myer Drive
Suite 925
Arlington, VA 22209
david frenkel@dpra corn
Good
Sarah
425-649-7257
WA State Dept of Ecology
3190 160th Ave SE
Bellevue, WA 98008
sgoo46l©ecy wa gov
Haas
Susan
206 553 2120
U S EPA Region 10
1200 6th Ave Suite 900
MS ECL-110
Seattle, WA 98101
haas susan@epa gay
Hennessy
Tine
617-918-1216
U S EPA Region 1
One Congress Street
Boston, MA 01880
hennessy.tina epa gov
Henry
David
615-741-1440
TN Dept of Environrnent & Conservation
401 Church Street
20th Floor L&C Tower
Nashville, TN 37243
david henry@state tn us
1-terring
Margaret
312 886-6239
U S EPA Region 5
77 W Jackson Blvd
Mail Code SR-6J
Chicago, IL 60604
herring margaret©epa gov
Hess
Stephen
202-564-5461
U S EPA
1200 Pennsylvania Aye, NW
Washington, DC 20460
hess stephen@epa gov
Hoffman
Stephen
703-308-8413
U S EPA
1200 Pennsylvania Aye, NW
Washington, DC 20460
hoffman stephen@epa gay
Hong
Claire
206/553-1813
U S EPA Region 10
1200 6th Ave Suite 900
ECL-111
Seattle, WA 98101
hong claire@epa 90V
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Sixth National Training Conference on PRP Search Enhancement
Roster of Conference Participants
May 13-16, 2008
Portland, OR
Israel
James
6179181270
US EPA Region 1
One Congress Street
SUITE 1100 (HBS)
Boston, MA 02114
israel james©epa gay
Jackson
Shelly
5737511288
Missouri Dept of Natural Resources
P0 Box 176
1730 E Elm Street
Jefferson City, MO 65101
shelly jackson@dnr mo gay
Jansen
Sally
312/353-9046
Li S EPA Region 5
77W Jackson Blvd
Emergency Response Branch 2
Chicago. IL 60604
jensen sally@epa gov
Jones
Evette
312-353-9483
U S EPA Region 5
77W Jackson Blvd
Chicago, IL 60604
jones evette@epa gov
Joseph
Benjamin
2158143373
US EPA Region 3
1650 Arch Street
3HS62
Phila , PA 19103
Joseph ben@epa gov
Keim
Stephen
202-564-6073
U S EPA
1200 Pennsylvania Aye, NW
2273A
Washington, DC 20460
keim stephen@epa gov
Klahr
Frances
5735221347
Missouri Dept of Natural Resources
1730 E Elm Street
P0 Box 176
Jefferson City, MO 65102-017
frances klahr@dnr mo gov
Koch
Kristine
206-553-6705
U S EPA Region 10
1200 6th Ave Suite 900
WS ECL-115
Seattle, WA 98101
koch kristine@epa gov
Krueger
Thomas
312-886-0562
U S EPA Region 5
77W Jackson Blvd
Chicago, IL 60604
krueger_tandk ameritech net
Kudla
Courtney
214.665 8008
U S EPA Region 6
1445 Ross Ave
Suite 1200 (SF-TE)
Dallas, TX 75202
kudla courtney@epa gov
-------
Sixth National Training Conference on PRP Search Enhancement
Roster of Conference Participants
May 13-16, 2008
Portland, OR
LaSorte
Elizabeth (Liz)
302-395.2670
Delaware DNREC.SIRB
391 Lukens Drive
New Castle, DE 19720
elizabeth lasorte@state de.us
Lauterback
Michelle
617-918-1774
U S EPA Region I
One Congress Street
Suite 1100
Boston, MA 02114
lauterback michelle@epa gov
Lopez
Irmee
732-906-6813
U S EPA Region 2
2690 Woodbridge Avenue
MS-21 1
Edison, NJ 08837
lopez irmgard@epa gov
Madigan
Andrea
303-312-6904
U S EPA Region 8
1595 Wynkoop Street
Denver, CO 80202
madigan andrea@epa gov
Malek
Joseph
312-886-2000
U S EPA Region 5
77W Jackson Blvd
Chica9o, IL 60604
malek Joseph@epa gov
Margolis
Alan
202-564-3672
U S EPA
1200 Pennsylvania Aye, NW
Washington, DC 20460
margolis alan©epa gov
Micinski
Cheryle
913-551-7274
U S EPA Region 7
901 N. 5th Street
Kansas City, KS 66101
micinski cheyIe epa gov
Miles
Barbara
404 562 8869
U S. EPA Region 4
61 Forsyth Street
Atlanta, GA 30303
miles barbaraw@epa gov
Miller
Herb
404562 8860
U S EPA Region 4
61 Forsyth Street
9Th FLOOR MAIL ROOM
Atlanta, GA 30303
miller herbert@epa gov
Moore
Tony
404-562-8756
U S EPA Region 4
61 Forsyth Street
Atlanta, GA 30303
moore tony@epa gov
-------
Sixth National Training Conference on PRP Search Enhancement
Roster of Conference Participants
May 13-16, 2008
Portland, OR
Morgan
Johnny F
4041610-0422
U S EPA Region 4
61 Forsyth Street
Atlanta, GA 30303
morgan Johnny@epa gov
Mullin
Leo
215 814-3172
U S EPA Region 3
1650 Arch Street
Philadelphia, PA 19103
mullin leo@epa gov
Mullins
Valerie
312/353-5578
U S EPA Region 5
77W Jackson Blvd
SE-5J
Chicago, IL 60604
mullins valene@epa gov
Muratore
Kim
4159723121
U S EPA Region 9
75 Hawthorne Street
‘San Francisco, CA 94105
muratore kim@epa 9ov
Murray
Donna
16179181409
U S EPA Region 1
One Congress Street
Boston, MA 02114
murray donna@epa gov
Mussler
Amy
4046578600
Georgia Dept of Natural Resources
2 Martin Luther King. Jr. Dr SE
Suite 1462
Atlanta. GA 30334
amy mussler@dnr state ga us
Nann
Barbara
214-665-2157
U S EPA Region 6
1445 Ross Ave
Dallas, TX 75206
nann barbara@epa gov
Nightingale
Scott
785.296 1666
Kansas Dept of Health & Environment
1000 SW Jackson
Suite 410
Topeka, KS 66612
snightin@kdhe state ks us
Oatis
Lloyd
206-553-2850
U S EPA Region 10
1200 6th Ave Suite 900
OEA-096
Seattle, WA 98101
oatis lloyd epa.gov
Olinger
Keith
415-972-3125
U S EPA Region 9
75 Hawthorne Street
SFD-7-5
San Francisco, CA 94105
clinger keith@epa gov
-------
Sixth National Training Conference on PRP Search Enhancement
Roster of Conference Participants
May 13-16, 2008
Portland, OR
Pokorny
Carol
303 312 6970
U S EPA Region 8
1595 Wynkoop Street
Denver, Co 80202-112
pokorny carol@epa gov
Powell
Robert
615-532-0916
Tennessee Division of Remediation
4th Floor - L &C Annex, 401 Church St
Nashville, TN 37243
robert powell@slate tn us
B P 0 4 .L 1 L ?
-
Prisk
Carlyn
215-814-2625
U S EPA Region 3
1650 Arch Street
3HS62
Philadelphia, PA 19103
prisk carlyn@epa gov
Pumphrey
Bruce
202-564-4222
U S EPA
1200 Pennsylvania Aye, NW
MC 2273A
Washington, DC 20460
pumphrey bruce@epa gov
Rafati
Mike
312 886-0390
U S EPA Region 5
77W Jackson Blvd
Chicago. IL 60462
rafati mike@epa gov
Ropski
Carol
312-353-7647
U S EPA Region 5
77 W Jackson Blvd
SE-5J
Chicago, IL 60604
ropski carol@epa gov
Ross
Steven
9162553694
California Dept of Toxic Substances Control
8800 Cal Center Drive
Sacramento, CA 95826
sross@dtsc ca gov
Ross
William
303-312-6208
U S EPA Region 8
1595 Wynkoop Street
Denver, CO 80202
ross wg@epa gov
Rudy
Mike
303-312-6332
U S EPA Region 8
1595 Wynkoop Street
Denver, Co 80202
rudy mike@epa gov
Sanchez
Robert
2158143451
U S EPA Region 3
1650 Arch Street
3HS62
Philadelphia, PA 19103
sanchez robert@epa gov
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Sixth National Training Conference on PRP Search Enhancement
Roster of Conference Participants
May 13-16, 2008
Portland, OR
Savage
M Kim
415-972-3358
U S EPA Region 9
75 Hawthorne Street
San Francisco. CA 94105
savage kim©epa gov
Schmidt
Grechen
206-553-2587
U S EPA Region 10
1200 6th Ave Suite 900
OEA-095
Seattle, WA 98101
schmrdt.grechen©epa gov
Shade
Kevin
214-665-2708
U S EPA Region 6
1445 Ross Ave
Suite 1200 (6SF-TE)
Dallas, TX 75202
shade kevin@epa gov
Slater
Mike
503-326-5872
U S EPA Region 10
805 Sw Broadway, Suite 500
Portland, OR 97205
slater mike@epa gov
Smith
Nathalie
503-872-2784
U S Department of the Intenor
500 NE Multnomah Street
Suite 607
Portland, OR 97232
nsmith_sol@yahoo corn
Snow
Jim
404-562-8723
U S EPA Region 4
61 Forsyth Street
Atlanta, GA 30303
snow jarnes@epa gov
Spencer
Kelvin
214-665-7382
U S EPA Region 6
1445 RossAve
Dallas, TX 75202
spencer kelvin@epa gov
Steinmetz
Harry
215/814-3161
U.S. EPA Region 3
1650 Arch Street
3HS62
Philadelphia, PA 19103
steinmetz.harry@epa gov
Stenger
Wren
214 665 6583
U S EPA Region 6
1445 Ross Ave
Dallas, TX 75202
stenger wren©epa gay
Sullivan
Gregory
202 564-1298
U S EPA
1200 Pennsylvania Ave. NW
Washington, DC 20460
sullivan greg@epa gov
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Sixth National Training Conference on PRP Search Enhancement
Roster of Conference Participants
May 13-16, 2008
Portland, OR
Tamashiro
Elainie “Lainie ”
808 586 4654
State of Hawaii DOH
919 Ala Moana Blvd Room 206
Honolulu, HI 96814
U
elaine tamashlro@doh hawaii gov
Taylor
Andrew
415-972-3129
U S EPA Region 9
75 Hawthorne Street
8th floor SFD-7-5
San Francisco. CA 04105
taylor andrew@epa gov
Tharp
Norma
913-551-7076
U S EPA Region 7
901 N 5th Street
Kansas City, KS 66101
tharp norma©epa gov
Truono - Mattingly
Marissa
732-321-4460
U S EPA Region 2
2890 Woodbridge Avenue
MS-211 -
Edison, NJ 08837
truono manssa epa gov
Vdlanueva
Monika
415-972-3111
U S EPA Region 9
75 Hawthorne Street
SFD-7-5
San Francisco, CA 94105
villanueva monika©epa.gov
Vincent
Pat
803-896-4074
SCDHEC
2600 Bull Street
Columbia, SC 29201
vincenpl@dhec Sc gov
Vlcek
Lance
312.886-4783
U S EPA Region 5
77W. Jackson Blvd
SR6J
Chicago, IL 60604
vlcek lance@epa gov
Watts
Gladys Marie
312-886-7591
U S EPA Region 5
77W Jackson Blvd
Remedial Enforcement Support Section
Chicago, IL 60604
watts gladys epa gov
Wenning
Stephanie
215-814-3186
U S. EPA Region 3
1650 Arch Street
3HS62
Philadelphia, PA 19103
wenningstephanie epa.gov
Werner
Robert
214 665 6724
U S EPA Region 6
1445 Ross Ave
Dallas, TX 75202
werner robert@epa gov
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Sixth National Training Conference on PRP Search Enhancement
Roster of Conference Participants
May 13-16, 2008
Portland, OR
Williams
James
215-814-3176
US EPA Region 3
1650 Arch Street
3HS62
Philadelphia, PA 19103
williams jim@epa gov
Wilson
Janis
214-665-2733
U S EPA Region 6
1445 Ross Ave
Dallas, TX 75202
Wilson Janis@epa gov
Woodfork
Ruth A
312/353-6431
US EPA Region 5
77 W. Jackson Blvd
Chicago, IL 60604
woodfork ruth©epa gov
Youngdahl
Janet
303-236-6282
DOl/BLM
Denver Federal Center - Bldg 50 - 0C580
Division of Resource Services
Lakewood, CO 80225
janetj,oungdahl@blm gov
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Sixth National Training Conference on PRP Search Enhancement
Roster of Conference Participants
May 13-16, 2008
Portland OR
:ITIIIII:
ii T
TTTI
U S EPA Region I
One Congress Street
Suite 1100 (SES)
Boston, MA 02114
Heather
Cote
617-918-1320
cole heather@epa gov
Tina
Hennessy
617-918-1216
hennessy llna@epa gov
James
Israel
6179181270
israel james@epa gov
Michelle
Lauterback
617-918-1774
lauterback michelle@epa gov
Donna
Murray
16179181409
murray donna®epa gov
REGION 02
US EPA Region 2
2890 Woodbridge Avenue
MS-2 1 I
Edison, NJ 08837
Irmee
Lopez
732-906-6813
lopez irmgard epa gov
Marissa
Truono - Mattingly
732-321-4460
truono manssa@epa gov
US EPA Region 2
290 Broadway
17th Floor
New York, NY 10007-186
Carol
Bems
212-637-3177
berns carol@epa gov
Thursday, May 08, 2008
Page I of 8
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Sixth National Training Conference on PRP Search Enhancement
Roster of Conference Participants
May 13-16, 2008
Porfhind QR
RECIONO3
-______
U S EPA Region 3
1650 Arch Street
Philadelphia, PA 19103
Ann
Breslin
215-814-3311
breslin ann@epa gov
Benjamin
Joseph
2158143373
Joseph bcn@cpa gov
Leo
Mullin
215 814-3172
mullin leo@epa gov
Carlyn
Frisk
215-814-2625
prisk carlyn epa gov
Robert
Sanchez
2158143451
sanchez robert@epa gov
I-larry
Steinmetz
215/814-3161
steinmetzharry@epa gov
Slephanie
Wenning
215-814-3186
wenning stephanie epa gov
James
Williams
215-814-3176
williams JIm epa gov
Delaware DNREC-SIRB
391 Lukens Drive
New Castle, DE 19720
Elizabeth (Liz)
LaSorte
302-395-2670
elizabeth lasorte@state de us
Thursday, May 08, 2008
Pap -
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Sixth National Training Conference on PRP Search Enhancement
Roster of Conference Participants
May 13-16, 2008
Portland, OR
REGION 04 __________________________
U S EPA Region 4 3843 Lake Forrest Drive, NE Atlanta, GA 30342
Wilda Cobb 404-562-9530 cobb.wilda@epa gov
US EPA Region 4 61 Forsyth Street Atlanta, GA 30303
Wanda Carson 404 562-8861 carson wanda@epa gov
Barbara Miles 404 562 8869 miles barbaraw@epa gov
Herb Miller 404562 8860 miller herberic cpa gov
Tony Moore 404-562-8756 moore tony epa gov
Johnny F Morgan 404/610-0422 morgan johnny epa gov
Jim Snow 404-562-8723 snowJames epa gov
Georgia Dept of Natural Resources 2 Martin Luther King, Jr Dr • SE Suite 1462 Atlanta, GA 30334
Amy Mussler 4046578600 amy mussler@dnr state ga us
SCDI- IEC 2600 Bull Street Columbia, SC 29201
Pat Vincent 803-896-4074 vtncenpl@dhec sc gov
TN Dept of Environment & Conserval 401 Church Street 20th Floor L&C Tower Nashville, TN 37243
David Henry 615-741-1440 david henry©statetn us
Tennessee Division of Remediation 4th Floor - L &C Annex, 401 Church St Nashville, TN 37243
Robert Powell 615-532-0916 robert powell(üJstate In us
Thursday, May 08, 2008 Page 3 of 8
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Grace Co 312 353 6779 co grace epa gov
Margaret Herring 312 886-6239 hemng margaret®epa go’.’
Sally Jansen 312/353-9046 jansen sally@epa gov
Evette Jones 312-353-9483 jones evette@epa gov
Thomas Krueger 312-886-0562 krueger_tandk amerutech net
Joseph Malek 312-886-2000 malek Joseph@epa gov
Valene Mullins 312/353-5578 mullrns valerle@epa gov
Mike Rafati 312 886-0390 rafati mike epagov
Carol Ropski 312-353-7647 ropski carol@epa gov
Lance Vlcek 312-886-4783 vlcek lance@epa gov
Gladys Marie Watts 312-886-7591 watts gladys epa gov
Ruth A. Wood fork 312/353-6431 woodfork ruth@epa gov
U S EPA Region 5
Sixth National Training Conference on PRP Search Enhancement
Roster of Conference Participants
May 13-16, 2008
Portland. OR
Mail Code SR-6J Chicago, IL 60604
77 W Jackson Blvd
Th” .cday. May 08. 2008
Pap’ - cg
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Sixth National Training Conference on PRP Search Enhancement
Roster of Conference Participants
May 13-16, 2008
Portland,, OR
REGION 06
U S EPA Region 6 1445 Ross Ave 6SF TE Dallas, TX 75202
Barbara Aldridge 214 665 2712 aldridge barbara@epa gov
Jamie Bradsher 214.665-7111 bradsherjamie@Jepa gov
Cynthia Brown 214-665-7480 brown cynthia@epa gov
Sing Chia 214 665 8301 chia sing epa gov
Courtney Kudla 214 665 8008 kudla courtney@epa gov
Barbara Nann 214-665-2157 nann barbara@epa gov
Kevin Shade 214-665-2708 shade kevin@epa gov
Kelvin Spencer 214-665-7382 spencer kelvln@epa gov
Wren Stenger 2146656583 stenger wren@epa gov
Robert Werner 214 665 6724 werner robert(SJepa gov
Janis Wilson 214-665-2733 Wilson Janis epa gov
REGION 07
US EPA Region 7
901 N 5th Street
Kansas City, KS 66101
Cheiyle
Micinski
913-551-7274
micinski cheryle@epa gov
Norma
Tharp
913-551-7076
tharp nonna@epa gov
Kansas Dept of Health & Environmen
1000 SW Jackson
Ste560
Topeka, KS 66612
Susan
Barker Andrews
785-296-5334
sandrews@kdhe state ks us
Scott
Nightingale
785 296 1666
snightin kdhe state ks us
Missouri Dept of Natural Resources
1730 E Elm Street
P 0 Box I 76
Jefferson City, MO 65102-017
Frances
Klahr
5735221347
frances klahr@dnr mo gov
Missouri Dept of Natural Resources
P0 Box 176
1730 E Elm Street
Jefferson City, MO 65101
Shelly
Jackson
5737511288
shelly jackson@dnr mo gov
Thursday, May 08, 2008
Page 5 of 8
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Sixth National Training Conference on PRP Search Enhancement
Roster of Conference Participants
May 13-16, 2008
Prn ”*I nd OR
REGION 08
—---
-----=--
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U S EPA Region 8 1595 Wynkoop Street
Denver, CO 80202
Andrea Madigan 303-312-6904
mndigan andrea@epa gov
Carol Pokorny 303 312 6970
pokorny carol@epa gov
William Ross 303-312-6208
ross wgt IJepa gov
Mike Rudy 303-312-6332
rudy mike@epa gov
REGION O9
U S EPA Region 9 75 Hawthorne Street
San Francisco, CA 94518
Steven Arbaugh 415-972-3113
arbaugh steve@epa gov
Thanne Cox 415-972-3908
co’c elizabeth©epa gov
Kim Muratore 4159723121
muratorekim©epagov
Keith Olinger 415-972-3125
olinger kelth@epa gov
M Kim Savage 415-972-3358
savage kim@epa gov
Andrew Taylor 415-972-3129
taylor andrew@epa gov
Monika Vullanueva 415-972-3111
villanueva monika@epa gov
California Dept of Toxic Substances 8800 Cal Center Drive
Sacramento, CA 95826
Steven Ross 9162553694
sross@dtsc ca gov
State of Hawaii DOH 919 Ala Moana Blvd Room 206
Honolulu, HI 96814
Elainie “Lainie Tamashiro 808 586 4654
elaine tamashlro©doh hawaii go
Thursday, May 08, 2008
Par -
“8
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Sixth National Training Conference on PR? Search Enhancement
Roster of Conference Participants
May 13-16, 2008
Portland, OR
REGION 10
US EPARegion 10 l2 006thAvcSuute9 00 Suite900 Seattle, WA98l05
Kelly Cole 206-553.1506 cole kelly@epa gov
Alexander Fidis 206-553-4710 lidis alcxander@epa gov
Tom Fitzmaurice 206-553-6118 Fitzmaurice Tom@epa gov
Susan Haas 206 553 2120 haas.susan@epa gay
Claire Hong 206/553-1813 hong claire@epa gov
Kristine Koch 206-553-6705 koch kri 5tine@epa gov
Lloyd Oatus 206-553-2850 oatis lloyd@cpa gov
Grechen Schmidt 206-553-2587 schmidt grechen epa gov
US EPA Region 10 805 SW Broadway, Suite 500 Portland, OR 97205
Mike Slater 503-326-5872 slater mike@epa gov
WA State Dept of Ecology 3190 160th Ave SE Bellevue , WA 98008
Sarah Good 425-649-7257 sgoo46 I @ecy wa gov
Thursday, May 08, 2008 Page 7 of 8
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HEADQUARTERS
Nancy
Clarence
Eric
Stephen
Stephen
Stephen
Alan
Bruce
Gregory
Sixth National Training Conference on PRP Search Enhancement
Roster of Conference Participants
May 13-16, 2008
Portland. OR
US EPA
2263-A
Washingion, DC 20460
1200 Pennsylvania Ave. NW
Deck
Featherson
French
Hess
Hoffman
Keini
Margolis
Pumphrey
Sullivan
1655 North Fort Myer Drive
202 564-6039
202 564-4234
202-564-0051
202-564-5461
703-308-8413
202-564-6073
202-564-3672
202-564-4222
202 564-1298
deck nancy epa gov
featherson clarence epa gov
french erlc@epa gov
hess stephen epa gov
hoffman stephen epa gov
keim stephen@epa gov
margolis alan@epa gov
pumphrey bruce@epa gov
sullivan greg®epa gov
DPRA Incorporated
Donald
David
Allen
Frenkel
703 682 2609
703 682 2613
Suite 925
don allen@dpra corn
david frenkel@dpra corn
Arlington, VA 22209
OTHERAGENCIES
Department of Interior
1849 C Street, NW
MS 5530
Washington, DC 20240
Melissa
Derwart
202-208-3070
melissa doi gmail corn
U S Department of the lntenor
500 NE Multnon,ah Street
Suite 607
Portland, OR 97232
Nathalie
Smith
503-872-2784
nsnhuth_sol yahoo corn
DOI/BLM
Denver Federal Center - DIdg
50- 0C580
Division of Resource Services
Lakewood, CO 80225
Janet
Youngdahl
303-236-6282
janet,youngdahl bIm gov
T’ day, May 08. 2008
Par -
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Presenter Biographies
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CAROL BERNS
Carol Berns has been practicing law for over 25 years. The first 10 years were spent as a staff
attorney with the Army Corps of Engineers in Kansas City and New York, doing environmental
and government contracting law. In 1990, she began working for EPA Region 2 as a Superfund
enforcement attorney, in addition to her caseload, which runs the gamut from small owner-
operator sites to large generator sites involving thousands of parties, Carol is a member of the
PRP Search Enhancement Workgroup and has participated in and spoken at several conferences.
She received her B.S. from The George Washington University in 1974 and her J.D. from the
University of Kansas in 1980.
JAMIE BRADSHER
Jamie Bradsher, an Enforcement Officer (EO) with the Enforcement Assessment Team, has been
with EPA Region 6 for two years. As an EO, she has worked on various sites, including the
Double Eagle Refinery Superfund site, one of the region’s most prominent litigation cases. She
also participated in settlement negotiations on the Many Diversified Interests site, which was the
first agreement by a non-liable party for Superfund site cleanup in the nation.
Ms. Bradsher began her career with the Agency five years ago in Region 7 where she was
initially hired through the EPA Intern Program (EIP). While in Region 7, she worked as an
inspector and EO for the Above Ground and Under Ground Storage Tank Group. Through the
EIP, she gained additional work experience with the Quality Assurance Group in the Great
Lakes Program Office (Region 5) and with the Enterprise Architecture Team in the Office of
Environmental Information at EPA headquarters.
Prior to joining EPA, Ms. Bradsher was employed by the Boeing Company in Seattle,
Washington for three years as an Environmental Safety and Health Officer. She received a
Bachelor of Science degree in Occupational Safety and Health from North Carolina A&T State
Univesity. She completed her graduate studies at Murray State University where she received a
Master of Science degree in Safety, Health and Environmental Science.
ANN BRESLIN
Ann Breslin is an On-Scene Coordinator for EPA Region 3 in Philadelphia. A native of
southwest Florida, she developed a love for the environment at any early age. Leaving an
increasingly crowded state, she decided to attend high school in Asheville, North Carolina.
Following high school and a year of contemplation, she began her college career at Houghton
College in western New York and received a Bachelor of Arts degree in BiologyfEnvironmental
Science in 1990. After a fruitless job search, she determined that the best course of action would
be to attend graduate school. Ann received a Master of Science degree in GeoEnvironmental
Studies from Shippensburg University in December 1992. She spent nine years working in the
State of Delaware’s Superftind program before escaping to the EPA in February 2003. After a
short stint in Region ifi’s Federal Superfund Site Assessment Branch, she was hired on as an
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On-Scene Coordinator. OSCs’ primary responsibilities include emergency and time-critical
cleanups of hazardous substances affecting human health and/or the environment. Ann fully
intends to remain an OSC until retirement — or perhaps die in her steel-toed boots.
WILDA WATSON COBB
Wilda Watson Cobb is an Associate Regional Counsel for U.S. EPA Region 4 in the
Environmental Accountability Division office of CERCLA/Water Legal Support. In her
capacity as an attorney with Region 4, she provides advice and assistance on legal matters,
including enforcement and policy matters. Her particular areas of expertise in the CERCLA
Office are emergency response and removal issues and issues involving the National
Contingency Plan (NCP). Most recently Ms. Cobb has been working on mercury guidance and
the revisions to the NCP.
Ms. Cobb has been involved in writing the guidance documents “Determinations Regarding
Which Sites are “Eligible Response Sites” under CERCLA Section 101(41)(C) (i), as added by
the Small Business Liability Relief and Brownfields Revitalization Act” and “Public
Participation in Supplemental Environmental Projects.” She is currently working on a national
workgroup to update guidance on administrative records. Ms Cobb has spoken on issues dealing
with the new Brownfields Act and liability for mercury releases in residences and schools, and
has lectured on the National Contingency Plan.
Ms. Cobb has received several bronze medals over the past 17 years for her work at EPA. In
2002, she received a National Notable Achievement Award for her work on the 300 million-
gallon release of coal slurry into the waters of Martin County, Kentucky. She earned her J.D. in
1991 from the University Of South Carolina School of Law and her B.A. Summa cum laude, in
1986 from Wofford College. She is member of the Georgia Bar.
KELLY COLE
Kelly Cole is an attorney in the Office of Regional Counsel at EPA Region 10 in Seattle,
Washington. Her work focuses on legal issues related to CERCLA cleanups, including
compliance counseling and litigation. Before joining EPA in 2004, she was an environmental
attorney in private practice. Ms. Cole is a member of the California and Washington bars.
NANCY DECK
Nancy Deck has worked for EPA since 1974. She recalls the early years of the Agency and the
excitement, energy, and enthusiasm that ted the charge at that time. Through all the ups, downs,
and frustrations of the many administration changes through the years, she finds the work is still
rewarding and the EPA family one she is proud to claim. Nancy started out in Radiation
Programs, then moved to the Office of Solid Waste, and finally landed in the Office of Site
Remediation Enforcement where most of her years with EPA have been spent. Her work has run
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the gamut from managing the early Technical Enforcement Contracts (TES 1, II, 11, and 12), to
serving on the Agency’s Allocation Pilot, which earned her a Bronze Medal, and serving as
Team Leader of the National PRP Search Enhancement Team for the last eight years. The
Team’s accomplishments under her leadership include the Superfund Enforcement Directory
(SFED), PRP Search Manual (September 2003) (currently being revised), and six National
Training Conferences on PRP Search Enhancement. Since the conference is generally held
every other year, Nancy claims this may be her last one as retirement beckons. Then again, she
muses, if we could somehow score Region 9’s Hawaii Office as a venue, she might be persuaded
to organize one more!
SHEILA ECKMAN
Sheila Eckman is the Acting Associate Director for the Office of Environmental Cleanup in EPA
Region 10. She has been with EPA more than 18 years, most of that time as a Remedial Project
Manager, Team Leader, and Unit Manager in the Superfund program. Her previous experience
includes working for a state environmental agency and a private environmental consulting firm.
She has a Master’s Degree in Geo-Environmental Studies.
CLARENCE E. FEATHERSON
Clarence E. Featherson is a senior attorney in EPA’s Office of Site Remediation Enforcement
(OSRE). Clarence works closely with EPA’s Office of General Counsel, EPA’s regional offices,
and the Department of Justice on CERCLA enforcement issues related to corporate liability,
arranger liability, pre-enforcement review, and all things even remotely related to the Aviall/
Atlantic Research (ARC) cases. In addition to being a veteran member of the PRP Search Team,
Clarence is also a member of OSRE’s Aviall/ARC Team and has worked on matters related to
the government’s involvement in Aviall/ARC since September 2002. Clarence received his A.B.
Degree from Brown University and a J.D. Degree with honors from Howard University’s School
of Law. He is an Advanced Toastmaster.
ERIC FRENCH
Eric French serves as a program analyst in the Office of Site Remediation Enforcement (OSRE).
He joined EPA in 2005. As a member of the National PRP Search Enhancement Team, Mr.
French assists with the development of OSRE’s web content. Prior to EPA, Mr. French worked
as a computer engineer in the private sector. He holds a B.S. in Computer Science and a M.S. in
Environmental Management.
SARAH GOOD
Sarah Good is an Environmental Planner 3 with the Washington State Department of Ecology.
She completed her master’s degree in marine science in Woods Hole, Massachusetts in 2004. In
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2005, she started working for the Washington State Department of Ecology as a communications
and environmental education specialist, implementing public involvement requirements of the
Model Toxics Control Act (MTCA) at state toxic sites. The majority of her time was dedicated
to conducting enhanced public involvement on the Lower Duwamish Waterway Superfund site.
She worked with local and federal agencies and with community groups to develop the first
Duwamish River Festival. This event took the typical public meeting outside and incorporated
fun activities in order to reach a broader audience. Ms. Good won the agency award in
workplace diversity for this work.
In 2006, Ms. Good became an environmental planner for the Lower Duwamish Team.
Ecology’s Duwamish Team was awarded the 2006 Ecology Agency Award for commitment to
excellence. Today Ms. Good is the only environmental planner responsible for producing and
reporting on source control plans for Duwamish sites as required by the joint Memorandum of
Understanding between EPA and Ecology on this project.
MARGARET HERRING
Margaret Herring is an Investigator for EPA Region 5. She was worked as a Superflind
investigator for over 10 years. Previously, Ms. Herring worked for the Social Security
Administration and the U.S. Department of Labor. At both agencies, her responsibilities
involved gathering information from diverse public and private sources and analyzing the
information for program requirements. Ms. Herring is a licensed attorney in Illinois (inactive
status) and is trained in the use of library reference materials, government records, and archives.
STEPHEN HESS
Stephen Hess is an Attorney-Advisor in EPA’s Office of General Counsel (OGC). He serves as
OGC’s contact for real estate issues, including property acquisitions, institutional controls,
access, relocations under the Uniform Relocation Act, CERCLA liens, and takings issues. Prior
to joining EPA, Mr. Hess was in private practice in Richmond, Virginia, representing
developers, lenders, local governments, and businesses in real estate and corporate transactions.
He received a B.B.A. from James Madison University and a J.D. from George Mason University
School of Law.
STEPHEN HOFFMAN
Stephen Hoffman is a Senior Environmental Scientist and Federal Enforcement Officer at U.S.
EPA. He received a B.A. in Physical Geography from Bowling Green State University in 1972
and an M.A. in Physical and Economic Geography from Boston University in 1976. He has 30
years’ experience conducting RCRA inspections and environmental risk studies of mining and
mineral processing, petrochemical, nuclear, pharmaceutical, and hazardous waste disposal
facilities. Mr. Hoffman serves as EPA’s representative on the United Nations Industrial
Development Organization global mercury mining project and is senior staff on the National
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Mining Team and the Abandoned Mine Lands Team.
Prior to joining EPA in 1989, Mr. Hoffman was the manager of the Washington, D.C. office of
Fred C. Hart, an environmental consulting firm where he conducted environmental risk audits of
industrial facilities throughout the United States as well as conducting environmental risk studies
at industrial plants in Belgium, Hong Kong, Taiwan, Australia, New Zealand, and Canada.
Mr. Hoffman has published several books on environmental auditing and a number of articles on
the environmental impacts of energy and mineral development.
STEPHEN KEIM
Stephen Keim is currently employed at EPA’s Office of Site Remediation Enforcement (OSRE)
in Washington, DC, as an attorney-advisor in the Policy and Program Evaluation Division. He is
a member of both the PRP Search Enhancement Team and OSRE’s Insurance Workgroup.
Before coming to EPA, he practiced environmental insurance law at a private law firm and
worked as an environmental consultant on hazardous waste issues. Steve has received a B.A.
from Dartmouth College, a J.D. from the University of Virginia School of Law, and a Master of
Environmental Management (M.E.M.) degree from the Yale School of Forestry and
Environmental Studies. He is a member of the Virginia and District of Columbia bars.
STEPHANIE KERCHEVAL
Stephanie Kercheval is a FOIA Officer in EPA Region 10. Ms. Kercheval has worked for EPA
for 21 years, 10 of which have been spent in the FOIA program.
KRISTI1 E KOCH
Kristine Koch has worked for EPA Region 10 for 11 years and has 20 years of federal service.
She has been a Remedial Project Manager with EPA’s Superflind program since 2005 and has
worked for the Office of Water as a National Pollutant Discharge Elimination System (NPDES)
permit writer. She has also worked for the Department of Defense in environmental engineering
and for General Electric as a design engineer in their Nuclear Energy Division. She has a
Bachelor of Science degree in Chemical Engineering from the University of Washington.
COURTNEY KUDLA
Courtney Kudla is an Enforcement Officer for Region 6, Superfund Division, Enforcement
Assessment Team. Since starting with Region 6 as a Federal Career Intern, she has worked in
Superfund for four years and the Office of External Affairs for one year. As an Enforcement
Officer in Superfund, Courtney has worked to identify PRPs at several ground water plume sites
and to negotiate settlements at both remedial and removal sites. Recently, Courtney assisted the
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Region 6 Enforcement Removal Coordinator in developing a process to ensure the Superfund
Trust Fund is reimbursed by responsible parties for costs incurred at emergency responses.
Before making her way to Texas, Courtney attended Manchester College in North Manchester,
Indiana where she received a Bachelor of Science in Sociology. She attended Indiana University
(IU) for her Master’s in Public Affairs. At the JU School of Public and Environmental Affairs,
she focused on Environmental Policy.
If you brought a Frisbee, golf clubs, hiking shoes, or running shoes, Courtney would love to join
you outdoors anytime.
ANDREA MADIGAN
Andrea Madigan is an enforcement attorney in EPA Region 8’s Legal Enforcement Program,
Office of Enforcement, Compliance, and Environmental Justice. She joined EPA in 1990 and
works primarily on Superfund enforcement cases. Ms. Madigan also chairs EPA’s National
Bankruptcy Work Group. Prior to joining EPA, she was in private practice specializing in
bankruptcy and commercial litigation. Ms. Madigan received her J.D. from the University of
Colorado in Boulder, Colorado in 1983, and has served as an adjunct instructor at the University
of Denver, College of Law.
ALAN MARGOLIS
Alan Margolis graduated from the University of Pennsylvania and received his J.D. from the
University of Pittsburgh Law School in 1985. He joined EPA’s Office of General Counsel in
1991, specializing in information law. He has spent most of his EPA career in OGC where he
was assistant general counsel for information law for three years. He also spent three years as an
attorney-advisor in the Office of Environmental Information.
CHERYLE MICINSKI
Cheryle Micinski has been practicing law for more than 30 years. The first ten years were spent
as a prosecutor with county and city. She began employment with EPA in 1981. She became a
Branch Chief, Superfund Branch in 1987 and a Deputy Regional Counsel in 1993. She teaches
many Superfund-related courses for EPA and has been a frequent speaker at seminars and
programs relating to hazardous waste topics. She has taught Superfund Enforcement Process for
many years for the CERCLA Academy and has been an instructor and moderator for New
Superfund Attorney Training. She is an Adjunct Professor in the School of Business at Avila
University in Kansas City, Missouri. Cheryle received her A.B. from Indiana University in 1968
and her J.D. from the University of Missouri-Kansas City in 1973. She is a member of the
Missouri Bar.
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HERB MILLER
Herb Miller is a Civil Investigator with EPA Region 4 with 21 years of experience in Superfund
enforcement and PRP search activities. He has a B.S. in Chemistry from Western Kentucky
University, and did graduate work at Emory University. As a member of the National PRP
Search Enhancement Team, Mr. Miller contributed to development of the 2003 PRP Search
Manual. Mr. Miller has received two bronze medals from EPA and a commendation from the
Department of Justice for his work on cost recovery cases in Region 4. Between Western
Kentucky University and graduate school, Mr. Miller worked at the Kennedy Space Center and
was present for the launch of Apollo ii, the first moon landing in 1969.
LEO J. MULLIN
Leo Mullin is a Cost Recovery Expert for EPA Region 3. He joined EPA as a Civil Investigator
in October 1989. His responsibilities include conducting and/or overseeing PRP searches;
working with the Office of Regional Counsel and Department of Justice on cost recovery
complaints; and making determinations associated with corporate veil piercing, corporate
successor liability, allocation of liability, ability to pay, and financial assurance. He also assists
in responding to questions concerning potential liability from the purchase of contaminated
property. Mr. Mullin has testified as an expert witness on matters such as ability to pay,
financial analysis, and property valuation. He has also submitted testimony regarding issues
such as corporate veil piercing, corporate successor liability, the cost of site cleanups, and
allocation of responsibility for site cleanups. From 1982 to 1989, Mr. Mullin was employed as a
Revenue Officer by the Internal Revenue Service. Prior to 1982, he worked for an urban
redevelopment consultant. Mr. Mullin received a B.A. in Politics from St. Joseph’s University in
1982.
KIM MURATORE
Kim Muratore has been a Case Developer in the Superfund program in Region 9 since 1990 and
has worked on a wide range of sites, including landfills, former mines, wood-treating facilities,
and area-wide ground water sites. Superfund program staff in Region 9 are responsible for
enforcement for a site from cradle to grave, so Ms. Muratore has performed PRP searches,
conducted ATP assessments, developed proposed settlement offers, participated in negotiations,
drafted litigation referrals, filed liens, provided litigation support, and worked on the
enforcement portions of 5-year reviews. As an auxiliary duty, she manages the region’s
Superflind ADR budget and tracks the program’s SOLs. About 30 times a year, she leaves these
duties behind to visit local elementary schools and teach environmental science topics that she
has developed, providing hands-on learning experiences for the kids.
BARBARA NANN
Barbara Nann is an assistant regional counsel in EPA Region 6’s Superfund and Brownfields
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programs. She has been with EPA since 2002. Barbara received a B.S. in Biology and a B.A.
in Political Science from Indiana University in 1997. She received her J.D. and environmental
law certificate from Lewis and Clark Law School in 2001. She is a member of the Texas bar.
CARLYN FRISK
Carlyn Winter Prisk is a Civil Investigator in the Region 3 Superfund program’s Cost Recovery
Branch and has been Region 3’s representative on the PRP Search Enhancement Team for the
last five years. Ms. Prisk has been with Region 3 for almost 10 years, spending a year in ORC as
a paralegal before becoming an investigator.
BRUCE PUMPHREY
Bruce Pumphrey started with EPA the day before the inauguration of President Ronald Reagan.
His first work at EPA headquarters was in the Water Quality Standards program. In 1984, he
relocated to Region 5 where he worked in the Water Quality Standards program and
subsequently in NPDES compliance and enforcement. In 1987, due to a very crazy supervisor,
he had the option of blowing his brains out or moving to Superfund and doing PRP search work.
He chose Superfund and has never regretted the decision. Bruce has been in the Superfund
enforcement program for 21 years with the exception of short stints in the Office of Water and
OSWER. He returned to headquarters in 1991 and has been with the Office of Site Remediation
Enforcement for all but two years of that time. Bruce’s primary focus during that time has been
strategic planning, performance management, program analysis in support of Superfund
reauthorization, and program evaluation. Bruce loves working in the Superfund enforcement
program but is looking forward to retirement in about five years.
CAROL ROPSKI
Carol Ropski is a Senior Enforcement Specialist with Region 5’s Emergency Services Support
Section in the Emergency Response Branch, Superfund Division. Ms. Ropski has been an
Enforcement Specialist in the Emergency Response Branch since 1990. Along with two Office
of Regional Counsel attorneys, she is the primary contact for mercury enforcement in Region 5.
This core mercury enforcement team ensures a consistent approach for the region’s enforcement
efforts on mercury sites. Ms. Ropski has been considered the region’s mercury enforcement
expert since 2000 when the number of mercury sites in the region exploded. There were 167
mercury sites from FY 2000 to FY 2007. Her responsibilities for the sites include enforcement
from the time the site is discovered until completion of the cost recovery process. This includes
mercury sites with administrative orders, voluntary removal actions, and fund-lead with a cost
recovery component. She has also assisted in developing the region’s mercury policy and was
on the workgroup that developed the “Guidelines for Responding to Mercury Spills & Releases
in Schools and Residences” document.
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Ms. Ropski has received several Bronze Medals for her enforcement work on Superfiind sites,
notably the Nicor Mercury Regulators site and Chicago Methyl Parathion. She has been
nominated twice for “Technical Enforcer of the Year”. She is also a member of Region 5’s
Response Support Corp and Incident Management Team and worked in the region’s EOC during
the Katrina response. Ms. Ropski developed a manual for EOC operations. In addition to her
other responsibilities, she coordinates the region’s accomplishments reporting in CERCL IS for
the removal program. She has a B.A. in Environmental Studies from Northeastern Illinois
University.
MIKE RUDY
Mike Rudy is an enforcement specialist and civil investigator with Region 8’s CERCLA
program. He has 23 years of federal service. Mike started his career as a Special Agent in the
U.S. Air Force Office of Special Investigations (OSI) in 1985. As a special agent he conducted
criminal, counter-intelligence, and fraud investigation in the United States and overseas. His last
assignment with OSI was as a detachment commander in the Gulf War. Since 1992, Mike has
served as a FIFRA and TSCA inspector, multimedia inspector, enforcement specialist, and civil
investigator. He has been in Superfund enforcement since 1999. He has both B.S. and M.P.A.
degrees.
GRECHEN SCHMIDT
Grechen Schmidt is a Senior Investigator with EPA’s Region 10 in Seattle, Washington. She
jointed EPA in 1988 as a Community Involvement Coordinator. She designed and coordinated
the Superfund Technical Assistance Grant Program (TAG) for the region and helped develop the
national community involvement training material and Department of Defense Community
Involvement training. She served as EPA’s technical expert on the Superfund process and the
TAG programs in a criminal trial, resulting in a conviction and maximum prison sentence. From
1995-1997, Ms. Schmidt worked as a compliance officer in the drinking water program, focusing
on drinking water systems in the State of Washington. From 1997 to 1999, she took an IPA to
the Alaska Department of Environmental Conservation to help develop their community
involvement program. In 2000, Ms. Schmidt became an investigator in the Office of
Environmental Assessment. Today she is the only civil investigator in Region 10 and provides
support to all regional programs.
GREGORY SULLIVAN
Gregory Sullivan is a lead attorney-advisor in EPA’s Office of Site Remediation Enforcement,
coordinating the work of a team of attorneys focused on legal, enforcement, and policy issues in
Superfund and RCRA corrective action cleanups. He specializes in enforcement issues related to
institutional controls, post-construction completion, and reuse of contaminated properties. Prior
to joining EPA, Mr. Sullivan worked on cleanup and long-term stewardship issues in the U.S.
Department of Energy’s Office of Environmental Management. He received a B.A. from the
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Western Washington University in Bellingham, Washington and earned his law degree from
American University’s Washington College of Law in Washington, D.C.
ANDREW TAYLOR
Andrew Taylor has worked on remedial PRP searches for five years as a case developer and
environmental scientist for EPA Region 9. Prior to joining EPA, he worked for 10 years as a
hydrogeologist and field geologist for private environmental consulting firms in New York and
California, performing soil, ground water, and Phase I and H investigations for EA Engineering,
Going & Associates, ERM-West, and GAlA Consulting. Mr. Taylor spent two years working as
an urban environmental management consultant (aka Urban Peace Corps Volunteer) in Ivory
Coast, West Africa, where he determined that the difference between rural and urban Peace
Corps volunteers is their access to cold beer. He holds a B.A. in Geology from Rutgers
University.
LANCE VLCEK
Lance Vicek is an Investigator with EPA Region 5. He has more than 30 years’ experience
conducting criminal and civil investigations. Mr. Vlcek has conducted investigations for the
U.S. Army (active and reserve) and federal agencies including the Department of Energy,
Defense Contract Audit Agency, Immigration and Naturalization Service, and Consumer Product
Safety Commission in addition to EPA.
STEPHANIE WENNIING
Stephanie Wenning is a Compliance Officer in EPA Region 3. She joined EPA in October 2007.
Ms. Wenning’s responsibilities include conducting PRP searches and working with the Office of
Regional Counsel and Department of Justice on cost recovery complaints. From 1996 to 2007,
she was employed as a Superfund Technical Assessment and Response Team (START)
contractor in Regions 3 and 5. Ms. Wenning received a B.S. in Environmental Science from
Indiana University in 1996.
ROBERT WERNER
Robert (Bob) Werner is an Enforcement Officer in Region 6. Bob’s career includes eight years
as a U.S. Army Commission Officer, five years as an IRS Revenue Agent dealing with high-net-
worth individuals and small and mid-size corporations, eight years as a supervisor with General
Motors, one year as an FDIC bank examiner, and 18 years as an EPA Civil Investigator. He
received a B.S. degree in Business with an Accounting major from the University of Kansas in
1965 and an M.B.A. degree from Golden Gate University in San Francisco in 1973.
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JAMES A. WILLIAMS
James A. Williams is an Investigator in EPA Region 3’s Cost Recovery Branch. He joined EPA
as an Investigator in May 1990. His responsibilities include researching and performing
financial analysis on all types of small and large businesses, estates, and individuals. These
analyses are performed to determine ability to pay, identify any successor entities that may be
liable, or to verify the adequacy of the financial assurances provided by performing settling
defendants. Mr. Williams also conducts PRP searches and participates in the negotiation of
settlements in cost recovery cases. He has won numerous regional and national awards and
received a commendation from the Department of Justice for his work at EPA. Prior to working
at EPA, Mr. Williams was a Revenue Officer in the Philadelphia District Office of the Internal
Revenue Service from 1981 to 1990. Mr. Williams received a B.A. from West Chester State
College.
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Using Collaboration and Innovation to
Identify PRPs
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Lower Duwamish Waterway Superfund Site
Background
May 2008
• About five miles of waterway between the southern tip of Harbor Island and
Turning Basin #3. Waterway flows into Elliott Bay at Seattle and is part of the
Puget Sound.
• Traditional fishing ground for the Muckleshoot and Suquamish Indian Tribes.
• In the early 1900’s this area was primarily forest and farmland.
• In 1909 Seattle formed the Duwamish Waterway commission to sell bonds and
re-channel the river creating new land for development and increasing the river’s
capacity for ocean-going vessels.
• In 1913 the U.S. Army Corps of Engineers began to straighten and deepen the
river to a depth of 50 feet for 4 .4 miles. The work was completed in 1920.
• Commercial and industrial growth along the waterway since then has contributed
to the contamination in the waterway sediments. Filling and dredging has
occurred since 1918, so the face of the waterway has changed over time.
• By 1938 companies along the Duwamish Waterway included a several shipyards,
a propeller manufacturer, several lumber companies, a paper box manufacturer, a
glass manuthcturer, several machine shops, an airplane manufacturer, several
slaughter or rendering companies and several construction companies.
• In 1945 the newly created Washington State Pollution Control Commission began
investigating the Duwamish-Green River area and found that “For some time it
has been apparent that pollution from these plants [ along the river] has been
entering the Duwamish-Green River Waterway. In some instances this pollution
flows directly into the river, but in most cases it first enters the sewers, where
after mingling with human wastes, it then escapes by means of the outfalls into
the waters of the stream.” Contamination included oil, acid metal dips, chromic
acid, caustic wash, copper ammoniate, animal wastes and gravel wash water.
• In 1955, there were four sewer outfalls, two storm water outfalls and one sewage
treatment plant on the waterway.
• During the 1950’s & 1960’s, the Washington State Pollution Control Commission
continued to document sources of pollution to the Duwamish. Problems were
identified and state and local agencies worked with companies along the
waterway to improve water quality.
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Presenters:
l ’i” ’ I
Bimb Good
_ En*u wm
EPA Radon 10 Wa.I*i 5 DupL o(Ecc ogy
42 fl57
What you will learn:
• Background lnfOrTnatlOn about the cleanup
at the Lower Duwamlsh Waterway
Superfund site.
• How we address overlapping
responsibilities for identifying PRPs.
• The benefits we see from sharing
Information between agencies
I
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Duwamish then....
The am h R er
was dredged and
In light blue vu n
useethepathofthe river
b ie 1909.
In dark blue the
current path of
I
2
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Duwamish then....
Duwamish Today...
.
3
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You can’t keep the sediments clean
unless you address the sources
Thus Region 10 and Ecology
developed this innovative two-
pronged approach.
Lower Duwamish
Memorandum of Understanding
(unique agreement In RegIon 10)
• Signed In April 2002IUpdated April 2004
• Joint Consent Decree
• Ecology and EPA Roles and Responsibilities:
• Ecology: lead for source controV
support for in-water work
• EPA lead for In-water workl
support for source control
R e on 10 Lead Ecology Lead
4 emedIaI InvesttguUon\ (source Conlroi
\FeuIbl lItyStudy,i
I • •e uitu ‘
- :::rZ
.hu,cnCcnt,cIhd s
Roca dofDed&on , Rs d -‘
4
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Source Control—Ecology
The process of finding
and then stopping or
redudng releases of
pollution to wa1 rway
sediments._—
Ecok)gy’s Source Control Efforts
• Ecology develops Source Control Plans
• Conduct Inspections
• Ecology conducts MICA deanups
Sediment Cleanup--EPA
Sediment In Rlght
of Wa of
Duwamish
Waterway
Sediment In
nearshoro areas
I
5
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Identifying PRPs by Region 10
1. PRP researth began in 2001 with 4 major areas of
concorn
• Review of agencies flies
• Interv$e conducted at facUlties
• Preliminary Information was shared with
Superfund staff In 2002
2. InvestigatIve work continues through 2002-2004
• informar lequests for Information sent to Port of
Seattle, CSy of Seattle, King County and General
SeMcesMm i n.
Identifying PRPs by RegIon 10
3. PRP work expanded to new areas of rIver.
C3NIJIO4(e) sent out starting in 2005.
4. In 2002, b.gan sharing information with Ecology for
source control documents.
5. To date, ow 50 GNL/or 104(e) sent cut Review this
information and determine If Interviews need to be
6. ROD due 2010.
Identifying PLPs by Ecology
1. Ecology Identifies contaminated property
and has an available site manager to work
on the site.
2. Ecology sends Pre-PLP letter to Parties.
3. The parties respond.
6
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Identifying PLPs by Ecology
4. Ecology reviews response.
5. Ecology sends Final PLP letter.
6. Ecology sends a letter InItiating
negotiations for an Agreed Order.
Ecology & Region 10 Comparison
CERCLA & MICA
• Similar statutes. Consent Decree enforces both
• 2 dIstinctions- MTCA covers oil and state has
sediment management standards
EPA & Ecology have different RP approaches
• EPA has an investigator doing a broad search
along the entire LDW site.
• Ecology uses targeted approach naming PLPs
when we know there is an Issue end when we
have site managers available to work on the sIte .
Ecology & Region 10 Comparison
104 (e) provides EPA wIth information about
the business and financial (ability to pay etc.)
MTCA doesnt have anything like that.
Different responsiveness
i ne same busInesslproperty owner may respond
openly to one agency and very guarded to
another.
• Sharing Information between egencles is key
7
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The light dawnslll
Gethng Started is the Hard Part
• Scope of the pr ctis so large.
• Resources for both agencies Is small for
Identification of PRPIPLP.
• No model to follow desc 1blng how to
share Information, and what Information
can be shared.
• Learning MTCA & Supeifund and how
they complement/contrast with each other.
Initial barriers to project
• Washington state sunshlne Iaws
• EPNs FOIA requirements
• Getting teams to accept/understand new
coordination
I. ‘ 1
8
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In a nutshell coordination helps Ecology
because...
PRP Search Includes Information on all the properties
along the river. Ecology needs sQ the available
Information on all the upland facilities along the river In
order to:
• Write reports that Include all Info for oreating
source control plans.
• Develop Source Control Action Plans Include
Action Items necessary to prevent
recontamInation of the sediments.
• Cite Information In PIP notice laffers for MTCA
Investigations.
In a nutshell coordination helps EPA
because...
• Ecology has many environmental flies and reports.
• Ecology Source Control documents con provided up to
date Information about prcpvrty Investigated some years
earlier.
• Ecology reports Indude upland facilities that EPA will
need tTo consider as potential sources of sediment
contamination In the nerd phase of the Investigation.
• This Information supports EPA5 Identification of PRPs.
Benefits of Collaboration
• Prevents duplication of effort
• Saves money for both agencies
• Allows all agencies to consider long-term
Impacts of policy decisions
• Allows long-range planning to occur earlIer
In the process
9
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More Benefits of Collaboration
• Allows for comparison of Information
gathered to ensure accuracy.
• Allows reports produced by both agendes
to be as complete as possible—reviews.
• improves trust between agencies.
• EPA and Ecology have a united front with
the public on these Issues.
10
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NOTES
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Contaminant Sampling for PRP
Confirmation
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Contaminant Sampling for
PRP Confirmation
Courtney Kudla and Jamle Bradsher
EPA, Region VI
Contaminant Sampling
Pilot Project
EPA, Region VI conducted a pilot project to
address the Region’s difficulty of locating
PRPs at SItes prior to the R1IFS
How to get Started....
Review any information reaardlna the :
• Site Description
• Surrounding Land Use
Site Histoiy
• Previous investigations
• Prior Removal actions
I
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Enforcement Activities
• PRP Search
— Deed and Title Search
- Corporate Research
—104(e) Letters
• PRP Search Report
• Issue General Notice Letters
Determining Sampling Area
• Compare Site Assessment Information
with PRP Search Report
• Site Team Discussion
Sampling Selection Process
• Who is going to do the work?
— Other Agencies
- Contractors
• What type of work should be done?
— Sampling Methods
—Surveys
2
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Documents for Site Work
15
ZA-C
-
;
‘is
_ w ‘\ ci J &u (
-I-
• Work Plan
—Purpose
— Elements of Woilc Plan
— Work Plan Development
• Quality Assurance Project Plan (QAPP)
— Purpose
— Elements of QAPP
- QAPP Development
How to Fund the Work
Through an lAG
• Funding
— Interagency Agreement (lAG)
— Request for FundIng Form
• Budget
— Approval
— Allocation
Lessons Learned
• Contract vs. lAG
• Timeframe for Sampling
• Benefits for Enforcement and Remedial
3
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Site Specific Examples
• Gulfco
• Donna Reservoir and Canal System
• Midessa Ground Water Plume
4
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NOTES
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Mercury Sites
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MERCURY RELEASES
(W RESIDENCES MD PJ&IC BUIL ING$)
Wilda Cobb - Region 4
Herb Miller - Region 4
Carol Ropski — Region 5
Mercury-specific Laws
• Mercury-Containing and Rechargeable Battery
Management Act of 1996
• Clean AirAct
• Clean WaterAct
• RCRA
• Safe Dunking Water Act
Three forms of Mercury
• Elemental Mercury
• inorganic Mercury
• Organic Mercury
I
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SPECIFIC ISSUES
• Under what circumstances should PA pursue
cost recovery from Schools end home owners.
• Use of federal dollars to cleanup and restore
private property—(especially when the property
owner Is a PRP)
• These are generally releases that are Indoor.
• The cleanup may Include disposal of personal
property.
• Cleanups may require relocation of residents
• Medical Issues concerning resIdents
WHERE IS THIS MERCRY
• People keep Jars of mercury In their homes
• Blood Pressure devices and other medical
Instruments,
• Barometers and manometers
• Industrial sites
• Dental offices
• Schools labs
• Antique Grandfather clock
• Thermometers
Contd.
• Use In folk medicine and religious purposes
• Power CompanIes’ and other Industries that use
mercury switches. etc.
• Gas Company Regulators
• Furnaces
2
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WHERE ARE THESE RELEASES
OCCURING
• Hospitals
• Doctor and dental offices
• Non-profit dinics
• Schools and school buses
• Private Residences and cars
WHY WORRY ABOUT SUCH A
SMALL RELEASE
• Relatively small amounts can result In
dangerous levels of mercury vapor.
• Exposure to mercury vapor can affect
brain and central nervous system
• Low levels of mercury exposure have
been assodated with learning problems In
children.
• Mercury can be absorbed through the skin
and accumulate In the kidneys.
3
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Man dies from mercwy
poisoning after tiying to
extract gold
SENIOR S ffWrII
1 y. ApiS 1, 11:45 AMCDT
PRPS
Owners of the property that is subject to
the cleanup
Owner of the mercury/or generator
• Who caused the release
4
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5
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REPLACEMENT & RELOCATION
COSTS
Temporary relocation of the residents may
be required during the cleanup for their
heatthlsafety.
in some cases permanent relocations are
required.
Private/personal property may be
contaminated and need to disposed of
6
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7
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LIABLITY
• Strict liability v. Negligence
• 107(b) Defenses
• Enforcement discretion
Insurance
• Ask for all Insurance polices
• There may be may be more than one
policy
• Mortgage insurance
• Get Assignments signed
ABILITY TO PAY
• Along with insurance policies you will need
to get all the financial information.
8
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QUESTIONS
• Where did the mercury come from?
• How did the release occur?
• Were respobile actions taken to contain the
release?
• Was an adult (over 18 years old) involved in the
acquisition, ownership, storage, or release of the
mercury?
EDUCATIONAL INSTITUTIONS
• Did the mercury come from the school?
• How was it stored?
• Why did the School have the mercury?
9
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GUIDELINES FOR RESPONDING TO% . .
MERCURY SPILLS & RELEASES
IN SCHOOLS AND RESIDENCES
REGION 5 Us EPA
INTRODUCTION:
Over the past several years, the number of mercury releases in Region 5 involving schools and
private residences have increased. In many of these incidents, children obtained unsecured
elemental (metallic) mercury and contaminated schools, their own residences and the residences
of others. The Superfund Emergency Response Branch responds to releases of mercury into the
environment, and a number of funding and enforcement issues have been raised regarding federal
responses at educational institutions and private residences where spilled mercury constitutes a
threat to public health, welfare or the environment. Specific issues center around the use of
federal dollars to clean up and restore private property contaminated during the release,
particularly if a school or property owner is fuiiy or partially responsible for the incident.
Associated with this issue is whether, and under what circumstances, the Region should pursue
cost recovery from educational institutions and home or property owners for federal expenditures
incurred during cleanups.
EXPOSURE TO MERCURY:
Mercury is found in several chemical forms, such as: elemental, inorganic, and organic.
Elemental Mercury: Elemental mercury, also referred to as metallic mercury, is a shiny,
silver-white, odorless liquid, that is used in thermometers, dental fillings, and batteries and is
also used industrially to produce chlorine gas and caustic soda. Elemental mercury readily
evaporates at room temperature to form a colorless, odorless gas. In an enclosed space, even a
relatively small amount of mercury can result in the accumulation of a very high level of mercury
vapor in indoor air. Therefore, exposure via inhalation of elemental mercury is a particular
concern when mercury in spilled in homes or in other enclosed areas.
Inorganic Mercury: Mercury combines with other elements, such as chlorine, sulfur, or
oxygen, to form inorganic mercury compounds or Hsalts, which are usually in the form of white
powders or crystals. Mercury salts are used in skin-lightening creams and in antiseptic creams
and ointments. Inorganic mercury does not readily evaporate and is not easily inhaled; however,
inorganic mercury can be absorbed across the gastrointestinal tract and the surface of the skin.
Therefore, ingestion and skin contact are the likely routes of exposure.
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Organic Mercury: Mercury also combines with carbon to make organic mercury compounds.
The most common form is methyl mercury, which is produced mainly by small organisms in the
water, soil, and sediment. Increasing emissions of mercury into the environment can increase the
levels of methyl mercury that these small organisms make. The most significant source of human
exposure to organic mercury is through diet, particularly from fish products. Since organic
mercury is easily absorbed through the gastrointestinal tract and through the skin, ingestion and
skin contact can result in exposure.
HUMAN HEALTH EFFECTS:
The nervous system is extremely sensitive to the toxic effects of all forms of mercury. Exposure
to high levels of elemental, inorganic, or organic mercury can permanently damage the brain,
kidneys, and the developing fetus. Effects on brain functioning may result in irritability, shyness,
tremors, changes in vision or hearing, and memory problems.
Short-term exposure to high levels of metallic mercury vapors also may cause effects on other
organ systems, including lung damage, nausea, vomiting, diarrhea, increases in blood pressure or
heart rate, skin rashes, and eye irritation.
Mercury absorbed through the lungs, gastrointestinal tract or the skin can accumulate in the brain
and kidney, and is slowly excreted from the body through the urine. Exposure to mercury can be
verified by testing blood, urine, or hair samples. Individuals who have elevated.levels of
mercury in their body can be treated with “chelating agents” to increase the rate of excretion of
mercury from their body.
NOT JNCATION AND RESPONSE:
Telephone Duty Officers or other Response personnel receiving notification of a spill or release
of mercury in a home or school should assess the seriousness of the incident before dispatching a
Response On-Scene Coordinator (OSC) to investigate (Appendix A provides a list of questions
to help screen mercury notifications). Small spills (e.g. broken thermometers, etc) may be
addressed through verbal advice to the homeowner. Many pharmacies carry cleanup kits for
small residential mercury spills. The Telephone Duty Officer or Response OSC should also
provide the homeowner with information about the proper disposal of rxierciny and mercury
contaminated materials from the cleanup. In other incidences (e.g. a recent spill which has been
contained), local responders may be able to provide technical assistance regarding the cleanup
and disposal of mercury and mercury contaminated rnateiia]s. In incidents where public health,
welfamortheenvironmenthasthepotentialtobeimpacted, ormercuryhasbcenspread
throughout a residence, a school or a neighborhood, or where the extent of contamination is not
certain, an OSC should be dispatched to investigate.
After the OSC has investigated the incident and a decision has been made to perform an
emergency removal action, the OSC will contact a member of the Mercury Enforcement Team
(Enforcement Team) as soon as reasonably possible. The Enforcement Team consists of an
Enforcement Specialist, an ORC Attorney and a Civil Investigator. The Enforcement Team will
be the same for all mercury sites to provide for consistency in the enforcement approach. The
OSC, Enforcement Specialist and/or ORC attorney will decide if a situation warrants further
2
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investigation. If further investigation is needed, the Mercuiy Civil Investigator will be
dispatched as soon as possible after the response action is initiated. As outhned in this document
and the U.S. EPA Region 5 Mercury Response Guidebook, the OSC will also contact health
officials to assist with the cleanup effort.
ENFORCEMENT:
PRP LEAD
The Response OSC and the Enforcement Team should reach a timely consensus concerning the
willingness and ability of a PRP to undertake the required response action. With the possible
exception of small, contained spills, homeowners generally do not have the technical expertise to
conduct a mercury removal on their own, or with contractor assistance. Because of the potential
harm that mercury presents to public health, welfare or the environment, the Response OSC will
ensurethat PRP lead removal actions are conducted in a safe and timely manner, including the
proper transportation, storage and disposal of contaminated materials. Inappropriate cleanup
techniques and/or disposal options can result in wide-spread mercury contsmination, additional
risk to public health, welfare, or the environment and greater cost to the government.
FUND LEAD
Insurance Indemnification: When the Team determines that it is neither practical, efficient nor
effective to have thi PRP undertake the required response, then the site owner or operator will be
required to reveal information about his/her insurance coverages with an aim of assisting the
Agency in making a determination about insurance covcrages. In some instances, the proceeds
of insurance policies could be available to help indemnify Agency response costs. More often,
insurance policies may allow the site owner or operator to claim reimbursement for personal
property or use losses resulting from mercury conthmination such as replacing the contents of a
home, institution or facility or for down-time, loss of rental income or costs incurred to replace
structural dRniage. Such portions of an insurance benefit must be segregated from that portion
attributable to the mercury removal. Another situation which requires a differentiation as to the
loss that is being paid is that sometimes more than one insurance policy may exist which covers a
multitude of losses or multiple insureds. Most often, such a scenario exists when a site is owned
by one party and leased to another or when separate entities are involved in the management and
ownership of facilities.
To help assure that Agency response costs only are paid under the provisions of one or more
insurance policy and to facilitate the Agency’s claim to such insurance, efforts must be made by
the Response OSC at having the site owner, operator or both sign the “Assignment” attachment.
Once signed, a copy should be given to those that signed it.
Third Party Reimbursement: Often the negligent conduct of non-owners and non-occupants
of a site substantially facilitates the release of mercury into the environment by others.
ifiustratively, schools which fail to lock chemical storage cabinets or to have policies or
procedures precluding a student from easily removing mercury from school grounds or
businesses which haphazardly abandon facilities containing mercury where children can easily
3
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gain access are examples of such negligent conduct. In such cases, the conduct of such parties
contributes, aids or assists in the eventual release of mercury. Although such party may not have
caused the actual release of mercury to the environment, their neglect in precluding access to or
safeguards against its possession by the person that caused the release can result in the imposition
of civil liability against such party.
In circumstances where a third party may appear to have such civil liability, the Response OSC
will endeavor to have the site owner or occupants execute the “Assignment” permitting the
Agency to recover response costs, and only response costs, against such party. Once signed, a
copy should be given to all that signed it.
MERCURY RESPONSE AND CLEANUPS:
EPA’s response to mercury spills in homes has included relocating residents, gathering visible
mercury using a variety of techniques, and heating and ventilating houses to drive off the harmful
mercury vapors. In some instances, walls, carpeting, and floors have had to be removed because
of mercury contamination. Contaminated personal possessions that are porous (ie. clothing,
bedding, furniture) have been properly disposed of when mercury could not be removed.
Specific technical and administrative guidance for conducting a mercury response are provided in
the “ U.S. EPA Reaion 5 Mercury Reseonse Guidebook. ”
ELIGIBLE RELOCATION AND REPLACEMENT COSTS:
Relocation Costs: A CERCLA response action may require that U.S. EPA relocate persons
temporarily for their health and/or safety, or to allow U.S. EPA to conduct the necessary clean up
activities. Temporary relocations are carried out under removal and remedial authorities and may
occur as part of an emergency response or a cleanup with a longer planning period. Each type of
assistance or procedure described in the “ Guidance on Temporary Relocations During Superfund
Resvonse Actions ” (Temporary Relocation Guidebook) and the “ Region 5 Mercury Response
Guidebook ” will not apply to every site or affected individual because the range of response
actions that may involve temporary relocation are so broad, and because other site specific
factors must be considered. Due to the inherent constraints present with the emergency
responses, OSCs, where possible, should implement the portions of the Temporary Relocation
Guidebook in such a way that they do not impede the emergency response actions. Specific
policies and implementation of relocation operations during removal actions, as well as the
parameters and the administration of temporary relocation assistance, are provided in the
Temporary Relocation Guidebook.
Replacement Costs: Hazardous substance releases can also damage or contaminate private
property, or property may be dnm iged in the response effort. In these circumstances, EPA may
consider compensating private citizens for such property. Most losses suffered by private
citizens should be compensated by the party or parties responsible for the contamination;
however, if a PRP cannot be identified or is not viable, EPA may elect to compensate for
property loss due to a hazardous substance release or the resulting response effort, although some
circumstances may limit eligibility for compensation under Superfund. Superfund may not cover
losses due to the negligence of contractors; the contractors themselves would be responsible for
4
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such losses. Also, citizens that have been found to be PRPs at a site are generally not eligible for
compensation. Additional information on the eligibility of replacement costs may be found in
the U.S. EPA draft document “ Guidance on Compensation for Property Loss inRemoval
Actions ” (May 1995).
The following considerations should be taken into account in determining whether a homeowner
or educational institution is a potentiallyresponsible party:
* Where did the mercuzy come from (industry, school, private residence)?
* How did the release occur?
* Who reported the release, and to whom was it reported?
* Were responsible actions taken to contain or limit the spread of the contamination?
* Was adult (over 18y old) neaii ence involved in the acquisition, ownership, storage or
release of the mercmy?
— inadequately secured mercury vrobablv constitutes negligence.
— storage of mercury in a privately owned residence, garage or shed, nrobablv constitutes
negligence.
* If adult negligence was involved, is the PRP viable? To what extent?
* hi general, U.S. EPA Region 5 considers educational institutions to be PRPs, when the source
of the mercury contamination came from their facilities (science laboratories, etc.) or activities.
If the mercury contamination came from an outside source (industry, private residence, etc), in
general, the educational institution would not be considered a PRP.
Finally, if an educational institution or homeowner is determined to be responsible for the
release, but not a viable PRP (i.e. cannot pay cleanup costs), EPA may fund costs associated with
the cleanup and basic restoration of the PRP’s building or residence, but not costs associated
with the PRP’s furnishings or property (furniture, appliances, clothing, toys, etc.). The building
or residence may be cleaned or restored g y to the extent that it does not present a health threat
to the residents or occupants, and the building is habitable. EPA will not compensate for losses
associated with moveable furnishings and private property. In general, this would include area
carpeting, and/or wall-to-wall carpeting placed over a finished floor (hardwood, tile, linoleum).
Wall-to-wall carpeting placed over plywood flooring would be considered part of the building,
and could be replaced to make the residence “habitable.”
At the discretion of the OSC, EPA may provide compensation through three methods: 1)
restonng property to its original condition; 2) providing replacement property of similar value, or
3) reimbursing owners in cash for the value of lost property. In general, restoration should be the
first option considered, followed by replacement.
5
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LEGAL AUTHORiTIES and CONSIDERATIONS:
Section 104 of the Comprehensive Environmental Response, Compensation, and Liability Act of
1980, as amended (CERCLA),42 U.S.C. § 9604, authorizes EPA to remove or arrange for the
removal of any hazardous substance, pollutant or contaminant if it is deemed necessary to protect
the public health, welfare or the environment. Mercury is a characteristic waste under the
Resource Conservation and Recovery Act (RCRA), 42 U.S.C. § 6901 et seq. , as amended, and 40
C.RR. § 261.24. Mercury exhibits the characteristics of toxicity D009, and is therefore a
hazardous substance under Section 101(14) of CERCLA, 42 U.S.C. § 9601(14). Therefore, EPA
has the legal authority to respond to mercury releases.
Section 300.415(a)(2) of the NCP requires the lead agency, to the extent practicable, to search for
Potentially Responsible Parties (PRPs) and attempt to have them perform the necessary removal
action. PRPs are past and present owners and operators of a facility, people who arranged for
disposal or treatment of hazardous substances, and anyone who accepts or accepted hazardous
substances for transport to disposal or treatment facilities and selected the site from which there
is an actual or threatened release. It should be noted that homeowners or educational institutions
are not excluded from the definition of PRPs.
Section 106 of CERCLA, 42 U.S.C. § 9606, authorizes EPA to issue administrative orders to
compel PRP response, and authorizes EPA to enforce the terms of the administrative orders and
compel noncomplying PRPs to respond through judicial action. If a PRP does not conduct the
cleanup, EPA may initiate a Fund-financed removal action and seek reimbursementfroin PRPs
for all response costs incurred by EPA not inconsistent with the NCP. Section 107 of
CERCLA, 42 U.S.C. $9607. Section 107 of CERCLA, 42 U.S.C. § 9607, imposes strict liability
upon PRPs and has been intc rcted by the courts to impose joint and several liability upon all
PRPs involved at a site where harm is not divisible. Decisions to pursue or not to pursue legal
remedies and/or cost recovery from PRPs for the release will be made by the Mercury
Enforcement Team.
Section 122 of CERCLA, 42 USC § 9622, authorizes EPA to enter into agreements with PRPs
to perfonn response actions. If the threat posed by the mercury release is serious andfor
immediate enough to wanant an emergency federal-lead response, the OSC should not “compel”
a homeowner to perform a mercury cleanup; however, if the threat is not serious and/or
immediate and if the homeowner volunteers to hire a qualified con actor to conduct the cleanup,
under EPA oversight, the OSC may consider this as a viable option.
Section 111(a) of CERCLA, 42 U.S.C. § 9611(a), authorizesEPA the authority and discretion to
appropriate monies from the Hazardous Substance Superfund for “ [ p]ayment of any claim for
necessary response costs incurred by any other person as a result of carrying out the national
contingency plan established under Section 1321(c) of Title 33 and amended by section 9605 of
this title...” Therefore, dRmage or contamination to land or property incurred during a response
action may be compensable by EPA, parlicularly where the release was on the property of an
innocent party. Superfund Removal Procedures Manual, Office of Solid Waste and
Emergency Response (OS WER) Directive 9360.0-03B (February 1988). If this situation occurs,
the OSC should immediately consult with the Office of Regional Counsel.
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The Uniform Relocation Assistance and Real Propeity Acquisition Policies Act (URA), 42
U.S.C. § 4601, ensures uniform and equitable treatment of persons who may be displaced from
their homes and businesses during federal programs, such as disaster relief or national
emergencies, or as a result of projects involving acquisition of a private property. URA provides
for the issuance of relocation benefits to persons displaced by such actions. When an OSC
determines that activities at a response action will affect local residents, U.S. EPA is authorized
under Executive Order 12580, Superfund Implementation, to temporarily relocate threatened
individuals as part of the removal action. According to URA, the U.S. EPA OSC makes the
determination of the need for relocations that are cathed out in conjunction with Superfund
removal activities. PRPs am generally not eligible to receive any relocation benefits; therefore,
OSCs should consult with the Office of Regional Counsel and EPA’s Office of Enforcement
before making any benefits available to PRPs (OSWER Directive 9360.3-09, January 1998).
Approve±
William E. Muno, Director Date
Superfund Division
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APPENDIX A
ASSESSING MERCURY NOTIFICATIONS
A Guidef OSCs
The Telephone Duty Officer or OSC receiving a mercury spill notification should attempt to
obtain the following information:
1. What was the source and amount of the mercury that was spilled?
A If mercury was spilled fiom a small broken thermometer, ask where the
thermometer was obtained, using a checklist that includes hospital/physician.
(This information may be needed to target other preventative actions.) End
questioning and send a “Healthcam Without Hann” brochure.
B. If the mercury was from a source other than a thermometer, continue with the
questions.
2. Where was the mercury spilled?
3. When was the mercury spilled?
4. Does anyone who may have been exposed have any physical symptoms or has anyone
been seen by a physician?
5. What is the name, age, ‘sex of each resident or individual who may have been exposed to
the mercury? Is it possible that any of these individuals are pregnant?
If the spill is larger than an amount spilled from a thermometer, refer to an OSC and form a team
which includes the OSC, a representative from the Enforcement Team, and a representative for
health issues.
Roles and Responsibilities of Team Members:
Osc
• team leader - establishes task force, consults Enforcement Team Members, develops
plans;
• oversees cleanups conducted by schools and their con actors or state/Local environmental
agencies;
• conducts or oversees residential cleanups;
• speaks with the media;
• determines need for community contact/public meetings;
• writes POLREPs; and
• writes START activity reports.
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Enforcement Team
• determines whether PRP or fund lead; and
• informs team of information needed to make decision regarding PRP.
Health Team
• determines need for relocation;
• determines need for medical testing;
• assists in obtaining biological or medical testing;
• interprets and notifies residents of biological or medical testing results;
• helps set protective (analytical) cleanup levels;
• conducts health education and outreach, and
• works with state and local health representatives (determining their roles in above tasks
as well as establishing legal authority for action when needed, issuing alerts, serving as
contacts for community, etc.).
9
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UNITED STATES EN VIRONMENTAL PROTECTION AGENCY
REGION 5
77 WESF JACKSON BOULEVARD
CHICAGO, II .. 60604-3590
MAY 18 2004
AUORNEY WORK PRODUCT C-14J
FOTA EXEMF
1ORLNDtM
SUBJECT: CERCLA Cost Recovery at Residential Mercury Sites
FROM: T. Leverett Nelson, Chief ________
Multi-Media Branch I / /
Office of Regional Counsel
TO: Jason H. El-Zein, Acting Chief
Emergency Response Branch
Superfund Division
Thomas Geishecker, Deputy Chief
Emergency Response Branch
Superfund Division
Over the past four years, the Superfund Emergency Response Branch has responded to
approximately 145 releases of merewy. Many of these releases are from private residences.
Approximately 53 of these 145 response actions have been fund-lea L Fund-lead mercury
response actions typically are in the $1O,000-$40,000range, plus indirect costs. While small by
Superfund standards, these removals, then conducted in private residences, are often beyond the
means of the homeowner to reimburse the fund for the costs of the response action.
To date, of the 53 fund-lead mercury removal sites, the Region has been reimbursed for its
response costs at only one site; that site involved a ma11 business. Efforts to develop further
financial information using enforcement tools has not been productive or cost-effective.
Typically, once the response action is completed, homeowners do not respond to CERCLA
§ 104(e) requests, and, many times, do not accept certified mail from the U.S. EPA. Thus, much
time and Agency resources are devoted to educating and explaining the Superfund process to
unwilling initiates-both attorneys and laypersons-e ien though the case team may already possess
a level of information sufficient to competently exejeise its enforcement discretion in closing out
the Agency’s response costs.
Because of the typically small amounts of money involved and the general concern that
increasingly limited Agency resources be used in the most cost-efficient manner, the Office of
Regional Counsel (ORC) believes that residential mercury removal sites with response costs
-------
2
(direct and indirect) less thnn $50,000 may be summarily closed out, as a proper use of our
enforcement discretion. At these sites, a short memorialization by the On-Scene Coordinator
(OSC) of his or her impressions regarding the homeown&s ability-to-pay, as well as any
supporting documentary information he or she has received, will be sufficient justification for
close-out. The brief discussion of the homeowners ability-to-pay should describe any
information the OSC obtained regarding the existence of possible insurance coverage. (Please
note, however, that because potential adverse consequences may accrue to the homeowner by
virtue of simply making a claim with his or her insurance company, the OSC need not direct the
homeowner to make such a claim for response actions of this size.)
Sites meeting the above monetatycriterion (i.e., less than $50,000in total response costs) may be
grouped for close-out purposes, and “blanket” close-outs of these sites may be done once or
twice per year, as appropriate. ORC, to the extent practicable, will attempt to facilitate these
blanket close-outs by requiring staff-level review of the blanket close-out memorandum by one
of the Removal Coordinators (i.e., not the staff-level attorney who was initially assigned the
removal action), If the staff-level attorney assigned to the removal action has a site-specific
reason why his or her site should not be summarily closed-out, he or she should discuss these
site-specific factors with the enforcement specialist and the Removal Coordinators.
For mercury sites where response costs are greater than $50,000, we should first look to
whether adult negligence on the part of the homeowner was responsible for the release of
mercury. if no adult negligence is involved, the Region’s draft “Guidelines for Responding to
Mercury Spills & Releases in Schools and Residences” allows the Region to take this fact into
account when malcing its determination as to whether the homeowner should be pursued as a
PRP under CERCLA. If the Region, in its enforcement discretion, concludes that the
homeowner should not be pursued as a PRP under CERCLA (and no other entities exist that
might be considered PRPs), then response costs associated with the site may be closed out with
no further cost recovery activity necessary. Conversely, if the Region determines, in its
enforcement discretion, that the homeowner should be pursued as a PRP under CERCLA, then
further cost-recovery activities should be’undertaken before the Region’s response costs are
closed out. These cost-recovery activities may include “streamlined” CERCLA §104(e) requests
that will aid in documenting (1) the PRP’s ability to pay, and (2) whether the PRP has made a
claim under any existing property or liability insurance policy for the Region’s response costs,
and, if so, whether the insurance company has accepted, partially accepted, or denied such claim.
This approach to cost recovery at mercury removal sites is consistent with other Regions’
approaches and will allow us to focus our cost recovery efforts on sites where CERCLA’s broad
liability and cost recovery provisions are more appropriately applied and more likely to
successfully replenish the SuperfuncL Questions regarding the application of this memorandum
to individual sites may be directed to Tom Knzegei 6-O562 or to Jim Morris at 6-6632.
cc: Linda Nachowicz, Superfund Enforcement Coordinator
Thomas J. Knieger, ORC
James Morris, ORC
Carol Ropski (SE-5J)
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1AR 11
To:
From:
Date:
REPLY TO THE ATTENTiON OF
t
Monesh Chabria LJ
Office of Regional Counsel
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
REGION 5
77 WEST JACKSON BOULEVARD
CHICAGO, IL 60604-3590
2008
File J,I”
4 .
Carol Ropski
Enforcement Specialist
Subject: Final Close-Out Memorandum for Removal Actions
CERCLA Cost Recovery for Residential Mercury Sites Under $50,000
In a Memorandum dated May 18, 2004, the United States Environmental Protection Agency (ILS. EPA)
determined that residential mercury removal sites with direct and indirect response costs of less than $50,000
may be snm nnrily closed out as a proper use of U.S. EPA’s enforcement discretion (Reference [ Ref.] I).
U.S. EPA enforcement efforts for fund-led mercury removal actions at residential sites have not been cost
effective due to the low cost of residential mercury removal actions, the amount of U.S. EPA staff time spent
pursuing homeowners, and the history of cost recovery at those sites. US. EPA has, therefore, determined
that residential mercury sites whose expenditures amount to less than $50,000 can be grouped and closed out
under a “blanket” memorandum. Short memozializations by the U.S. EPA On-Scene-Coordinators (OSCs)
of their impressions regarding each of the homeowners’ ability to pay will be sufficient to close out these
srtes (Ref. 1). In some instances, the OSC’s impressions are recorded in the Enforcement Addendum of the
Action Memo for that particular site.
Based on the foregoing, we recommend that the following residential mercury removal sites be closed out
without further attempt to collect costs because they meet the criteria enumerated above:
Site Name
SSID
Removal Completion Date
Cost
Clifton Street Mercury Spill
B5FB
10103/2006
Eastern Avenue Mercury Site
B5DB
12/21/2005
$7,685.48
Freeman Street Mercury Spill
B5DU
04/2112006
$30,848.77
Miller Residence Mercury Spill
B5DW
06/13/2006
$18,990.17
ENFORCEMENT CONF1DEZ AL
Page I
R.cydadlRocycl.bls • Punted tth t getabIe 01 Baued Inks on 100% Recyded Paper (50% Poetconaumer)
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Site Name -
SSID
Removal Completion Date
Cost
Shelby Mercury Spill
B5FR
12106/2006
$28,584.70
Westbiook Mercury Site
B5FG
11/19/2006
$16,321.48
Sidney Mercury Site
B5GR
—
03/0912007
$24.283.65
Burtchville Mercury Site
B5GC}
02/27/2007
$8,957.90
Attached hereto are the Action Memoranda, anal Pollution Reports (POLREPs), Itemized Cost Snmmmies,
and/or short statements from the OSCa for each site (ReL 2 thmugh Ref. 29, inclusive).
ENFORCFMENT CONFIDENTIAL
Pagc2
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Approval:
William Messenger Date
BESS Section Chief
ch Date /
ORC Section Chief
Disapproval:
William Messenger Date
BESS Section Chief
Connie Puchaiski Date
ORC Section Chief
ENFORCEMENT CONFIDENTIAL
p 3
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REFERENCE DOCUMENTS
Reference 1- U.S. EPA Memorandum - CBRCLA Cost Recovery at Residetitial Mercury Sites,
05/18/04
Reference 2- Action Memorandum - Request for an Emei ency Removal Action at the Clifton Street
Mercury Spill Site, Elgin, Kane County, Illinois; 11/22/2006
Reference 3- U.S. EPA Pollution Report, POLREP No.3; FInal POLREP, Clifton Street Mercury
Spill, Elgin, IL; 10/1112006
Reference 4- Itemized Cost Summary, Clifton Street Mercury Site, Elgin, IL; Costs Through
12/31/2007; Report Date: 01/07/2008
Reference 5- Email from Theresa Holz; Subject: Mercury enforcement; 1011312006
Reference 6- Action Memorandum - Request for an Emergency Removal Action at the Eastern Ave.
Mercury Spill Site, Toledo, Lucas County, Ohio; 07/20/2006
Reference 7- U.S. EPA Pollution Report, First and Final POLREP, Eastern Mercury Spill, 512 Eastern
Avenue, Toledo, OH; 03/08/2006
Reference 8- Itemized Cost Summary, Eastern Ave. HQ Spill; Costs Through 09/30/2006; Report
Date: 10116/2006
Reference 9- Email from Jon Gulch; Subject Eastern Avenue Action Memo; 06/21/2006
Reference 10-Action Memorandum: Request for an Emergency Removal Action at Freeman Street
Mercury Site, located in Wanen, Trurnble County, Ohio; 07/20/2006
Reference 11-U.S. EPA Pollution Report, Initial and Final POLREP, Freeman Street Mercury
Response, 339 Freeman, Warren, OH; 04/2412006
Reference 12- Itemized Cost Summary, Freeman Street Mercury Response, Warren, OH; Costs
Through 12/31/2007; Report Date: 01/07/2008
Reference 13-Action Memorandum: Request for an Emergency Removal Action at Miller Residence
Mercury Site, located in Marinette, Wisconsin; 09/06/2006
ENFORCEMENT CONFIDENTIAL
Page 4
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Reference 14-U.S. EPA Pollution Report, Final POLREP, Miller Residence, 1008 Carney Blvd.,
Matinette, WI; 06/30/2006
Reference 15 -Itemized Cost Summary, Miller Residence, Marinette, WI; Costs Through 10131/2006;
Report Date: 11109/2006
Reference 16 -Action Memorandum: Request for Approval of an Fm rgency Removal Action at Shelby
Ohio Mercury Spill Site, located in Shelby, Richiand County, Ohio; 02/20/2007
Reference 17-U.S. EPA Pollution Report, Initial and Final POLREP, Shelby Ohio Hg Spill, 56 Grove
Avenue, Shelby, OH; 11/15/2006
Reference 18 -Itemized Cost Summary, Shelby Mercury Spill, Shelby, OH; Costs Through 12/31/2007;
Report Date 01/0712008
Reference 19-Action Memorandum: Request for an Emergency Removal Action at the Westbrook
Mercury Spill Site, located in Detroit, Wayne County, Michigan; 12/20/2006
Reference 20-U.S. EPA Pollution Report, First and Final, Westbrook Mercury Spill, Detroit, MI;
12/11/2006
Reference 21 -Itemized Cost Summary, Westbrook Mercury Spill, Detroit, MI; Costs Through
12131/2007; Report Date: 01/07/2008
Reference 22-Action Memorandum - Request for an EmergencyRemoval Action at the Sidney
Mercury Site, Sidney, Shelby County, Ohio; 05/15/2007
Reference 23-U.S. EPA Pollution Report; Initial and Final POLREP, Sidney Mercury, 631 South Ohio
Avenue, Sidney, OH; 03/14/07
Reference 24- U.S. EPA email from Brad Stimple, On-Scene Cooidinator, Subject: Sidney Mercury;
04117/07
Reference 25 -Itemized Cost Summary; Sidney Ohio Mercury Spill, Sidney, OH; Costs Through
12/3112007; Report Date: 01/07/2008
Reference 26- Action Memorandum - Request for an Emergency Removal Action at the Burtchville
Mercury Site, Burtchville, St. Clair County, Michigan; 04/12/2007
Reference 27-U.S. EPA Pollution Report; Final Poirep, Burtchville Mercury, 6380 Lakeshore Road,
Butchville (sic), MI; 02/28/2007
FZ4FORCEMENT ONE1DENTLtL
Page 5
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Reference 28-U.S. EPA email from Brad Stimple, On-Scene Coonlinator Subject Burtchville
Mercury; 04/05/2007
Reference 29- Itemized Cost Summary; Burtchvilie Mercury Site, Buitchville, M1 Costs Through
12 31f2007; Repoit Date: 01/07/2008
FZ FORCEMENT CONFIDENTIAL
Pagc 6
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NOTES
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PRP Search Consultation Process
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The PRP Search
Consultation Process
Steve Keim
Office of Site Remediation Enforcement
Keim.Stephen@epa.gov
What Is the PRP Search
Consultation Process?
• A forum for a PRP searcher to consult
with experienced colleagues about
how to proceed with a PRP search
that presents difficult issues or
appears to have reached a dead end
• Panel of consultants chosen for
experience with the Issues or type of
site to be addressed
• Small panel (2 or 3 members)
conducive to substantial discussion
How Does It Work?
• Presenting PRP searcher provides
background materials in advance
— Brief description of site and its history
— Maps showing locations of facilities and
contamination
— Questions or goais for consuitation
—Can be reviewed In about an hour
• Consulting panelists review
materials, become familiar with site,
and formulate questions
I
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How Does It Work? (cont.)
• Conference call schedu ted
• Presenting PRP searcher frames
Issues and asks for input
• Panelists ask questions, discuss
Issues, and make suggestions
•Attempt to reach consensus on PRP
search priorIties
• Presenter does follow-up work
• Panelists may continue to consult
When Is Process Used?
•At request of PRP searcher
• Referral from National Prioritizatlon
Panel (NPP) enforcement screening
— Mike Northrldge (OS RE), enforcement
advisor to NPP, reviews the enforcement
status of fund-lead remedial action
funding candidate sites
— Refers sites he beileves may benefit
from further PRP search work
— Mike will sit in on consultations he refers
How Does the Consultation
Process Relate to NPP Screening?
• Consultation process operates in parallel
with NPP oversight process
— Consultation meant as a coileglal forum for
seeking advice, not an oversight tool
— Anticipate that PRP searchers will usually agree
with panel consensus
— Presenting PRP searcher not obligated to take
every suggestion made by panel
- Good faIth effort to further PRP search likely to
satisfy NPP oversight process
— Everyone’s goal Is to identify viable PRPS or
establish that such PRPs likely do not exist
2
-------
PRP Search Consultation #1:
Fruit Avenue Plume
• Recently conducted first consultation
— Presenting PRP searcher: Courtney Kudla
— Panelists: Unda Ketellapper (R9), Carlyn
Prisk CR3), and Grechen Schmidt (RiO)
—Albuquerque, NM: state investigated,
handed over to EPA; chlorinated solvent
plume; defunct dry cleaner; other sources?
— Discussed interpretation of data, possible
research tasks, and prioritization
Reflections on First Consultation
• Initial sense: a productive session
• Forward-lookIng focus; not you
should have done this”
• Panelists expressed desire to hear
results of further research and
willingness to provide further support
• Tentative plans for follow-up call
• Consider Including hydros or other
personnel with technical expertise
What’s Next?
• Want to make use of consultation
process? Contact any PRP Search
Enhancement Team member. Team
will ask for panelist voiunteers in
monthly cali.
• Referrals from NPP enforcement
screening process
• Gather feedback and gauge value
• Revise and continue if worth It;
discontinue if not
3
-------
NOTES
-------
-------
Mining Sites
-------
MINING SiTES
I S ? A I COIUPm I
MINING SITES
200,000+ ABANDONED MINING SITES IN US
1117 ESTIMATE MY EPA NATIONAL HA DROCK
MINING PRAMEV RK
$22 N AVG. COSTS FOR SUPERFUP4D P4ING
SITE
[ asl STUDY BY RESOURCES FOR ThE FUTURE
$7.6 B NEEDED TO CLEAN UP $3 NPL $rTES
I 1104 ISTIMATE BY WA SO I
1996-2007: US GOVT HAS SPENT $2.6 B TO
CLEANUP ABANDONED MINE SITES IN WEST
$2.2 B OF fiB SPENT BY EPA UNDER SUPERFUND
I,113120N TESTIMONY TO CONO 2
MINING srr P&P SEARCHES
CHALLENGING
• LARGE AREA
• LONG TIME PERIOD I
I 100. -1,000. OF ACRES I
• COMPLEX 1TTLE ISSUES
100+ YEARS I
• MANY PRPS NOT AROUND OR
IN DIFFERENT FORM
1872 MiNING LAW
PROPERTY LAW
-------
THE PROJECI
IDEFinFY PRPSAT
B DEN CRIBBING SITE
• PROVIDE EPA MGMT. WrTI4 UABILITY
ASSESSMENT
• DETERMINE STRENGTh OF EVIDENCE
• DETERMINE PRP VIABILITY
-------
TllEDvBM oliERALD IEhI
Mine waste above river poses pollution hazard
Tuea y. September 13th 2005
By Alex Miller
MI 1 URN - Ilun*eds a’ inns of untsiiinsled wasto rock fran an old zinc male are perched stove the Eagle River bebw the
old town of GInon. P01011 r*oad4le forces knoan z ‘aLbm s ’ ae the only mug P oklng them baclç and expert say ts
o,* a matter of tOne before Pal wnes tLnt01ig down.
lhose wooden crbbhgs are g g prely old and m*en ld
- Odswold witi the EiMoianenta P dedlon Agency. flisy ro total,
1 these coald be a Si jF.iNãii anount of that rock p*ig into the itter. and It
co! nsacti.geneatng malerini and ceitain lcsdc mails . Grlswod
Piepeded the sIte Thvrsday with other e, eitO studyW me slualoi and
lx,wbakhesslt, he sad.
Ta not a matter of I I bit ‘when ” ald Caroline Bradford. e*catlve
dtedor or the Eage River Watershed C00ndl, an enviroiwnenlal
w*lidog gmt, based in Avon thnl k ntf led the po em .
A study coir ntsakined byte Watershed CcImcfl last year dtmon*aled
the rocics being bed tact bythe a1 ngs are poI et lie waste md c
comes even a *ic mine abandoned lithe late 180(in. Pla* s of the area,
w*i the vaoad hcka and Ea e River st bel I, al’ow the albblngs in
place mae than a ceetwy ago.
* doesni tate an eapert Ii look at the stnictnres aid Pnaglne tern rating
-------
STAGE 1: OVERVIEW
II) UNDERSTAND
• THE MINING PROCESS
METHOD USED TO EXTR T I CONCENTRATE ORES
POTENi E’ MPACT
TERMINOLOGY
• THE PROBLEM AT ThE SITE
CAUSE OF CONTAMINAT1ON...OR THREAT
STAGE OF INVESTIGATION AND RESPONSE
• IDENT iFY KNOWN INFORMATION.
SOURCES. CONTACTS
STATE AND LOCAL OFFICIALS
COMMUNITY GROUPS
EPA STAFF RECORDS CENTER
STAGE i: OVERVIEW
12) DEFINE I
• ThE SITE
WHERE ARE THE COSTS BEING INCURRED?
• ThE SCOPE ..AND MAKE A PLAN
FOLLOW LEADS EXPECT ISSUES
STAGE 1: UNDERSTAND
• HISTORIC MINiNG SITE IN EAGI.E
COUNTY
• OLD CRIBBINGS COULD COLLAPSE,
CAUSING CONTAMINATION OF RIVER
• ADJACENT TO EAGLE MINE NPL SITE
WHERE EPA HAS PERFORMED
EXTENSIVE CLEANUP
• SURROUNDING PROPERTY TO BE
DEVELOPED - PRIVATE CLUB
-------
STAGE i: UNDERSTAND
• ACTION MEMO PROPOSES TiME
CRITICAL REMOVAL ACTION
• THREAT TO PUBUC HEALTH AND
ENVIRONMENT FROM:
- POTENTIAL COLLAPSE OF CRIBBINGS
— SIGNIFICANT WASTE ROCK SUDINO
— SURFACE FLOW FROM CONTAMINATED
WATER FROM SEEP
-------
TE ROCK
-------
11
-------
STAGE 1: SITE LOCATION
I
)0 ’
o JO 40t44L $
I
0 10 30 4OK.1LOM TI
2
-------
STAGE i: DEFINE SITE
• DEUNEATE AREA TO RESEARCH
I SITE VISIT J AERIALS IMAPS I I REPORTS
• LOCATE MINE STRUCTURES, CRIBBINGS,
ROCK PILES. SEEP
• IDEPII1FY MINING CLAIMS I PARCELS
‘3
-------
STAGE 1: DEFINE SITE
1 i 1 J/L _ J i418
I _____ 44 k
lM/ • k \’Ik \ •.k : ,, ni’ !,;
\ )( ‘ _____ I ____ -
j: [ 0 :•
1 L 23 _ [ \ \ f 24 ____________ .— 20
D 1 \ r’ ‘ ‘,.A\
U , , S _______ / l’i.’ b . (
__ jJ __ F,
w Y125 __ __
___ : ..
• . . .,(J (
•‘ j . I . . H 1
‘\ •.. \ \ •
,>J,\.)\ 1 \ N\\ ‘\‘
4
ir . ‘I
4)1• ) •v/j t
k\) I’.
‘I ‘ . .- ‘ / 1J!fJj
i E uPc. :r/, JTs t’
r; I
• \ _prvl [
- _
•.
. •J
I
-------
— I — !. ‘4 -.
STAGE 1: DEFINE SITE
.ft
40 MINING CLAIMS & MILL SITES
/
15
-------
___ STAGE
DEFINE SITE
16
-------
C,
•
•
OPERATiONS
OWNERSHIP
START OF
MINING
THRU
PRESENT
1876
.
132 YEARS
2008
INFO
DOCE
SOURCES
MINERAL
YEARBOOKS
USGS. ELM
HISTORY
USGS PAPERS
STATE
1I RNCIE$/ARCHWES
OPERATIONS
PRODUCFION
GEOLOGY
PROOF OF LABOR
MINE INSPECflON
OIUR
IUSTORICAL
soa riss
UICAL LIBRAPJESI
REPOSITORIES
MINING JOURNALS
PORATE
REPORTS
PRP$
RESID CE AND
FORMER WOR S
STAGE a: KNOWN INFORMATION
• MINING COMPANY DOMINATED MINING
OPERATIONS IN THE AREA FOR 50 .
YEARS
• EAGLE MINE SITE RECORDS
• CURRENT OWNERSHIP IN DISPUTE
• PROPER11ES MAY BE HELD BY
BANKRUPTCY ESTATE
17
STAGE 2: RESEARCH
II
STAGE 2: RESEARCH - OPERATIONS
I
-------
STAGE RESEARCH - OPERATIONS
• SEVERAL MINES EXISTED IN SITE AREA
AND PRODUCED GOLD AND SILVER
• MiNING AT THE SITE BEGAN IN 1876 AND
CONTINUED THRU 1945, MAYBE LONGER
• MINES IN SITE AREA NOT AS PRODUCTIVE
AS ADJACENT EAGLE MINE __
COLORADO GEOLOGICAL SURVEY ( 1925) I • J
IUSGS PAPERS ( 1947, 1968,1978 ) E
MINERAL YEARBOOKS
I STATE MINE REPORTS
BFAOE 2: RESEARCH - OPERATIONS
• HISTORIC PHOTOS SHOW CRIBBINGS
AND SEEP EXISTING IN 1900
RR MUSEUM - RR PHOTOGRAPHER,
DENVER PUBLIC LIBRARY
• A MAJOR MINING COMPANY OWNED
AND OPERATED MANY OF THE MINES
IN THE AREA
MINERAL YEARBOOKS, COMPANY
REPORTS
• RAILROAD TRACKS LAID IN 1871
RR MUSEUM, 101(E) IN EAGLE MINE
SITE FILE
-------
MINES IN THE SITE AREA
fTJU %
BELDEN
CRIBBINGS
GOLD AND
SILVER
I
22
-------
STAGE 2: RESEARCH - OWNERSHIP
INFO
SOURCES
HISTORY
BLM
OWNERS
COUNtY CLERE AND
RECORDER
OPERATORS (LESSEES)
CO ASSERSOR
ENCUMBRANCES
RIGETSOF-WAY
PIN (PROPERTY REPORTS)
STAGE 2: RESEARCH - OWNERSHIP
TflLE ISSUES
Availability of Local Thie Cco.
Quality of County Records
Location of Mining Claim Bounda,iec
interseatbig Mining nbn
Severed Rights
3’
-------
STAGE
TITLE ISSUES
7
25
-------
STAGE a: RESEARCH- OWNERSHIP
• MINING CLAIMS PATENTED BETWEEN
1876.1884
JBLM
• ThE RAILROAD POSSESSES A 100-FOOT
RIGHTOF-WAY
IRR MUSEUM, 104(E) IN EAGLE MINE FILE
• A MAJOR MINING CO. AND ITS
SUCCESSORS OWNED 22 OF 40 MINING
CLAIMS
CLERK AND RECORDER, COMPANY
RECORDS I REPORTS
STAGE a; RESEARCH - OWNEESHW
• FIVE OThER MINING COMPANIES
OWNED OR LEASED SITE MINES!
PROPERTY DURING PERIOD OF MINING
• CURRENT TITLE TO OVER % OF SITE
PROPERTY IS CLOUDED - MAY BE HELD
BY BANKRUPTCY ESTATE
• CURRENT OWNERS OF REMAINING SITE
PROPERTY ARE INDIVIDUALS
CLERK AND RECORDER. ASSESSORS I
V
I STAGE 2: RESEARCH — PRELThL FIND iGS I
• NAMES OF THE CLAIMS WHERE THE
CRIBBINGS. WASTE ROCK, AND SEEP LIE
• NAMES OF ENTITIES ThAT OWNED
CLAIMS AND OPERATED SITE MINES
• SITE MINES WERE PRODUCING
THROUGH AT LEAST THE MID-1940s
• ONE COMPANY OWNED OVER OF
SITE PROPERTY FOR 60+ YEARS
• SUCCESSOR IS MAJOR CORPORATION
-------
STAGE 2! RESEARCH - PRELIM. FINDINGS I
• CRIBBINGS UE ON RR RIGHT-OF-WAY
• OWNED BY RAILROAD COMPANY
• CURRENT TITLE TO OVER S’s OF SflE IS
CLOUDED
DEVELOPER IS BEING ASSESSED
TAXES, BUT STATES IT DOES NOT OWN
29
-------
PRELIMINARY FINDINGS
30
-------
STAGE 2 RESEARCH - N T STEPS
CORPORATE RESEARCH
I
• CURRENT STATUS?
• SUCCESSORS?
• VIABLE?
DETERMINE CURRENT OWNER
I
• BANKRUPTCY COURT RECORDS
INFO
SOURCES
CORPORATE HISTORY
PUBLIC OR PRIVATE or FORSIGN?
SECRETARY OP FEAPE
SUCCESSORS
STATE A RCHIVES
CURRENT STATUS
VIABILITY
OPERATIONAL
CO 1IROL BY PARENT
MINES HANDBOOK
COMPANY RECORDS/REPORTS -
104(E) RESPONSES
JOURNALS, NEWSPAPERS. TRADE
MA AZ I NES
OTHER STPE PILES
BUSINESS DATABASES
33
IDEP FY PRPS A
BELDEN CRIBBING SITE
3 1
STAGE 2 RESEARCH. CORPORATE
STAGE 3: CONCLUSIONS
• PROVIDE EPA MGMT. WITh UABIUTY
ASSESSMENT
• DETERMINE STRENGTH OF EVIDENCE
• DETERMINE PRP VIABILITY
33
-------
AGE 3: CONCLUSIONS
• QUALITY INFORMATION ON OWNERSHIP
AND OPERATIONAL HISTORY
• TWO VIABLE PRPS
• ABLE TO PRESENT ASSESSMENT I
EXPLANATiON OF ISSUES
34
STAGE 3: )NCLUS1ONS
• EXTENSIVE RESEARCH REQUIRED
• KNOW THE SOURCES
• KNOW ThE MINING TERMINOLOGY AND
PROCESS
• OFTEN THE DATA IS LIMITED
FOLLOW LEADS EXPECf ISSUES
-------
Durango Herald Online
Page 1 of2
Tim DURANGO HERALD
, iinrr J 8J
Mine waste above river poses pollution hazard
Tuesday, September 13th 2005
By Alex Miller
MINTURN - Hundreds of tons of contaminated waste rock from an old zinc mine are perched above the Eagle River below the
old town of Gilman. Rotting railroad-tie fences known as cribblngs are the only thing holding them back, and experts say ifs
only a matter of time before It all comes tumbling down.
ihose wooden cribbings are getting pretty old and rotten,’ said Hays
Griswold with the Environmental Protection Agency. ¶ they were to fail,
there could be a significant amount of that rock going into the viver, and it
contains add-generating material and certain toxic metals? Griswold
Inspected the site Thursday with other experts studying the situation and
howto address it, he said.
‘It’s not a matter of ‘if’ but ‘when,” said Caroline Bradford, executive
director of the Eagle River Watershed Coundi, an environmental
watchdog group based In Avon that identified the problem.
A study commissioned by the Watershed Council last year demonstrated
the rocks being held beck by the cribblngs are polluted. The waste rock
comes from a zinc mine abandoned in the late 1800s. Photos of the area,
with the railroad tracks and Eagle River Just below It, show the crlbbings In
place more than a century ago.
ft doesn’t take an expert to look at the structures and imagine them falling
down before long. Much of the old timber Is obviously rotted, and many of
the timbers are bent and compressed from the years and the weight of the
rock.
The rocks contain sutfides, which, when exposed to water and oxygen,
form an add that dissotves the metals In the rock, allowing them to leach
out, Griswold said.
The questions now are what to do wIth It and who pays. The site of the
cribbings lies Just outside the old Eagle Mine Superfund site, which has
been the target of a massive cleanup and reclamation over the last two
The Eagle River runs through the abandoned decades.
Eagle Mine near Mlntum on Apdi 2,2004.
Hundreds of tons of contaminated Waste rock The slope In question Is Just above the Eagle Mine’s Belden entrance,
river below the old town of Giiman. Rotting where mIners entered tunnels Into the mountain.
railroad-tie fences known as ‘cribbings’ are the
only things holding ba __ But while the Eagle Mine has had the benefit of a responsible party to pay
for cleanup - Viacom Inc., Which owned the land before selling it to the
Glnn Cos., now developing ft as a private ski and golf resort — the
cribbings is on land of uncertain ownership.
it’s old mining claims,’ Griswold said. ‘We don’t know who owns them.’ He said that part of the study of the site would in
dude an attempt to identify a ‘potentially responsible party.’ That means finding an Individual or corporation who currently or at
one time was an owner of the land.
More likely, Griswold said, the cost would fall to the EPA, which has an emergency response program for such situations.
BRE1 ’ HARTMAN/VaII Daily
4/21/2008
-------
Durango Herald Online Page 2 of 2
Early estimates put the cleanup cost for the clibbings at $1.2 million to $2 million, Bradford said. Before anything can happen,
though, more study Is required, and the Watershed Council is trying to raise an additional $20,000 for that.
‘We don’t know yet what to do with it, Bradford said. its no easy thing?
Contents copynght C, the Dwengo Hemld. Aiaights mseiwd.
http://www.duangoherald.coin/asp-binJprintab1e_ax c1egencratjon.asp?artjc1epath=/ne... 4/21/2008
-------
WJ OBA GEOLOGI L SURVEY
BOULDER
R. D. GEORGE, St*te Geologi,t
BULLETIN 30
GEOLOGy AND ORE DEPOSITS
OP THE
RED CLIFF DISTRICT
COLORADO
co! oR 4 ft J (
•1) •• ”
By —. ‘• . ‘: . $
R. D. CRAWFOPJJ sad p ussg GIBSON
RdULXJU, COLORADO
CAMERA P1U
19Z
0..
0
0
-------
eatne sinking e d tunneling have been done. Ore bodies bare been die.
at hIltO* depth Ofl Turkey Creek. but fl m_oBt or all at the’ qtbev
places workinge have not gone through the e5pe?O • To be at 5reatezt
yelue i ork should be done at or beioJld the no i’Cheaat border of the
j perotd. preferablY by cro 5BC%ltU 5 the 00 ih 5 55betrth faultS. This
positiOn. in part of the localities named, can be deterudlied only b?’dX-
tcnetVe prOSPeOtl It the solutionS came from, the ubrtheut the hnntes
for findinS large bodies of suiphide woull seem to .bo letter than if the
aoiuttOflB cape from an other direction. Bran then the sails between
possible metallic iulpbidea and non.metalfl 5 wines ’° is pro bly very small,
and there mug be faults entirely free irons suIpbldes.
In Chapter v mention was made o! faults In the quartzlte, tr ceftbi0
only short distanceS. ‘Between Coal Creek• and Turkey Creek ST. eyó al
ci thef a faults e.u4 fault Bones in which erosIon has cut to coueiderabl4
depth: Borne of these are covered by eofl and grasa or Umb8r. Whore
erOSiOU has cut to greater depth the faults SXO covered by laudelides.
Whether erosion cut deep into aioc “weakened ‘onlY hr faulting ‘or by
taulting and’ subaequett nslnaralisatlOfl only pro pe tl can determine.
Several of these ‘placet’ mar be seen’ baat of Ba$le River between Turkey
and Coni creeks. ‘ None has been at tou lY prbspeâted. tho gk ih ny abal’
low prospects are schn in the i 1 uartzita faxtb ? west where conaido SblS
iron d’me.ngafl %re found. To reach ‘thI Lead1’Ifl limestone Onder or
east of the loose rødk co’,erieg would entail’ lead expense than to drill
through the large iibalea of’ 3aepeYO ld:
VII
D$C1UPT ONS OF MINES
In this chapter no dttewipt hI made to describe fully all the ues of
the di.tr ct. Many are cIoge6 en caveO; some are tilled or fierily filled
‘with ater; and the known om b diea of others have been nearly or quite
exhausted. L fairly thatough atud ‘was made of the geology of the Mabel
nina In thp ranlte, the ‘Ground Ifog lime In the’ Savaa.tch q,uartzite. and
the newbr workings of the hagie mInes in the Leadnille limestone. The
geology, of these mines well represents the geology ci the productive area.
and th e three are described bela in considerable detail. Many mines
in the ‘ ozlde zone ar. briefly described, but sow of the largest former
Drodueer 5 sre passed with scent notice and without description. dmeng
these—part in qusxt5lte and part In the llmestdne—ere the Black Iron.
Olevete d, Belden, Iron N bk, Uttle Chief. Bleak House, and Becky Point
mines. The old worklngd are still sce ssibls In many places, and the great
size of ‘soum of the former ore bodies Is made evident by stopee and drifts
still oi,çn. Because the Ground Bog nine Is the: most easily accessible of
all the’larger mines In the quartstte , detailed study of structure and ore
occurrence was made in the .hronnd l og, though larger ore bodies fray
ha’f’e ‘b4en’ found in the quArtelte in other mines.
Iii lie descriptions that.tolJow the term granite is used for both granite
‘and relktdd quartz nonzonito,and the term, Um,estoue”ia uOed for the cal.
careous. rock of the Lead’vifle formation which is In part this dolomite.
MABEL MINE
By P.ussw. Osusos
• ma Mabel mine ‘ was opened by B. A Hart in 1900, and was still pro.
duclzgsore In the 5mi. i n of 1928. It is one of ths largest mines in the
district’. In the granite, sad has, aicordlug to Mr. Hart, produced $825,UO0
v ortll of ore which has averaged 3 t* 4 ounces sold sad 5 to 15 ounces
silver per ton, in addition to gold’ and silver, the Ore carries 3 to 10 per
esat lead, sad copper up to 3 per cent. One shoot. is reported to ,have
produced 140.000 worth of ore’ that ayereged $275 per ton.
he Mabel mine has 2,600. feet of development on tire levels which
are connected ’by an Inclined shaft 264 feet deep on th. pitch. (Sea .fIge.
1,3 and 14.) The baft follows the dip of the Mabel ‘vein which increases
from 56 ’ it the ocher of ths shalt’ t 66’ below the second level. Moot
of the ore coma from two fissure veins: the ideble vein which strikes
‘N.30 ’ to4O ’L,andacroesvelnatrlklugN. 55 toSS’ B In gàneralthe
‘vein. ‘dip soutbpaat. Observations on the firet level indicate that the Mabel
vein occupies a fissure along which there was faulting prior to ore deposi-
tion. The fault Is normal, the hanging waU apparently having moved
down,, a distai ca which could not be determined.’ The cross vein, which
strikes N. 55’ to 56’ a, Is Intersecfed 180 feet nm’theaat of the shaft on
the tint level, and at thort r distáces In,’th. sa direction from the
shaft on each succeeding lower level. Like the 5 bel thie ‘vein increases
I
-------
Plan t 1Cst. *t* • rstaa.d ft tn la 4 b7 3. . D$ ’
‘ .
lUlL L -
L — psP - —
C
M.4. istlan this _____ _______
3. w.
I00
-------
3LflIE
•71
In dip with depth, irons 66’ on the first level to ¶6° on the lowest drift
Where the Mabel vein intersects the cross vein on the first end fourth
levels relationships indicate that the Mabel Is the older. Bisewbers the
evidence is more obecure. But in these two places the Mabel vein Is off-
set by the cross vein 1 and hence n ay hav, been mineralized bdore the
movement took place along the cross fissure.
The amount ant character of the mineralization in the two veins Is
similar. The chief m ,4uerels are pyrita,_eoppea-bearing pyrite, aphalerite,
galeua 1 and quartz. The order of depqaltion, so far as could be determined
from remnsnta at ore, is not regular; but pinto, the at elmndjnt
mineral, see.ms to be one at the first minerals depoSited and quartz one
of the last. These ninerals occur in afr ak from lees than 1 lick to
10 inches thick. and less com monly In rug.. The wall rock is sparingly
replaced close to the vein.
In meat places the fissured sane varies In width from 2 to 6 feet,
and is made up of parallel cracks, not all of which are tilled with thu.
phtde. Commonly one thick vein splits Into - - two rome or tInkers Into
several, amos of which coalesce farther on. The asaoelste4 decomposed
woil rack and.. gouge contain more or less diaseininated pyrIteS In good
cubes and pynitohedrons. According to )ifr. Bizrt, richer era was found
near the interbecticea .of veins. The Ilasurea are tighter md the veins
grow thinner and leaner with depth, especially toward the nortImas cx-
tresnitles of the lower levels. fl.ere the stopes .are smaller and the average
length th, :et does not exceed 5 feet, whereas elsewhere many Itopes
are connectedj.r.through several levels, and ore In places I feet wide. Where’
the drifts intersect the lower 8avratch quartaite contact the velie nil up
into the quartait. but thin rapidly at the contact, Lu places almost disap.
pearing. The contact, huw vu , and the bedding planes above show, good
mineralization; and tbe quartaite là partly replaced by pyrite,
The mine i equipped with a steam hoist and skip, ant eleo lights.
An aerial tram conuects the head-house with the Miabel-Pursey Chester
mines BWttcb.
GROUND HOG MINE
BTEhA.R&LL . .. -
The workings of the Ground Hog mine extend dawn the dip of the
quartalto in a general direction of N. 4 B. for- a distanc, of 1,600 feet.
(Sea fIg 15.) . me dip of the quartafte Is 13 ’ to 15’ N. tq’ to 46’ B., and
as the Indline go into the side of Battle Mion taI the deepest workings
are about 300 feet below the surface. The workings extend about 1.400
feet In width in a northwest direction. The mine has been .worked fróut
twelve main inclines aid several minor oues. 41 the pTOeelit lime not .11
of the Inclines open at the iurtace. flowe rwr, tb y are connected under.
ground. Once Inside the mine it Is possible to go throbgk the entire
workings, wIth the exception of a few drifts filled with ester or waste
and a. few minor drIfts from the eurtace- not joined with the main work-
ings. The mine was also formerly connected with the surface by.seyeraj
shafts, all of which have fallen Into disuse and have become pertly filled
or destroyed. In many places the aido drifts become very small, usually
a’bout 2.5 to 3 fo t high, with scarcely enough room for a man to crawl
through, though they extend seyej j hnndred test In length. The main In-
dines and crosseuta are aufticIent 3 , high to allow a man to walk erect,
except In a. few. places where the quartei Is partlcniariy hard and where
tracks h va foken up soup of the apace.
Ad the present time . five of the Inclines end th Notftngh croaec g
are tracked ufd others are partly tracked; only two inclines, the Dud.
dridge ang l ottlflghe and the main crosscut are used for haulage per-
poses. There are tw head-houses in repair at the openings of the Netting..
ham and Doddn ldge Inclines, and bear their resprotive names. Mine and
bUhldJ g. crc not wired ton electricity-, .hence gasoline ant steam are used
for holstIn . At one time a congidomble pall of the mine was piped ao
that air could be used for drilling, but the air system. was out of repair
at the time of our ennmlflauon.
Althou* a great part, of the production of the Ground- Hog mine was
from rich eboote on pockets for which recor of approximate pTOdfl tJo have
been kept t is next to inupossilge to make an bstlmate ‘at the total pro-
duction of the mine. The Forgy “bullion hole,”. locate l . in the Nottingham
(right) I cl1 about 226 feet above the main crosscut, produced about
$37,000 worth of ore. The Dodd I wing.; in the NottIngham I ciIn 100 feet
below the main crosscut, produced tbo t.;5O, 000 of ore. A small slope
on No. 4 South drift produced about $4,00o worth o oi-e carrying i 5.oo
In gold and 15 ounces of silver per ton.. No. 6 South produced about
$47,000 worth ot ore. The Bald*ln an Oneal. 1 1 jj place,” zoo feet do -w-
the Do4dn1dge inciLne, prqduced $12,ooo worth of oxide ore. The ‘Woode
and Henders ‘bullio shoot,” zoo feet dawn the eame Incline, produced
U0 O0o In qxldlzed Ore. ThOiotai prodnot.ien In. the Doddnldgo incline area
below . main oroa5cIj is said to ba-we been ibout $500,000.
Th above figures were anppU by Disnuent Brother, of Red OUft, and
represent the. pr nst1 of only. a few of the richest shoots or’ ‘builio ’
• pccket In the mine. Mo-wey,,, from, these fIgu ($660,000) it can be
aeon that the mine produced s i ore.
The fI surea and fanito apparently trend in two gener directions.
Thcse of t e first group strike about N. 35’ W , and compose the minor
system. Those of the, second group strike N. 40’ to 45’ B.. and compose
the major system.
The breahe of lbs minor group ale nearly vertical, and each forms a
single sharp and almost straIgb fissure. None of the florthwest. .grj g
flssu -p abow evidence of faulting, bet all seem to hay, originated from a
com on capse. Thee fissures occur very regul y and often not more
than 10 feet apart. H nc , a considembie. amount of diSplacomeat or ad-
justment con 4 have taken place, and let when distributed among so many
brea the chasicea axe that thai’. -would be no perceptible eyidem of
movement i any alEgle fissure. This group of s uy very closely
- as ies Jolnunk In Ilizeons ?ock.
-------
BED CL 1FF XU u o nisrsscr
has intruded - granite. This wine is said to have produced gold, silver,
copper, sad lead. - -
BEN BUTLER MINE
The Ben Butler, mine hae been worked through two tnr.llnes in the
quartalte and a tunnel In the pre-Cambrian rocks below. The mine, has
1.100 test of derelounent on the tunnel level. At least four tI .ure vein.
atrtking northeaat were prospected. One bf the largest is at the contact
bptween granite end quanta dlorlte The fissured ’ zones ‘vary -in ‘width from
1 W I feet, and contain ktreftka of write ‘which carries gold and sUrer;
they also contain streaks of vein quarts,. There is little leplacemant of
the wall rock. Moat of the ore on this l*yel ca from. three fissures
which were cut by the main tunnel’ between 660 and 720 feet from -the
portal. Some good ore was produced In a. raise to the qnaz-tzite 440 feet
trout the portal of the tunnel.
“rho upper pnd lower Inclines have a total of 2,500 feet of’ workings
in the quartaite. They’ traud’ nbrtheast, and toflàw two similarly othisreilsed
beds where the ore Ia the rdsult of replacement of quartalts by write and,
to a. less extent, by other suiphides. Near the surface the ore has been
oxidized. In places only a few lichea of quantzttö baa been replaced;
elsewhere there he been partial replacement to a thlèkueas of 6 feet. Most
of the fissures are an U .n.nd show little mov fr ent; In moat places they
sLriha northeast. The mineralization in the fissures Is thin and unim.
portent. . -
it Is estimated that the tqtal proda Uon of the mine his been ‘ bout
$250,000 worth of ore. The mine baa not bees, worked for masy’ years,
but In 1923 N aars. nzy enL Frank Martin wore el eing but the tunnel
for a ‘haulage wey for ore mined in the Inclines.
TIP TOP TUNNEL
The Tip Top tunnel, which trendi northeast for 1,400 feet in the. pro’-
Oambrlan rocks, reaches the. qeqrtslte at it. face. The tunnel Intareecta
13. small fleaurea. which are mineralized, some of which Jiave been ,proo.
spacteil b drifts and raises. Witb one exceptten these fissures strike ndrth.
east, and seemlnnty more or less i vomant- baa taken piece elong moat
of them. The vein material- consists of pyrite iphaleelt., end quart.; the
vein Is rarely wide. Pyrite in disseminated through gouge end tacit breccia
which ma be from cnebalt Inch to U Inches w14a. The mane mfterai
replaces the granite wail rock to a slight extent’ a few inches tress
the fIssure proper. A tint-lying fi.eur, vein betweel the granite sad
quartzlte shows an inch of s-ulphlde, aU the- quertalte 5 Inches frota the
contact contains pemtnated write.
- . ‘ STAR OF THE WEST INCLINE -
The Star of the Wee I. opened by. a Incline which trends northeast In
the quartelte. The chief pre sijeeral is Write, end it occurs. U replacemcht
bodies In the quartalte. A few tight, scantily m4norallzed tissurep wore
seen which are, In thosi places, approximately iertleal and strike northeast.
The w.i e has not been worked for some Urns, and the production U n ot
known to the writer.
PURSE’ CHESTER MINE
Mr. B. A. Hart,, on of the owners of the Pm-soy Chester, has kindly
furnished mach of the following Intorniatlon concerning the early history,
tenor of the, ore, and Production of the mine. The mdne wan opened in
1868 by’ A, H. S’u*ford and ludgo Aelde y. In 1555 3, ‘1’. rt beugbt the
5r005?t7. The oxidized ores, whicit were produced in the beginning and
which ran higher In gold than in silver, averaged $19 per ton. Barely
ore worth. $2,000 per ton wee produced. Later the suipbId zone was
reached where silver was more abthidant than gold. Returns have always
been made for 4 to 5 per cent copper, but generajiy not for lead. In 1923
the ore ave age4 .4.1 ounces gold and 12 ounces silver per ton. Mr. Hart
states that’ the total gross ‘value of the’ ore produced to date Is a million
dollars.
The mine Ia opened by an Incline Which trinda northeast in the quart.
site. The wall ‘rock- shows numeroun fisgu almost all of Which strike
northeast; and,’ although they are fairly tight and bn)y thinly mineralized,
it Is observed thit drifts follow them and that ore baa been produced near
them. Almost all the ore Is ths result of replacemon of two beds or
small groups of beds of quartzI which are separated by barren rock. In
places these beds are partly repiased to a -th1ák e 5 a of 4 or 5 feet, though
the a.vereq Is probably less than 4 feet. The chief mineral i Write;
march of It Is copper.beanfng Sinafl amounts of CbA1COpy 1to and sphelerits
- - were seen by the writer, There baa been little oxidation In the deeper
workings of the mine, but ñehrer the portal of the memo remnantu of
limonjte and altered write may be aeon. The etopes are not high, but are
very wide sOd long; they pItch with, the dip of the beds. Tho great size
of the stop s s Indicates that tlto ds of tons of ore hare been- shipped.
The mine is equipped with an electric hoist and electric lights. The
ore Is iransme out through the Mhbel whenec It Is delivered to the Mabel-
- Pw’sey Chester mines switch by an aerial tram.
- POYVIN MINE AND F, C. GARBU’T, MINE
These mjnas are opened by inclines which trend northea t, and eeemlngiy
follow a fa 9 lt sons in the limestone. The- workings converge and break
through in Ieyeral places. Although there Is evidence of much diaturbenes
In both ni1 es, the fault oAfauits can not be described because many of
the ereBscut end stopee are badly’ caved, Zn places the limestone is broken
end brecciatp j front floor to- back. The ore wee evidently in pockety re-
placement b diei of i reguls ,r dlmansloni and in fiseures. Remnants of the
ore Indicate that oxidation hai bean pretty thorougk. At the timo of the
examInation-DOG test, of Uudergroun4 workings could be aeon in the Oarbutt
mine and 1.000 feet In the Po’tvth,’ —
I a 1923 a shaft was sunk to opsn the Polvis indli e; but no ore was
shipped, lathp summer of 1923 work had -been dlseolltinund.
- ALPINE MINE -
The Alp ne ha about ioo feet of develop e Plong fisaures’ in the
granite. Tl e fissures strike northeast, dip steeply or are virUcal, and
contaft as much as a few Ine1z s of pyrite. There has b.s little zo.
:1
-------
placement of the granite wall rock lmmediã ely adjacent to the fissures,
The largest elope is about 100 feet long and 25 feet high.
A good blacksmith shop houses an air comprecoór, and a small mill
has been erected,
PINE MARTIN MINE
Tb Pixie Maflin has at least five bt enlngs in the quartelte’ and
thousands of feet of devetopi nt, but the mine ha not bean worke f for
several years an 15 partly tilled with -water,
The ore occurS as isregniar replacement bodies in the quirtzfte.. In th
lower worhing . the, chief mineral is pyrIte nearer the surface are larje
masam of brown, earthy, limenftj( material which, according to ‘Mr. Smith
who was in charge of the propeny in 1921, carries both gold and silver,
but is low grade and difficult to treat. te of the pyrita Is cuprIferrnis
manganese ozidde are found in some places with ti . limnoaft,. Two groups
of thin, closely spaceij, vertical fiasuie. containing ecan . inlnera1iz ion
were seen One group strikes northeast, th other north t,
According to the reports of -the Director of the MInb the Pla Martin
produced ore to the ‘seine of $204,539’ in the years 1987-1890 and 1882 (gold’
and silver taken at coinage velue),
The mine Is equIpped with electric lights, A mill building Is counect
with the main liLcllne’by a snow shed. ‘ . -
CHAMPION MINE
The Champion i opened by an Incline in the quartai which tzeu’dji
N. 51. 21, ‘Waisn the w4ne, was examined In 1928 over half of the woni
were under water end could not be seen, The mine has not been opeza d
since isie.
Most of the ore was found in beds’ ef quartsft mere easily replaced
than beds above and below: fissure Tilling Is of minor’ lmpoz’tancL The
ore bodies were very Irregular in 1151 and’ shape, Ore was lsansg o t
of pocketa only 2 incb ecrosa In some pans of the mine; slsgwhere.there
are wide stupes. ‘5, Teat tigh. The chief minerals ire p rfte’ (i ‘pkrt
CUprfteroua) end I ron ozides umait amaunta of Btderlt and s guü
oxides Were seen., The flesares In th aceesaThie Working. strik asrt
or northwest, and sic nearly Terticoi. , ‘ - .
Tire total production ‘of the Champion Is Lot kn w to the Writer, Ac.
cording to the Mini repqns the mine prodnc gold an sUy baytj g
a coinage ‘vnleo of $100,859 during 18874593,
The mine is equipped with electric lights, a steam hoist, and an
electykeijy’ driven air compressor, -
- . BODY MINE’
The Body mine Is developed’ by’ two tunnels driven on idult fissur,.
in the graufte, Mast of the ore has. corn, fzorn one fissure vein which
strlkea eouthw nd dips southeast. or Is vertlca4 The upper tunnel Is
495 Tees long, and the lower, from which little ore wee taken, Is 480 feet,
Two sLopes In the upper tunnel are appronI j 85 feet high, n4 a third
atop, is 30 teat high. The fissured zone Is rarely 85 1nsh wI4. Eke
cosxlm width of miuera1te iOx Is 18 Inches, The Pr, sees consists chiefly
83
01 spbalerfte , pyrit,, and galc , In streaha from, a fract1o of an Inch
tp S inch 85 thlc lç frozen to fissure ‘wafts; Ies coMmonly upialli “flinth
of aniphides are mixed with, gouge and decoflr os5d •*alj roc ,
BILURIAN AND OVEE’MINES’
These two mutes connect ‘and are couvenIe y described tog.the , The
in ope e by tw tunnels In the n estene one of uthich is short
n4 caved’ at the por ’t j , The Other, about parallel to the first, trends
N, 2?’ . far 45 teat, then N. 10’ W. for 285 feet. i add.1?!on to these
two tunzlelp,. 370 feet of ctosscm and drifts could be aeon In{ the summer
of 1923, ‘ The Ovee tunnel Is in the limestone anif”tyen s N 170 ‘W for
•0’ feet, thence N. 11° 21, 85 feet, thence N. 5° W.. 220 feet, ati which point
it 5 caved , An old map sho’wL 300 teat of develop beyond this point.
At the tiroy of exammnntlou about 27.5 feet of short croasente fr om the main
tu eI ware accessible. must of rhjc2 ended In caves stops ’ or raises, or
were fined to the back, - .
‘The waft rock Is “zebra” llmesim , it is dolenLitic ai,d somewhat
fihliC ou 5 , in Places It Is altered to gray or bro-th jaapsr The lime.
stons Ii brbken and fault. In both mines, ‘but the ‘larger faults are not
weij defined ‘arid can not be’ d sCTibed There appge,r, to ha ?? been muck -
‘sbearln’g amid brecelatien with little net displabanent. Moe of the izflafl
faufti ItrIk 0 northwest, and dfts 15 to 24 ’northeast A few btrlke nozg .
east, an Itave blgl dips to the northwest or south Rempente of ore
‘occur Irregularly-’ in ‘Patches, vr ga, arid stres a, replacing the imesteno In
- or nea,r f lttso es; the ore abow fairly thOrOUgh onfdatio , ‘In placea
the mIneraj jzatIön Is ucamaty, and Oxides of mange 59 6 Iron are m d
much calcite, dOlOfliffa quarts, an4, rarefy-, barfte,
Small ehlpmaul,, ‘Of ’ hIgh.gr 5 0 ore, liade b et en 1916 d’ 9i by
George 21. Rowlan4 b ’onj b t the owners, ran 11? to 361 oknce4 siIvez ’ per ‘ton,
- in 1923 Prjgh Teh’eauit, S lessee, WRS shipp ote t jat i ’a4 91 ‘fG 141
Ounces sl1i r Per ‘tin., Gold In the ore Is rare and’ in ‘lery ea iafl amount
HaNRI E.rrA MINE - -
This 4ne Ie opened by ‘a tunnel trandi N, 5” 21. for least 260
feet in thb upper pa t of the limnestojie At the tiâme of examinatj 460
feet of c ro s s c u t a could b. seen, but the mere remain working. Fw j’e caved,
The ore’ was found near fault Q7m Where there Is eviddace of’ eqs.
siderable 2h arIng, .bat where th net dI5p1ane ont could not b e measuzed
‘The faults itrike between forth end riorthanat, dip from 130’ to 80,
in general t1 d1reat o of dip Is 5out 5 Remnant, of or In atz’eah
‘*a4 patchu’ mpla g the limestone show riearIy thorough ozM datIon, No
l*rg , ‘stope. wore seen in the WOrking. that were atiij acàanIW The well
iock I dolóini “zebra” limestone .contath a little sIderft and vg
with, quar’ .y- 5 1 ’piacce the limestone Is very- friable land breaks
d wa to “dolomite sand,”
LITTLE MAy MINE
The Little May ,is .opened by tunnel w1i trends N, 7° W. at least
166 feet In the limestone, At this point it s caved: conneenanpy Most of
the thin v pj not be seen,
-------
Ore Deposits
of the
United States, 1933-1967
THE GRATON-SALES VOLUME
John D. Ridge, editor
FIRST EDITION
Sponsored by The Rocky Mountain Fund
Published by
The Amerkan Institute of Mining, Metallurgical 1 and Petroleum Engineers, Inc.
NEW YORK 1968
Reprinted 1970
• : . : 4 .:ó
Volume I
USG016
-------
30. Geology and Ore Deposits of the Gilman
(Red Cliff, Battle Mountain) District,
Eagle County, Colorado
R. E. RADABAUGH, i. S. MERCKANT,t J. M. BROWN,t
Contents
ABSTRACT 642
INTRODUCTION 642
HISTORICAL INFORMATION 643
History 643
Mining Operations 645
Production 645
TOPOGRAPHY AND PHYSIOGRAPHIC HISTORY 645
STRATIGRAPHY Ill
Sawatch Quarzzjte—Rocky Point Horizon 646
Oilman Sandstone 646
Leadville Limestone 648
Gilman Sill 649
STRUCTURE 649
Regional Structure 649
District Structure 649
AGE OF MINERALIZATION 650
HYDROTHERMAL ALTERATION 651
ECONOMIC GEOLOGY 653
Mineralogy 653
Paragenesis 655
Ore Structures 656
Fissure Veln 656
Quartzlte Manios 657
Limestone Mantos 657
Chimney Ore Bodies 659
Grade of Ore 659
Factors Controlling Form and Location of Ore Bodies 661
Source of the Ore 662
SUMMARY OF GEOLOGIC EVENTS 663
REFERENCES CITED 663
The New Jersey Zinc Co., Tucson, Arizona.
t The New Jersey Zinc Co., Gilman, Colorado.
-------
642 Ore Deposits of the United States, 1933—1967
Port 5 Chap. 30
Illustraflons
Figure 1. Geologic map of the Oilman district
2. Geologic Section, showing chimney, limestone manto, and quartzite
manto ore bodies
3. Composite Plan Map of Principal Ore Bodies
4. Paragenesis of the Primary Ore Minerals
5. Diagrammatic Section, showing typical chimney and limestone manto
ore bodies
Tables
Table I. Stratigraphic Section of the Oilman District
I X. Composition of Dolomite from Oilman and Leadville Districts
Ill. Isotopic composition of Lead from the Oilman District 662
r—
iL. . ,c:!
DIst , c
J
I
I
—
ABSTRACT
The Oilman district is on the northeast flank
of the Sawatch Range in central Colorado.
It has yielded a total of 10,000,000 tons of
ore hiving a value of over $250,000,000. Pa-
leozoic sediments intruded by a Tertiary quartz
lathe sill and unconformably overlying Pre-
cambrian intrusivee and metasediments com-
prise the country rock of the area.
The sediments strike northwesterly and dip
8’ to 12’ northeasterly. Structures In the Pre-
cambrian are related to the Homestake shear
zone of the Colorado mineral belt. Only minor
folding and faulting occur In the sediments.
The principal ore bodies are massive sul-
fide replacement deposits In carbonate rocks.
They consist of long, pipe-like mantos in the
completely dolomitized Mississippian Leadvile
Limestone and funnel-shaped chimneys of cop-
per-silver ore cutting across the Mississippian
and Devonlan strata. Mineralization Is contin-
uous from the chimneys Into the mantos. The
principal ore bodies are roughly in the shape
of a four-tined fork which points up dip.
Smaller rnanto deposits occur in the Cambrian
Sawatch Quarizite, and fissure veins are
present In the Precambrian rocks.
The principal minerals in the mantos are
marmatite and galena in a gangue of pyrite
and ma ganosiderlte. The chimneys consist of
a central core of pyrite with erratically dis-
tributed chalcopyrite, tetrahedrite, freibergite,
and occasional galena with a shell of zinc ore
on the outer margin. Both the chimneys and
the mantos are surrounded by Imperfect shells
of snanganosiderlte and sanded dolomite The
mineralization is of Laramide age.
Hydrothermal alteration affects all rock
units to varying d grees Clay mineral altera-
tion halos occur around the ore bodies Hydro-
therinai solutioth have developed sanded rock,
rubble filled channels, and banded zebra tex-
tures, principally in the Leadville Limestone.
Structural control of the ore bodies is not
well defined. Both the location of the district
and the chimneys are probably related to base-
ment structures. The mantos are largely con-
trolled by stratigraphic factors and a pre-Peno-
sylvanian karat topography in the Leadville
Limestone, which were modified by hydro-
thermal activity, and by weak zones of north-
easterly trending faults.
INTRODUCTION
The Gilman district, also known as the Red
Cliff or Battle Mountain district, is in central
644
650
654
655
660
647
652
P
L — — — - — iiI °’ iiEi ii —.
L,
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pan 5 Chap. 30 Geology and Ore Deposits of Gilman District, Eagle County, Colorado 643
Colorado approximately 75 miles west-south-
west of Denver and about 20 miles north-
northwest of Leadville. The town of Red Cliff
is near the southern end of the district, and
Oilman, the present-day center of mining
activity, is near the middle at an elevation
of 9,000 feet.
L C. Graton (4, 6, 7) made one of the
early geologic studies of the Eagle mine. He
recognized the potential of the area and
worked out many of the basic geologic fea-
tures which have withstood the test of time
with remarkable accuracy.
A. W. Pinger, one of Graton’s assistants,
was employed by The New Jersey Zinc Com-
pany and made many important contributions
to the knowledge and understanding of the
ore deposits. Over the years, a number of other
geologists working for The New Jersey Zinc
Company have also made significant contribu-
tions, and unpublished reports by Adams (10),
W. H. Brown (14, 15), Callahan (17), Jerome
(18), O’Neill (30), and Snlvely (33) have
been particularly helpful. It is not feasible to
acknowledge each individual contribution, but
data compiled by many workers have been
freely drawn upon in the preparation of this
paper. Published repotts on the geology of
the Oilman district include those by Means
(2), Crawford and Gibson (9), Lovering and
Behre (13), Lovering and Tweto (20, 23),
and Tweto (24. 26).
In addition, other Investigators have made
studies of particular phases of the geology in
the Oilman district, and The New Jersey Zinc
Company has made detailed investigations of
certain features to gain a better understanding
of the deposits and to assist with exploration..
T. G. Loverlng (38) InvestIgated the tempera-
tures and depth of formation of the deposits,
and Silverman (45) has recently published a
study of base metal diffusion at Oilman.
Davidson (28) studied hydrothermal dolo-
mitization and other alteration effects and their
relatlort to metallizatlon.
Roach (40) made a study of theruiolunii-
nascence and porosity of the host rocks in
the Eagle mine. The results of the preliminary
investigation suggested that thermolumines-
cence might be a useful exploration tool. Addi-
tional work was done by The New Jersey Zinc
Company, and glow curves were made of a
large number of samples from a variety of
geologic environments. It was determined that
thermoluminescence is highly erratic and is
strongly influenced by many factors not related
to mineralization.
Several studies have been made of the trace
metal distribution in the district and in the
surrounding area. The New Jersey Zinc Com-
pany investigated the distribution of copper,
lead, zinc, and mercury. The trace metal halos
are erratic and narrowly restricted.
A wide variety of geophysical methods have
been tested. These include magnetics, applied
potential, electromagnetic surveys, and gravity.
Underground torsion balance surveys, because
of the geometry of mine workings with respect
to the favorable horizons, have some promise
of being a useful exploration tool, although
the range is very limited. None of the other
geophysical techniques are applicable under
the existing conditions.
The writers are grateful to The New Jersey
Zinc Company for permission to prepare and
publish this paper and in particular to S. S.
Goodwin, Vice President, W. H. Callahan,
Manager of Exploration, and W. L Jude, Su-
perintendent of the Eagle Mine. J. W. Johnson
prepared many of the maps and illustrations
used in the paper.
Much of the following discussion pertains
principally to the Eagle mine of The New Jer-
sey Zinc Company at Oilman. This mine has
the most extensive workings and has been
studied In the most detail. Many of the smaller
mines are inaccessible in whole or in part,
and the available information on them is
sparse.
HISTORICAL INFORMATION
History
Ore was discovered in the Oilman-Red Cliff
area in late 1878 or early 1879 by prospectors
from Leadville who recognized the significance
of the iron stained cliffs along the Eagle River
and certain other similarities in the geology
of the two districts. A rush ensued, and a
number of discoveries were soon made result-
ing in the organization of the Battle Mountain
district in June 1879. Construction of a smelter
was started in the fall of 1879 and was com-
pleted in 1880. However, it was abandoned
about a year later when the Denver and Rio
Grands Railway reached Red Cliff permitting
the ore to be shipped to the smelters at Lead-
vile.
The first production consisted of silver-bear-
ing lead-carbonate ores from the Leadville
Limestone. The fissure vein deposits in the Pre-
cambrian rocks were discovered shortly there-
after, but the high grade gold ores in the
quartzite were not recognized until several
years later. As the mines reached greater
-------
644 Ore DeposFts of the Unted States, 1933—1967
Part 5 Chop. 3
Lcpl
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Dsv Ia i a
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Fia. I. Geologic Map of the Gilman DLuric:, Eagle County, Colorado, showing location of prim
cipoJ ore bodies. Compiled from maps by The New Jersey Zinc Company and Lowering and
Twego (20).
-------
• GOLD, Sfl.VEE, COPPEB, LEAD, M w Z!NC—COLOEADO. 355
shipped from the Lucky Boy group by the Rico Consolidated Mining
Co. Other producing mines vere the Argentine, Aztec , Carbonate,
Forest Payroll, Irun Cap, and Nora Lilly.
DDVGLAS COUNTY.
There seems to have besis no placer gold recovered by sluicing in
Newlins Gulch, near Parker nd other localities of Cherry Creek in
Douglas County, from vhiJa for many years there ban been a nomi-
nal quantity produced each year.
- EAGLE CODNTL
m. . productiOn ta EoyI. County, Cole., lu 1913 optO 191G.
Y , ,.
Ott.
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90,991
112,610
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+191,319
+11 ,116,393
+3,bO,$1
The total value of the output of Eagle Co mty In 1915 was by far
the largest since the discovery of gold at Red Cliff In 1879, but the
tots) value was two and one-half tames as great in 1916 as in 1915.
The greater part of the production of Eagle County came from the
Battle Mountain (lIed Cliff) district, although there was a consid-
erably increased yield of silver from the Brush Creek distxict, also
several Blush lots of ore froni the Edwards district and one small
lot of copper ore from the Fulford district. The value of the ou put
of zinc for 1916 was $3,810,609, an increase of $2 420,122. The
county continued to maintaIn second place to Leke bounty in the
yield of zinc.
BcUk Moucitain (Rei Cliff)1 diafrkt.—The Bed Cliff district in
2926 produced 103,799 tons of ore, yielding $90 ,8T8 in gold, 118,120
ounces of silver, 110,782 pounds of copper, 1 515,580 pounds of lead,
end 28 488,O32 pounds of zinc, the total vaiue being $4,1l2,825 as
coinpurnid with 51,030 781 in 1915. The Iron Monk mill was continu-
ously operated on loa -zlnc ore from the Iron Mask mine, with prod-
ust In zinc, lead, and iro; manganese concentrates. In addition, a.
considerable cjuantity -of zinc carbonate ore was hipped from the
Iron Mask mine and smaller quantities of zinc carbonate ore from
other properties In th district.. A ve y large quantity of zinc-lead
suiphide ores was chipped from the Block iron and Ground Hog
mines to various mills and smelters. Other producing mince of im-
portance were the Ben Butler, Foster-Cembrnation, Mabel, Pursey
Chester, Staç . f the West, Tip-Top, Thin, and Wyoming Valley .
-------
a
I
Septemberl
STATE OF COLORADO
BUREAU OF MINES
INSPECTOR’S REPORT
TO
JOHN T. JOYCE
COMMISSIONER OF MINES
Suni t
P NSUVANIA INZ, operated by the CONSOLI AT PZNNSYL I
} IN , INC., P. Mat ischka, Secy., 1301 A Street, Linooln Nebr.
(Closed down In April last) -. -
Four miles NE ontezui ia, Peru mining district. FaiL T auto j
ore trucked to Keystone, an shipped via C. & S. R. R.
4 men — 3 underGround — 1 on surface - Have compensation
The safety and sanitary conditions are good.
There are 7000 ft. of oroesouts, drifts and raises, shows
fissure vein 6 to 8 ft. wide. filled stope end mill hole sys1
Connected with the surface for ventilaticn and exit otlierithan
working portals.
Gold, silver, lead, zinc. .ot producing.
Blacksmith nnd machine shop, flotation mill with 1 0—ton c ;
-capacity, built of frame, all under the same roof - conneCted wi.
the mine by a 1000-ft. aerial tram. Chance room at he portal on
working tunnel. Water for fire.
.:ule and hand power for haulage.
Groumi stands well — Timbering is in f’ ir oo Ition nd s
T:ie rules are complied with.
Zioctric power for mill, compressor e d machine shop.
Fire doors were ordered installed last January — the frartos
ve been put in place, but the doors have not been hung.
- ,j&vani a Mine -
N .m cIMi .eoePt . . i
:1
I
I
I
Inspector, DistrIct No.1.
-------
.-1
ft’ d by the Gtnaal Al imbbp Cf the Staig c i Coloreds. Apprcvtd Apill 10. I89
g jo ,s . 7 . soou od .-.Tlsooo, pesos op
Is. or mars moo. shall report lbs earns ‘a t Bureau of Piles. sod Stole irhcn work Ii s.m. -
moscod sod whes stopped, east mines wrn lo cost1cnou shall rspozt so or betoro Doseusbe, 3. of ouch peso,
with tho Dames 02 thoowea. . moosOsmer loose. oeIi po of sold .ork together with tho
pastoilco stOne., Ibo earns of lbs Slabs or cJil a to lbs earn. of Lb. 010 5 57 out mbal g district.
rcgoThnr with Lbs number of moo omp1sge dircetlp or ndlrcctly , the earns bCICd Into Sims,,. horn.
Uasbotmus , ate osmrto . , mill 0300. teamitori. sic. Tire 505easy bioul,, to 01717 out tho proviabee . of
t shall be nishod upon spp licsllea by t h O Comuibtaimor M b , 5 .
oo’ op. eg j m.coger Op b. ,a, spcraila mrtalllfsjsge mins or mill In
thl.sterc.wbcfaIlstoc 95 p p with lbs peovIilo p hsreb . tut tortb.sbal l be med guifty ofa sbidomisnoop
, ojoit this set, suel, when not othervi o provlded cbs !! be hobbs to lb. eusIty pfsaett In soutboo 3 2 1 sf ibb.
oi. or to e Inc 01 cot loss thoa tweoty.d, . doll.,. (pp3.C0 3 so, maro Ihies h ndied toilet, (L1OO.cc , I,,
rash m d osoy provilico not compiled with, or both. ot thu dilerehmon of lbs mutt.
MINE REPORT.
.I/4lluoo.
BU11EtIJ OF MINES. SrAT11 Cl ’ COLORADO.
MARRY A. LRR. CornmIulon of llla
Sir, In accordance withfl abo Lion, I submit report us follow.;
(nmo claim r claims . . . .( 4 gre . 4 ei .Z*aiZg
-
.1
Mining .. County
.
Owoor or owoora, oddiuss
N mo of Ccnspsny
hr ie sne p
.imte oh 8. _. . per aha
.....Seerotary, V ,.
Snntonds t , c
rOparty worked contInuously’
CO11flfloi i d work
Stopped work
so. moPLoyc0. so. esri,orgp.
..hfacbitio Drillnion, S for.... .bcur shift. . ...Eng lzzssr . for. ... .laour shift.
..Mncliino Helper.. S for....bour shift. .....Pompeun for,, ...J .oir shift.
‘ )Ai ii e, s , . . . 8i lor. ..liourohIft. ....Thsmon foz....bour.h ift,
S .lor., .hour shift. . . .. Iaoki m ltbs for....Jsonr shift.
.Tni iiiueys, . . $ for. t .Lour shift. f ......Tetmoders, for. ,.J t gift.
./ .Ore t, . 8 for.f.honr shil L ..LForomao,. . . 8. for... , .bour shift.
-. .Topmsn for. ...hour e oden t 8 .. Ior....Iionr shift.
.I&bois ti Shift. ......Office Help . s.(
.Aaauyers 5 for.... ..honr sh ,:lIillmeji, Slb! fOT ’h.IOOT shift.
8 for.....,bour shift. S for...bour shift.
Pu g5 number of men employed for lb. year 1000......
(oT )
:
I.
I.
I... ,
!.
‘jl 4
“ii I
!j 1 :
F.0O4
‘
:1
JII
-------
I j .
Nam.of m iii (if any), cbraocter and copaclty
:::
: ‘ :r::ii
Amoant and clwzactor of under ginund dovelopn%ent 7 ? ( izi .4 L_ 4i Z*e
. ... .
OO4
I’
p
—
-------
SUM &tiT flfl a ZWES AND}ULLS 1
County I ost Office. . . .., District .
Name of Mine or P t.._. . - .
REPORTTO BUREAU 1 MINES
STATE OF COLORADO
f.F9RTHEYEARib S3 - -e l.
Name of Company or) 9,j .J-. 2v
Title of Partnership p.. /t7
r i/
Address of Principal Office
z es; titi sLskaaft
dresses’ of officersj -
partners or owners - - .. -
a. — -
fNamee and uumbers of patented claims +t t
tu. - -‘ i. & -
7:- — .. ; / .Z - -
hanb.anu.k IJa) .-.- -. - -—..-- - .
,, _ Total acrengc.i -
on1 chasga. If I
my. aces e g ves 1 Names of unpatented , n1ain c . •._ .
— 4...&.............
...... ..... .. _.. To%al acreage..... —
Do you own $hne elaims or do you operate them under lease? ...Z ?d 42L -
If you opcrâ e.under iease, give name an&address of company or person from whom leased ..
‘i. : : ’
If you h ve kiven. a lease to others f p$or-part of-the p operty, state the names of th a thg com
panies, partx?q ?Øips qr inditidwale: ‘-‘6. - ,- - .-•. 1 ; 5 . - . ... I
. 1tW iAtJ.:’rMadWger; 2. :. r F’.,.O Sddress
i.e çr ’tz ttt. . r -rrrt-nc .-—ntr-L..- —. —.. .. . - - — - - . - -. - . :.- -. -
—. ......._ t . . ; — —
- —I -.. .t.?.t ? 1 n.TL ,
ts the woik ?one by your lesRees included ipthie repnrt? (iZ .dat oG 4 S44W - -
Have yo*-s%tMfi* reduction works ;..2% tat .......If so, what is its character and capacity?h!P
s4:. 1 : 4L..# e . :..
Average; contents of products sold. - .5 if ,atIz inst ore and concentrate. ore said gs-c avenge contents of stab)
Gold . . .Q L:. oz,.. Copper ...2. % Iron % Tnngstic acid 96
Silver _.oz. Zinc ._..._ % . Sulphur - % uranium oxide
Lead ....LSI.........% Manganese - % Insoluble 56 Vanadium oxide ... .56
Mo1y dnuin .....i....;a ...:.a;4S Jquçspar_ n...s 56
thuds ore sold_.9_ZiSft4. tots Concentrates se ll .. P ....tons Milling ore produced.... 0 tons
Gold or silver bullion prodnoed, value...
List pf buildings, tramways, and other surface improvements made during Ihe year .2.Z. ?.5c ’
A4u gpnVn4 .4s 9pr qf apderground development during-year - Shaf a.. Sm. S
& .flI s IA tM fi. . - t his ..d€.... Crosseut 5 .fttflC ft.
- . ... • o1o
.. .L..
-------
LABOR DATA
Av,r4lN of Men
Underground I urfte,
edbrmed -
._ .-- c: .
etc. -“ - -
Signed
I
Dated at t 4 -L& t( -
- -- ,]924
m1
FXLL OUT Tlii iPOET OOE O- NOT NEGLR* TO GIVE
EE*’ OP RLTRDr 4 D AVERAGE NUMBER OF MEN EMPLOYED BR SURE TO
DATE E ok’P, A!tD E o$ t
. - .
-------
11. I t 1JVBo
Cfi c:,t ,qi’
520
COLORADO
(which see), near Eldora, Boulder county. A 25-ton mill was erected late In
1919.
CONSOLIDATED MINES DEVELOPMENT CO. . COLORADO
Office: 717 Majestic Bldg., Oklahoma City, Okia. Mine at Alice, Coin.
Officers: j ,J. Satnuelson, pres.: J. A. Best. v. p. ; W. C. Sicliford, see.-
tress. with W G. Harper dud W. G. Luckeegs, directors. . W. G. Harper, mgi.
Inc. in Colorado. Cap., $1500000; $1 par; 850000 outstandIng. An-
neal meeting , second Monday In October.
Property : 10 claIms, 2 patented, 102 acres, in Upper Clear Creek and
Argentine districts, Clear Creek county, said to show a quartz vein In granite,
6’ wide, running_N. K-S. W. and to assay $18 In go1d silver, and aipper .
Development: by tunnels: 1,100’ and 400’ long, said to prove 200000 tons
of ore.
Equipment: 7-drill compressor, electric power and a flotation unit.
A 100-ton mill wa . planned. No recent reports.
CONSOLIDATED REALTY & INVESTMENT CO COLORADO
Office: Boulder, Coin. -
Officers: T. V. Wilson, pres.; D. A. Degge, see., with N. Maury and
J. A. Webber, directors; .W. W. Degge, ngçr. Transfer office: Boulder.
- Inc. Dec., 1909, in Colorado.- Cap., -Pl,000,000; II par; 866,700 outstand-
ing.
Financial statement to December, 1916, showed total receipts of $15,672, with
disbursements of $15,336
Reported to have a blanket deposit of gold running about $18 per ton.
No recent . . .d of operations.
CONSOLIDATED SPECIE PAYMENT MINING CO. COLORADO
See Specie Payment Gold Mining Co. -.
CONTINENTALMINE8 POWER & REDUCTION CO. COLORADO
Office: 919 Equitable Bldg., Denver, Cob. Mine office: Lombard, Clear
Creek county, Coin.
Officer.: Henry I. Seemann, preL-gen. mgi’.; Cyrus Locker, v. p.; Wm.
H. Warinner, 2nd v.p.; A. W. Craig. sec -treas.
Inc. Nov. 7, 1905, in Colorado. Cap., $5,000,000; $1 par; Issued $4,3706L
Annual meeting, first Wednesday in November. -
Property: 123 dalma, 70 patented, 2,000 acres, in the Lincoln mining
district said to show 75 fissure veins sad motuet deposits, ranging In width from
2’ to 75’. Country rock Is andes, schist and granite, with porphyry dikes. Vein
system claimed to be prove to depth OfrU P Sfld traceable 4 miles. - Ores are
suiphidea, reported by management to eany 1 to 7% copper , I to 35% lead,
from a trace to 6% zInc, I to ZUU ca. silver and $5 to 50U gold per ton.
Development: by shafts of 135’, 150’ and 200’ and a number of tunnel.
of 100’ to 2,00 11. The Seesnaun tunnel, now Idle, I. about 4000’ lang. The
mine has approxImately 4 miles of working., with shout I mile in ore, m’” ’d
by management to show O0,0O0 tans of ore In sight Most of the work Is now
being done on the Lombard vein end through 4 tunnels, 800’, 1.500’, 1,600’ and
1$IT long . -
Equlp...ant: includes electric power, 150-h. p. at mine and 150-h. p. at
mill. 25-h. p. hoist and 7-drill alr.ccmpreasor. Thete are about 20 b ’l ’lings .
The mill ha. 20 stamps, one 8zlZ ” crusher, 3 Card tables, 3 Whey tables
- and 2 sIzer., capacity 100 tons per day. - Cnmi , planned develop-
ment and was to add an oil flotation plant to the m iii, Increasing Its eapacity to
200 tons per day, and selling commercial cu.....,i . In Ju , 1919, the president
that nothing was being done on a&o .u1 of the lack of money.
CONTINENTAL MINING CO. COLORADO
Office: Silverton, Cob.
Officers: los. Bordeliau, pres.-treas.-mgr.; F. B. Brown, v. p.; W. A.
Way see, with M. I; Hailer, supt. and ,j. H. Slattery. directors.
inc.in Colorado. Cap., $1,500,000; at $1 par; 23,000 shares In treasury.
Transfer office: Silverton, Animal meeting In December.
Property: 18 claIms, about 150 acres, located in the Eureka mining din.
COPPER CREEK—CROUW PRINCE
Irks, San Juan counjy, said to show quartz vein In fissure carrying gold and silver.
Com any spont ,tIJJ on development work In 1910
Development: by vertical shaft and tunnels. Tunnels are 3,000’ lone
with 4,000’ of development, having a depth of 500’. Ore-shoot said to be 1
by 350’ and 200,000 tom. blocked out. Average assays were reported to be $1
Equipment: electric hoist and el,ctrlc pump.
No recent return..
COPPER CREEK MINING CO. COLORADO
Office: 1723 Cbampa St. Denver. Cob.
Cap., $100,000. divided Into 1,000,000 shares at lOc par: 500,000 shares to
be left in treasury. -
Property : said to consist of 560 acres, 26 miles from Denver. Reported
developed by vertIcal 354’ shaft, cutting a copp . bearing dike.
COPPER KING MINES PRODUCTS CO. COLORADO
Mail returned June, 1919. from former address. Cnpperbow, vi MCCOT.
Esgie county, Cob.
Officers: W Kelly, pres., Hutchinson, Kan.; Andrew B. Cricbton. v.
p.. JnI.na*nwa , Pjj T R. Wood, sea 4rea.., 2140 S. i%Tvéraity Ave., Denver.
CaIc. wirn L Z’ Lloyd and J. N. Wyman, directors; W. IL WAgner, mgi.
Inc. in 1914.
Ax last reports company was using a 50-ton electrolytic mill to experiment
on a 50,000 ton deposit of copper oxide ore. Believed to be Idle.
COREY CITY MINES COLORADO
Mine office: Silver Plume, Clear Creek county. Cob. William Copper.
‘Early In 1919, It was reported that-operations would be started dricing the
Deseh tunnel 100’ and operating the Ncsbotah mill.
CRAWFORD MINING CO. COLORADO
Address: Warren Prosier, supt. Mine located in Red Mountain di i-
ulet, Ouray county . In 1915, several large bodies of silver, lead and copper ores
were . . 1 . rkd opened. Shipments were expected as soon aa the Red mountain
branch of Silverton Northern B. B. was opened.
Property ’ known as the Genessec mine, and formerly leased by James
N. Hyde of San Frsndsco.
6.” C flE EXPLORATION CO. COLORADO
Address: J. Gordon Hardy, mgi’., Cre de, Mineral county, Coin.
Company Isolde a lease on most of the Amethyst vein below the Nelson
tunneL The Commodore, Bean, White Star and Consobdated mines are all on
this Amethyst vein and company Is reported to have unwatered the Berkshire
shaft and to be unwaterbig the Commodore. Vein carries ‘llberer values in
gold with silver and lead.
UNITED CO. - COLORADO
Address: Creeds, Mineral county, Cole. -
Rgported in 1918 that company was extracting a small amount of milling ore
from the Happy Thought mine and treating it at the Homphreys milL
CROWN PRINCE CONSOLIDATED MINING CO. COLORADO
Office: 934 Ga. & Electric Bldg., Denver. Cob, Mine office: Empire.
Clear Creek county, Coin,
Officers: M. H. Block, pres.: J. E. Rinehart. v, p.: Thoa. Williams. sec.:
Wm. G. Krape, mgi. and tress., with Daniel Erickson, directors.
Inc. June 9, 1910, in Arizona. Cap., $3,500,000: shares $1 par; outstand-
u sg ty : the Mint mine, 17 claIm ., 85 acres, near Empire. Gold-silver
ore oscars hi veins and Ii claimed to average from $6 to 12 per ton.
Developinesit: by 75’ shaft and tunnels. longest i.UZ5’. with total under-
ground wolk..gs of 7,000’. EquIpment Indudes electric hoist
Production claimed to have been 200,000 In the past. Operations In 1918
reported to consist of drifts on veins m which only low values were found as
level. had not yet readied ore-shoot
521
-------
556 THE MINES HANDBOOK, zpn
$27,735 with net receipts of $5,281. Operated during 1919 and 1920. hut no
shipments,
BACHELOR MINE COLORADO
Creede, Mineral county. Cob. Operated 1920 by Norman G. Corson
of Creede.
BACKBONE MINE COLORADO
Opcratcd 1920 by M. Rosenburg of Silver Plume, Clear Creek county.
Cole.
BACICOFP LEASING CO. COLORADO
See Keystun Cons. Mlne Co. Described in Vol. XIV.
BALD EAGLE MINING & MILLING CO. COLORADO
Probably dead. Mail returned from former address: 307 Guardian Trust
Co.. Denver. Cob. Fully described in Vol. XIV of The Mines Handbook.
BALD MOUNTAIN MINES CO. COLORADO
Prohably defunct. Mail returned from former office: Breckenridge, Sum-
mit Co., Cob. Fully described in Vol. XIV.
BANKOK- CORA BELL MINING CO. COLORADO
Probably defunct. See Vol. XIV. for IoU description.
BANNER GOLD MINING CO. COLORADO
Address: 317 Exchange National Bank Bldg.. Colorado Springs, Cob.
Officers: J. T. Hawkins, ores.; J. R. McKinnie, v. p.: E. C. Sharer. sec.-
tress.: A. D, Aitken. asst. sec.-asst. tress.
Cap. 52,000,000; $1 par. Treasurer’s statement, Jan 1, 1916. showed 11.000
shares in treasury. and $185 cash on hand. At lest accounts taxes paid to
1915: liabilities. $490. Last stockholders’ meeting Tune. 1903. Listed on
Denver and Colorado Springs exchanges.
Property: 7 claims, patented. 68 acres, on Beacon hill, Cripple Creek,
Teller county, shows 3’ fissure vein, containing gold and silver, and the
C. K. & N. vein. 3’ wide where cut.
Development: by 90’ 110’ and 400’ shafts, with prospecting on 3 levels.
Worked through the 700’ level of the Henry Adney shaft on adjoining
property.
No recent information.
BANNER STATE GOLD, SILVER & COPPER M. CO. COLORADO
Office: 367 Fulton St., Brooklyn, New Yoijc. A. G. Sullivan. pres.
Inc. 1908. in Colorado. Cap. $500,000; $1 par: none outstanding.
Property: one patented claim in Bobtail Hill. Lake district. Gilpin county.
Not operating, but has 300’ vertical shaft. Idle. 1919.’Zl.
BARON MINE COLORADO
Operated 1920 by Charles Garfield of 205 South La Salle St., Chicago, IlL
Mine is at Salina. Boulder county.
BARSTOW LEASING CO. COLORADO
Address: Lundberg & Johnson, Ouray, Oüray Co.. Cob. Works at Iron-
ton, Ouray Co.. Cob. J. H. Fennessy. trustee. Property formerly owned
by the Barstow Mining & Milling Co., is held under bond and lease by C. R.
Wilfley and subleased to Lundberg & Johnson.
Property: 27 claims, patented, 199 acres, with 5-acre mill site, in Red
district, Ouray county, 11 miles From D. & G. R. ft. The Silverton
ft. R., operating in the summer, is 1 mile away. Ore, found in Cssure vein
in andesite with N. W. ctnke and dipping 75, is reported as 8’ wide and car-
rying 0.73% coppel’. 2.5% lead, 4% zinc.
Developed: by 2 shafts. 425’ and 145’ deep, and 2 tunnels, 3.200’ and
3,300’ long. Total length of workings. 10,300’. reported to have developed
17.000 tons of ore with 8,000 tons in sight. High-grade gold ore was found.
Equipped: with 2 hoists, electric compressor. 6-drill comoressor. and
mill comprising 2 Blake crushers. OafS”, 40 stamps. 20 Wilficy tables, 2 slime
tables and buddIes.
The spar vein of this property was leased September, 1016. to Engineers
Corporation. of Boulder. Cob., who work it for fluorspar. This vein, carrying
THE MINES HANDBOOK. 537
3’ of fluorspar. cuts across the Barstow vein, The deposit was struck at 1.100’
in depth and was reported to widen out to nearly 10’ of almost pure grade.
The mine and mill were operated during 1919 and 1920. In December,
1920, the Lundberg.Wjluley lease had opened a good body of gold-bearing
quartz, also some sulohide ore, and shipments iii 1921 exceeded 15 cars of
58,000 each, or better,
BASSIcK MINING & REDUCTION CO. COLORADO
Fully described in Volume XIV. Property leased to Quenda Gold Mines
Co., which ace. -
BATES LEASING CO. COLORADO
Company dissolved. Described in Vol. XIV.
BEACON MINES CO. COLORADO
Address: J. S. Anderson, supt., Cripple Creek, Cob.
Property: company has a lease on part of the El Paso E, tensioii ground.
Gold Hill. Teller county, and in August. 1919, found a rich shoot of gold ore
on the 400’ level. The deposit was opened for 300’, and shipments realized
$200 per ton. No news since.
BECKY SHARP MINE COLORADO
See Old Town N., N. & Tra port tjo Co.
BELL BOY GOLD MINING & MILLING CO. COLORADO
Address: Chas?L. Tilton, pres.-trcas.. 332 Kittredge Bldg.. Denver, Cob.
Mines at Apex. Gilpin Co., Colt ,.
Officers: C. L. Tilton. ores.; Harlatid L. Percy. v, p.: 1. V. Shell. Sec..
with P. R. Anderson, all of Denver and M. B. Volf of Loins. Cob., directors.
Inc. 1920. in Colt,. Cap. 599.000; 204 par: 300.000 shares in treasury;
shares offered at 504 in 1921.
Property: the Mackey mine, 17 claims, S patented, in Pine district, Gilpin
county.
Geology: fissure veins, 4’-6’ wide, in granitic gneiss near monzonite mass
carry pay streaks 4’-2’ wide, of bornite, chaleopy rite, covellite and pyrite with
copper and precious metals. Eighty-three samples cut throughout workings
averaged $14.54 per ton; 15 cars of ore shipped averaged $23.73 per ton.
Three ore shoots aggregating 250’ along vein, carry 10,000 tons of $20 ore
according to report, Orebody blocked out on 4 sides is said to contain
$100,000, Shipments, 1920, averaged $34.11 per ton, largely in gold.
Development: by 300’ shaft with 4 levels at 30. 140, 180 and 220’ on
Mackey vein. Other veins also show ore, especially the Cronje, but lack dee 1 ,
development. Mine unwatered 1921, after several years idleness.
Equipment: complete and includes 30-ton concentration mill, hoist, com-
pressor, tramway. etc.
BELLEVXEW.CHAMPION MINING & POWER CO. COLORADO
Office: 517 Cooper Bldg., Denver. Cob,
Property: the Champion -Trjo mine in upper Clear Creek county, Ore
carries gold, silver, lead and copper.
Early in 1919, it was reported that the production during the previous
year averaged $2,500 a month Three groups of lessees arc milling silver ores
that average $100 per ton. Main tunnel is 1.200’ long. Mine was operated
part of 1919.
BELLEVIEW-HUDSON MINING & TUNNEL CO. COLORADO
Address: 402 Mining Exchange Bldg., Denver. Colt,.
Property: the Bclbeview silvcr-bead.zjnc mine, at Empire. (Icar Crceic
county.
Operated during 1919. but produced no ore.
BELL MINE COLORADO
Address: George H. Short, 1424 Emerson Ave.. Salt Lak,.’ City. ljtah.
Mine at Montezuma. Cob.
Property: the Bell silver mine, 5 claims, 9 miles from Keystone on the
Cob. Southern R. ft.. in Summit county. Mine idle for 20 years. was re-
opened 1921. The vein in granite, averages 3’ in width, with stopes 15’ wide.
-------
/-1c d k Af ) 4
— -
& tt7 M
Hard Rock Mining Team Support
to Mining PRP Searches
Stephen HoSman
05W
May2008
Who are the Hardrock Mining Team and What Can they do
to help PRP Searches
• The Hard Rock Mlrllng Team was formed by senior
mining staff In the regions end program offices In 1998.
The team has about 40 members.
• The purpose of this team Is to leverage Agency
resources dealing with mine sites.
• The Abandoned Mines Team was formed in 2001 to
focus elTorts on cleaning up AMLs. Its web page Is found
at
httpllwww.epa.gov/superfund!pmgmmsfamiflndex.htin
• The Mining Team holds monthly conference calls where
requests fOr assistance in PRP searches can be made.
• Most members of the Team have direct PRP search
eXpad efl00.
AML Reference Documents
• The AML team has Issued 2 reference
documents:
• The Abandoned Mine Site
Charactertzatlon and Cleanup Handbook
httD:ffwww.eoa.aov!suoerfundlno llcv/reme
dvlodfslamscch.odf
AML Team Reference Notebook
http:Itwww.epa.govlsuperfundlprogramsla
ml/tech/refntbk.htm
I
-------
Other Team Resources
• BasIc 1994 and 1998 texts on how mining for copper,
gold, lead, uranium is conducted Is found at
• htw.eea.ooind mram&amVn* aratflnd
e h n
• Updated information on uranium mining prepared by
ORIA Is found at
httnJMww.eeaao
• Updated information on the location of abandoned
uranium mines
httplMww.epagov/radlet lonldocsltenormlvolume- 1W402-
r 05 .007.v2.pdf
Unconventional Sources of Information on Mining PRP
Searches
• .t ti..bç b ith. k t , .cIv i . iki 151
,wr a,,d
Pi ats dp15iffL 1l A -1i th. Wib.. Mi*ig Ib fsa
I ti ,uusiia
US L O .Raw hi IWd ,, di . rndy krJ 15
PRP searches and DOJ in DC
• Referrals to DOJ are administratively complex.
• DOJ HQ attorneys generally do not have strong
mining backgrounds and are leery of taking on
cases with complicated ownership histories.
• Early on hold introductory teleconferences with
DOJ staff after the Regional Counsel clears It. _________________________________________
• Prepare short easy to understand ownership
diagrams and share with DOJ staff to build
confidence that the case Is strong.
• Use the HQ Mining Team as backup with DOJ
since we routinely interact with them.
2
-------
-------
-------
Insurance Issues
-------
Insurance and the
PRP Search
Steve Keim
Office of Site Remedlation Enforcement
Keim.stephen@epa.gov
Presentation Overview
• When does EPA care about Insurance?
• Locating policies and evidence of
policies
• Developing evidence to support an
Insurance coverage claim
• Paths to insurance recovery
• Coordination of multiple claims
• EPA Insurance resources
When Does EPA Care
About Insurance?
• PRP lacks the ability to pay for its share
of response costs
— PRP claims lImIted ability to pay; Is In
bankruptcy; or is defunct
—“General Policy on Superfund Ability to Pay
Determinations” (OSRE, 9/30/97)
—An AlP settlement should consider funds
available from insurance recoveries and
“the settlement agreement should provide
for payment of a percentage of recovered
expenses to the United States.”
1
-------
When Does EPA Care
About Insurance? (cont.)
•PRP can pay its share
— EPA has limited interest in a contractual
dispute between a PRP and its insurer
that does not affect EPA’S ability to
accomplish a response and recover its
costs
— EPA personnel may want to encourage a
PRP to give notice to its insurers and
look into possible coverage, especially If
the PRP is unsophisticated as to
Superfund and insurance.
Locating Evidence of Insurance
• Use of 104(e) information requests
—To PRPs
—To Insurers
— To brokers/agents
•Sample 104(e) Language: “CERCLA
104(e) Requests for Information on
Insurance Coverage” (OSRE, 2/28/07)
• ATP candidate has Incentive to
cooperate with EPA
Types of Evidence of Insurance
• Policy/declaration page
— Use of standard forms
• Secondary evidence
— Insurance invoices
— PRP accounting records, e.g., accounts
payable, canceled checks
— Claims correspondence
— Utigation records
— Certificates of Insurance
— Transactions requiring evidence of
insurance, e.g., leases, govt. contracts
2
-------
Sources of Evidence of Insurance
• PRP files and personnel
• Broker/agent files and personnel
• Insurance companies
• Government agencies
• Court records
• Financial institutions
• Outside counsel
Liability: CERCLA vs. Insurance
Source of Law?
. CERCLA: Statute
. Insurance: Contract
Federal or State Law?
• CERCLA: Federal
— Only federal courts
have jurisdiction
— Some variation by
CIrcuit, but mostly
consistent
•Insurance: State
— 50 states, 50 sets of
Insurance law
— Choice of law can
decIde case
Liability: CERCLA vs. Insurance
• Insurance coverage analysis requires
evidence of timing, knowledge, intent,
and extent of contamination not
required for CERCLA liability analysis
• Need additional evidence of operational
history
• Coordinate closely with case attorney
• Insurance support resources available
3
-------
General Liability (CGL) Policies
• Insuring Language: “The company will
pay on behalf of the insured all sums
which the insured shall become legally
obligated to pay as damages because
of bodily injury or property damage to
which this insurance applies, caused
by an occurrence”
• Other types of Insurance policies
Insurance Coverage Evidence:
Trigger of Coverage
• PRPs often have a long string of insurance
policies, sometimes with different insurers
• Need evidence of property damage during
the policy period for each poilcy
• Requires more specific timing evidence than
for CERCLA liability
• Trigger of coverage theories:
— Exposure theory
— Injury-in-fact theory
— Manifestation theory
— Continuous theory
Insurance Coverage Evidence:
Pollution Exclusions
•TImelIne: Pollution Uabillty & Insurance
1940s: CGL policies Introduced without
pollution-specific terms
1960s: Expansion of nuisance law to include
pollution liability
1973: Sudden and accidental” pollution
exclusion added to most CGL policies
1980: CERCLA passed
1986: “Absolute” pollution exclusion added
to CGL policies
4
-------
Insurance Coverage Evidence:
Pollution Exclusions (cont.)
• Sudden and accidental pollution exclusion:
no coverage for property damage ‘ arlsing out of the
discharge, dispersal, release or escape of.
pollutants. . . but this exclusion does not apply if
such discharge, dispersal, release or escape is
sudden and accidental
• Majority rule: “sudden” has a temporal
meaning; no coverage for gradual pollution
• Minority rule: “sudden and accidental” should
be Interpreted to mean “neither expected nor
Intended”
• Was the release abrupt or gradual ?
Insurance Coverage Evidence:
Owned Property Exclusion
• No coverage for property damage to
“property owned or occupIed by or rented
to the insured”
• In most states, groundwater Is not the
property of the Insured, so groundwater
deanup costs are covered
• Source control on the Insured’s property
may be covered to prevent Imminent
harm to third-party property
• What Is the extent of contamination?
• Is there third-party property damage?
Insurance Coverage Evidence:
Expected or Intended
• Occurrence Definition: “an accident, including
continuous or repeated exposure to conditions,
which results In. . . property damage neither
expected nor intended from the standpoint of
the Insured”
• Is there evidence that a PRP knew its
operations were causing environmental harm
and failed to change?
• Courts typically deny coverage only for
relatively egregious failures to meet the
prevailing standards of environmental conduct
5
-------
Insurance Coverage Evidence:
Known Loss Doctrine
• Fortuity requirement: Insurance Is
meant to cover contingent events, I.e.,
risks, not known losses
•Appllcatlon to CERCLA liability can be
difficult, as a pRp:may become aware
of potential CERCLA liability gradually
• Where Is the line between a known risk
and a known loss?
• When did the PRP know that it faced
CERCLA liability?
Paths to Insurance Recovery
• ATP PRP pursues coverage
— EPA’S preferred path; relatively efficient
— PRP requests information from insurers,
brokers, and others as needed
— EPA assists PRP if needed
— Contractor support available for analysis or
insurance archeology
— liming relative to settlement with EPA
• PRP assigns claim to a private party, e.g.,
a trust or PRP group, which pursues
coverage.
— EPA receives portion of proceeds
Paths to Insurance Recovery
• United States takes assignment of the
PRP’s claim and pursues coverage
— Resource intensive; balance against
potential recovery
— Still requires PRP assistance
— Generally do not want to take assignment
without plans to pursue coverage
• United States pursues direct action
against Insurer
— Few states have direct action statutes
— Resource Intensive
6
-------
Coordination of Multiple Claims
• Insurers may want to buy back policy as part
of settlement, preventing future claims on
policy
— A PRP may have CERCLA liability at several sites
— Several agencies may have claims, at the same
site or at other sites, to which a PRP ’s policy may
respond
— Consider possible claims by other federal
agencies, states, and tribes, including NRD
trustees
— Best to assert all available claims at once
— Want to avoid PRP consenting to policy buyback
before U.S. presents all potentiai claims
EPA Insurance Resources
• Documents on EPA Intranet
- hftn:flunfraneena.aovloeca/o aJoro diinsur.hth1l
— Sampie 104(e) requests
- TocIs for Analyzing Comprehensive General Uablilty
Insurance Policies In Conjunction with Superfund Ability to
Pay Determinatlons (OSRE, 10/26/05)
• Regional Insurance Points of Contact
• OSRE Insurance Points of Contact
• Contract for expert In urance support
(Elsenstein Malanchuk)
— Contract administered by OSRE Insurance POCs
Insurance Research Resources
• Handbook on Insurance Coverage
Disputes (l 4 th Ed., 2008), Barry
Ostrager and Thomas Newman
• Insurance Coverage Litigation (2hId
Ed., 2000), Eugene Anderson, Jordan
Stanzler, and Lorelle Masters
• Environmental Coverage Case Law
(l8th Ed., 2007), MunIch Reinsurance
America, Inc. ( www.amre.com ; go to
Reference Library)
7
-------
SN
EPA Insurance Points of Contact
EPA Re2ion
Contact
Phone/Email Information
Region 1
Ronald Gonzalez
617 918-1786 - gonza1ez.ronaId( epa.gov
Region 2
Muthu Sundram
Frances Zizila
212 637-3148 - sundram.muthu@epa.gov
212 637-3135 - zizila.frances( eDa.gov
Region 3
Mary Rugala
215 814-2686 - rugala.mary( epa.gov
Region 4
Karen Singer
Ray Strickland
Cathy Winokur (RCRA)
404 562-9540 - singer.karen( epa.gov
404 562-8890 - s t rick1and.ray( eDa.gov
404 562-9569 - winokur.cathv( ena.gov
Region 5
Susan Prout
Luis Oviedo
Sally Jansen
312353-1029- prout.susan@epa.gov
312 353-9538 - oviedo.1uis(ä epa.gov
312 353-9046 - iansen.sally( ena.gov
Region 6
Barbara Nann
214 665-2157 - nann.barbara( epa.gov
Region 7
Audrey Asher
913 551-7255 - asher.audrey( ena.gov
Region 8
Richard Sisk
Andrea Madigan
303 312-6638 - sisk.richard epa.gov
303 312-6904 - madigan.andrea( epa.gov
Region 9
Jim Collins
415 972-3894 - collins.jirn( epa.gov
Region 10
Jennifer Byrne
206 553-0050 - bvrne.ien n ifer( et,a.gov
Headquarters
Clara Beitin
Tim Dicintio
Demz Ergener
Steve Keim
Manuel Ronquillo
202 564-4795 - beitin.clara( eDa.gov
202 564-4790 - dicintio.tim(ã epa.gov
202 564-4233 - ergener.deniz( epa.gov
202 564-6073 - keim.steDhen( et,a.gov
202 564-6065 - ronguillo.manueI( eoa.gov
-------
The Pursuit of Insurance
proceeds: A Case Study
Androa Madigan
US EPA RegIon 8
madigan.andrea©epa.gov
The standard Mine
Gathering Evidence of
Insurance
o copies of insurance policies
o secondary evidence of
I nsurance coverage
a Burden of proof
o standard of proof
I
-------
Sources of Insurance
Information
o Insured/PRP
o Books & records of insured/PRP
0 Insurance Company
o Brokers
o Mortgage Lenders
0 Lessors
o Regulatory Agencies
o Insurance Archeologists
Evidence of Insurance
o Declaration pages
o Cancelled checks for policy
premi urns
o Business records of insured
o References in other insurance
o Testimony
o Experts
Analyzing Potential Insurance
Coverage
o If you have a copy of the
policy, what does it say?
o when was the policy issued?
o what time period does the
policy cover?
2
-------
Analyzing Potential Insurance
Coverage
D Is there a pollution exclusion?
• Policies issued prior to 1973
• Policies issued between 1973 and 1986
o Sudden and accidental
• Policies issued after 1986
o Absolute pollution exclusions
D Is there an ‘owned property”
exclusion?
If you find coverage
o what is an occurrence?
D How are proceeds allocated?
D Notice to insurer
Choice of Law Issues
o Law of the state in which
policy was issued
• where was policy delivered?
• where was premium paid?
• where did negotiations occur?
• where is insured located?
• where is Insurer located?
• where Is broker located?
3
-------
Choice of Law Issues
o aw of the state that has the most
substantial interest in the outcome
of the dispute
D Restatement (Second) Conflict of
Laws section 188
• Location where policy was issued
• Location of subject matter of the
contract
U Location of cleanup
• Needs of Interstate system
• Relevant policies of forum and other
forums
Hot Pursuit
o Assignment of insurance
proceeds
• Must be in writing
• Variations by state
• Assignee steps into shoes of
assignor
Hot Pursuit
o Direct actions against insurer
• Generally prohibited
o Exceptions
• State variations
• Bankruptcy
o Default Judgment
4
-------
Setti ements
o PRP pursues insurance claim
o Government negotiates with PRP
and insurer
o PRP assigns insurance claim to
government or a trust and
negotiates di recti y with
insurance company
a Claims package
1
\
5
-------
NOTES
-------
-------
Managing Your Interviewee
-------
Interviews
Another PR? &gevh Tool
Panel
Presentation
2008 PRP Search
Conference
-Andrew Taylor, R9
-Barbara Aidridge, R6
-Bob Werner, R6
-Herb Miller, R4
Interviews
• Why do Interviewa?
• Whoisagood
candidate?
• Interview vs.
Interrogate
• PhonevainPerion
Planning Interviews
• Questions:What do
you need to know?
-What
-How
-Where
- Who
- Which
1
-------
Question Format
Avoid leading questions
Use focused questions
Be specific
Use open ended for eliciting
Close ended to clarify
The Interviewer
• Good Listener
• Non-Judgmental
• Adaptable
• Receptive
• Respecth
• Courteous
• Appropriate Appearance
Documenting the Interview
• Tape it or take
notes?
• Transcribing
• Standards of
evidence
• Affidavits
• Follow-up
• On-the-spot
2
-------
Some Other Points
• Timing considerations
• Early Use of Interviews
• Partnering
Regional Discussion
• Results of Interview Survey
• Regional Best Practices
• Othertips
Panel Members
• Andrew Taylor. RD. Cain Dmthpnieiu, (415) 264-9376
• Barbara AIdrldge . R Enfo tAnrensmenS (714)
665-2712
• Bob Werner. R6. Enfo cerøwnlAsse.vmwl. (214) 665-
6724
- Herb Miller. R4. Ss çeifund En/orcemeiil &Jn/brmaiion
MgmL. (404) 562-8860
3
-------
NOTES
-------
1k
-------
Statute of Limitations (SOLs)
-------
Statute of Limitations
for CERCLA Actions
Cher ,le Mldnskl
Chief, Superfund Brandi
Office of Regional Counsel
RegIon 7
Statute of Umitations in CERCLA
• Section 113(g)(2) sets the SOL for
removal actions and for remedial actions
• Any action that Is ng a remedial action is
a removal action for purposes of the SOL
— RIJFS Is a removal action
— RD Is a removal action
Statute of Limitations
• Removal Actions—general rules
- SOL Is three years from the completion of the
removal
— Six years after the grant of a waiver under Section
1O4(c)(1)(C); that section refers to a waiver on the
basis of consIs ncy with the remedial action at the
site ( U .S. v. AnibrcId
- However, h ’ remedial action Is Initiated within three
years after completion of a removal action, costs
Inairred during the removal action may be recovered
In the cost r very action for the remedial action
I
-------
SOL for Removals--Issues
• What Is completion” of the removal
action?
• What If there are 2 removal actions?
• How does Initiation of the RI affect the
SOL?
• What is completion of the RI/FS for SOL
purposes?
Statute of Limitations
• Remedial Actions
— InIt I action: within six years of the Initiation of
phy caI On-site con uction of the remedial action
U.S. v. Na r (153 F.3d 702(1998)), mbsed SOLby 1 day)
- Subsequent acbon: any time during the response
action but no later than 3 years alter the completion
of all response action
• U .S. . id t . 8 ” Oroilt, A igust , 2000
SOL for Remedial Action--Issues
• What Is Initiation of physical on-site
construction?
• Documentation-what you might need
• Different SOLS br each OU
2
-------
And I should care about this
because.....
• Every region has a SCAP commitment for
meeting SOLS.
• Cost recovery actions replenish the trust
fund.
• The goal of CERCLA is that the Polluter
Pays”
• You may have to do a PRP search to
support the cost recovery action
3
-------
SOLs for RPMs
Presentation by Barbara Aidridge
Re i.n 6 Enforumir s Auusm.,u
PRP Search Conference
Poitland 2008
Introduction
Data Quality in WasteLaniCerclis
Impacts the bottom line — getting
dollars back in a timely fashion
Issue
> Dates in Cerclis are used by HQ and
the Regions to calculate the cost
recovery statute of limitations (SOL).
> RPMs have a responsibility for
remedial data which can affect this
date.
SOLs for RPMs
-------
Who needs to be aware of
SOLs?
> RPMs
> OSC8
> Attorneys
Enforcement Officers
> CMI Investigators
> Managers
DOJ
> Basically
Eveiybody!
Favorite quote
“lt is vital to the management of
the cost recovery program that
sites with upcoming SOLs be
addressed prior to the
of the SOL.”
Accurate SOL calculation
> Depends on RPM-owned data
> Understanding definitions
Involves the site team
SOLs for RPMs
2
-------
REMEDIAL ACTION (R4) START
•Dellnition: The RA is the
implementation of the remedy selected
in the ROD.
•Gettmg credit for an RA start.
priceless.”
•On-site construction entered into
Cerclis as the ¶A On-Site
Construction Sub-action actual
completion date.
Data Details
RA Start vs. RA On-Site Construction: They
are not the same date.
> RA Start: Is basically a paperwork date -
something is signed.
RA On-Site Construction start: Is physical.
on-site and construction. ________________________________________
Data details, contd
Regions will receive credit In the
management of the Superfund program _____________________________
for alart’ of a remedial action even
though Initiation of physical on-site
consthictlon may not have ocourred for
puiposes of calculatlnga cost recoveiy
statute of limitations. The date found In
the remedial action actual start column ______________________________
of a CERCLI$ report Is a programmatic
measure only...
- _______________________
SOLs for RPMs 3
-------
Court Case
> Court Ruling : US v. Atlantic Richfield re:
Sikes Superfund Site (January 2001).
> PRPs tried to argue that on-site
construction began earlier than EPA said it
did.
Judge ruled In EPA’s favor.
Four Part Test
Activity must be:
Physical
> On-site
Part of the remedial action
InItiation of the remedial action
Excludes on-site activities that are not part of
the RA construction
Cost Recovery Targeting Report
> The report logic looks to the On-Slte
Construction sub-action complete date
and adds 6 years to calculate the SOL.
If there Is no data for On Site Construction,
the report looks to the RA Start date, and
calculates 6 years from that date.
SOLs for RPMs
4
-------
Summary
> RPM-owned data affects SOL caics
> RA Start and On-Site Construction
are not the same
Good data will assure accurate SOL
dates
References
> United States of America v. Atlantic
Richfield Company, et al., 4:98-cv-00408
SPIM and Coding Guides found on EPA
intranet.epa.gov/osrtilrmd/bpeb/splm
> Cost Recovery Targeting Report ENF-1 7
Cost Recovery Tracking Report
(ReportLink)
SOLs for RPMs 5
-------
RUN DATE: 411012008 09:16:49 US EPA. SUPERFUND PROGRAM SOURCE: CERCLIS
Page 1 of 1 COST RECOVERY TRACKING CONFIDENTIAL FOR INTERNAL USE ONLY
081 DOUBLE EA
Operable Unit
00-SITEWIDE
GLE RE
gfjQ
SVOO1
FINERY CO.! 0KD007188717 10601! Cu
4cUQ Action
RVOO1 REMOVAL
Action
SECTION 107 LITIGATION
,yently on the FIna
L
F
QsL
121312001
I NPLI I 6SF .RL I Bail CanolIas 1(214) 6654662
SCAP Note SQL Tnaaer
RVComp lete
Status SCAP Note
Litigation Started
Qg
4I311994
SQL Date
41211997
CRArnount
Toll Ends
Cashout
Net Obs (Extñ
$50 .000
Scads! Account
1213112008
Planned Ut Completion
ACOO2
ADMIN ORDER ON CONSENT
912412001
AOC Signed derninimis candidate
$731.20?
$2.592.480
$3323666
Ooerable Unit
01-
Q
SVOO1
fLQ Action
RAOO1 REMEDIAL ACTION
Action
SECTION 107 LITIGATION
j
F
Qgjg
121312001
12 /3112008
SCAP Note SOL Tnauer
SOURCE CONTROL Constr Start
Status SCAPNoIe
Utigation Started
Planned Ut Completion
Q f
311611998
SOL Date
3/1512004
CR Amount
Toll Ends
Cashout
Net Obs (Extrl
$12.446.925
SD6dal Account
ACOO2
ADMIN ORDER ON CONSENT
9124/2001
AOC SIgned demlnimis candidate
$731.207
52.592.460
53.323,668
Ocerable Unit
01-
&tIQ
SVOO1
(Q Action
RDOO1 REMEDIAL DESIGN
Action
SECTION 107 LITIGATION
4
F
Qgj
1213/2001
12131/2008
SCAP Note SO!. Tmoer
DSGN DLYD-DLSTNG P1 RD Cømpleta
Status SOAP Note
Utigation Started
Planned Lit Completion
Q f
4/30/1997
SQL Date
4129/2000
CR Amount
Toll Ends
Cashout
Net Ohs (Erfri
$700,000
Si,eciaf Account
ACOO2
ADMIN ORDER ON CONSENT
9/2412001
AOC Signed deminimis candidate
$731 .207
52.592,460
$3323668
Onemble Unit
02-
çf Q
SVOOI
LR Action
RAOO3 REMEDIALACTION
Action
SECTION 107 LITIGATION
L4
F
Q fg
121312001
12131/2008
SCAP Note SOt. Tnaoer
GWRA ConstrStart
Status SCAPN0te
Utlgation Started
Planned Ut Completion
Qgf
1/1211996
SQL Date
111112002
CR Amount
Toll Ends
Cashout
Net Obs (Extrl
Scads! Account
ACOO2
ADMIN ORDER ON CONSENT
9/24/2001
AOC SIgned deminimis candidate
$731 .207
52,592.460
$3323668
Oserable Unit
02-
SVOOI
Action
R0002 REMEDIAL DESIGN
Action
SECTION 107 LITIGATION
F
Qg g
1213/2001
12l31l2008
SCAP Note SQL Tncmer
GROUNDWATER RD Complete
Status SOAP Note
Litigation Started
Planned Lit Completion
Q f
3/17/1996
SOt. Date
3/16I1998
CR Amount
Toll Ends
Cashout
Net Ohs (Exfr
5100.000
Special Account
ACOO2
ADMIN ORDER ON CONSENT
9124/2001
AOC Signed demlnlmls candIdate
$731 .207
$2592460
53,323.666
-------
RUN DATE: Oá ‘814:44:09
DATABASE DA. J4 107108
DATABASE TIME: 15:44:09
VERSION: 2.07
EPA 101 SPILL ID
OUIACTION1LEAD SITE NAME
01 (00071 88717 OGBI DOUBLE EAGLE REFINERY Co.
00 BBOD1 RP 02)16192
01 C0001 F 09128195
02 C0002 F 07127196
00 PP.001 S 10116189
01 RAOOI F 03)14104
02 RAOO3 F 01110102
01 RDOO1 F 04129100
02 R0002 F 03116198
00 RVOOI F 04 102197
00 SIODi S 10I16189
• - Date based on I 04(c)(1 )(C) Waiver
-Dale based on Onalte Construction Starts (
U. S. EPA SUPERFUN GRAM
CERCUS
ENFR-1 7 Cost Recovery Targeting Report
Site = DOUBLE EAGLE REFINERY CO.
ALL YEARS
NPtJnon-NPL
REGiON: 06
Page:
ENFORCEMENT SENSITIVE IN FORt. iN
FOR INTERNAL USE ONLY
TOTAL SITE COSTSI PRIOR PRIOR FUW CURRENT UNADDRESSED —PLANNED ACTIONS
OBLIGATIONS ACHIEVED WRITEOFF PART SOUGHT COSTS OU ACTION LD DATE AMOUNT
SI .028.707 SO S 19.779.517
I
4’—”. ‘ Iou. WM k 1t su. +oxb.
COST RECOVERY PENDING
s ’.
-------
Page I
I of 13 DOCUMENTS
UNITED STATES OF AMERICA, et al versus ATLANTIC RICH-
FIELD, Ct al
CIVIL ACTION NO. H-98-0408
UNITED STATES DISTRICT COURT FOR THE SOUTHERN DIS-
TRICT OF TEXAS, HOUSTON DIVISION
147 F. Supp. 2d 614; 2001 U.& Dirt. LEXIS 2161
January 18, 2001, Decided
January 18,2001, Entered
DISPOSITION: I** Ij Defendants’ motions
for summary judgment DENIED. PlaintifFs
cross-motion for partial summary judgment
GRANTED.
CASE SUMMARY:
PROCEDURAL POSTURE: In action com-
menced as a cost recovery suit by plaintiffs,
United States and the State of Texas, under
Sections 104 and 107 of the Comprehensive
Environmental Response, Compensation and
Liability Act, 42 U.S.C.S. if 9604 and 9607,
against defendant companies that allegedly re-
leased hazardous substances into the environ-
ment, before the court was plaintiffs’ cross-
motion for partial summary judgment and de-
fendants’ motions for summary judgment.
OVERVIEW: This action was commenced as
a cost recovery suit by plaintiffs, United States
and the State of Texas, under Sections 104 and
107 of the Comprehensive Environmental Re-
sponse, Compensation and Liability Act, 42
US.C.S. if 9604 and 9607, against defendants,
companies that allegedly released hazardous
substances into the environment. Plaintiffs
sought recovery of all response costs, including
the costs of removal and remedial action, in-
curred by plaintiffs in response to release and
threatened releases of hazardous substances
from disposal site. Plaintiffs also sought a de-
claratory judgment that defendants were liable
for any future response costs it incurs. Before
the court was plaintiffs’ cross-motion for partial
summary judgment and defendants’ motions for
summary judgment. The court concluded that
because the fencing, clearing, road improve-
ment and platform and trailer placement were
not initiation of physical on-site construction of
the remedial action, the statute of limitations
was not triggered before October I, 1990 and
this action was not time-barred. Defendants’
motions for summary judgment were denied.
PlaintifFs cross-motion for partial summary
judgment was granted.
OUTCOME: Defendants’ motions for sum-
mary judgment were denied. Plaintiffs cross-
motion for partial summary judgment was
granted. Court concluded that the action was
not time-barred.
CORE TERMS: remedial action, site, on-site,
initiation, trailer, summary judgment, removal,
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Page 2
147 F. Supp. 2d 614. ; 2001 U.S. Disi. LEXIS 2161.
contaminated, monitoring, fencing, fence, stat-
ute of limitations, clearing, surveying, genuine,
air, hazardous substances, platform, onsite,
temporary, cap, chemical, access road, limila-
dons period, environmental, subcontractor, in-
cineration, preparation, contractor, hazardous
LexisNexis(R) Headnotes
Civil Procedure > Summary Judgment >
Standards > Appropriateness
Civil Procedure > Swnmary Judgment >
Standards> Genuine Disputes
Civil Procedure > Summary Judgment >
Standards > Materiality
IHN lJ Summary judgment is appropriate if no
genuine issue of material fact exists and the
moving party is entitled to judgment as a matter
of law. Fed. R. Civ. P. 56. A fact is “material”
if its resolution in favor of one party might af-
fect the outcome of the suit under governing
law. An issue is “genuine” if the evidence is
sufficient for a reasonable jury to return a ver-
dict for the non-moving party. If the evidence
rebutting the motion for summary judgment is
only colorable or not significantly probative,
summary judgment should be granted. The
summary judgment procedure enables a party
who believes there is no genuine issue as to a
specific fact essential to the other side’s case to
demand at least one sworn averment of that
specific fact before the lengthy process contin-
ues.
Civil Procedure > Summary Judgment> Eu,-
dens of Production & Proof> General Over-
view
[ HN2J Under Federal Rule of Civil Procedure
56(c), the moving party bears the initial burden
of informing the district court of the basis for
its belief that there is an absence of a genuine
issue for trial, and for identi ing those portions
of the record that demonstrate such absence.
Where the moving party has met its Rule 56(c)
burden, the nonmovant must do more than sim-
ply show that there is some metaphysical doubt
as to the material facts. The nonmoving party
must come forward with specific facts showing
that there is a genuine issue for trial. To sustain
the burden, the non-moving party must produce
evidence admissible at trial.
Civil Procedure > Summary Judgment > Bur-
dens of Production & Proof> General Over-
view
[ HN3] Where the moving party has met its Fed.
R. Civ. P. 56(c) burden, the nonmovani must do
more than simply show that there is some
metaphysical doubt as to the material facts. The
nonmoving party must come forward with spe-
cHic facts showing that there is a genuine issue
for trial. To sustain the burden, the non-moving
party must produce evidence admissible at trial.
Environmental Law > Hazardous Wastes &
Toxic Substances> CERCLA & Superfw:d>
Enforcement> Cleanup Costs
Governments > Legislation> Types of Slat-
rites
[ HN4] The Comprehensive Environmental Re-
sponse, Compensation and Liability Act
(CERCLA) is a broad remedial statute that was
designed to enhance the authority of the Envi-
ronmental Protection Agency to respond effec-
lively and promptly to toxic pollutant spills that
threaten the environment and human health. As
a remedial statute, CERCLA should be con-
strued broadly in order to give effect to its pur-
poses. In addition to facilitating efficient re-
sponses to environmental harm, holding re-
sponsible parties liable for the costs of the
cleanup, and encouraging settlements, CER-
CLA seeks to shift the cost of environmental
response from taxpayers to those entities who
benefitted from the illegal release of pollutants.
-------
Page 3
147 F. Supp. 2d 614, ‘:2001 U.S. Disi. LEXIS 2161,”
Environmental Law > Hazardous Wastes &
Toxic Substances> cERC’Ld & Superfund>
General Overview
Governments > Legislation > Interpretation
Governn:ents > Legislation > Statutes of Limi-
tations> Time Limitations
(I-INS] The starting point for construing a stat-
ute is the statutory Language itself. The Com-
prehensive Environmental Response, Compen-
sation and Liability Act (CERCLA) provides
that an action for response costs for a remedial
action as here must be brought within six years
after initiation of physical on-site construction
of the remedial action. 42 U.S.C.S. §
9613(g)(2)(B). This wording is less than opti-
mal, given that remedial actions are not neces-
sarily constructed, and the statute does not pro-
vide a great deal of guidance. The terms
“physical,” “on-site,” and “construction” are not
defined in the statute. The regulations imple-
menting CERCLA define construction as erec-
tion, building, alteration, repair, remodeling,
improvement, or extension of buildings, struc-
tures or other property. 40 C.FR. §
35.6015(a)(l!).
Environmental Law> Hazardous Wastes &
Toxic Substances> CERCLA & Superfund>
General Overview
Environmental Law > Solid Wastes > Re-
source Recovery & Recycling
Governments > Legislation > Statutes of Limi-
tations> General Overview
[ HN6J The Comprehensive Environmental Re-
sponse, Compensation and Liability Act de-
fines the phrase “remedial action” to be those
actions consistent with pennanent remedy
taken instead of or in addition to removal ac-
tions to prevent or to minimize the release of
hazardous substances. 42 U.S.C.S. § 9601(2 4).
The statute goes on to give a non-exhaustive
list of remedial actions, including storage, con-
finement, perimeter protection using dikes,
trenches, or ditches, clay cover, neutralization,
cleanup of released hazardous substances and
associated contaminated materials, recycling or
reuse, diversion, segregation of reactive wastes,
dredging or excavations, repair or replacement
of leaking containers, collection of leachate and
runofl onsite treatment or incineration, provi-
sion of alternative water supplies, and any
monitoring reasonably required to assure that
such actions protect the public health and wel-
fare and the environment.
Governments > Legislation > Interpretation
Governments > Legislation > Statutes of Limi-
tations> General Overview
(HN7] Statutes of Limitation are to be construed
strictly when applied to bar the Government
from pursuing an action. While there is no
bright-line rule to define what actions trigger
the limitations period, courts have employed a
four-part test to determine when physical on-
site construction of the remedial action takes
place. The activity must be “physical,” in that it
cannot consist of planning, meeting or merely
observing the site. Second, the activity must be
“on-site,” as opposed to construction that takes
place in a factory or other site. Third, the ac-
tions must be part of the “construction of the
remedial action.” Finally, the activity must be
the “initiation” of the remedial action.
Environmental Law > Hazardous Wastes &
Toxic Substances> CERCLA & Superfund>
General Overview
[ HN8J Actions taken to monitor, assess and
evaluate the release or threat of release of haz-
ardous substances are considered removal ac-
tions under the Comprehensive Environmental
Response, Compensation and Liability Act. 42
U.S.C.S §9601(23).
COUNSEL: For UNITED STATES OF
AMERICA, THE STATE OF TEXAS, plain-
tiffs: Richard Gladstein, DOJ, Washington, DC.
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Page 4
147 F. Supp. 2d 614, ; 2001 U.S. Dig. LEXIS 2161,
For UNITED STATES OF AMERICA, plain-
tifF Robert W DarneD, Nicholas F Persampieri,
U S Dept of Justice, Washington, DC.
For THE STATE OF TEXAS, plaintiffi Albert
M Bronson, Assi Atty GeneiaL, Austin, TX.
For THE STATE OF TEXAS, plaintiff: Pamela
D Marks, Mark A Turco, Roberto N Allen,
Beveridge & Diamond. Baltimore, MD.
For CHARLES GERHARDT, intervcnor-
pIaintifi Barry Allan Brown, Attorney at Law,
Houston, TX.
For ATLANTIC RICHFIELD COMPANY,
defendant: Michael O’Neal Connelly, Mayor
Day Caidwdll & Keeton, Houston, TX.
For ATLANTIC RICHFIELD COMPANY,
defendant: Robert Brager, Beveridge and Dia-
mond PC, Pamela D Marks, Beveridge & Dia-
mond, Baltimore, MD.
For CROWN CENTRAL PETROLEUM
CORPORATION, defendant: Michael Morgan
Gibson, Jones Day ci al, Houston, TX.
For CROWN CENTRAL PETROLEUM
CORPORATION, THE GOODYEAR TIRE
AND RUBBER COMPANY, OCCIDENTAL
CHEMICAL CORPORATION, ROHN AND
HAAS COMPANY, SHELL OIL COMPANY,
EL PASO TENNESSEE PIPELINE I**21 CO,
EPEC CORPORATION, EPEC POLYMERS
INC, TENNESSEE GAS PIPELINE COM-
PANY, PETRO-TEX CHEMICAL CORPO-
RATION, EXXON CORPORATION, PHIL-
LIPS PETROLEUM COMPANY, defendants:
Robert Brager, Beveridge and Diamond PC,
Pamela D Marks, Mark A Turco, Roberto N
Allen, Beveridge & Diamond, Baltimore, MD.
For CROWN CENTRAL PETROLEUM
CORPORATION, defendant: Michael R Di i-
Ion, Morgan Lewis & Bockius, Philadelphia,
PA.
For THE GOODYEAR TIRE AND RUBBER
COMPANY, defendant: Trade Jo Renfroe,
Bracewell and Patterson, Houston, TX.
For OCCIDENTAL CHEMICAL CORPORA-
TION, defendant: Paul M Bohannon, Andrews
and Kurth, 1-louslon, TX.
For OCCIDENTAL CHEMICAL CORPORA-
TION, defendant: Thomas Slarnes, Andrews &
Kurth, Washington, DC.
For ROHN AND HAAS COMPANY, defen-
dant: James E Smith, Beirne Maynard & Par-
sons, Houston, TX.
For SHELL OIL COMPANY, defendant: Mary
Ellen Wilson, Stibbs & Burbach, The Wood-
lands, TX.
For SHELL OIL COMPANY, defendant: G
Edward Pickle, ir, Randall Jerry Heidi, Shell
Oil Company. Houston, TX.
For EL PASO TENNESSEE PIPELINE CO,
EPEC CORPORATION, EPEC POLYMERS
INC. TENNESSEE GAS PIPELINE COM-
PANY, PETRO-TEX CHEMICAL CORPO-
RATION, defendants: John R Eldridge, Haynes
I**31 & Boone, Houston, TX.
For EXXON CORPORATION, defendant:
David Matthew Bates, Gardere Wynne et al,
Houston, TX.
For PHILLIPS PETROLEUM COMPANY,
defendant: Craig Louis Weinstock, Locke Lid-
dell et a1 1 Houston, TX.
For PHILLIPS PETROLEUM COMPANY,
defendant: Anthony W Benedict, Attorney at
Law, Bartlcsville, OK.
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Page S
147 F. Supp. 2d614. ; 2001 U.S. Dist. LEXIS 2161,’
For VACUUM TANKS INC, defendant: Eva
Maria Fromm, Fuibright & Jaworski, Houston,
TX.
For ATLANTIC RICHFIELD
intervenor-defendant: Michael
nelly, Mayor Day Caldwell &
ton, TX.
For ATLANTIC RICHFIELD COMPANY,
intervenor-defendant: Robert Brager,
Beveridge and Diamond PC, Pamela D Marks,
Beveridge & Diamond, Baltimore, MD.
For CROWN CENTRAl. PETRO1J UM
CORPORATION, intervenor-defendant: Mi-
chael Morgan Gibson, Jones Day ci al, Hous-
ton, TX.
For CROWN CENTRAL PETROLEUM
CORPORATION, THE GOODYEAR TIRE
AND RUBBER COMPANY, ROHN AND
HAAS COMPANY, SHELL OIL COMPANY,
EL PASO TENNESSEE PIPELINE CO. EPEC
CORPORATION, EPEC POLYMERS INC,
TENNESSEE GAS PIPELINE COMPANY,
PETRO-TEX CHEMICAL CORPORATION,
EXXON CORPORATION, PHILLIPS PE-
TROLEUM COMPANY, intervenors-
defendants: Robert Brager, Beveridge and
Diamond PC, Pamela D Marks, Mark I**41 A
Turco, Roberto N Allen, Bevendge and Dia-
mond, Baltimore, MD.
For CROWN CENTRAL PETROLEUM
CORPORATION, intervenor.defendant: Mi-
chael R Dillon, Morgan Lewis & Bockius,
Philadelphia, PA.
For THE GOODYEAR TIRE AND RUBBER
COMPANY, intervenor-defendarit: Trade Jo
Renfroe, Bracewell and Patterson, Houston,
TX.
For OCCIDENTAL CHEMICAL CORPORA-
TION, intervenor-defendant: Paul M
Bohannon, Andrews and Kurth, Houston, TX.
For ROUN AND HAAS COMPANY, interve-
nor-defendant: James E Smith, Beirne Maynard
& Parsons, Houston, TX.
For SHELL OIL COMPANY, intervenor-
defendant: Mary Ellen Wilson, Stibbs & Bur-
bach, The Woodlands, TX.
For SHELL OIL COMPANY, intervenor-
defendant: (3 Edward Pickle, Jr. Randall Jerry
I leldi. Shell Oil Company, Houston, TX.
For EL PASO TENNESSEE PIPELINE CO ,
EPEC CORPORTION, EPEC POLYMERS
INC. TENNESSEE GAS PIPELINE COM-
PANY, PETRO-TEX CHEMICAL CORPO-
RA11ON, intervcnors.dcfcndants: John R El-
dridge, Haynes & Boone, Houston, TX.
For EXXON CORPORATION, intervenor-
defendant: David Matthew Bates, Gardere
Wynne et al, Houston, TX.
For PHILLIPS PETROLEUM COMPANY,
intervenor-defendant: Craig Louis Weinstock,
Locke Liddell at al, Houston, TX.
I**5 1 For PHILLIPS PETROLEUM COM-
PANY, intervenor-defendant: Anthony W
Benedict, Attorney at Law, Bartlesville, OK.
For VACUUM TANKS INC, intervenor-
defendant: Eva Maria Fromm, Fulbright & Ja-
worski, Houston, TX.
For RHONE-POULENC INC. ELF ATO.
CHEM NORTH AMERICAN INC, ASH-
LAND INC. CHEVRON USA INC. El DU
PONT DE NEMOURS AND CO, third-party
defendants: Charles L Berry, Vinson & Elkins,
Houston, TX.
COMPANY,
ONeal Con-
Keeton, Hous-
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147 F. Supp. 2d 614, ; 2001 U.S. Din. LEXIS 2161. ‘
Page 6
For RHONE-POULENC INC, El DU PONT
DE NEMOURS AND CD, ETHYL CORP,
ETHYL CORPORATION, BEAZER EAST
iNC., third-party defendants: Carl B Everett,
Saul Ewing et a), Philadelphia, PA.
For MONSANTO CO, third-party defendant:
Edward Morgan Carstarphen, III, Woodard
Hall and Primm, Houston, TX.
For MONSANTO CO. third-party defendant:
Charles L Berry, McFall Glidden et a!, Hous-
ton, TX.
For MONSANTO CO, third-party defendant:
Craig Louis Weinstock, Locke Liddell et al,
Houston, TX.
For MONSANTO CO, third-party defendant:
Anthony W Benedict, Attorney at Law, Bar-
tlesville, OK..
For GENERAL ELECTRIC COMPANY,
BORG-WARNER SECURITY CORP, third-
party defendants: Kenneth Steven Wall, Brown
McCarroll & Oaks Hartline, Houston, TX.
For CHAMPION INTERNATIONAL COR-
PORATION, I**61 third-party defendant:
John F Cermak, Jr. Bryan P Jacobsen, Margaret
Rosenthal, Jenkens and Gilchrist LLP, Los An-
geles, CA.
For DOW CHEMICAL CO, third-party defen-
dant: Robert L Soza, ir, Jenkens & Gilchrist,
San Antonio, TX.
For PPG INDUSTRIES INC, third-party de-
fendant: George E McGrann, Schnader Hairi-
son et al, Pittsburgh, PA.
For CHEVRON USA INC, third-party defen-
dant: Daniel E Vineyard, Chevron Services Co.
Houston, TX.
For El DU PONT DE NEMOURS AND CO,
ETHYL CORP, ETHYL CORPORATION,
third-party defendants: Charles Stanton Perry,
Abrams Scott et al, Houston, TX..
For GENERAL ELECTRIC COMPANY,
BORG-WARNER SECURITY CORP. third-
party defendants: David J Engel, Oenera Elec-
tric Company, Pittsfield, MA.
For OLiN CORPORATION, third-party defen-
dant: Jerry K Ronecker, Hursch & Eppenber-
ger, Charles E Merrill, Amy E Randles, Husch
& Eppenberger, St Louis, MO.
For CINTAS R U S INC., A SUCCESSOR-IN-
INTEREST TO INDUSTRIAL TOWEL AND
UNIFORM COMPANY, third-party defendant:
Cathy Raba Turcotte, Oppenheimer Blend et a),
San Antonio, TX.
For GATX TERMINALS CORPORATION,
third-party defendant: Robert E Morse, I II,
Cram Caton & James, Houston, TX.
For UNION I**71 CARBIDE CORP, PRAX-
AIR INC, third-party defendants: David Bruce
Weinstein, Wilson Elser c i al, Craig Louis
Weinstock, Locke Liddell et al, Houston, TX.
For UNION PACIFIC RAILRO, third-party
defendant: Steven J Levine, Patrick O’Hara,
Phelps Dunbar, Baton Rouge, LA.
For UNION PACIFIC RAILRO, third-party
defendant: Deborah A Newman, Phelps Dun-
bar, Houston, TX.
For DIXIE CHEMICAL COMPANY INC.,
third-party defendant: James W Walker, Cozen
& O’Connor, Dallas, TX.
For DIXIE CHEMICAL COMPANY INC.,
third-party defendant: Kelly D Brown, Cram
Caipm amd James, Houston, TX.
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147F. Supp.2d6 14,:2001 U.S. Dist. LEX1S2161 1
Pagc 7
For GENERAL ELECTRIC COMPANY,
BORG-WARNER SECURITY CORP.
movants: Kenneth Steven Wall, Brown McCar-
roll & Oaks Hartline, Houston, TX.
For GENERAL ELECTRIC COMPANY,
BORG-WARNER SECURITY CORP.
movanis: David J Engel, General Electric
Company, Pittsfield, MA.
For ATLANTIC RICHFIELD COMPANY,
third-party plaintiff: Michael O’Neal Connelly,
Mayor Day Caldwell & Keeton, Houston, TX.
For ROHN AND HAAS COMPANY, third-
party plaintiff: James E Smith, Beime Maynard
& Parsons, Houston, TX.
For SHELL OIL COMPANY, third-party
plaintiff: C Edward Pickle, ir, Randall Jerry
Heldt, Shell Oil Company, I**81 Houston,
TX.
For EL PASO TENNESSEE PIPELINE CO.
EPEC CORPORATION, EPEC POLYMERS
INC. TENNESSEE GAS PIPELINE COM-
PANY, PETRO-TEX CHEMICAL CORPO-
RATION, third-party plaintiffs: John R El-
dridge, Haynes & Boone, Houston, TX.
For EXXON CORPORATION, third-party
plaintifI David Matthew Bates, Gardere
Wynne et al, Houston, TX.
For PHILLIPS PETROLEUM COMPANY,
third-party plaintiff Craig Louis Weinstock,
Locke Liddell ci al, Houston, TX.
For PHILLIPS PETROLEUM COMPANY,
third-party plaintiff: Anthony W Benedict, At-
torney at Law, Bartlesville, OK.
For THE GOODYEAR TIRE AND RUBBER
COMPANY, third-party plaintiff: Tracie Jo
Renfroe, Bracewell and Patterson, Houston,
TX.
For CROWN CENTRAL PETROLEUM
CORPORATION, third-party plaintiff: Michael
Morgan Gibson, Jones Day ci al, Houston, TX.
For OCCIDENTAL CHEMICAL CORPORA-
TION, third-party plaintiff: Paul M Bohannon,
Andrews and Kurth, Houston, TX.
For VACUUM TANKS INC. third-party plain-
tiffi Eva Maria Fromm, Fulbright & Jaworski,
Houston, TX.
For ROHN AND HAAS COMPANY, THE
GOODYEAR TIRE AND RUBBER COM-
PANY, SHELL OIL COMPANY, EL PASO
TENNESSEE PIPELINE CO. EPEC CORPO-
RATION, EPEC POLYMERS INC. TENNES-
SEE GAS PIPELINE I**91 COMPANY,
PETRO-TEX CHEMICAL CORPORATION,
EXXON CORPORATION, third-party plain-
tiffs: Robert Brager, Beveridge and Diamond
PC, Pamela D Marks, Mark A Turco, Roberto
N Allen, Bevendge and Diamond, Baltimore,
MD.
For ATLANTIC RICHFIELD COMPANY,
third-party plaintiff: Robert Brager, Beveridge
and Diamond PC, Pamela D Marks, Beveridge
& Diamond, Baltimore, MD.
For SHELL OIL COMPANY, third-party
plaintiff: Mary Ellen Wilson, Stibbs & Bur-
bach, The Woodlands, TX.
For ATLANTIC RICHFIELD COMPANY,
counter-claimant: Michael O’Neal Conndlly,
Mayor Day Caidwell & Keelon, Houston, TX.
For ATLANTIC RICHFIELD COMPANY,
counter-claimant: Robert Brager, Beveridge
and Diamond PC, Pamela D Marks, Beveridge
& Diamond, Baltimore, MD.
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Page 8
147 F. Supp. 2d 614, ; 2001 U.S. DiM. LEXIS 2161.
For CROWN CENTRAL PETROLEUM
CORPORATION, counter-claimant: Michael
Morgan Gibson, Jones Day ci al, Houston, TX.
For CROWN CENTRAL PETROLEUM
CORPORATION, THE GOODYEAR TIRE
AND RUBBER CQMPANY, ROHN AND
HAAS COMPANY, SHELL OIL COMPANY,
EL PASO TENNESSEE PIPELINE CO, EPEC
CORPORATION, EPEC POLYMERS [ NC,
TENNESSEE GAS PIPELINE COMPANY,
PETRO-TEX CHEMICAL CORPORATION,
EXXON CORPORATION, PHILLIPS PE-
TROLEUM COMPANY, counter-claimants:
Robert Brager, Beveridge 1OJ and Diamond
PC, Pamela D Marks, Mark A Turco, Roberto
N Allen, Beveridge and Diamond, Baltimore,
MD.
For CROWN CENTRAL PETROLEUM
CORPORATION, counter-claimant: Michael R
Dillon, Morgan Lewis & Bockius, Philadel-
phia, PA.
For THE GOODYEAR TIRE AND RUBBER
COMPANY, counter-claimant: Trade Jo
Renfroe, Bracewell and Patterson, Houston,
TX.
For OCCIDENTAL CHEMICAL CORPORA-
TION, counter-claimant: Paul M Bohannon,
Andrews and Kurth, Houston, TX.
For ROUN AND HAAS COMPANY, counter-
claimant: James E Smith, Beirne Maynard &
Parsons, Houston, TX.
For SHELL OIL COMPANY, counter-
claimant: Mary Ellen Wilson, Stibbs & Bur-
bach, The Woodlands, TX.
For SHELL OIL COMPANY, counter-
claimant: G Edward Pickle, Jr. Randall Jerry
Heidi, Shell Oil Company, Houston, TX.
For EL PASO TENNESSEE PIPELINE CO,
EPEC CORPORATiON, EPEC POLYMERS
INC, TENNESSEE GAS PIPELINE COM-
PANY, PETRO-TEX CHEMICAL CORPO-
RATION, counter-claimants: John R Eldridge,
Haynes & Boone, Houston, TX.
For EXXON CORPORATION,
claimant: David Matthew Bates,
Wynne c i al, Houston, TX.
For PHILLIPS PETROLEUM COMPANY,
counter-claimant: Craig Louis Weinsiock,
Locke Liddell et at, Houston, TX.
I 9lJ For PHILLIPS PETROLEUM COM-
PANY, counter-claimant: Anthony W Bene-
dict, Attorney at Law, Bartlesville, OK.
For VACUUM TANKS INC, counter-claimant:
Eva Maria Fromm. Fulbright & Jaworski,
Houston, TX.
For UNITED STATES OF AMERICA,
counter-defendant: Richard Gladstein, Robert
W Darnell, Nicholas F Persampieri, U S Dept
of Justice, Washington, DC.
For CHARLES GERHARDT, counter-
defendant: Barry Allan Brown, Attorney at
Law, Houston, TX.
For UNION CARBIDE CORP, PRAXAIR
INC. cross-claimants: David Bruce Weinstein,
Wilson I3lser ci al, Houston, TX.
For ThE GOODYEAR TIRE AND RUBBER
COMPANY, cross-defendant: Tracie Jo
Renfroe, Bracewell and Patterson, Houston,
TX.
For THE GOODYEAR TIRE AND RUBBER
COMPANY, ROHN AND HAAS COM-
PANY, SHELL OIL COMPANY, EL PASO
TENNESSEE PIPELINE CO, EXXON COR-
PORATION, PHILLIPS PETROLEUM COM-
counter-
Gardere
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Page 9
147 F. Supp. 2d 614. ; 2001 U.S. Din. LflXIS 2161,”
PANY, cross-defendants: Robert Brager,
Beveridge and Diamond PC, Pamela D Marks,
Mark A Turco, Roberto N Allen, Beveridge
and Diamond, Baltimore, MD.
For ROHN AND 1-IAAS COMPANY, cross-
defendant: James E Smith, Beirne Maynard &
Parsons, Houston, TX.
For SHELL OIL COMPANY, cross-defendant:
Mary Ellen Wilson, Stibbs & Burbach, The
Woodlands, f**12J TX.
For SHELL OIL COMPANY, cross-defendant:
o Edward Pickle, Jr, Randall Jerry Heidi, Shell
Oil Company, Houston, TX.
For EL PASO TENNESSEE PIPELINE CO,
cross-defendant: John R Eldridge, Haynes &
Boone, Houston, TX.
For EXXON CORPORATION, cross-
defendant: David Matthew Bates, Gardere
Wynne et al, Houston, TX.
For PHILLIPS PETROLEUM COMPANY,
cross-defendant: Craig Louis Weinstock, Locke
Liddell et at, houston, TX.
For PHILLIPS PETROLEUM COMPANY,
cross-defendant: Anthony W Benedict, Attor-
ney at Law, Bartlesville, OK.
JUDGES: VANESSA D. GILMORE,
UNITED STATES DISTRICT JUDGE.
OPINION BY: VANESSA D. GILMORE
OPiNION
*6161 ORDER
Pending before the Court are Plaintiffs’
cross-motion for partial summary judgment and
Defendants’ motions for summary judgment.
(Instrument Nos. 332, 300, 302 and 318).
Based on the submissions of the parties and the
applicable law, the Court finds that the Plain-
tiffs’ motion should be GRANTED and Defen-
dants’ motions should be DENIED.
1.
This action commenced as a cost recovery
suit by the United Slates and the State of Texas
(collectively, the “Government”) under Sec-
tions 104 and 107 of the Comprehensive Envi-
ronmental Response, (**13J Compensation
and Liability Act, 42 U.S.C. §,j 9604 and 9607,
(“CERCLA”), against companies that allegedly
released hazardous substances into the envi-
ronment. ‘The Government seeks recovery of
“all response costs, including the costs of re-
moval and remedial action, incurred by the
United slates and the State of Texas in response
to release and threatened releases of hazardous
substances from the Sikes Disposal Pits Site [ I
located in Harris County, Texas.” (Instrument
No. I, at 2). The Government also seeks a de-
claratory judgment that Defendants are liable
for any future response costs it incurs.
I Defendants include Atlantic Richfield
Company, Crown Central Petroleum
Corporation, Goodyear Tire & Rubber
Company, Occidental Chemical Corpora-
tion, Rohm and Haas Company, Shell OilS
Company, El Paso Tennessee Pipeline
Co., EPEC Corporation, EPEC Polymers,
inc., Tennessee Gas Pipeline Company,
Petro-Tex Chemical Corporation, Exxon
Corporation, Phillips Petroleum Com-
pany, and Vacuum Tanks, Inc.
I**14J According to the Government’s al-
legations, the 185-acre site in question was an
“unpermitted waste disposal facility” operated
by the Sikcs family from approximately the
mid- 1950’s to 1968. Id. During this lime,
chemical and oil-based waste from petrochemi-
cal plants, refineries, and 1*6171 other indus-
tries was deposited at the Site, which is located
in Crosby, Texas in the flood plain of the San
Jacinto River.
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Page 10
147 F. Supp. 2d 614, ; 2001 U.S.DisiLEXIS2I6I.
In 1980, the Environmental Protection
Agency (“EPA”) took samples from the site
and detected the presence of organic com-
pounds and heavy metals. Further testing in
1981 and 1982 revealed that the ground water,
surface water and soil of the site was contami-
nated with hazardous materials. In 1982, the
State of Texas joined the EPA and together ini-
tiated a remedial investigation and feasibility
study, which revealed several contaminated
areas. The sludge was found to be composed of
a variety of substances, including lead, cad-
mium, chromium, mercury, benzene, trichloro-
ethane, toluene, ethyl benzene, napthalene, and
fluorene, among others. Contamination was
detected to a depth of thirty feet.
In a September 1986 Record of Decision
(“ROD”), the EPA articulated the following
remedy: I**151
Onsite incineration of sludges
and contaminated soils;
Onsite disposal of residue ash
- use as backfill;
Ban use of upper aquifer on-
site, while naturally attenuating to
I 0c-5> Human Health Criteria
(less than 30 years);
Discharge contaminated sur-
face water 10 river, treat as neces-
sary to meet discharge criteria;
Monitor lower aquifer and
ban its use onsite if site degrada-
tion occurs. (ROD, Instrument No.
304 Exh I at 003412).
The Government devised plans and specifi-
cations for the site over a course of several
years. During the planning phase, in March
1988, the EPA erected fencing around certain
visibly contaminated portions of the Site. In
1989, the Government accepted bids for the
remedial action and awarded the contract to IT-
Davy in April 1990. IT-Davy was a joint ven-
ture between International Technology Corpo-
ration and Davy-McKee Corporation. IT-Davy
began working off-site in California and Okla-
homa, designing and manufacturing the incin-
erator to be used at the Site. In July 1990, IT-
Davy rented office space in Texas and began
organizing the operations of the project, hiring
subcontractors and finalizing work plans. The
State of’ Texas signed the contract [ **161 with
IT-Davy on July 27, 1990. IT-Davy began
working on-site in August 1990 when it began
surveying the site as called for by the remedial
action. Also in August 1990, IT-Davy, through
a subcontractor, performed mowing, or “bush-
hogging,” and clearing to prepare the site for
surveying. The clearing and surveying were the
only activities performed within the fenced-in
area at that time. (Instrument No. 308, Gerry
Darnell Dep. at 46). The subcontractor leveled
and widened a pre-existing dirt road as a tem-
porary access road to the Site and cleared a pad
for the construction trailers in mid-September
1990. In late September 1990, three temporary
office trailers were set up on the limestone pads
outside the fence and a generator and a diesel
fuel tank for the trailers were delivered to the
Sue and installed. Also at this time, air moni-
toring stations were installed on-site and full-
time security commenced..
October 10, 1990 was the effective date of
the State of Texas’s Notice to Proceed with on-
site work. The first shipment of major incinera-
tor components arnved on-site on May 30,
1991. The remedial action was completed on
January 6, 1995. The Government, through
state and federal agencies, I**171 spent more
than $ 125 million cleaning the site.
Plaintiffs and Defendants engaged in alter-
native dispute resolution beginning in 1*6181
late 1996 and resulting in mediation in 1998.
As part of the process, which was ultimately
unsuccessful, the parties agreed that the statute
of limitations would be tolled as of’ October 1,
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Page II
147 F. Supp. 2d6 14. ‘: 2001 U.S. Dist. LEXIS2I6I.’
1996. On February 12, 1998, the Government
filed this action seeking reimbursement from
Defendants. Defendants subsequently filed
third-party actions against twenty other poten-
tially responsible parties for contribution under
42 U.S.C. §5 9607 and 9613, among other re-
lated actions.
In June 2000, Defendants ‘ filed motions for
summary judgment, arguing that the “initiation
of physical on-site construction of the remedial
action” at the Sikes Site occurred before Octo-
ber 1, 1990, and that this action is therefore
time-barred pursuant to the six-year statute of
limitations under 42 U.S.C. § 9613(g)(2)(B).
(Instrument Nos. 300, 302 and 318). Defen-
dants argue that on-site construction of the re-
medial action began either on March 7, 1988,
when the EPA began building a fence around
the Site, or on September 29, 1990, by which
1”181 time Plaintiffs’ construction contractor
had commenced a number of construction ac-
tivities, including site clearing, and establishing
roads, trailers and air monitoring towers.
2 While Occidental Chemical Corp. and
Vacuum Tanks, Inc. filed separate mo-
tions for summary judgment, these de-
fendants agreed in a hearing conducted
August 25, 2000 that their motions were
similar in substance to that of “Common
Counsel Defendants” (Atlantic Richfield
Company, Crown Central Petroleum
Corporation, El Paso Tennessee Pipeline
Co., EPEC Corp., EPEC Polymers, Inc.,
Petro-Tex Chemical Corp., Tennessee
Gas Pipeline Co., Exxon Corp., Phillips
Petroleum Co., Rohm and Haas Co., and
Shell Oil Co.). Accordingly, the Court
will rely upon Common Counsel Defen-
dants’ motion.
On July 3, 2000, the Government filed a
cross-motion for summary judgment, arguing
that no on-site construction of the remedial ac-
tion took place before October 1, 1990. (In.
strument No. 332). This is more properly cast
as a motion for partial summary judgment, as
I**191 it only deals with the issue of limita-
tions. The Government contends that the fence
erected in 1988 was part of a removal action
and that its other activities prior to October
1990 were preliminary, pre-construction meas-
ures. Even if the events cited by Defendants
constitute initiation of construction, the Gov-
ernment concludes, there is a genuine issue of
fact as to whether they occurred on-site because
they occurred outside the fenced-in area. De-
fendants did not respond to the Government’s
argument that the 1988 fencing was part of the
removal rather than the remedial action.
In their response dated July 31, 2000, De-
fendants argue that the Government has im-
properly limited the term “remedial action” to
actions itemii cd in the ROD. (Instrument No.
371). Defendants contend that the site clearing,
surveying, and building erection activities at
issue were “consistent with permanent remedy”
and fall within the definition of remedial ac-
tion. With respect to Plaintiffs’ contention that
some of the activities occurred off-site, Defen-
dants argue that the fence did not change the
size of the Sikes Site but only marked the visi-
bly contaminated areas, meaning that just be-
cause the activities I**201 occurred outside the
fence does not mean that they occurred off-site.
Plaintiffs and Defendants filed reply and surre-
ply briefs, respectively. (Instrument Nos. 378
and 383).
H.
[ HN IJ Summary judgment is appropriate if
no genuine issue of material fact exists and the
moving party is entitled to judgment as a matter
of law. FED. R. CIV. P. 56. A fact is “material”
if its resolution in favor of one party might af-
fect the outcome of 1*6191 the suit under gov-
erning law. See Anderson v. Liberty Lobby.
Inc.. 477 U.S. 242. .106 S. Ci. 2505. 2510, 911..
Ed 2d 202 (1986); UnIted States v. Arron, 954
F.2d 249. 251 (5th Cir. 1992). An issue is
“genuine” if the evidence is sufficient for a rea•
-------
Page 12
147 F. Supp. 2d 614, s;2001 U.S. P1st. LEXIS2I6I,”
sonable jury to return a verdict for the non-
moving party. See Anderson, 106 S. C i. at
2510. If the evidence rebutting the motion for
summary judgment is only colorable or not sig-
nificantly probative, summary judgment should
be granted. See Id. at 2511; Thomas v. Barlon
Lodge, Lid., 174 F.3d 636, 644 (Sib Cir. 1999).
The summary judgment procedure enables a
party “who believes there is no genuine issue as
to a specific fact essential to the I**21 I other
side’s case to demand at least one sworn aver-
ment of thai Ispecific] fact before the lengthy
process continues.” Lujan v. National Wildlife
Federation, 497 U.S 871, 110 S. Ci. 3177.
3 188-89. 1)1 L Ed. 2d 695 (1990).
[ HN2] Under Federal Rule of Civil Proce-
dure 56(c), the moving party bears the initial
burden of informing the district court of the
basis for its belief that there is an absence of a
genuine issue for trial, and for identifying those
portions of the record that demonstrate such
absence. See Matsushita Elec. md. Co. v. Ze-
nith Radio corp., 475 U.S 574, 106 5 (.1.
1348, 1355-56. 89 L Ed. 2d 538 (1986); Burge
v. Parish of Si. Tammany, 187 F.3d 452, 464
(5th CIr. 1999).
[ HN3J Where the moving party has met its
Rule 56(c) burden, the nonmovant “must do
more than simply show that there is some
metaphysical doubt as to the material facts...
The nonmoving party must come forward with
‘specific facts showing that there is a genuine
issue for irial.’ Maisushiia, 106 S. Ci. at 1356
(quoting Fed. R. Civ. P. 56(e)) (emphasis in
original); Celotex C’oip v. CaIreil, 477 U.S.
317, 106 S. Ci. 2548, 2552, 91 L. Ed. 2d 265
(1986); (**221 EnZslrom v. Firsi Nail Bank,
47 F.3d 1459, 1462 (5th Cir. 1995). To sustain
the burden, the non-moving party must produce
evidence admissible at trial. See Anderson, 106
S. Ci. at 2514; see also Thomas v. PrIce, 975
F.2d 231, 235 (Sih Cir. 1992) (holding that “to
avoid a summary judgment, the nonmoving
party must adduce admissible evidence which
create’s a fact issue”)..
III.
The parties agree that the relevant date for
the statute of limitations analysis under CER-
CLA is October 1, 1990. in essence, Defen-
dants contend that setting up the construction
trailers and air monitoring towers, clearing the
site and improving roads, which took place in
September 1990, constitutes initiation of physi-
cal on-site construction of the remedial action.
triggering the six-year limitations period. The
Government argues that these activities were
preliminary in nature and did not all take place
on-site.
[ HN4] CERCLA is “a broad remedial stat-
ute that was designed to enhance the authority
of the EPA to respond effectively and promptly
to toxic pollutant spills that threateni] the envi-
ronment and human health.” B.F. Goodrich Co.
v. Mwiha, 958 F.2d1192, 1197(2dCir.!992).
f**231 As a remedial statute, CERCLA should
be construed broadly in order to give effect to
its purposes. See B.F. Goodrich v. Beikoski, 99
F.3d 505. 514 (2d Cir. 1996). In addition to
“facilitating efficient responses to environ-
mental harm, holding responsible parties liable
for the costs of the cleanup, and encouraging
settlements”, Ed, CERCLA seeks to shift the
cost of environmental response from taxpayers
to those entities who benefited from the illegal
release of pollutants. OHM Remedlation Servs.
v. Evans Cooperage Co., 116 F.3d 1574, 1578
(5th !r. 1997). 1*6201
[ HN5] The starting point for construing a
statute is the statutory language itself. South-
eastern Community College v. Davis, 442 US.
397, 99 5 Ci. 2361, 2366. 60 L. Eti 2d 980
(1979). CERCLA provides that an action for
response costs for a remedial action as here
must be brought within six years after “initia-
tion of physical on-site construction of the re-
medial action.” 42 U.S.C § 9613(g) (2) (B). This
wording is less than optimal, given that reme-
dial actions are not necessarily constructed, and
the statute does not provide a great deal of
-------
Page 13
147 F. Supp. 2d 614. ‘:2001 U.S. Disi. LEXIS 2161.”
guidance. The terms (**241 “physical,” “on-
site,” and “construction” are not defined in the
statute. The regulations implementing CER-
CLA define construction as “erection, building,
alteration, repair, remodeling, improvement, or
extension of buildings, structures or other prop-
city.” 40 C P.R. f 35.6015(a) (1 1).
[ HN6J CERCLA defines the phrase “reme-
dial action” to be “those actions consistent with
permanent remedy taken instead of or in addi-
lion to removal actions . . . to prevent or to
minimize the release of hazardous substances..
.“ 42 U.s.c § 9601(24). The statute goes on to
give a non-exhaustive list of remedial actions,
including “storage, confinement, perimeter pro-
tection using dikes, trenches, or ditches, clay
cover, neutralization, cleanup of released haz-
ardous substances and associated contaminated
materials, recycling or reuse, diversion, segre-
gation of reactive wastes, dredging or excava-
tions, repair or replacement of leaking contain-
ers, collection of leachate and runofl onsite
treatment or incineration, provision of alterna-
tive water supplies, and any monitoring rea-
sonably required to assure that such actions
protect the public health and welfare and
1**251 the environment. . .“
IHN7I Statutes of limitation are to be con-
strued strictly when applied to bar the Govcrn-
ment from pursuing an action. Badaracco v.
CommIssioner, 464 US. 386, 104 S. C i. 736. 78
L Ed 2d 549 (1984). While there is no bright-
line rule to define what actions trigger the limi-
tations period, courts have employed a four-
part test to determine when “physical on-site
construction of the remedial action” takes
place. Cal jfornia v. Hyampom Lumber Co.,
903 F Supp. 1389. 1391-1392 (ED. Ca!.
1995). The activity must be “physical,” in that
it cannot consist of planrnrig, meeting or merely
observing the site. See Id. Second, the activity
must be “on-site,” as opposed to construction
that takes place in a factory or other site. See Id.
Third, the actions must be part of the “construc-
tion of the remedial action.” Id Finally, the ac-
tivily must be the “initiation of the remedial
action. Id. Case law from other district courts
indicates that the term “construction” excludes
preliminary and tentative physical, on-site ac-
tivities that are related to the remedial action,
but are not part of its construction. Illinois v.
Grlgolelf C’o.. 104 F. Supp. 2d 967. 973
1!!. 2000.); (**26 1 Louisiana v. Braselman
Corp., 78 P. Supp. 2d 543, 549 (E.D. La.
1999); Hyampom Lumber, 903 F. Supp. al
1392.
While Defendants did not respond to the
Government’s argument about the fencing
erected around the contaminated portions of the
Site in 1988, the Court will address this matter
first. While fencing is clearly physical and on-
site, it is not part of the construction of the re-
medial action and does not constitute initiation
of the remedial action. First, “security fencing”
is included among items relating to a removal
action, rather than a remedial action. See 42
USC. § 9601(23). The record reveals that the
fencing was put up to keep nearby residents out
of a hazardous area, not as part of the remedial
action. (Community Relations Plan, Instrument
No. 306, Exh 18 at LAN 015992); See (‘6211
Hyampom Lumber, 903 F. Supp. al 1393 (find-
ing security fencing to be part of removal rathcr
than remedial action). Second, there was a lag
of over two years between the fencing and even
selecting IT-Davy as the contractor, let alone
engaging in other on-site construction-related
activities. This leads to the conclusion I ”27J
that the fence was at best only tenuously related
to construction of the remedial action and, in
any case, represented a preliminary and tenta-
tive action.
Similarly, the perimeter air monitoring plat-
forms are more consistent with a removal ac-
tion than a remedial action. These platforms
were erected for the purpose of obtaining base-
line air quality results prior to commencement
of on-site construction and to evaluate the
health and safety conditions for the area the
surveyors would be working. (Plaintiffs’ Sup.
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Page 14
147 F. Supp. 2d 614, :200 1 U.S. Disi. LEXIS 2161.
plemental Answers to Dcfcndanis’ First Inter-
rogatories. Instrument 304. Exh. 5 al 2: Instru-
ment No. 308, Thomas Davis Dep. at 65).
[ I-1N8] Actions taken to “monitor, assess and
evaluate the release or threat of release of haz-
ardous substances” are considered removal ac-
lions under CERCLA. 42 U S.C. § 9601(23).
The platforms were listed under the remedial
action. (Instrument No. 308, Carl Edlund Dep.
at 136). However, while “monitoring reasona-
bly required to assure that [ remedial] actions
protect the public health” appears in the defini-
tion of remedial actions, this would appear to
refer to monitoring undertaken in the course of
or after the completion of a remedial l**28J
action, not prior to on-site construction. See 42
U.S.C. § 9601(24). Construction undertaken to
permit monitoring or assessing prior to initia-
tion of the remedial action, therefore, is not
construction of the remedial action. Accord-
ingly, the erection of the fence and the air
monitoring platforms were preliminary site
preparation activities and did not represent ini-
tiation of physical on-site construction of the
remedial action.
The construction-related activities that took
place outside the perimeter fence present more
complex issues. Road improvement for tempo-
rary access, site-clearing, electricity installa-
tion, and placement of construction trailers are
clearly physical activities. Plaintiff’s protesta-
tions to the contrary notwithstanding, these ac-
tivities took place on-site based on the numer-
ous descriptions of and maps of the Site. ‘The
issue is whether these actions constitute initia-
tion of the “construction of the remedial ac-
tion.” Specifically, whether these activities
triggered the limitations period revolves around
whether these activities, while related to the
remedial action, were too preliminary and ten-
tative to be considered an initiation I**291 of
construction. Defendants stress that these ac-
tivities were construction by the terms of the
remedial action and by the EPA’s definition and
were “consistent with permanent remedy.”
3 James Feeley, a project manager for
the Texas Department of Water Re-
sources at the Sikes Site testified that the
National Contingency Plan defined the
site as the extent of the release and any
proximate areas needed to address the re-
lease. (Instrument No. 308 at 70-71).
This definition would include the area
outside the fence where the trailers were
placed and the temporary access road be-
cause these areas were used to mobilize
the site and address the release by prepar-
ing for the remedial action.
The Seventh Circuit has held that placing a
“lift” of clay on-site for construction of a clay
cap triggered the limitations period under
CERCLA. United States v. Navislar Int’l
Transport. Corp., i52 F3d 702, 713 (7th Cir.
1998). The court did not reach the issue of
whether connection of utilities, setting up trail-
ers; 1**301 constructing an access road or
clearing the site to prepare for the clay cap was
sufficient to 1*622) trigger the limitations pe-
riod. id. at n. 19. Construction of the clay cap
was specifically listed as the remedy in the re-
medial action for the site, as well as in the dc li-
nition of “remedial action” contained in the
statute. Id. al 711, 713. Because the remedial
action called for the construction of a clay cap,
the court reasoned, the initiation of that con-
struction began with the delivery of clay to the
site. Id. at 713.
Unlike delivery of the materials for the clay
cap in Navisiar. the remaining activities at is-
sue are tertiary to the selected remedial action
here, the incineration and on-site disposal of
the hazardous wastes. The site-clearing that
took place before October 1, 1990 was for the
immediate purpose of surveying the Site, not
for construction of the remedial action. (In-
strument No. 308, Joe Adams Dep. at 67-71;
Gerry Darnell Dep. at 45-46). The purpose of
the clearing is underscored by the fact that it
consisted largely of brush removal. If the site
had been cleared for assembling the incinerator,
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Page IS
147 F. Supp. 2d 614, ‘;2001 U.S. Disi. LEXIS 2161,
for example, the activity would be less re-
moved from the goal l**31l of the remedial
action. However, the purpose behind the site-
clearing was to allow for surveying, which is
not construction. Surveying preparations cannot
constitute initiation of physical on-site con-
struction of the remedial action.
The road improvement, the placement of
the trailers and the electric generator for the
trailers are also too removed from the remedial
action to constitute initiation of its construction.
While these site preparation actions were
physical, constituted construction work consis-
tent with the permanent remedy, and occurred
on-site, they were preliminary and were not
critical to the incineration and backfill of haz-
ardous wastes. By contrast, the installation of
utilities were found to trigger the statute of
limitations in Hyampom Lumber, in part be-
cause they played a “critical role” in the im-
plementation of the permanent remedy, includ-
ing fire control, dust suppression, steam clean-
ing, and lighting. 903 F. Supp. at 1393-1394.
Here, the trailers would play a lesser, adminis-
trative role in the remedial action and the elec-
tricity would be for the trailers, not the entire
site as in Hyampom Lumber. Road improve-
ment for the temporary access (**321 road was
consistent with construction of the remedy, but
such activity is tentative and preliminary and
does not represent initiation of physical on-site
construction of the remedial action. Installation
of utilities comparable to those found to trigger
the statute of limitations in Hyampom Lumber
were not installed until March 1991.
As discussed previously, these activities
occurred on-site. However, it is notable that
none of them occurred in the fenced-in area
where the incinerator was to be constructed and
the soil incinerated and disposed of. It is diffi-
cult to imagine construction of the remedial
action being initiated outside the main con-
taminated area.
Defendants make much of the fact that the
activities at issue were considered to be con-
struction for purposes of the wages paid to
workers and were construction under EPA
definition. First, it is problematic to import
definitions from foreign statutory schemes,
even if the EPA and the State of Texas cm-
ployed these definitions in the remedial action
to determine how construction workers were to
be compensated. The regulations promulgated
pursuant to the Davis-Bacon Act, 40 U.S.C i
276a, which l**331 provides minimum 16231
wage protections under federal contracts, de-
fine “construction” as “all types of work done
on a particular building or work at the site
thereof by laborers and mechanics employed by
a construction contractor or construction sub-
contractors ...“ 29 C.F.R. § 5.2(f). The purpose
of the statute is to “protect communities and
workers from economic disruption caused by
outside contractors underbidding local wage
levels to obtain federal construction contracts.”
(EPA Memorandum, Instrument No. 307, Exh.
91 at 3). To this end, unlike the wording in
CERCLA’s statute of limitations, the Davis-
Bacon Act defines “construction” broadly
without regard to the aim of the construction.
Under this definition, nearly all activity per-
formed by workers would be considered con-
struction, whether it was remedial or removal.
critical or peripheral. Taking the word out of
context by looking at the EPA’s regulation’s
definition of “construction” of the statute is also
of limited utility. For purposes of the statute of
limitation, the construction must be the on-site
“initiation of the remedial action.” Without
these modifiers, the term is again too broad, not
differentiating **34J between preliminary ac-
tions and these activities that are closely tied to
the remedy.
4 While the site preparation activities
are labeled “construction” for wage clas-
sificalion purposes, (Instrument No. 307,
Exh 99 at 2), the EPA considered con-
struction to have begun as of the effec-
tive date of the notice to proceed, Octo-
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Page 16
147 F. Supp. 2d 614, S; 2001 U.S. Dist. LEXIS 2161, ‘
ber 10, 1990. (Remedial Action Report, NIED. PlaintifFs cross-motion for partial
Instrument No. 304, Exh 6 at 003494). summary judgment is GRANTED.
Because the fencing, clearing, road im- The Clerk shall enter this order and provide
provement and platform and trailer placement a copy to all parties.
were not “initiation of physical on-site con- SIGNED on this the 18 day of January,
struction of the remedial action,” the statute of 2001, at Houston, Texas.
limitations was not triggered beforc October 1,
1990 and this action is not time-barred. Defen-
VANESSA D. GILMORE
darns’ motions for summary judgment are DE-
UNITED STATES DISTRICT JUDGE
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RUN DATE: 03/20108 U.S. ENVIRONMENTAL PROTECTION AGENCY PAGE 1 OF 63
CERCLIS 3
SUPERFUND COST RECOVERY STATUTE OF UMITA1IONS REPORT
OPERABLE TAKEOVER PLAN ACTUAL ACTUAL
SITE NAME UNIT ACTION STATUTE FLAG START START COMPLETE
REGION:09
,SI1PU GUijl) ii - A 00 RVOO1 5/6/2002 5/20/2002 SF30/2002
$UPLP.FVMI) I9 TL B 00 RVO OI 9130/1999 3/4/1999 1/8/2001
00 SBOO1 1/19/1993 1/19/1993 3/19/1993
00 RV O O1 T 1/14/1993 1 1411993 1/19/1993
I1 ACO O2 9/2112005
00 BB OO1 4/30P2002 4/15/2002 5/712002
00 RV OO1 T 4 15 12b02 412/2002 513/2002
Si.’P &F’JNT) £ l1 - 6 00 BB OO1 10/1412000 1W1 000 10/1812000
£VPtIATI) £IT .- F 00 BB O O1 . 1014/2000 ioiior2ooo
5uP -R4 cNJ1) flE & 00 88001 12/1812000 1/4/2001
tSUP 424 jt4D £iT - It 00 AVOO 1 11/8(2000 iiIer ooo
L PfP 1 ND 5 1’e . .t 00 vooi uw2ooi 11812001 2123 /2001
8uf’ jUi)r41 8LTE.. T 00 AVOO 1 9/8/2000 11/8(2000
5up 41Li Jb &T .-t L 00 RV O O1 9 ( 30/1984 8/9/1984 8122/1984
‘t94t”JD T -L— 00 BBO O1 10/1/2008 10/11/2006 11/5(2007
g4 j JD G STE- M 00 RV O O1 613011987 5/6/1987 11/17/1987
. v4OAlP i - N 00 BB OO1 7/2212002 8115/2002
vp 1U tNc’ Szl O 00 RVO O1 2(25/1992 3/2/1992 7/1611992
Up (2 )t11) L1t f) 00 B8001 1/11/2005 3/30/2005
00 RV O O1 1/4/2005 1/512005 3t30/2005
AVOO1 3/26/1992
AVOO3 8/4/1997
01 BE OO1 9/30/1991 6111/1991 9/1 1/1991
01 BF O O1 9(3011991 9/11/1991 9/16/1993
01 BF O O2 11/30/2012
01 R0001 9/11/1991
bJtJt>.5i1 . f AVOO1 3/26/1992
AV O O3 8(4/1997
01 BE OO I 9130/1991 8 129/1991 8126/1991
01 SF001 9/30/1991 8/26/1991 3(25/1992
01 BF O O2 11130/2012
01 R0001 8/26/1991
I) &h)s I . 1L5 00 BB O O1 913011989 611/1989 6114/1990
1 )p s E-’r) I ET - 00 BB001 7/20)2006 11(8/2006
00 RV O O1 T 5/31/2008 5/1/2008 5/9/2006
uP gF nJJ) Si1 IA. 00. RV O O1 5/1911987 5/19/1987 7131/1987
4FUtJD Li IE V C0001 9/30/1988 9/8/1988 6 / 23(1989
ACTION ; AC: Admin Order on Consent DD: Cost Recovery Decision Document
AV: AdmliWoluntary Cost Recovery JG: JudIclatICIvIl Judgment - RO: RA On-site Construction
SB: PRP Removal Li: Utigatlon (Generic) RD: Remedial Design
BE PRP RD LV: F Removal RO: Record Of Decision
BF: PRP PA LX: F RD RV: Removal
CD: Consent Decree LY: FF RA SV: Section 107 Utlgetlon
CL: Section 109/107 Utlgatlon RA Remedial Action
-------
REGION IX SUPERFUND STATUTE OF LIMITATIONS REPOR 01117108
Do Not Release’
SITES WITH FY08 AND LATER POTENTIAL SOL DATES (IN CHRONOLOGICAL ORDER):
POSSIBLE
PLAN ACTUAL ACTUAL SOL HQ Tamet comments In Bold Type A1TYIRPM OR
SITE NAME OU EVEI START START COMPLE DATES COMMENTS ENF. OFFICER
Sloppy HousekeepIng 00 RVI 03 119I04 10108/04 10107107 Writeoff addresses cost recovery. Ben Franklin/Adams
Tub ‘0 Oil 00 RVI 10/18/04 11/12/04 11111/07 Writeoff addresses cost recovery. Ben Franklin/Adams
MinIng Wastes ‘R Us 00 RV1 11/03/03 12/08/04 12/07/07 HO FY07 TargeLWrlteoff addresses WashingtonlUncoln
cost recovery.
We Recycle UR Drums 00 BS1 04/14/04 01/10/05 01/09/08 Settlement covers cost recovery. Washington/Lincoln
Head over TaIls Tailings 00 RVOI 01/25/04 02/04/05 02/03/08 HQ FY07 Target.Wrlteoff addresses Jefferson/Tolstoy
cost recovery.
Lucky-We’re-Gone Mine 01 BF7 07/30/04 02/16105 03(31/08 HQ FY08 Target. Planned Ben Franklin/Adams
settlement.
Lucky-We’re-Gone Mine 01 BB6 07128/03 02/18/04 03131/08 HQ FY08 Target. Planned Ben Franklin/Adams
settlement.
Lucky-We’re-Gone Mine 00 BB2 07/27/01 09/30/01 03/31/08 - “ Ben Franklin/Adams
Lucky-We’re-Gone Mine 00 BB4 07/05/01 11(27/02 03/31/08 “ “ Ben FranklIn/Adams
Lucky-Were-Gone Mine 00 BB3 07/19/00 11/01/00 03/31(08 “ “ Ben Franklin/Adams
Lucky-We’re-Gone Mine 00 BB5 07/11102 02(27/03 03/31/08 “ “ Ben Franklin/Adams
Oops We Spilled AcId 00 BBI 01/04/05 01/05/05 03/29(08 WrIteoff addresses cost recovery. Roosevelt/Clarke
So Sorry I Dumped, Inc. 00 RV1 04/11/05 04/15/05 04/14/08 No costs Incurred so no action CheckofflCheckmate
needed.
Mercury Disposals Cheap 00 RV1 03128105 04/18/05 04/17/08 Writeoff addresses cost recovery. Periodic/Table
Dump and Run. Inc. 02 BD4 06/02/00 04/28/05 04127/08 Prior year CD covers cost recovery Nixon/Bernstein
‘ ad 01 BEI 11(14/03 04/28/05 04127/08 HO FY08 Target. Planned Studebaker/Edsel
settlement
Moth Lab #10,001 00 RV2 06 (01104 11/24/04 04/30/08 HQ FY08 Target. Planned Money/Troubles
settlement.
Shiny Chrome 00 BB1 02/07/05 05102/05 05/01/08 Planned writeoff Fllntstone/Rubble
-------
NOTES
-------
-------
PRP Search Benchmarking
-------
NOTES
-------
-------
Property Law
-------
Institutional Controls at the
Jones Sanitation Superfund
Site, Hyde Park, New York
By Carot Bems, Esq.
EPA, Region 2
bems carclOepa gov
Jones Sanitation Site
• United States v. Alfa Laval, et al.
• RD!RA CD for cap over disposal area wI
model CD institutional controls provision
• CD entered February 4, 1998
• Environmental Easementl restrictive
covenant signed and filed September
2004
-------
.1l
-------
Local counsel unfamiliar wI model
easement
• Model easement provided as part of CD
• Numerous issues arose when PRPs tried
to redraft the easement
Problems in Finalizing the Jones
Easement/Covenant
• PRPs Didn’t Take ICs
Seriously
• LocalCounsel
Unfamiliar wIEPA
Model Easement
• Title Co. Balked
• Survey Incorrect
• Owner Needed
Special Conditions on
Future Use
PRPs didn’t take ICs seriously
• 2 PRPs involved — owner/operator and
generator - Alfa Laval
• 0-Os attorney ignored numerous letters
re. lCs
• Original proposed easement drafted by
technical consuftant
-------
Title company balked
• Chicago Title had insured EPA model
easement in NY before
• Local broker very cautious
• Didn’t think was insurable interest
Survey incorrect
• We measured out the metes and bounds
description ourselves and found
inaccuracies
• Need to check easement description and
title insurance description
Final filed easement has special
conditions
• Special conditions
• Continued uses
— Access to road
— House and mobile home
— Use of septics
— Use of common well
-------
Easement conditions cont.
Lessons Learned...
PLAN A r*o
• GET RIGHT PEOPLE
INVOLVED
(Attorneys)
• BE PROACTIVE
(give EPA guidance)
• SWEAT THE
DETAILS - verify the
property descnption
• Future uses
—Additional buildings
— New wells outside cap area - subject to EPA
review and evaluation of criteria
-------
Institutional Controls Update
National PRP Search Conference
May 2008
IC ’s Defined
• iCa ore non-engheered dreIriisbett e cr leqal controls that kelp to
nedmlze the pdiential far human exposure to contamination endlcr
prate the Irteg!Uy a la remedy
• Llrvdling land ar.eaowce me
a Providing bifaimallon to modify behavior
• Favrgnealro lsgaiuseallCs
a Govenvnantal Ccnbds
-Zorlig. bidinhig penr us. adkwa.
p_la
-Eaunaal sdi wwun.n etihaoyanvalaila
a Enfascemerd and Pemift Tools with IC Components
Infomisilonal Devices
-D.wi nalins. gavenanud lamy
Critical iC Challenges
• CERCLA Section 104Q) provides useful but ibrilted
acquisition authoilty
• State assurances required
• Real property common law - UECA
• Real property practice - recordatlon requirements, thaln
of title (priolity issues) mapping (parcels vs.
contaminant/cap locations)
• Role of local governments — land use declslons permit.
zoning and ordinance systems, mabitain key records
(e.g., recorder c i deeds, survey plats)
• Enforcement - ICe themselves typically enforced by
parties other than EPA (I.e., need to arIfy roles and
responsibilities)
I
-------
Update on Key Efforts
• Final and Draft Policy Guidance
EPA aces program guidance for IC Ifecyde (evaluating.
selecting. kngismentmg. monhtodeg. and enfadng)
,Enfo,vement First for ICe — Mardi 2006
3 d Party Beneildary Rights In Piqidetoy Cantrds- AprIl 2004
• Reliable and Effedive ICe at RCRA FadhhtIes -June 2007
a Eellmating Life C)de Costs - In progress
a Implementation and Assurance Plane - In progress
a RevIsions to the model RD!RA CD - In progress
• Gathering I PuhtllsNno IC Data - ICTS real properly and
enforcement doassenis, manenement tool
• c nmw11catlorU ducetIon - IC Koundlaide, BF Conference.
.IAfl a &e1,sfl.r.
Enforcement First for Institutional
Controls. March 2006
• ant eat epproedi for ICe end Poet Const,utiion
• EPA WMSIO evens that dam PRPs.enammn sesparmdil fertIle
.ndresoM starry
• Indudlng.
—Studlee and evakamliane of IC . (e.g., mitten end futwe land
uses)
—Analydng reel property Ma lnfomration. amid reeoMng leamara
• Diemnees model RDIRA CD preutelone that ensure IC. endlor PCC
ecintilee ate oaithjded
Implementing ICs under Model
RDRA Consent Decree
Provisions b c
• Assuring the Implementation of propnletaty controls
• Assisting EPA s efforts to secure governmental controls
• Conducting any studies and InvestigatIons as requested
by EPA - Periodic Review
• Maintenance of remedy perfurmance standards and
remedy effectiveness -Includes IC Implementation
(required In original or modified SOW antler work plans)
• Conducting further response actions! additional work
2
-------
IC Revisions to Model RDIRA CD
Clarify Settling Defendants responsiblUtles for IC
Implementation and assurance:
.Def es terms: Institutional controls, real property.
transfer
Clarifies notice to successors-In-title I transfer
a Indudes ICIAP requirements - Incorporated Into SOW
a Indudes third party beriefidary, UECA and title
evidence requirements
Implementing the EPA IC Strategy
SCTh sn EPA W.bsi 1SF $ Pv ss (as c i frç# 15. 0$)
00$ 00.0% $ s I ICTh Ivs basil ,w.4.wsd
11$ 10.0% I sInCThnasd ba,S 4asuSd
00 3.4% asad si*v n IC
cc U, vw..
01 Ii. Sal sass ,.ylsw.d
3 0$.7% $I s Ms. bess pial.llsd ssd *ad b s O. pi ss
00 7.3% $ I bass r.vIu d• no pi Sc kd........&..n U ss
0$ Si. .O.s psalIshsd wali a mb bep ISC v ast
150 I,sOI& 5on Cei N n rs áid
27$ InsOkasi Co,*sa e md Ic c SO. sO. nk I c noasd)
315 Iiwtk Ccc —- ..c lmd SO. dIc (Msd & I iaTsiid)
57 Ho P , Ic IvO.oi n AvsIO.U M SO. e li.
UECA
3
-------
How do PRP ..arch offorti relat. to
IC Implementation?
•ICs needed at adJacent/contiguous property
owners and scope of PRP search
•PRP search title evidence can be used as basis
for future remedy decisions (e.g.. easement
locations)
•Sample title search SOW and regional
experience
•Use of GPS I newer mapping technologIes
4
-------
ZYKAN LANDFILL
IN REM ACTION
Cheryle Micinski
Chief, Superfund Branch
Region 7
Background
• Solid Waste Landfill (Zykan -
unregulated) next to Hazardous Waste
Landfill (RCRA Interim Status)
• Both owned by Bob and LaVeme Zykan;
operated by Bob. LaVeme left as only
owner after Bob’s death
• No known generator or transporter PRPs
at Zykan; no 0 & M
EPA Action
• Releases of hazardous substances occur
at Zykan
• EPA conducts removal — cost = $620,000
• EPA files Section 107(l) lien on the landfill
property
• Mrs. Zykan only PRP; appears to be ATP
• SOL looming
I
-------
Cost Recovery
• Updated PRP search reveals no PRPs
otherthan Mrs. Zykan
• Section 104(e) request documents her
inability to pay. Only asset is the property.
• EPA refers to DOJ asking for in rem action
• DOJ files complaint requesting
— Judgment to US for response costs
— Sale of property; apply proceeds to EPA ’s
costs
RESULTS
• U.S. v. LaVeme Zvkan and 120 Acres of
Land
• Mrs. Zykan agrees to Stipulation and
Order entering judgment in favor of the
U.S.
• Proceeds from any sale of the property will
be used to satisfy EPA’s lien.
2
-------
Case 4:07-cv-01860-DJS Document 1-1 FlIed 10131/2007 Page 1 of 11
IN ThE UNITED STAThS DISTRICT COURT
FOR THE EASTERN DISTRICT OP MISSOURI
EASTERN DIVISION
UNITED STATES OF AMBRICA, )
Plaintiff,
)
v. ) cIVILACTIONNO.
)
LAVER}1E A. ZYKAN, both as Trustee )
and In her personal capacity, and )
I2OACRESOFLAND,MoreorLess, )
located in Warren County, Missouri, )
)
Defendants. )
YFJEDCOMPLMNT
• Plaintiff United States of America, on behalf of the Administrator of the Environmental
Protection Agency (EPA), alleges as follows:
INTRODUCfIO?
1. Thisisacivilactionfor
a. recovery of costs, pursuant to Section 107 of the Comprehensive
Environmental Response, Compensation and Liability Act of 1980, as
amended by the Superitind Aniepdments and Reauthorization Act of 1986
(CERCLA), 42 U.S.C. § 9607, that the United States has incurred in
connection with the release or threatened iuIea e of hazardous substance
into the env ouuLent at and from a facility owned by LaVerne A. Zykan
(Zykan), located approximately three miles southwest of Wright City,
Missouri (the Site); and
-------
Case 4:07-cv-01860-DJS Document 1-1 Filed 10/31/2007 Page 2 of 11
b. recovery in rem of the costs 1 pursuant to Section 107(1) of CERCLA, 42
U.S.C. § 9607(1), constituting the Federal lien against the real property
comprising the Site.
JURISDICJ’ION AM) VENUE
2. This Court has jurisdiction over this action pursuant to Sections 107(a), 107W(4),
and 113(b) of CERCLA, 42 U.S.C. if 9607(a), 9607(1X4), and 9613(b), and pursuant 1028
U.S.C. § 1331 and 1345. This Court has jurisdiction over the property that Is the subject matter
of the in em action pursuant to Section 107(0(4) of CERCLA, 42 U.S.C. § 9607(l)(4) , 28
U.S.C. § 1655, and Federal Rule of Civil Proãdure 4(n).
3. Venue is proper in this dlstrlctpursuant to Sections 107(1)(4) and 113(b) of
CERCLA, 42 U.S.C. if 9607(1)(4) and 9613(b), and pursuant to 28 U.S.C. if 1391(b), 1391(c),
and 1395, because the releases or threatened releases of hazardous substances occurred In this
district because the removal action which led to SPA’s incurrence of response costs occurred in
this district, and because the Site is lea ted in this district,
DEFENDANTS
4. Defendant LaVerne A. Zykan (Zykan) is a person within the meaning of Sections
101(21), 104(a) and 107(a) and (1) of CERCLA, 42 U.S.C. if 9601(21), 9604(a) and 9607(a) and
(1), and is the owner of the Site and an owner of a facility at the lime of the disposal of hazardous
substances at the faitility.
5. Defendant 120 Acres of Land, More Or Less, located in Warren County, Missouri,
isthesubjectoftheUnitedStates’ inremclaiminthisaclionandincludcstheSiteandadjo lning
property.
AGE 2- COMPLAINT.
-------
Case 4:07-cv-01860-DJS Document 1-1 FIled 10/31/2007 Page 3 of 11
TIlE MJJ!
6. The Site is located at 1252 Muenz Road, approximately three miles southwest of
Wright City, Missouri. It is commonly known as the Z lcan Property, and inchides the following
described parcel:
Southeast quarter of the SoUthwest quarter, the south three-fourths of
the Northeast quarter of the Southwest quarter, and the Southwest
quarter of the Southeast quarter, all in section 32, Township 47 North,
Range I West.
Also the west one-fourth of the Northwest quarter of the Southeast
quarter of Section 32, Township 47 North, Range I West, containing
10 acres, more or less, and more particularly described as follows:
Beginnbig at the Northwest corner of the said Northwest quarter of
the Southeast quarter, thence east 111 yards; thence south the length
of 40 acres, thence west 111 yards to the quarter Section corner;
thence north along the east line of the Northeast quarter of the
Southwest quarter to the place of begimiing, Containing in the
aggregate 120 acres more or less.
The Site also includes any other location at which hazardous substances have come to be
located.
7. The Site Is a dility within the meaning of SectIon 101(9) of CERCLA, 42 U.S.C.
§ 9601(9). Zykan and her husband, now deceased, bought the real property at the Site on or
about 1972. Zykan has owned the property, individually or in trust, since approximately 1982.
Zykan, individually or in frust, currently owns the property.
RESPONSEACJ1ON
8. In August 1996, the Missouri Departmept of Natural Resources (MDNR), which
bad previously been monitoring the Site, conducted an integrated Preliminary Assessment/Site
Investigation, under a cooperative agreement with EPA. MDNR collected samples of the
PAGE 3- COMPLAINT
-------
Case 4:07-cv-01860-DJS Document 1-1 Filed 10/31/2007 Page 4 of 11
leachate, which was flowing from a cen a1 portion of the Site’s southern slope, and samples
from several partially exposed 55-gallon drums at the Site.
9. The m orlty of the containers wei buried in two areas of the sanitary landfill.
Many containers were In poor, deteriorated óondition and had leaked their contents. Sonic of the
drums and containers were mated, and there had been spills of chemicals at the Site. The
samples collected during the investigation were analyzed and the results indicated the presence of
hazardous substances, including hâavy metals, volatile organic compounds, and send-volatile
organic compounds. The material taken from samples of the drums failed flash point analysis,
classifying the material as ignitable hazardous waste.
10. Leachate oozing from the sanitary I ndfifl at the Site flowed to a creek, which
flows off the Zykan property to Lake Lucern, less than a mile away.
11. EPAinitiated aremoval site assesamentinNovember 1996, Inwhich it identified
the areas of suspected drum burial. EPA subsequently reviewed the health and environment risks
associated with the Site, including an evaluation of the existing groundwater network.
12. Based on the site investigation, EPA determined that actual or threatened releases
of hazardous substances at or from the Site presented an imminent and substantial endangerment
• to public health, welfare or the envizonm nt Thereafter, EPA initiated a removal action in
response to the actual or threatened releases of hazardous substances at the Site pursuant to
Section 104 of CERCLAJ 42 U.S. C. § 9604.
13. Chemicals present at the Site, considered hazardous.substances within did
mennh g of Section 101(14) of CBRCLA, 42 U.S.C. § 9601(14), 40 C.F.L §302.4, included
PAGE 4- COMPLAINT
-------
Case 4:07-cv-01860-DJS Document 1-1 Filed 10/31/2007 Page 5 of 11
arsenic, barhun, cadmium, chromium, lead, beuzcne, tohiene, ethylbcnzene, total xylenes,
phenol, and the herbicIde 2, 4-D.
14. EPA completed all removal activities at the Site on or after August 1999. The
removal action included repair of the landfill cap, removal and disposal of several exposed
drums, and stabilization of the Site to prevent erosion.
F DERALJJ1EN
15. In conducting the emergency removal activities, EPA incurred costs for which
Zykan is liable. These costs constitute a lien agairmst the meal.property comprising the Site
because that property belongs to Zykan and is subject to or affected by a removal or remedial
action.
10. On or about January 18,2005, EPA provided written notice of the lien to Zykan
and requested her to noli1 EPA if she believed EPA did not have a reasonable basis upon which
toperfectthelien. EPAalsonoifiedZykanthatshecouldrequestameetingwithaneutralEPA
official to present any Information she had to indicate EPA did not have a reasonable basis upon
which to perfect the lien. Zykan Iid not request a meeting In her response.
• 17. On or about March 21,2005, EPA pertbcled alieñon the real property of the Site
fbr EPA’s costs in connection with the Site.
STA ThJTORY BACKGROTJND
18. Section 107(a) of CER.CLA, 42 U.S.C. § 9601(a), provides, In pertinent part
Notwithstanding any other provision or nile of law, and subject
only to the defenses set forth in subsection (b) of this section—
(1) the owner and operator of a vessel or a facility,
(2) any person who at the time of disposal of any
hazardous substance owned or operated any fa cility
PAGE 5- COMPLAINT
-------
Case 4:07-cv-01860-DJS Document 1-1 FIled 10/31/2007 Page 6 of 11
at which such 1i rdous substances were disposed
of;
(4) .. ..shallboliablefbr—
(A) all costs of removal or remedial
action incurred by thb.Unl ted States
Oo vernment. . . not inconsistent
with the national contingency plan
19. As of Februaiy 19, 1999, the United States has incurred at least $619,000 in
response costs, not including prejudgment Interest, in connection with the Site.
20. There have been releases or a substantial threat of a release of hazardous
substances at the Site, within the meaning of Section 101(22) of CERCLA, 42 USC,
§ 9601(22).
21. EPA had a reasonable basis for its belief that there was a release and that there
existed a threat of a release of a h wdous substance, pollutant or contaminant at the Site. The
release or threatened release of hazardous substances Into the environment was determined and
documented by EPA.
22. Zykan is an owner of the Site within the meaning of SectIons 101(20) and 107(a)
of CERCLA, 42 U.S.C. § 9601(20) and 9607(a). Therefore, she isin one of the liable party
categories in CERCLA 107(a).
PAGE 6- COMPLAINT
-------
Case 4:07-cv-01860-DJS Document 1-1 Fded1013112007 Page 7 of 11
! IRST CLAIMFOR RRIfl 1 !
23. Paragraphs I through 22 are re-alleged and incorporated herein by reference.
24. As a current owner of a facility and as an owner of a facility at the time of the
disposal of h rdous substances at the facility, Zykan Is within the classes otliablc parties
described in Section 107(a) of CB.RCLA, 42 U.S.C. § 9607(a).
25. EPA’s response action, Including removal of drums, containers, related ha rdous
substances, and contaminated sails, and the repair and installation of a cap constitutes a
“removal” and a “response action” within the meaning of Section 11 )1(23) and 101(25) of
CERCLA, 42 U.S.C. fi 9601(23) and 9601(25).
26. As a result of the release or threatened release of h rdous substances into the
environment at and from the Site, the United States has incunid response costs of approximately
$619,000, excluding prejudgment Interest and administrative and 1e8a1 enforcement costs. The
response costs the United States has incurred are not inconsistent with the National Contingency
Plan, 40 C.F.R.. § 300.
27. Pursuant to Section 107(a) of CERCLA, 42 U.S.C. § 9607(a), defendant Zykan Is
liable to the United States for all costs incurred by the United States in connection with response
actions at the Site, including prejudgment interest on all such costs.
SECOND CLAIM FOR RRJIV1i
28. Paragraphs I through 27 are re-alleged and incorporated herein by reference.
29.. Section 107(0 of CERCLA, 42 U.S.C. § 9607(0, provides in pertinent part
(I) —
All costs and damages for which a pqrson Is liable to the United
States under subsection (a) of this section.. . shall constitute a lien
PAGE .7- COMPLAINT
-------
Case 4:07-cv-01860-DJS Document 1-1 FlIed 10/31/2007 Page 8 of 11
in favor of the United States upon all real properly and rights to
such property which —
(A) belong to such person; and.
(B) are subject to or affievted by a removal or remedial action.
(2)Dumtion
Thi lien imposed by this subsection shall arise at the later of the
lbllowing
(A) The time costs are first incurred
•bytheUnitedStateswithrespecttoa
response action under this chapter.
(B) The time that the person referred
to inparagraph(1)isprovidcd (by
certified or registered mail) written
notice of potential liability.
Suchlicnshallcont lnue until theliabilityforthecosts(ora
judgment against tI* person arising out of such liability) is
satisfledo becomes unenforceable through operation of the statute
of ilmitaliol provided in section 9613 of this title.
*1*
(4) Actlonhzrem
The costs constituting the lien may be recovered in an action in
in the United States district court for the district in which the
removal or remedial action is occurring or has occurred.
30.. Under Section 107(a) of CERCLA, 42 U.S.C. § 9607(a), Zykan Is a person liable
to the United States for all response costs incurred by the United States in connection withthe
Site, including enforcement costs and prejudgment interest on such costs. Pursuant to Section
107(0 of CERCLA, 42 U.S.C. § 9607(0, the costs Incurred by the United States in connection
with the Site constitute a lien upon the real property constituting the Site.
31. Pursuant to Section 107QX2) of CERCLA, 42 U.S.C. § 9607(O(2 , Zykan was
provided with written notice of potential liability on or about January 18,2005, Informing her
that she was a potentially responsible party under Sétlon 107(a)ofCBRCLA, 42 U.S.C. §
PAGE 8- COMPLAINT
-------
Case 4:07-cv-01860-DJS Document 1-1 Filed 10131/2007 Page 9 of 11
9607(a). Pursuant to Section 107(l)(2), 42 U.S.C. § 9607(!)(2), the lien upon the Site will
continue until liability for the United States’ unreimbursed response coats incurred in connection
with the Site is satisfied.
32. Pursuant to Section 107(I)(3) of CBR.CLA, 42U.S.C. § 9607(0(3), the United
States properly perfected its lien upon the Site by filing a notice. In the appropriate office within
the State and County in which the property is located. Pursuant to Section 107(0(4) of
CB1 CLA, 42 U.S.C. § 9607(0(4), the costs constituting the lien may be recovered in an action j
in the United States District Court for the District in which the removal or remedial action
has occurred.
REOTJEST FOR RELIEF
WHEREFORE plaintiff United States requests that this Court:
1. EerJudgmentinthvoroftheUnitedStatesforallresponsecostsincurredandto
be incurred In connection with the Site, together with interest
2. OrderthatthePropertybesoldandthattheproceedsfromsuchsalebepaidtothe
United States in reimbursement of response costs covered by the lien; and
3. Award the United States such other relief as this Court may deem appropriate.
Dated October 10, 2007.
Respectfully submitted,
RONALD 3. .TENPAS
Acting Assistant Attorney General
Environment and Natural Resources Division
United States Department of Justice
PAGE 9- COMPLAINT
-------
Case 4:07-cv-01 860-DJS
Document 1-I FlIed 10/31/2007
Page 10 of 11
Of Counsel:
Baibara Peterson
Region V11 U.S. EPA
901 N. Fifth St.
Kanswg City, KS
L áJA
‘ M.MAHAN
Deputychief
EnvironmentaLEnforceinent Section
United States Department of Justice
Trial Attorney
Environmental Enforcement Section
United States Department of Justice
P.O. Box 7611
Wn 1iIngton, DC 20044
(202) 514-3143 direct
(202) 514-4180 fax
PAGE 10- COMPLAINT
-------
Case 4:07:cv-01860.DJS Document 1-1 FlIed 10/31/2007 Page 11 of 11
VERIFICATION OF )MPLMNT
I, Jeffrey Wèatherford, am enipioyed by the United States Environmental Protection Agency as
an On Scene Coordinator. I have been responsible for the EPA ’s removal action at the Zykan
Landfill Superfund Site which is the subject of this YCrified Complaint fivm 1997 to the present
I have reviewed EPA’s Action Memorandum for the Removal Action and also have personal
knowledge pertaining to certain of the thcts addressed herein. I swear under pains of perjury that
the allegations set forth above are true and accurate to the best of my knowledge.
Date: 10fr6é7
Jeffley Weatherford
O Scene Coordinator
U.S. Environmental Protection Agency
Region VII
PAGE 11- COMPLAINT
-------
IN THE UNITED STATES DISTRICT COURT
FOR THE EASTERN DISTRICT OF MISSOURI
EASTERN DiVISION
UNITED STATES OF AMERICA, )
)
Plaintifl )
)
v. ) Civil Action No. 4:07-cv-01860-DJS
)
LAVERNE A. ZYKAN, both as Trustee )
and in her personal capacity, and
I2OACRESOFLAND,MoreorLess, )
located in Warren Coimty, Missouri, )
)
Defendants. )
STIPULATION AND ORDER
Plaintig United States of America, on behalf of the United States Environmental
Protection Agency (EPA), commenced this action by filing its Complaint for recovery of costs,
pursuint to Section 107 of the Comprehensive Environmental Response, Compensation and
Liability Act of 1980, as amended by the Superfluid Amendments and Reauthorization Act of
1986 (CERCLA), 42 U.S.C. § 9607, that the United States has incurred in connection with the
release or threatened release of hazardous substances into the environment at a d from a facility,
owned and controlled by LaVerne A. Zykan (Zykan), located approximately three miles
southwest of Wright City, Missouri (the Site); and for recovely in rem of the costs, pursuant to
Section 107(1) of CERCLA, 42 U.S.C. § 9607(l), constituting the Federal lien against the real
property cu u tising the Site.
The United States and Zykan agree that the Court’s u piuval of this Stipulation and Order
(Stipulation) is an appropriate means of resolving this action.
-------
ThEREFORE, without trial of any issue of fact or law except as provided below, and
upon the consent and agreement of the undersigned parties to this Stipulation, it is hereby. agreed
and stipulated as follows:
1. This Court.has jurisdiction over this action pursuant to Sections 107(a), 107(1X4),
and 113(b) of CERCLA, 42 U.S.C. § 9607(a), 9607(0(4), and 9613(b), and pursuant to 28
U.S.C. § 1331 and 1345. This Court has jurisdiction over the property that is the subject matter
of the in rem action pursuant to Section 107(0(4) of CER .CLA, 42 U.S.C. § 9607(0(4), 28 U.S.C.
§ 1655, and Federal Rule of Clvi] Procedure 4(n).
2. Venue is proper in this district pursuant to Sections 107(0(4) and 113(b) of
CERCLA, 42 U.S.C. § 9607(0(4), and 9613(b), aqd pursuant to 28 U.S.C. § 1391(b), 1391(c),
and 1395,. because the releases or threatened releases of haz nlous substances 9ccun d in this
district, because the removal action which led to EPA’s incurrence of response costs occurred in
this district, and because the Site is located in this district.
3. . Defendant Zykan is a person within the meaning of Sections 101(21), 104(a) and
107(I) of CERCLA, 42 U.S.C. § 9601(21), 9604(a) and 9607(a) and (I), and is an owner and
trustee of the Site as well as a fonner owner of a facility at the time of the disposal of hazardous
substances at the facility.
4. Defendant 120 Aeres of Land, More or Less, located in Warren County, Missouri,
is the subject of the United States’ in rem claim in this action and includes the Site and adjoining
property.
5. The Site is a facility within the meaning of Section 10 1(9) of CERCLA, 42 U.S.C.
U.S. v. Zykan et al. . 4:07-cv-01860-DJS
- Stipulation, page 2
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§ 9601(9). Zykan and her husband bought the real property at the Site on or about 1972.
Zykan’s husband passed away in Januazy 1980, making Zykan the sole owner of the real
property. In January 1982, Ms. Zykan transferred the property into “Indenture of Trust of
LaVeme A. Zykan,” of which she is the sole trustee. Ms. Zykan has complete control over the
real property, which totals approximately 158 acres.
6. As a current th stee of a trust that owns a facility, and as the owner of a facility at
the time of the disposal of hazardous substances at the facility, Zykan is within the classe of
liable parties described in Section 107(a) of CERCLA, 42 U.S.C. § 9607(a).
7. Disposals of hazardous substances occurred at the Site from at least from 1972 to
1985, and possibly beyond 1985. EPA’s response action, including removal of drums,
containers, related hazardous substances, and contmpin ’fr4i soils, and the repair and installation
of a cap constitutes a “removal” and “response action” within the meaning of Section 101(23)
and 101(25) of CERCLA, 42 U.S.C. § 9601(23) and 9601(25).
8. As a result of the ,elease or threatened release of h rdous substances into the
environment at and from the Site, the United States has incurred response costs of $755,782,
including prejudgment interest through January 19, 2008. The response coSts the Untied States
has incurred axe not inconsistent with the National Contingency Plan, 40 C.F.R. § 300.
9. Pursuant to Section 107(a) of CERCLA, 42 U.S.C. § 9607(a), Zykan is liable to
the United States for all costs incurred by the United States in connection with response actions
at the Site, and those costs total $755,782.
10. Pursuant to Section 107(1) of CERCLA. 42 U.S.C. § 9607(1), the costsincuned by
U.S. v. Zvkan Ct al, . 4:07-cv-01860-DJS
Stipulation, page 3
-------
he United States in connection with the Site constitute a lien upon the real property constituting
the Site. Moreover, oncethe United States obtains final judgment in this action, it will promptly
file a judgment lien.
11. The United States and Zykan agree that this Stipulation is an effective method of
reaching a final judgment in this proceeding, without undue cost or delay. Zykan is not
represented by legal counsel and has entered into this Stipulation freely and without coercion.
Zykan further acknowledges that she has read the provisions of this Stipulation and is prepared to
abide by them.
The Clerk of Court is hereby ORDERED to enter judgment in accordance with the
Ibregoing Stipulation and Order this ____day of . 2008.
UNiTED STATES DISTRICT JUDGE
Eastern District of Missouri
U.S. v. Zvkan et al. . 4:07-cv-0I 860-DJS
Stipulation, page 4
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In Rem
Actions
Clearview Landfill
Ordnance Products, Inc.
Clearview
Landfill
What is the Clearview Landfill?
• Part of the Lower Darby Creek Area Supezfund Site.
• 39 aere, unpermitted landfill operated from the late
1950s until the mid-I 970s
• Accepted demolition, medical, and industrial waste in
addition to ash and MSW-type waste from the City of
Philadelphia and surrounding municipalities.
I
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*
•
. ...l.•
M1 .
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• _*_ _ a
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o 9
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2
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Who Owns the Clearview Landfill?
• Beginning in 1953, Edward L Hdler began acquiring
property.
• 1958 Ed Helter incorporates the Ccsrview Land
Development Company (CLDC) in PA to “operaxe a
dump, trash and refuse collection, and incineration
business.
• In poratora/Directors were part of the Corporation
Guarantee and Trust Company and had no affiliation
with CLDC or Ed Hdler.
Who Owns the Clearview Landfill?
• Aerial photos suggest that disposal also took
place on adjacent propcrty owned by the City of
Philadelphia.
• Residential development on and adjacent to the
landfilL
3
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Who Owns the Clearview Landfill?
• Title Search indicates Ci i a Land
Development Company owns the majority of
the Site.
• Portion owned by the City of Philadelphia.
• Philadelphia gave us access under AOC.
Who Owns the Clearview Landfill?
• 1964, &tty Heller, VP, Ed HeUei Seczetaiy, and Rithazd HeUce
Trceurer of IDC.
• l965 Pjd azd Hdiler, PzcaH n, Bcuy Hcfler,
SefTranuz
• 1973, PJthazd Helier. Preildane.
• 1988, Rithazd HeI1er,Pze ent.
• 1989, Rltheid Heiler. Preeidcnt
Who Owns the Cleaxview Landfill?
• 1990, Richie Heller grants aceeas to PADEP and EPA
lbr Site Inspection.
• 2001, Listed on NPL
• ]nvestigamor assmgned to Site.
• 2001 104 (c) lcttcis to Richie Heller.
• Initial response —Invoke 5 th dmcnt.”
4
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Who O’ iis the Clearview Landfill?
• Supplemenini responses -
• CLDC owns the Site;
• Mom owned CLDC
• I lease a poetion out [ torn CLDC under
arrangement with Morn and Dad;
• Dad handled all operations; and
.1 was just an employee.
• Ethel Heller deceased, 1995.
• Edward Hdler deceased, 2000.
Who Owns CLDC?
• Ethel Hdkt allcged ly owned majority of stock.
• Thed Inratare 1995.
• Edward Hellee would have inherned the itock
• Edward Heller died 2000 Ricltie and his two thuss arecutors of
the estors and hths.
• Earns anomcy sad alt dress heirs deny h,owing anything ahout
the stock
Who Owns CLDC?
• R rnrtining stock (35%) owned by Samuel
Dzckeyas of 1962.
• Dickey died 1980 and will placed CLDC stock
into trust for his step-daughters.
• Executors of the Dickey estate determined the
stock to be worthless and never transferred
ownership.
5
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Who Owns the Cleaxview Landfill?
• April 2002- Richie Heller gives RPM verbal
access to sample.
• June 2002- Hdller atty says Heller is not a
representative of CLDC and will not sign an
agreement oxAOC.
• Lien filed 2002.
Who Owns the Cleaxview Landfill?
• Suffident evidence to issue GNL to Richie
Hdler, individually, under 107(a)C2) and to
Richie Holler as President of CLDC, under
107(a)(1) and (a)(2).
Who Owns the Clearview Landfill?
• Holler has no involvement BUT...
• Filed objection so lien on behalf of CLDC
• Requested tel ercmpt sneus from County on behalf
of CL.DC;
• Collecting rente from up to a dozen senante;
• Appealed PADEP fine on behslf.ofCLDC .
6
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Now What?
• Referral to DOJ for In Rim action.
• in Rim means, literally. “against the thing.” In
this case, against the property.
• CERCLA 104(e)(5).
• Referred 03/30/2004.
• Complaint 6led by AUSA 03/02/2005
Now What?
• Nodficadon:
• publi hcd in four local newapapers;
• posted on the propexty
• mailed to the business on the propcrly
• mailed to Hdflez and
• submitted to PA SOS.
• No response.
• Access granted by Court order 10/25/2005.
Now what?
• R1/FS ongoing — planned end date 12/30/08.
• ROD planned for FY2OII.
7
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Ordnance
Products,
Inc. Site
Ordnance Products, Inc.
• Superfund Site in Northeast, Maryland.
• Former munitions contractor, 1953-1973.
• Height of operations during Vietnam wax.
• Manufactured and teated grenade fuses for US.
Army.
8
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Who Owns OPI?
• Mechanics Vafley Trade Center, Inc. (MV C)
• Maryland Corporation, formed 04/28/1986.
• Officer/Director - William V. Frederick.
• MVTC forfeited corporate charter 1993.
Who Owns OPI?
• MV C stock owned by Maxine Tech, Inc.
• Maryland corporation formed 10/12/1989.
• Officer/Director/Shareholder of Maxine Tech, Inc.
William V. Frederick
• MarineTcch, Inc. forfeited corporate charter 1991.
Who Owns OPI?
• William V. Frederick.
• UAOs to MVFC for access and security.
• Completed removal 1997, completed PJ/FS
2005.
• ROD 09/29/2006.
9
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Who Owns OPI?
• Fredenck was a “developer” in Florida — left Site
in care of tenant, Dale, who interacted with
EPA when necessary.
• Several other tenants — mechanic, propane
storage, marine motor refurbisher.
Who Owns OPI?
• Dale died, Nick Fafalios owner/operator of the
marine motor business becomes care taker.
• Nick begins taking over the Site.
• Conimicced large office trailer,
• Evicts Dale’s wife from the Site;
• Rents portion of the Site to “Trash Company’ out
of north Jccsey
• Puts 4 trailer homes and rents Site to residents
Who Owns OPI?
• February 2007- EPA contacted Nick Fafahos, as
caretaker, to discuss access.
• Informed that in 2002, William Frederick had
sold the Site to Nick, his wife Ava, and their
attorney, William Riddle.
• Updated tide search indicates MVTC, Inc. still
owns the Site.
10
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Who Owns OPI?
• March 2007 - EPA counsel contacted Riddle for
access and details on sale. Riddle claimed legal
authority to grant access.
• Access letters sent to Nick and Ava Fafalios and
Riddle.
• April 2007 — signed access agreement submitted
by Riddle. -
Who Owns OPP
• August 2007- meedngat Site b/t EPA. Cecil County officiali,
and Fafalios Riddle failed to ahoy up.
• Nick Falalios no longer dams ownership of Sire - aciral owner
u MVlCAaiodates, LLC - the “successoa” to MVTC , ke.
• Mvised EPA tslk to Riddle.
• MVIC Associates, LLC is a Matyland limited liability company
formed 05/13/2004 by Wilhuin Riddle and Ava Fthhos.
Who Owns OPI?
• August/September Riddle fails to return phone calls or
answer
• September 2007- 104 (c) letters sent to Riddle,
Frcdccck, and both Fafahos.
• Riddle responded- no ownership interest in the
property, no authority to grant access. Option to
purchase never exercised.
• Fafahos failed to respond; Frederick’s RTS.
11
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Who Owns OPI?
• October/November 2007— tracked and located
Mr. Frederick near Orlando, FL. Spoke to his
companion who denied that Mr. Frederick had
anything to do with the Site.
• December 2007 - traveled to Orlando to
interview Mr. Frederick and deliver 104(e) and
access agreement.
Who Owns OPI?
• December 2007—Frederick responds to 104(e)
with documents related to 2005 sale of MVTC,
Inc., not the property, to MVIC Associates,
LLC.
• MYIC Associates, LLC purchased all of the
stock in MVTC, Inc. for $35,000.
Who Owns OPI?
• Mechanics Valley Trade Center, Inc.
12
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Now What?
• Fredeock refused to give icccs ,
• Riddle rcfuicd Co givc access.
• Nick Fthlios refused to respond to usher iccces or 104 ( c );
• AvaFafahoiiscdtorcspondtocidicracccssor lD4(c)
• Proceed Ia Rea to obsirn access (or RD/RA
Now What?
• March 2008 - Referred to DOJ for action under
104(e), induding access and a penalty count for
failure to respond to EPA’s information
requests.
• Stay tuned.
13
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Case 2:05-cy-00993-RK Document 6 AJed 1012412005 Page 10121
U4 THE UNITED STATES DISTRICT COURT
FOR ThE EASTERN DISTIUCY OF PENNSYLVANIA
UNITED STATES OF AMERICA
Plaindif
V. Civil Action No. 05-0993
CL,BARVIEW LAND DBVELOPMENT
COMIANY, inpenonarn,
and
39ACRESOPLAND ,MOREORLESS, F I L E
A/K/A CLEARVIEW LANDFILL
SECTION OF TI !! LOWERDARBY ‘ 5
CREEK AREA SUPERFUND SITE :
IN DARBY, DELAWARE COUNTY, : MICI1 t,R. KUNZ, Clerk
PENNSYLVANIA, In ram, 8y -, DepCterk
Defendants : V
ORDER
The United States has moved for defauk judgment agnim t the Dcfcnd nts
pursuant to Fedex l Rule of Civil Procedure 55(b)(2) for Defendants’ ftllure to answer the
Complaint filed by the United States on March 2, 2005. No other interested person has
responded to notices of this pending action published In four local nowspspers (two in Delaware
County, Pennsylvania and two in Philadelphia County, Pennsylvania) and posted at the subject
propcity . The United States, having served Defendant Clcarview Laud Development Company
(Clearview) by service at 1t3 last registered address and through the Pennsylvania Department of
State, having published notico of the filing of the Complaint and the need for access to the Site in
four local newspapers, having posted the subject Property with copies of the S mmtv s and
Complaint and Notice about this action, has cflbctlvely served Defendant Clearview and has
provided reasonable notice to persons who may have an interest In the subject Property. As of
10 d
t da3 .wW 13IèLLSIU El
El :91 Sø — —.DO
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Case 2:05-cv-00993-RK Document 6 Flied 10/24/2005 Page 2 of 21
.LRMATE 5VWW.MOuoN.D e rAULT. .WPD
October24, 2005, no answer has been filed by any party. The last date of service of Clcarvicw at
its registered address and upon its last known officer having been March 4, 2005 and publication
having been made in the Legal Intelligencer on July26, 2005, In the Philadelphia Inquirer on July
25,2005, in the Delaware County Legal Journal on August 5 and 12,2005, and in tho Delaware
County Daily Times on July25 and August 1, 2005, and posting of a notice and copies of the
Summons and Complaint having been commenced on August 12, 2005, and the Pennsylvania
Department of State do Secretary of State, Corporate Division having been served on August
12,2005, and no response b ving been ñlcd, the Defendants am in d friIt The Court bas
considered the United States’ Motion for Default Judgment and Its accompanying Memorandum
of Law in Support and cont hidec that the relief requested in the Complaint should be granted.
rr IS HEREBY ORDERBD that the United States Motion for Default Judgment is
GRANTED, and that the following judgment in favor of the United States shall be entered:
1. As authorized under the Comprehensive Environmental Response, Cornpcnsation
and Uablllty Act C’CERCLA”), 42 U.s.c. § 9604(e) , the Court grints the Environmental
Protection Agency (“EPA’), its employees, representatives and contractors, immediate and
unconditional access to arid through aUportions of the 39 Acres of L*14 More or Less, owned
by Defendant Clearview and which constitutes a substantial portion of the Lower Derby Creek
Area Superibud Site in Derby Towiship Delaware Coimty, Pennsylvania (“the SIto .
2. Access Is granted for such duration as is necessary to complete all activities
necessary to conduct a Remedial Investigation and Feasibility Study, design. implement, operate
and maintain appropriate remedial actions at the Site, conduct reviews as necessary and to
-2-
!0c 1 bdQB .LWEI3 .L3flLLSIU El L9t øS i O
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ø d i.OJ.
Case 2:05-cv-00993-RK Document 6 FlIed 10/24/2005 Page 3 of 21
VRp.AppIRMATV AaVmWj rzoN.DaFAw.T..Wpp
otherwise address the release or threat of release of hazardous substances at or 5’oxn the Site and
otheiwise protect the public health and welfare and environment from actual or threatened
releases of h? ardous substances, pollutants and contaminants from or at the Site pursuant to
CERCLA, 42 U.S.C. § 9601-9675.
3. Defendant Ctearview is HEREBY ENJOINED from teking any actions that
obstruct, impede or otherwise interfere with EPA’s catty and access to the Property for the
purposes of conducting a Remedial Investigation and Feasibility Study, designing. implementing,
opersting and malnt2Inhi appropriate remedial actions at the Site.
This case shall be removed from the Cowt’s active docket and shall be placed on
theina cvedockebjethcUnitedStateshingthcttoenthi s ca scbyfilingan
u iprOpflatC motion for further relief consistent with the Implementation and subsequent
operation and maintenance of the selected remedial actions.
BY THE COURT:
HONORABLE ROBERT F. KELLY
Senior Judge. United Staler District Court
ThiIiz. b
t. 1 p eFlavJ
- - V. Cc SoW
£0d I dO3 .L IIW .L3IW .SIU 1 PT:9T ø — -J. O
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7
I\ L6 AV
r \’ ss., *P
Access to Private
Property under
CERCLA
National PRP Search Conference
May 13— 16.2008—Portland
CERCLA 104(e)
o (3)Entiy. Anyofflear a, rtrepresentatlve Is
authorized to enter at reasonable limes any of the
fcl)oMng (A)My vessel. fadtty. estabflshmant. or ather
— orpmpetty where any hazadous arbatonce or
pcliutant or cedenibcnt may be or ban been generated,
stored, treated. dbposed of. orV&. .M1 d from. (B) My
vessel, facIlity. establlslvrent, or other place or property
from which orb which a hazardous .ubatsoce or
pollidant or canlantierd han been or may have been
released. (C) Any vessel. facIlity, eatabtbevnent, orather
claceor whera.uthraleaaelaormaybe
lhiaataned. 0) vessel, facIlity, entabibermart or
other place or , ... .,..il where an Dy Is needed to
detannlne the need for inaponse or lie appropriate
response or to effectuate. response aetlan under
thIs subchapter.
EPA Property Access
Scenarios for ICe:
• Non-Settling PRP may refuse best efforts of Settling
PRPs to restrict non-so Wing PRP’a land.
• PRP may refuse EPNState s efforts to restrict PRP’s
land In a fed-leadlstate ’lead enforcement action.
• Adjacent property owners may reject PRP8 best
efforts to restrict the use of non .sottllng party
property
• Subsequent property owners of source property may
reject efforts of PRP (owner of site when CD was
signed) to restrict the use of the source property.
I
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Constitutional Law and
CERCLA Access
o Fifth Amendment prohibits taking
private property for public use without
lust compensation.”
o A taking can either result from
physical occupation or restricting the
use of one’s property.
Liability
o Under CERCLA, current owners and
operators are liable for hazardous
substance contamination on property.
o Current property owners are liable
even if they did not cause the
contamination.
(42 USC s. 107(a)(1))
Statutory Liability Protection
o Landowners may daim certain statutory
defenses end exemptions:
• Bona Ada Prospective Purchaser Exemption
(42 USC a. 107(r) and 101 (40))
• Contiguous Property Owner Exemption
(42 USC a. 107(q))
• Innocent Landowner Defense
(42 USC a. 107(b)(3) and 101(35))
2
-------
EPA Policy Liability
Protection
o U.S. EPA excludes property owners in
certain circumstances:
• Residential Homeowners
• Owners of Property above
Contaminated Aquifers
Owner Responsibilities
o ln tobeproteded. en owner must perform a 1 1
o The owner mu sico meet conttnulng obflga1Ion.
w h hdudes:
• CampI Ing with Ostatlng land use
• Not Impeding the effediveness a, IntegrIty 1 ICe
• PruvWng 000pa, aIIafl. as lance and a e3s
• CampI 4re with alt information requests
• Prov b1g legally required notices
• Te)drg reaaamablo eteps
cRQ.A 1O1(4O) 1O7(q 1 A f 4 1O1(35)(A)
What if the Owner Impedes
Access?
o Enforcement Tools
• include PRP in the enforcement action
• issue Unilateral Administrative Order (UAO)
• Use 1040) to negotiate/condemn the
required property Interest
3
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Real Estate Title Issues
Research, Review and
Implementation
5te en Hen
Cen?ei-enceen FRP Searth Enhancement
Nay 13-16,2009
Historical Chain of TitLe Information
Used for PRP Searches - Liability
Historical chain of title Information must identify:
Current parcel number.
Current parcel address.
Chain of title ownership from 19_? to present.
Current Condition of Title
(Title Commitment or Title Abstract]
• Identify all matters of public record which
currently affect the title. All matters of public
record which currently affect the title• the
abstracter must review and Identify, at least,
the following:
• Parcel number.
• Parcel address.
• Name of current property owner.
• Property legal description.
I
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Current condition of titLe (cont.)
• AU unreleased mortgages, liens, judgments,
pending cases.
• Real estate tax amounts, paid or unpaid.
• Easements, covenants, restrictions, and alL
other matters that currently affect, or may
currently affect, the title.
• Oil, gas, and mineral rights.
• A notation of the timeframe searched.
• Legible copies of all documents reviewed.
2
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ALTA Plain Language Commitment (1982)
[ Mock-up Sample for Demonstration Purposes Only]
Real Estate Title Insurance Company
INFORMATION
The title insurance commitment is a legal contract between you and the company. It is issued to show
the basis on which we will issue a title insurance policy to you. The policy will insure you against certain
risks to the land title, subject to the limitations shown in the policy.
The company will give you a sample of the policy form, if you ask.
The commitment is based on the land title as of the commitment date. Any changes in the land title
or the transaction may affect the commitment and the policy.
The commitment is subject to its requirements, exceptions and conditions.
This information is not part of the title insurance commitment.
Table of Contents
Page
Agreement to Issue Policy 2
Schedule A
1. Commitment date 3
2. Policies to be issued, amounts and proposed
insured 3
3. Interest in the land and owner 3
4. Description of the land 3
Schedule B-i — Requirements 4
Schedule 13-2 — Exceptions 5
Conditions
YOU SHOULD READ THE COMMITMENT VERY CAREFULLY.
If you have any questions about the commitment, please contact the issuing office.
-------
ALTA Plain Language Comnutinent (1982)
COMMITMENT FOR TITLE INSURANCE
issued by
Real Estate Title Insurance Company
Agreement to Issue Policy
We agree to issue a policy to you according to the terms of this commitment. When we show the
policy amount and your name as the proposed insured in Schedule A, this commitment becomes effective as
of the commitment date shown in Schedule A.
if the requirements shown in this commitment have not been met within six months after the
commitment date, our obligation under the commitment will end. Also, our obligation under the commitment
will end when the policy is issued and then our obligation to you will be under the policy.
Our obligation under this commitment is limited by the following:
The Provisions in Schedule A.
The Requirements in Schedule B-i.
The Exceptions in Schedule B-2.
The Conditions on page 3.
This commitment is not valid without Schedule A and Sections 1 and 2 of Schedule B.
REAL ESTATE TITLE iNSURANCE COMPANY
by
Authorized Signature
Order No. 12345 Page 2
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ALTA Plain Language Commitment (1982)
SCHEDULE A
Owners: ABC Corporation
Buyer:
Loan No.:
1. Commitment Date: May 22, 2002 at 7:30 AM
2. Policy or policies to be issued: Policy Amount
(a) Owners Policy: $
Proposed Insured:
(b) Loan Policy
Proposed Insured: $
— (c) ALTA U.S. Policy (Revised 9-28-91) $ To Be Determined
Proposed Insured: United States of America
3. A fee interest in the land described in this commitment is owned, at the commitment date, by
ABC Corporation, A California Corporation
4. The land referred to in this commitment is described as follows:
That certain real property situated in the State of California, County of Sacramento, Unincorporated Area,
described as follows:
Lots 1 through 18, in Americanos Subdivision, as dedicated, platted and recorded in the Office of the
Recorder of Sacramento County in Book 162 of Surveys at Page 4.
[ or metes and bounds legal description - based on a new or pre-existing survey, also could
reference a description from a recorded deed with deedbook and page numbers, rather than a
reference to recorded surveys]
Order No. 12345 Page 3
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ALTA Plain Language Commitment (1982)
SCHEDULE B - SECTION 1
Requirements
1. The following requirements must be met:
2. Pay the agreed amounts for the interest in the land and/or the mortgage to be insured.
3. Pay us the premiums, fees and charges for the policy.
4. Documents satisfactory to us creating the interest in the land and/or the mortgage to be insured must be
signed, delivered and recorded.
5. You must tell us in writing the name of anyone not refeffed to in this commitment who will get an interest
in the land or who will make a loan on the land. We may then make additional requirements or
exceptions.
6. Release(s) or reconveyance(s) of item(s) NONE.
7. Other:
A. With respect to ABC Corporation:
a. A certificate of good standing of recent date issued by the Secretary of State of the corporation’s
state of domicile.
b. A certified copy of a resolution of the Board of Directors authorizing the contemplated transaction
and designating which corporate officers shall have the power to execute on behalf of the
corporation.
c. Other requirements which the Company may impose following its review of the material required
herein and other information which the Company may require.
Order No. 12345 Page 4
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ALTA Plain Language CommjtmenL (1982)
SCHEDULE B - SECTION 2
Exceptions
[ Standard Exceptions]
Any policy we issue will have the following exceptions unless they are taken care of to our satisfaction.
Part 1:
1. Taxes or assessments which are not shown as existing liens by the records of any taxing authority that
levies taxes or assessments on real property or by the public records.
2. Any facts, rights, interests, or claims which are not shown by the public records but which could be
ascertained by an inspection of said land or by making inquiry of persons in possession thereof.
3. Easements, claims of easement or encumbrances which are not shown by the public records.
4. Discrepancies, conflicts in boundary lines, shortage in area, encroachments or any other facts which
a correct survey would disclose, and which are not shown by the public records.
5. Unpatented mining claims: reservations or exceptions in patents or in acts authorizing the issuance
thereof: water rights, claims, or title to water.
6. Any lien, or right to a lien, for services, labor or material theretofore or hereafter furnished, imposed
by law and not shown by the public records.
7. Any covenants, conditions and restrictions, whether or not appearing in the public records.
Order No. 12345 Page 5
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ALTA Plain Language Commitment (1982)
Part 2: [ Property-specific exceptions based on a search of the grantor-grantee index]
1. The lien of supplemental taxes assessed pursuant to Chapter 3.5 commencing with Section 75 of
the California Revenue and Taxation Code.
2. Rights of the public in and to that portion of the land lying within Prairie City Road.
3. An easement for electrical facilities and incidental purposes, in favor of Western States Gas and
Electric Company, recorded September 22, 1931 in book 360, page 423, of Official Records.
4. Abutter’s rights of ingress and egress to or from Highway 50 have been relinquished in the
document recorded July 17, 1948 in book 1518, page 199, of Official Records.
5. An easement for utilities and incidental purposes, in favor of County of Sacramento, recorded
February 15, 1951 in book 1992, page 115, of Official Records.
6. An easement in favor of Sky King Enterprises, Inc., recorded July 16, 1958, in book 3547, page
414 of Official Records.
7. Any and all easements, offers of dedication, conditions, restrictions, notes and/or provisions, or any
fence lines or other boundary discrepancies which may be shown on or delineated by the Survey
filed for record August 7, 1961, in book 18 of Surveys, at page 4.
8. An easement for ingress, egress and utilities and incidental purposes, in favor of the New Heights
Church, recorded December 31, 1971 in book 7 112-31, page 81, of Official Records.
Order No. 12345 Page 6
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NOTES
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1ll
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Brownfields Amendments: How They Have
Affected Current Owners and Other Liable
Parties
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Brownfields Amendments
How They Have Affected Current
Owners and Other Liable Parties
KdIy CoIn, Region ID
Baitim Na,in. Rcgion 6
Background
January 11,2002, Congress enacted the
Small Business Liability Relief and
Bmwnfields Revitalization Act, which
amended CERCLA (Brownflelds Act)
• The Brownfields Act focuses on the reuse
and revitalization of contaminated sites
through liability relief, liability
clarifications, and grants
Before the Amendments
• “Traditional” CERCLA defenses were
available, such as the third-party defense
• Current owners and prospective
purchasers needed to rely primarily on the
innocent landowner (ILO) defense
• But.. .ILOs can’t purchase property with
knowledge of contamination (after
conducting all appropriate inquiries)
1
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Before the Amendments (cont.)
• EPA enforcement discretion guidance for
some owners of contaminated property to
alleviate some concerns about liability
• Examples include the contaminated
aquifer policy and residential homeowner
policy
• These policies don’t necessarily offer
protection from third-party lawsuits
Brownfields Amendments.. .What They
Did
• Created the bona fide prospective
purchaser (BFPP) liability protection and
associated windfall lien
• Created the contiguous propeity owner
(CPO) liability protection
• Amended the innocent landowner (ILO)
liability protection
The Brownfields Amendments Also...
• Codified the brownfleld grant program for
the assessment and cleanup of brownfield
sites and created a grant program for state
response programs
• Dc Micromis Exemption
• Municipal Solid Waste Exemption
2
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Bona Fide Prospective Purchasers
CERCLA 107(r) & 10 1(40)
• Purchasers of property after January 11,
2002
• Can buy with knowledge of contamination
• Must satisf ’ certain requirements prior to
purchase (all appropriate inquiries and “no
affiliation” with a liable party)
• Must satisf ’ certain requirements after
purchase (e.g., compliance with ICs)
EPA Guidance on BFPPs
• Bona Fide Prospective Purchasers and the
New Amendments to CERCLA (2002)
• Common Elements Guidance (2003)
o Issuance of CERCLA ModelAgreement
and Order on Consent for Removal Action
by Bona Fide Prospective Purchaser
(2006)
Windfall Liens
• Pwpose: Thai a BFPP not be unjustly enriched
(by an increase in property value) where
taxpayer money is spent cleaning up a site
• Applies where
- the U.S. baa conducted a response action and his
unrecovered costs
- The response action increases the FMV of the
• Lien is for the unrecovered costs, but it can’t
exceed the increase in the FMV of the property
attributable to the cleanup
3
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Windfall Liens (cont.)
EPA guidance on windfall liens:
- Interim Enforcement DLscretion Policy
Concerning WindfallLiens wider Section
107(r) of CERCLA (2003)
- Windfall Lien Gwdance Frequent v Asked
Questions (2003)
— Windfall Lien AdminLstrative
Procedures/Model Notice of Intent to File a
Windfall Lien Letter (2008)
Contiguous Property Owners
CERCLA 107(q)
• Liability protection for owners of property
that has groundwater contaminated from
an offsitc source
• Like BFPPs, owner has certain pm- and
post-purchaser obligations (AM, no
affiliation, ongoing obligations)
• Unlike BFPPs, CPOs cannot have had
knowledge of the contamination prior to
purchase
EPA Guidance for CPOs
• Common Elements Guidance (2003)
• Interim Enforcement Discretion Guidance
Regarding Contiguous Property Ovniers
and associated reference sheet (2004)
4
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Innocent Landowners
CERCLA 107(b)(3) & 101(35)(B)
• Like BFPPs and CPOs, ILOs have pre-
and post-purchase obligations
• Brownfields Amendments clarified AM,
which applies to ILOs
• ILOs can’t purchase property with
knowledge of contamination.
• No date restriction
EPA Guidance for ILOs Post-
Amendments
• Common Element2 Guidance (2003)
Pre-Purchase Obligations
• All appropriate inquiries (BFPP, CPO. ILO)
- EPA nile became effective on November I 2006 and
compliance with the Rule 0rASTM E 1521.05
satisfies AM
- Residential AM
• “No affiliation’ for BFPPS - Section 1Ol(4OXH)
- Direct or indirect familial relationships
- Conti ctual, corporate or financial relationships
(except those cicated by the instnunenta by which
title ii conveyed or financed or for the sale of goods
or services)
- Reor anisstion of a business entity that was liable
— Standard for CPOs —Section 107(q)(AXii)
— Standard for ILOs — Section I07(bX3) & 101 (3SXA)
5
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What is AAI?
• All Appropriate Inquiries, environmental site
assessment (ESA) standards, or environmental
due diligence, is the process of evaluating a
property for potential environmental
contamination and assessing potential liability
for any contamination present at the property.
What AAI is Not
• AM or a Phase I ESA does NOT delineate the
contamination or quants1 the risk, it just identifies the
potential presence of contamination on the pn,peiiy
• A ”clean”PhaseldoesNOTguamanteethesitefleeof
environmental liabihiy, or that a purchaser has a defense
against future environmental liability
• A Phase I will NOT reveal evesy possible environmental
problem
• A Phase I is NOTa compliance audit
Phase I ESA - Components
• Historical sources
• Government record review
• Interviews
• Site reconnaissance
• Review user provided information
• Report preparation
6
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Historical Sources
Aerial Photographs
use
ov me
• lOymsr
intervals
• 1956
photo
Historical Sources
Aerial Photographs
use
changes
arne
• lOycar
intervals
‘1977
Historical Sources
Aerial Photographs
u se
ovar
• 2002
photo
10 year
intervals
(
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Historical Sources
Topographic Maps
• pePy
.
.ress •
Iy •
utn ct ues .
• 1983mp
Historical Sources
Fire Insurance Maps
.
use
over time
f oldcr
cities
• 1888
map
Historical Sources
Topographic Maps
use
over Ume
•Can
hl*r icsiIy
filled and
• 1897map
8
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Other Historical Sources
• Property tax files
• Land title records
• Historical city directories
• Building department records
• Zoning department records
Interviews
• Owner and occupant
• Past owners and occupants
• Agencies
• Additional sources (?)
Government Record Review
• EDR report
— Federal
sites
— State sites
- Tribal
sites
-LOcalsitca!
9
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Site Reconnaissance
The Report Preparation
• Report must include EP’s opinion as to
whether the inquiry has identified conditions
indicative of releases or threatened releases
of hazardous substances
• Identification of data gaps
• Qualifications of the EP(s)
• Signature of the EP(s)
• Imeicr • I
• I ___
• A acs p
—
___
I= ‘ ‘,:4ffi4$t$H
User Provided Information
• Chain of title records
• Environmental liens
• Specialized knowledge
• Reduced purchase price
• Common knowledge
10
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Helpful Link
EPA Bn,wnficlds Cleanup & Rsdevelopment - AM
bttv//w.ena.mv/brown1ieldseanea h t ei
Post-Purchase Obligations
• Legally-required notices
• Appropriate care to stop continuing
releases, prevent future releases, prevent
or limit exposure
• Cooperation, assistance, and access
• Institutional controls
• Requests and subpoenas
Brownfields Grant Programs
• Site-specific assessment and cleanup
grants
• Grants for building state cleanup programs
• Targeted brownfields assessments
• To receive a brownfield grant, a grantee
cannot be liable under CERCLA for
response costs at the site.
11
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ER3
• Goal is to encourage sustainable cleanups
and reuse/redevelopment
• Some entities may be willing to
incorporate sustainability principles into a
project in exchange for enforoement
incentives (e.g., PPM)
Hot Topics
• New ASTM vapor intrusion standard (e.g,
does it impact AAJ?)
• ASTM effort to define ongoing obligations
• Tenants issues
Example—MDI Site
• Background
• Potential hurdles (e.g., liability concerns)
• Solutions
12
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Background - Agreed Order
Several m.edi with Prsspecttvs Purckaaers to ditcw:
- The Selected u.medy Ii thi R of Dechion for
OU 1.
- Remedial Design iad Remedial Action for OU 1.
- IPA’. .versight rsu *IsIlUtdes.
Auction bald on Match 22, 21S5, by the bmikrvptcy
trnatss, forth. 3 -acrs alte total sale pt4seof
37, 5,7,539.
Agreed Order became flail on Ssptsmber 29, 2IO .
Agreed Order on Consent
and Covenant Not to Sue
• Authority
- Superfund - entered Into by US. EPA and
Purchaser with concurrence from the US.
Department of Justice.
• Respondent’s (Purchaser’s) Certification
- Certifies that It has not caused or
contributed to a release of contaminants at
the Site.
13
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Agreed Order on Consent
and Covenant Not to Sue (Contd.)
• Work to be Performed
— Purchaser agrees toperforsn the remedy selected by
the EPA In the ROD and be accordance with the
Statement of Work.
• Reimbursement of Oversight Costs
- $211,011
• Stipulated Penalties
- The Purchaser to liable for stipulated penalties for
failure to comply with the requirements of the
Agreed Order,
14
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NOTES
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Using Bankruptcy to Gather Information
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Guiding Principles
• Fresh Start for the Honest Debtor
• Maintenance of Status Quo
• Orderly liquidation or Distribution to
C dfto
• Fair & Equitable Treatment of Simfiarty
Situated Credfto
Using Bankruptcy to Gather
Information
Pr ented b
k ea M
US EPA RegIon 8
May2008
A Bankruptcy Overview
• Bankruptcy Is a federal statutory
process that provides debt relief to
IndMduals and businesses.
• 11 U.S.C. SectIon 101 et. seq.
1
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Types of Bankruptcy
cases
• Chapt r7 • thap 11
- liquidation - R tganlm
• Oiapter9 • OlaptEri2
- Mimitipalitles - j ’
• thapter i3
- Wage Earner
Common Elements
• Commencement of a case
• Creation of the bankruptcy estate
• Automatic Stay
Processing of Claims
• Discharge of aaims
The Commencement of
the Case
• The Petition
-Voluntary or Involuntary
• E diIbIt C
• The Schedules
• The Statement of Affairs
•Questlon 17
2
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The Bankruptcy Estate -
§541
• Created upon filing of bankruptcy case
• Indudes all legal or equitable interests
of the debtor In property as of the
commencement of the case
• Exemptions for individual debtors
The Automatic Stay - §362(a)
• Prohibits:
— Commencement or continuation of action
that was or could have been brought pre-
petition;
— enforcement of pre-petitlon Judgment;
— any act to obtain possession or exercise
control over property of estate
The Automatic Stay - §362(a)
• Prohibits:
— Any act to create, perfect, or enforce lien
against property of estate;
- Any act to create , enforce, or perfect lien
secuilng pre-petition debt;
— Any act to coliect, access, or recover pre
petition daim;
- set-off of pre-petition debt
3
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Automatic Stay
Important Exceptions
• Section 362 (b)
— Criminal actions
- Government exerdse of police &
regulatory authority
• Motion of Uft Stay
A Bankruptcy Claim
• Right to Payment or Equitable Remedy that
Gives Rise to Right to Payment
— need not be reduced to Judgment
— bquI ted or unliquldated
— fixed or contingent
— mature or unmature
— disputed or undisputed
- legal or equitable
— secured or unsecured
Bankruptcy Claims &
CERCLA
• When do CERCLA daims arise and
become subject to discharge?
— Disposal?
- Release or threat of Release?
— Discovery?
— Incurrence of response cost?
4
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Priorities
• Types of Claims
-Secured
— Priority
— General Unsecured
— Debtor or Equity
Treatment of Claims
• Priority dairns must be paid in full
before any claims of a lower priority
are paid
• aaims of equal priority are paid pro
rata
Priority Claims
• Some Examples
- Admlnlsbathe Expenses
— Wages
- Cer In Tax aalms
• CERCLA Priority Claims
— Response costs Incurred post-petition for
deanup of property of the estate
- Post-petition penalty daims
5
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Claims Process
( L -7 -pJc
57A LZ & 1 -
c I(-j &
• Proof of Claim
• Bar Date
• Objections to Claims
• Referral to DOJ
Discharge
• Discharge
— §727(b)
— §1141(d)(1)(A)
• What does this
mean?
• What gets
discharged?
• Chapter 7 &
Chapter 11
to Discharge
• §523 and §727
• Individuals who engaged in certain
types of fraudulent conduct
• Certain types of daims are non-
dischargeable due to the nature of the
daim (I.e. alimony & child support,
certain tax daims, penalty daims)
6
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ns
,L
,
77
hC V u
j 4
Chapter 7 Liquidation
• Identification and preservation of
assets In the estate;
• Sale or other liquidation of assets;
• Evaluation of daims of creditors and
object when appropriate;
• Distribution of assets In accordance
with priority scheme;
• Discharge for Individual debtors
Chapter 7
The Liquidation Chapter
• Chapter 7 Trustee • One appointed In
every Chapter 7
se
• Authority over
assets of the estate
— Induding books and
records of the
debar
‘J L1
Chapter 11
Reorganization
• Debtor’s Goal: Formulate a plan of
reorganization acceptable to creditors
and the bankruptcy court that
restructures the debtor’s liabilities and
provides a solution to Its financial
problems
7
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Chapter 11 Process
• First day survival
• Proposal of Plan
• Disdosure Statement
• Soliatation of Votes
• Plan Confirmation
• Objections to or Allowance of aalms
Small Business Debtor
• Must file with petition most recent balance sheet
statement of operations, cash-flow statement and
tax retims or statement under oath that such
documents ha not been prepared or flied
• Attend meetings sdieduled by Court or U.S. Trustee
• Thnely file Schedules and Statement of Anancial
Affairs
• File st-petition repolts required under rules
• Maintain Insurance appropbte to the Industry
• Timely file tax returns and other required filings
• Timely pay admInistrative axpense taxes
• Allow U.S. Trustee to Inspect premises, books,
records
Post-Petition Operations
• Post-Petition Credit
—SectIon 364
• Sale & Use of Property
—Section 363
• Executory Conbacts
—Section 365
• Compliance with Other Laws
—28 USC. SectIon 959(b)
8
-------
The Plan
• No statutorily prescnbed form
• Allocates the value of the debtor to all
parties In Interest
— may pay dalms a fraction of their allowed
amounts
— may Issue stock in reorganized debtor to
satisfy dalins
— may Involve corporate merger of debtor
or sale of assets
Plan Solicitation and the
Disclosure Statement
• No one may solidt votes on a plan
until a disclosure statement, desaibing
the plan, has been approved by the
bankruptcy court §1125
a Disdosure statement must contain
adequate information to allow creditor
to make an Informed decision about
the plan §1126
Classifying Claims &
Voting
• The plan must dasslfy daims and Interests
§1122
• Eadi dass of daims that are Impaired vote
on the plan §1124
• A ptance of plan is determined by
whether the dass accepts, not by how
Individual creditors vote §1126
9
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Confirmation
Requirements §1129
• Plan must be proposed In good faith
• Each creditor under plan must receive
at least as much as It would under
Chapter 7 (best interests test)
• All administrative daims paid
• Not likely to be followed by further
reorganization (feasibility test)
Cram Down
• Plan may be confirmed over the
objection of a class of impaired
creditors If:
- Meets all requirements except for creditor
acceptance
— does not violate absolute priorities rule
- does not unfairly discriminate
Consequences of
Confirmation §1141
• Binds all parties to the terms of the
plan regardless of how they voted;
• Revests property from the estate to
the debtor;
• Discharges the debtor from all dalms
arising prior to confirmation
10
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Liquidating Plan
• When a plan of liquidation plan, is
confirmed and the debtor does not
continue in business, there is no
discharge
Abandonment of Property
• Section 554 allows trustee to abandon
property
— Burdensome or of Inconsequential value
• Right to abandon not absolute
— Cannot be in contravention of laws
designed to protect public health and
safety from Identifiable hazards
— Nanow exception
Avoidance Powers
• Strong Arm Powers - §544
• Statutory Uens - §545
• Unauthorized Post-petition Transfers -
§549
• Preferences - §547
• Fraudulent Transfers - §548
11
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Summary of Information
Sources
• In all cases:
— Petition
— Sdiedules
— Statement of Affairs
— Examination of Debtor
• Section 341 Meeting
• Rule 2004 ExamInation
Information Sources
• In a Chapter 7 Case:
— Books and records of the debtor obtained
through the trustee
— Section 363 Motion
— Abandonment Motion
Information Sources
•InaChapterll
—Plan
- Disdosure Statement
- Post-Petition Flnandng Documents
— Operating Reports
— Fee Applications
— Section 363 Motions
— Settlement Notice
12
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70 )
www.uscourts.gov
• Unks to every federal court in the
country
• PACER• Access to case dockets, and
court papers
• Bankruptcy Basics
• Bankruptcy Official Forms
• Lexis Courthnks
13
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NOTES
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Current Developments in Liability Law
-------
Case Law Update for PRP Search Conference, 2008
Cheryle Micinski
Chief, Superfund Branch
Office of Regional Counsel, Region 7
Useful Product
California Department of Toxic Substances Control v. Alco Pacific. Inc . , 508 F.3d 930, (9thCir.,
2007)
Alco operated a lead processing facility on the site for 40 years, refining and reclaiming
lead from raw materials. During operations, slag and other materials were spilled or otherwise
deposited on the site. The court began by citing U.S. v. Burlington Northern and Santa Fe Ry .
Q ..479 F.3d 1113, ( 9 th Cir, 2007) for the principle that arranger liability may attach for
transactions in which disposal is a part of but not the focus of the transaction. The case then
contains a very good analysis of the case law concerning the useful product defense to arranger
liability and set forth several factors to guide the application of the defense:
1. the commercial reality and value of the product in question;
2. a factual inquiry into the actions of the seller in order to determine the intent
underlying the transaction;
3. whether the material in question was a principal product or by-product of the seller;
4. the intent of the seller;
5. whether in light of all the circumstances the transaction involved an arrangement for
disposal or treatment of hazardous waste.
This opinion by the 9 th Circuit confirms that courts will engage in a fact -intensive inquiry
when deciding whether the useful product defense applies.
I5i’ot 1.)f, t ’ 5 f
U.S. v. Burlington Northern and Santa Fe Ry. Co. 479 F.3d 1113, ( 9 th Cir, 2007); amended — ,i__
March 25,2008,2008 U.S. App. LEXIS 6135 “58:
This case involves the Brown & Bryant (B & B) Superfund site. B & B owned and
operated a facility at which toxic chemicals were stored and distributed. For purposes of this
discussion the relevant facts are that some of the chemicals used by B & B were supplied
delivered to the facility by Shell Oil Company, in bulk using trucks and were then pumped into
large tanks by hoses. The court notes that “the process was quite messy, with frequent spills”.
The court began its analysis noting that successful useful product cases generally
involved only the normal use of chemicals and that courts have not held liable as arrangers
manufacturers that sell a useful product containing or generating hazardous substances that later
were disposed. In analyzing Shell’s liability, the court found that the useful product defense
cannot succeed where, as at B& B, the sale of a useful product necessarily and immediately
results in the leakage of hazardous substances as the leaked portions were never used for their
intended purpose. Leakage was inherent in and contemporaneous with the transfer process
between Shell and B & B. Shell participated in the transfer agreements and understood that
A16-t
-------
leaking would occur. Therefore, Shell was held liable.
U.S. v. B & D Electric. et al. . E. D. MO, 2007 (unpublished opinion) PL (
l’his case involved the Missouri Electric Works Site in Missouri which operated a business that
purchased, sold, and repaired electrical equipment. The defendants sold electrical transformers
to a third party broker who resold them th MEW. Some of the oil in the transformers contained
PCBs.
Two defendants filed motions for summary judgment which were granted by the court on
the grounds that they were selling useful products. The court began its analysis by noting that the
8 th Circuit applies a “totality of the circumstances” test for determining arranger liability. Some
of the factors cited in using this approach include: control of the hazardous substance, ownership
or possession of the substance, knowledge of the disposal site, specific intent to dispose, and a
primary motivation to dispose. Courts in other circuits have looked at other factors such as the
usefulness of the substance, the condition of the substance at the time of transfer and consumer
demand for the substance. Defendants alleged that they were selling a useful product (the
transformer) and that the sale represented participation in a nationwide resale market without any
intent to dispose of them. The government argued that there was intent to dispose of the oil
contained in the equipment but the court, after a factual analysis of the repairs and sales, stated
that there was no evidence indicating that the disposal of potentially contaminated oil was
inherent in every repair performed. ______ L
Joint and Several Liability b’ c_ 1 ’ -
US v. Burlington Northern and Santa Fe Rv Co. 479 F.3d 1113, (9th Cir, 2007); amended
Same case as cited above. in addition, B & B is defunct. Part of the land on which the chemical A
I J
operation was located was owned by two railroad companies. The district court held the
Railroads (and Shell) were liable for only a minor portion of the total cleanup costs and thus as
the appeals court stated “the agencies were thus left holding the bag for a great deal of money”.
The lower court was troubled by imposing joint and several liability since the most culpable
party, B & B, was no longer in business and could not contribute to the costs. Although the
District Court admitted that the defendants did not present enough evidence to support a
divisibility theory, the Judge tried to piece together the evidence to create what he called
“equitable apportionment”, basically dividing up the liability in a way he thought fair under the
circumstances and the evidence. Equitable factors are commonly only used in contribution cases
among PRPs, not in cost recovery cases. The Circuit Court reversed this decision, saying that a
Section 107 case under the “super strict” liability of CERCLA does not allow for equitable
apportionment and the facts did not support divisibility of harm, which requires an analysis of
objective considerations. There is a good and lengthy discussion in the opinion regarding the
apportionment issue, citing back to the Chem Dyne ( U.S. v. Chem-Dvne . 572 F. Supp. 802, (S.D.
Ohio, 1083), a case which holds that courts should look to the Restatement (Second) of Torts and
analyzing the principles established by subsequent case law on this issue.
U.S. v. Capital Tax Corporation. et al . 2007 U.S. Dist.Lexis 56243, N.D. 111.2007
-------
Th,J s
This is a decision on a suminaiy judgment motion brought by the U.S. in a cost recovery case
against Capital Tax and two individuals. Capital Tax had obtained the tax deeds to several
parcels on which the site was located. The individuals were the owners/operators. The court
begins its analysis ofjoint and several liability by noting that once a party is found to be liable,
the party is jointly and severally liable for all costs regardless of the party’s relative fault. The
court states that while this may seem harsh, Congress had to choose between unfairly burdening
the taxpayers or the PRPs and it chose the PRPs. The court also points out that the harshness is
tempered by the fact that CERCLA allows liable parties to seek contibution form other liable
parties and to then use equitable principles to allocate costs.
The court then proceeds to its analysis of the one judicially recognized exception to joint
and several liability: divisibility of hann. This analysis proceeds in the context of the
Restatement (Second) of Torts, which the majority of courts have looked to for guidance and
points out that there are difficulties applying the Restatement to CERCLA because liability is
strict regardless of causation, a factor used in the Restatement. The court then discusses a
CERCLA consistent way that a landowner could potentially establish divisibility—by establishing
that response costs are geographically divisible. Captial Tax tried to make its case for divisibility
by showing where the hazardous materials sat on the day they were removed but the court
rejected this theory saying that the question is whether portions of the hazardous waste were in
no way traceable to the parcels it owned—in other words, Capital Tax had the burden of proving
that the hazardous waste neither originated from the parcels it did not own nor commingled with
the hazardous waste on the parcels it did own. 1/
A CG- ”-*
-3-
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&EPA
United $ta1e
Cmvhonmental rrDl.c on
Agemey December 26, 2007
Superfund Frequent Questions —
Aviall and Atlantic Research
I. What is “Avid!”? And where can I find the Supreme Court’s decision?
Aviall Services, Inc. is a party in a case that reached the U.S. Supreme Court. The case
concerned Aviall’s ability to get a share of its costs - known as “contribution”- for
hazardous site cleanup from another company.
The official name and citation of the case is Cooper Industries, Inc. v. Aviall Services,
Inc., 125 S.Ct. 577 (2004); the case is often referred to as “Aviall.” The U.S. Supreme
Court issued its decision [ http://a257.g.akamaitcch.net/7/257/2422/13dec2O041215/
www.supremecourtus.gov/opinions/04pdf702- ll92.pdf] on December 13, 2004.
2. What are the facts and procedural history of the case?
Cooper Industries, Inc. owned and operated four aircraft engine maintenance sites in
Texas for a number of years before it sold the sites to Aviall. Aviall continued to operate
at the sites and ultimately, discovered that both it and Cooper had contaminated the
facilities. After undertaking a cleanup, Aviall sued Cooper for contribution toward the
cleanup costs.
On summary judgment, the U.S. District Court for the Northern District of Texas held
that Aviall could not obtain contribution from Cooper under section 113(f)(l) of the
Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA)
because Aviall had not been sued under CERCLA § 106 or 107. A divided panel of the
Court of Appeals for the Fifth Circuit affirmed, but on rehearing en banc, the entire Fifth
Circuit, by a divided vote, reversed the panel. The case then reached the U.S. Supreme
Court.
3. What did the U.S. Supreme Court hold in Avid!?
The issue before the Supreme Court in A vial! was whether “a private party who has not
been sued under section 106 or section 107 of CERCLA may nevertheless obtain
contribution under section 113(0(1) [ of CERCLA] from other liable parties.” CERCLA
§ 113(0(1) provides, in part: “Any person may seek contribution from any other person
who is liable or potentially liable under section 9607(a) of this title, during or following
any civil action under section 9606 of this title or under section 9607(a) of this title.”
The Supreme Court held that the plain language of CERCLA § 113(0(1) allows a
“potentially responsible party” (PRP) to seek contribution only “during or following” a
“civil action” under CERCLA § 106 or 107(a). In other words, because Aviall had not
-------
Superfund Frequent Questions: Aviall and Atlantic Research
December 26,2007
previously been sued for clean up of the site or for cost recovery under CERCLA, Aviall
cannot sue for contribution under section 1 13(f)(1).
The Supreme Court declined to decide whether a PRP may recover costs under CERCLA
§ I 07(a)(4)(B), which provides for recovery “of any other necessary costs of response
incurred by any other person consistent with the national contingency plan.” The Court
remanded the case to the U.S. Court of Appeals for the Fifth Circuit.
On February 15, 2005, the Fifth Circuit remanded the case to the U.S. District Court for
the Northern District of Texas with instructions to permit Aviall to amend its complaint
to bring whatever statutory claims it believes necessary in light of the Supreme Court’s
decision. In a subsequent petition for a writ of mandamus from the Supreme Court,
Cooper argued that the Fifth Circuit’s remand instructions were inconsistent with the
Supreme Court’s decision.
4. Did the Aviall decision address confribution rights under section 113(1)(3)(B)
of CERCLA?
No. While the Court noted that CERCLA § 113(f) provides another avenue for
contribution under section 1 13(f)(3)(b), the Court did not address that subsection because
it was not at issue in the case. That section provides that a potentially responsible party
(PRP) “who has resolved its liability to the United States or a State for some or all of a
response action or for some or all of the costs of such action in an adniinistrative or
judicially approved settlement” may seek contribution from non-settling PRPs.
The United States acknowledged at oral argument before the Supreme Court that if a
party enters into an administrative order on consent or a judicial settlement that resolves
liability for response costs or response actions, that would entitle the party to seek
contribution. Thus, for example, a remedial design/remedial action consent decree with
the United States, or an administrative order on consent with EPA for remedial
investigation/feasibility study, removal action, or reimbursement of response costs should
give rise to a right of contribution pursuant to section 113(f)(3)(B). In order to clarify
this issue, EPA and the U.S. Department of Justice signed “Interim Revisions to
CERCLA Removal, RJ/FS and RD AOC Models to Clarify Contribution Rights and
Protection Under Section 113(f)”
(http://www.epa.gov/compliance/resources/policies/cleanup/ superfimd/interim-rev-aoc-
mod-mem.pdf] on August 3, 2005.
5. Is EPA named as a party in the A vial! litigation?
No, EPA is not named as a party in the A vial! litigation. However, on February 23, 2004,
the United States filed an arnicus brief [ http:/fwww.usdoj.gov/osg/briefs/2003/3mer/
lami/2002-1 192.mer.ami.pdfj on the merits of this case.
2
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Superfund Frequent Questions: Aviall and Atlantic Research
December 26, 2007
6. What positions did the United States take in its amicus brief on Aviall?
Among other things, the United States took the position that, based on the plain language
of CERCLA § 113(0(1), a party that is itself liable or potentially liable may seek
contribution under that section only during or following a civil action under section 106
or section 107, and conversely, that section 113(0(1) does not authorize a contribution
action in the absence of an ongoing or completed section 106 or section 107(a) civil
action. The United States also stated that a liable party is limited to seeking contribution
in the manner authorized by section 113(f), and that CERCLA § 107(a) does not provide
an independent basis for a liable person to recover response costs from another liable
person. The United States also stated that a “civil action” is “commonly understood to
mean ajudicial proceeding,” and that “EPA’s issuance of a section 106(a) administrative
order does not generally entitle the recipient to seek contribution under section
1 13(f)(1).”
7. Did the A viall decision address whether a party that voluntarily incurs
cleanup costs may recover those costs under state law?
No. The opinion addressed recovery under federal law, specifically, CERCLA
§ 113(f)(l).
8. Did the Avid! decision address the right of non-liable parties to sue for costs?
No. The Supreme Court’s opinion does not address the right of non-liable parties to sue
for costs under section 107(a). Persons who clean up Brownfields sites may qualif y as
non-liable parties through the bona fide prospective purchaser exemption under CERCLA
§ 107(r).
9. Does EPA have a position on possible legislative changes in light of the A vial!
decision?
EPA does not have a position on this issue.
10. Have there been any major court decisions regarding contribution and cost
recovery rights since A vial!?
Yes. Since the Supreme Court’s 2004 decision, there has been significant new case law
regarding the scope of private parties’ CERCLA contribution and cost recovery rights.
EPA has compiled a list of some of the most significant cases. (Attachment) [ NOTE:
The list is not an exhaustive list of all cases that cite to A vial! and/or all cases that discuss
the scope of cost recovery and contribution rights under CERCLA § 107(a) or 113.]
3
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Superfund Frequent Questions: Aviall and Atlantic Research
December 26, 2007
11. What was the Supreme Court’s holding in Atlantic Research Corp. v. United
States, 127 S. Ct. 2331 (2007) (“ARC”)?
On June 11,2007, the Supreme Court affirmed the Eighth Circuit’s decision and held that
under the plain terms of CERCLA § 107, a potentially responsible party (PRP) in
Atlantic Research’s situation can recover incurred cleanup costs from other PRPs where
there is no corresponding legal action (suit or settlement) by EPA or a state under
CERCLA § 106 or 107.
12. How can I fmd out more information about Atlantic Research decision?
For more information see the Supreme Court’s decision, Atlantic Research Corp. v.
United States, available on the Internet at
http://www.supremecourtus.gov/opinions/Oópdf/06-562.pdf, along with the following
documents:
• Brief for the Petitioner United States
[ http://www.abanet.org/publicedlpreview/briefs/pdfs/06-07/06-
562_Petitioner.pdf]
• Brief for the Respondent
[ http://www.abanet.org/publiced/preview/briefs/pdfs/06-07/06-
562_Respondent.pdf], and
• Reply Brief for the Petitioner United States
[ http://www.abanet.org/publiced/preview/briefslpdfs/06-07/06-562_reply.pdf]
In several post-Atlantic Research cases, the United States filed briefs that discuss Atlantic
Research-related issues. These statements represent the current views of the United
States only and have not yet been accepted or rejected by the court.
• Solutia, Inc. and Pharmacia v. Mc Wane, Inc., eta!., United States Supplemental
Amicus Curiae, July 27, 2007
[ http://www.epa.gov/comp liance/resources/faqs/c leanup/superfundlavia ll-
docs/anniston-amicus-mem.pcIf]. (“ [ A] person who has a contribution claim
under Section 113 must use it, and cannot choose to use Section 107 instead.”)
• United States v. Industrial Excess Landfill, United States’ Response to
Bridgestone/Firestone’s Surreply in Opposition to the United States’ Motion for
Entiy of De Minimis Partial Consent Decrees, September 28, 2007
[ http://w’ww.epa.gov/compliance/resources/faqs/cleanup/avial l-docs/iel-response-
surreply.pdfj. (“Any interpretation that allowed de minimis settlors to be dragged
into additional litigation would be contrary to Congressional intent as set forth in
Section 122(g).”)
• City of Colton v. American Promotional Events, Response Brief for Third-Party
Defendant-Appellee the United States Department of Defense, November 14,
2007 [ http://www.epa.gov/compliance/resources/faqs/cleanup/aviall-docs/colton-
brief.pdf]. (“Since the decision in Atlantic Research. . . the United States has
argued that parties who incur costs in canying out obligations under a CERCLA
4
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Superfund Frequent Questions: Aviall and Atlantic Research
December 26, 2007
consent decree have a claim under Section 113(f) for those costs, and cannot
choose to sue under Section 1 07(a)(4)(B) instead.”)
For more infonnation, you may also contact EPA’s Office of Site Remediation
Enforcement at (202) 564-4200.
13. What impact will A vigil and Atlantic Research have on EPA’s enforcement
and brownfields programs?
Currently, EPA is evaluating the potential impacts of these Supreme Court decisions on
enforcement and brownfields programs and considering whether any actions are
necessaly. EPA also anticipates working in close coordination with state governments
and organizations and the U.S. Department of Justice on issues related to these decisions.
5
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Unbad $t t
EsMiaiwnsriTal P,tactlon
Agaacy December 26, 2007
ATTACHMENT
CERCLA COST RECOVERY AND CONTRIBUTION RIGHTS:
SIGNIFICANT CASE LAW DECISIONS POST-A VIALL
(As of August 1, 2007)
NOTE: This list is not an exhaustive list of all cases that cite to Aviall and/or all cases that
discuss the scope of cost recovery and contribution rights under CERCLA § 107(a) or 113.’
SUPREME COURT
Cooper Indiis., Inc. v. A vial! Sen’s., Inc., 543 U.S. 157 (2004). Private party who incurs
response costs in cleaning up contaminated property, but has not been sued under sections 106 or
107, cannot bring a contribution action under section 113(0(1) against other liable parties.
Atlantic Research Corp. v. United States, 172 S.Ct. 2331 (2007). CERCLA § 107(a) allows
potentially responsible parties (PRPs) in Atlantic Research’s position to recover cleanup costs
from other PRPs where there is no corresponding legal action (suit or settlement) by EPA or a
state under CERCLA § 106 or 107.
SECOND CIRCUIT:
ConsoL Edison Co. of NY. v. UGI UtiI&, Inc., 423 F.3d 90 (2d CAr. 2005) (“Con Ed”).
“ [ S]ection 107(a) permits a party that has not been sued or made to participate in an
administrative proceeding, but that, if sued, would be held liable under section 107(a), to recover
necessary response costs incurred voluntarily, not under a court or administrative order or
judgment.”
Seneca Meadows, Inc., v. ECiLiquidating, Inc., 427 F. Supp. 2d 279 (W.D.N.Y. 2006). State
consent orders qualify as contribution-conferring agreements for purposes of CERCLA §
1 13(f)(3)(B).)
THIRD CIRCUIT:
E.I. DuPont de Nemours and Co. v. United States, 460 F.3d 515(3rd Cfr. 2006) PRPs cannot
seek contribution under CERCLA § 107.)
FifTH CIRCUIT:
Vine Street LLC v. Keeling, 362 F. Supp. 2d 754 (E.D. Tex. 2005). PRP could bring CERCLA
§ 107 cost recovery claim for voluntary cleanup costs.)
‘Cases that were effectively overturned by the Supreme Court’s holding in Atlantic Research Core. v. United
States . 127 S.Ct. 2331(2007) are not included within this list.
-------
Superfund Frequent Questions: Aviall and Atlantic Research
December 26, 2007
SIXTH CIRCUIT:
Carrier Corp. v. Piper, 460 F. Supp. 2d 827 (W.D. Tenn. 2006). Unilateral administrative
order (UAO) qualifies as a civil action for purposes of a PRP’s contribution claim under
CERCLA § 113(0(1) and PRP can also seek cost recovery under section 107.
ITT Indus., Inc. v. Borgwarner, Inc., 2006 U.S. Dist. LEXIS 59877 (W.D. Mich. Aug. 23,
2006). Administrative order on consent (AOC) at issue was an “interim” agreement that did not
resolve plaintiff’s liability and did not fall within description of agreements in section
11 3(g)(3)(B) and thus did not confer contribution rights under section 11 3(f)(3)(B).
SEVENTH CIRCUIT:
Metro. Water Reclamation Dist. v. N. Am. Galvanizing & Coatings, 473 F.3d 824(7th Cli.
2007). PRP has right of cost recovery under CERCLA § 107 for voluntary cleanup costs.
Pharmacia Corp. v. Clayton Chem. Acquisition, 382 F. Supp. 2d 1079 (S.D. 111.2005). AOC
with EPA was an “order” not a settlement that would confer contribution rights under CERCLA
§ 1 13(t)(3)(B) and EPA-issued UAO was not a civil action that would confer contribution under
section 113(0(1).
NINTH CIRCUIT:
ASARCO Inc. v. Union Pac?/ic R.R. Co., 2006 U.S. Dist. LEXIS 2626 (D. Ariz. Jan. 24,
2006). A memorandum of agreement between PRP and state did not give rise to a right of
contribution under section 1 13(f)(3)(B).
City of Rialto v. United States Dept. of Defense, 2005 U.S. Dist. LEXIS 25179 (C.D. Cal. Sept.
23, 2005) (Rialto II). Plaintiffs were eligible for entry of a separate judgment on their CERCLA
§ 107 contribution claim, which had been dismissed previously by the court.
D.C. CIRCUIT:
Viacom, Inc. v. United Slates, 404 F. Supp. 2d 3 (D.D.C. 2005). A PRP that cannot bring a
contribution claim under section 113 may bring a claim to recover cleanup costs under section
107.
7
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Piercing the Corporate Veil:
Issues to Consider and
Ways to Present the Information
-------
PIERCING THE CORPORATE VEIL:
ISSUES 70 CONSIDER
WA VS TO PRESENT THE INFORMATION
SVCTH NATIONAL TRAINING
CONFERENCE ON PRP SEARCH
ENHANCEMENT
MAY 13-16, 2008
PORTLAND. OREGON
IaoJ. MuEhi
EPA Righin m
215 024-32V2
NuflbiJm Ccpe.gov
Basic Outline
Evolution of Business
Assumptions for Corporations
Relevance to CERCLA Uablllty
Tools that am available
Presenting the Evidence
Evolution of Business
Original Form
ofaBusiness
Sole Proprietor
Full Share of Earnings
Sole Proprietor U the Business Fees , ail assets
Business Lasts for the life Of the business are at risk and
of the Sole Proprietor
All Assets of the
Sole Proprietor n be lost
I
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Evolution of Business
Second Stage of Business
General Partnership
Two or more persons organized for a
common busIness purpose.
General Partnerships alow assets and efforts to be combined.
Greater Capftalhatfon - Greater Efforts - Bigger Profits
Deditors con pursue all the assets of
the General Partnership and
Mtheassetsofevery
- - general parbierili
Evolution of Business
Corporation
an entity formed
. undertheiawsofaspedftstat2.t —
- Ithasaseparateexiaencefrom
that of its founders or owners.
Corporation allow for the accumulation of signlfleant capital
Corporation can In theory last foreverill
The Presumption is
the liability of shareholders
is limited to the investment.
HAVEN
Evolution of Business
Corporations
As Corporations grew, they ceated additional corporations
that are known as corporate subsidiaries and afluilates.
Eadi of subsidiary has nding as a person
that Is Independent of the related corporations
In the 21 g Century, ft Is common for a corporation
to own hundreds of other corporations
Standing as a person Is no longer limited to Corporations,
LLC5, LiP, and other limited liability entities now e .
2
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/
Assumptions for Corporations
But
there Is an equaliy fundamental prlndple of corporate law,
that the corporate ve may be pierced
and the shareholder hald liable. . .when ,
the orporate foni would otherwise be misused
to accompibli taln wrongful purposes,
most notably fraud, on the shareholder ’s behaN.
No patty-fingers, V you please.
The propriesies at all times.
f 1a thice
Q- ke
c’c-4- 1 oç
I kstt i
a b JecL
Assumptions for Corporations
Corporate Procedures as defined by the State of
Incorporation must be foIlov d.
It is a general prlndple of corporate
law that a parent corporation...
Is not liable Ibr the acts of Its subsidiaries.
it is hombook law that ‘the
exert e c(the ‘cor oF whidi
siodr ownership gives to the
stodthok leis ... wfl not create
Nablilty beyond the assets of the subsidiary.
Quotations are from the Bast Foods Dedsion
The corporate Shield
Nc
Assumptions for Corporations
‘there are ou sions when
the limited lability ugIt to
be obtained through the corporation
wUl be qualified or denied’);
Osta H. & P. R v.
— a C Asm
247 U.S. 490,501,62 L Ed. 1229,38 S. a. 553
Often known as Piercing the Corporate Veil
3
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If vu ktend to — the corporate veil...
Relevance to CERCLA
You have picked
a dlmcuft Ml to dlmbl
0lffio t but
Not impossble
Due to C A’s
Ua Sd*m
Relevance to CERCLA
C RCLA’S Uable Parties Include...
(1) the owner and operator of a v eI or a fadl$ty,
(2) any person who at the time c i disposal deny
hazardous substance owned or operated any fadlity at
whidi such hazardous subatances vere disposed ot
(3) any person who.. . anan ad for disposal or
b atmsnt,.. . , of hazardous substances..., and
(4) any person who accepta or accepted any
hazardous substances for ansport...
Relevance to CERCLA
The Bad news...
Nothkig In c Ra..A purporta to rewrite this well-settled
nie... CERCLA Is thus like many another
con9tesslon& enathrient In gMng no Indication
Rthet the entire corpus of atate corporation law
is to be replaced sln 1y because a plaintiffs
cause of action Is based upon a federal staWte,
&v v. L441 us. 471,478,60 L Ed. 2d 404,
99 S. Ct. 1831 (1979),
4
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-1
I
Key Terms In liability Definlilons
Operator and armnged for doposar
Key Supreme Court Case:
UNITED STATS V. BESTFOODS, E AL No. 97454
aues from Bestftods
nothing In the sthWtes terms bars a parent cerporadon
horn dIrect liability tar ha own actions
In operating a fbdtty owned by Its subsidiary.
11
Tools that are Available
Tools that are Available
Oues from Bestibods
The question Is not whether die parent operates the
subsidiary, but rather whether ft operates the facility,
and that operation evidenced by participation In the
adivitles of the Ibdilty, not the subsidiary.
What does the due want you to do?
Use 104(e) and other Investigative authorities
To identify decisions that conbtbuted to the dispomi
of hazardous substan .
Tools that are Available
Oues from Besdbods
It Is prudent to ray only that the presumption that an act
Is taken on behalf of the corporation for whom the
officer daims to act b sb’ongest when the act Is pe edly
cons t wIth the norms of corporate behavior,
(It] wanes as the distance from those a - w norms
approathes the point of action by a dual officer plainly
ranbary to the Interests of the subsidiary yet nonetheless
advantageous to the parent
What does the due want you to do?
Identify decisions that negatively Impeded the tadlity.
Identity who benefited from these decisions.
5
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Presenting the Evidence
Too Much Information
confuses the I uel
What to avoid!!!
1 [ — J
/
The Monet Site
Monet Thtth4, Ud
II
Horn. Re tLLC.
The Monet Mills
• Former Textile Operation
• Flreatthe Site In 2005
created a release of hazardous substances.
• EPA Response Action cost $400,000
• AtthellmeoftheResponseActiOn a
$Z000,000 mortgage existed.
• Fair market value of the Site $40,000
• Initial Determination — do not pursue for cost
recovery
6
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The Players
Mash T, flhrs. t.*d
Fonnar OpsrWr a bs . nil.
bulsvsd bbs msoMnL
Sk$lns Vista. LP
Oassr c Si, Sb
cIW is bbs a Ba F b I. Pm.psdlv, Pisthassr.
- Ma LLC
Femur hobw ot i wupid
$ JSO Omo m s.
/
The Players
Hs..RsdyLLC.
lvis ma as Si. — U.n holdsr.
ri mgOw i.r o t11 p osb
Tt w s pnovloialy — ot lii III..
L m a l ldsd r S
cn. no lIy io. S doas not i Si. Sb.
— —I”
4’ Femur Piauldsmd ot Mon Tsimus,
bna ha h hsd no kwohamsmd
Monet Te 1iles Ltd
Fcmi O . nem ot’lis III.
Monet Textiles Ltd.
111 Sauth8 S e.t
Anytown, PA
Jon $I.w.t s dsm
SI.m CcSi t. Tmusww
MSMI,aasI.dklDUIUNemiMWd l 15. 1551
ot Amiliotty 1 Usd ii P.mwU)W1 on Mudi , 1951.
No mootd ot ocipotils Si Wi N busy em Nsw Voit
Ni,nu,ws )jdgmsnI. 1Usd Wi Psnno>ivuib uid N.w Yemb
Oasiurd d Wi Nv. Juu.y
o.n.r . — ot e . ot 1991.
Incirud I Osad I. Soi i Pt
DwW 1954 Budoi y usd I. mom s onsd I. Soi h Put
2001 il.oonbu.d
8UtAuT Sr2O Ww dus, UIUh Wi lk *i.Vbu
7
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Monet Textiles Ltd.
111 South 8th Street
Mon e t Te tDes. Ltd
Fo,ms Own.ro( Die D li
Anytown, PA
Jon 8 Pms
Dthvun Coibsut Tmuv.r
Ikik. th ERCLA LMb y
Pdor o iw Dii Sit.
Osunsrst Vu, Tkiie i Ar.
Absndcnsd cbsmk.li at Di. 8k.
Cuffs 8t. - kisok.nt
$! ‘
Skyline Vista LP
Skyline Vista. LP
Stanley Marsh
South Park, CO
oil N. pwcoi
M sully aiatsd ku N Yotiton O bsr 29.2000
Dt.salvsd by P,udsm on on Jius 30,2004
No r,cotd oi eoupai Dip lu DMw ,
N Js r . .yorP s u i e)4 ut.
ucc up by Coiotno Ps r. Coup
on Noesnts 18,2001 (ADisy)
— Dsr.uuVusrS. 2001 (itN.Dilliu)
104(s) R.spor..ays SN.
M W wss the PWlsu
id then hi k.nelsn ,d
D i. books end ii.I th
8t.ven CoVut
Jud msnl 1Usd by Waste M.ne snsrit oi PA on .Janusy 19,2008 ku NY
ismiiejudgunente*sd kiPsnnsy vsn1s
BsuIocteyDç (CluspIsm 7 uid 11) on Nu. sinbur 10. 2002
D4onA u i s d2 .20O3
Puid .d 12 N. pw te torn Moist Tastis. Lat. Ii S.iiterth.r 2001,
sold 11 oiuuass — ku Mytoen R.devuoçrnsnt ku &uptembsr 2004
Skyline Vista LP
Stanley Marsh
South Park, CO
SkyIIn. Vleta, LP
Lika b cERcl.A LN.lly
no ku toirner usr
alA 104(s) respones k ’idl sd tie Pi ldsA lAth.
Monli Tells. noo Pr.” ” the coipoiste ill.
Condulon: TN. conipsny doss not mist
Pu. ‘No Aimseon mquhmsuit , for BPPP
8
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[ j] Home Realty Home Realty LLC.
1600 PennsylvanIa Ave
PWelIU DUhI fun SIPVU? Washington, DC
An entity ciasted hi Kantudly c i i Mey 18. mO
No OtSast. it. 1 1310d hi U i . upiteti Itib i but Jon 8t,ititt’i upose.
says tins! hi has mmdetakwn .5 atltume Renltj. .dI#leu.
Ce,Vfl o &AIdInsdPy I I hi Ni. Ycit cii M .y5 Z
No roccid el wUhs ahl . hi N.wjwuycr Piaytv.id.
Lhihid u . n suditoc his Lah h Cc mtyJon msnhI5ngdatad frngustl.
Uhns1 Skyibs VIdi and Mcii.! TastIhi.L
Lhihid sac dsbhirbi sevwalIud nwmda hi New Yonk
- On May20. 2 4 .uqdlid the . .
On thu piaycityftnsn SSv . Rhn
El Home Realty LLc. Home Realty LLC.
1600 PennsylvanIa Ave
Washington. DC
LOin hi RCLA LOildilty
I held the mcitg e ihcit the Plepitty
hntunisa . with 5on i Patti OliMa .
hidMatud that Slavas c s,t mwi
Ibis Rielyb Si. papsie of
PwidIashW I I . mcitg ..
Co : Nlwigh Sib hivehved 8te Celbeit Sib sinty
took roedhin that muds I IsMa on e. RCLA.
Silver Ring LLC.
354 Happy Vafley Road
tOwer Ring. LLC. State Colleg. PA
Piaduesd DUht that was said hi ticuOn Penli No pokito Sthn Ihet dke..
Fsbratiy 1. 2001
No ...pJati 00 1g$toOOMaPutvit$vthib
P..... *....bUCC Noç . Mstity BOwer Ifug as as A wu of sciti tn Pink
DUbusd hi las, bou htth . Ste hi Jun.2000 end
I hi None Raslty cii N.y 20. 2001
b .uuer Si Rhigpwthesed In. 12.000.000 dsbt uhist In. Plupsity
Man Scitth Pink hi 2005 tor 0205.000 mid thin
farafisrud In. debt tuihenu Ras r hi205 1 Ow 5100.000.00
9
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$Nver Ring. LLC.
Silver Ring LLC.
354 Happy Valley Roed
State CoIleg, PA
ER J. L bImy
ca nsd 5l uu — Isnd bd nUig do anun V ould w not
stt.n g a th proCslty. kiu I S .s. d. slopsr.
i.
-
Lt LLC
Anytown
Redevelopment LLC.
1010 Rodeo Drive
B.vsrly Hills, CA 90210
Cwvu,d 0w d l i perch
An utdy oihd Ii New York or A p I 26, 2006
Owlich otAuthodtyled b Ps, ...s 4vr on Meid 25. 1559.
No reooi ot St D. New Jsry or Psnrs 4vwi
No u d St
Nm.vous id msntIUS wot m prcpwtyc iwili t Sings i nPsmns>lewiS
Pwottessd 11 — Snn Si .
on$.Øunbsrll.2005 r$I5,ThO
—U.’
4 Anytown
Redevelopment LLC.
1010 Rodeo Drive
Beverly Hills, CA 90210
Lk*e St C CLA LStbSiy
Al Ii . Sn. otit. EPA ftptews n
The n.e pert ot the lb.
OonUt ratvnt O ror 1*5 1St.
Prr twty world be srd St a 101 ( l ) Usn.
10
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The Site and Timeline
T Tie Pu I
I nud kt4rmV
1904 - Monet Sie thr 9uIm toy
iw o — $oiøi Put obisifli aonoui.d rn estost lie p psrty
2001- MonstoiMus cpss ons et the Sits.
2002- Monet koisfull lii ecpsdy to Skyins VWS
2004- 1oist Put uus n$ n’ sk ist the pr tyb Mow Pug
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-------
Presenting the Evidence
keep Itshoit and Simple lU
Fcais on the actfons of eath eniftylIl
Explain how each action cenDibuted
to the release of hazardoi substances.
Use SymbcWlmages teMp da,lfy the actorsi
link the evidence to each party.
12
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‘lii l B i
Es:)
UNITED STATES DISTRICT COURT
tô( i (H
FOR THE DISTRICT OF RHODE ISLAND
UNITED STATES OF AI RIC&, )
Plaintiff,
)
v. ) Civil No. 88—0325 B
)
KAYSER-ROTH CORPORATION AND )
HTDRO-MANUFACTURING, INC., )
)
Defendants. )
_________________)
AFPThAV!T OF ORY P. POL ONZCk
Gregory P. Polonica states that:
I. Introduetion
1. I am a financial analyst for the Antitrust Division,
United States Department of Justice. By request, I am
available to assist other Divisions within th. Department of
Justice. This affidavit is pTapated pursuant to a request by
the Lands and Natural Resources Division of tte United States
Department of Justice.
2. The Lands and Natural Resources Division requested
that I analyze the corporate relationships, starting in 1966,
among Kayser—Roth Corporation (hereinafter referred to as
Kayser—Roth), Crown Textile lUg. Co.. and Stamina Mills, Inc.
(hereinafter referred to as St aina Null). The purpose of
this examination was to d.term.tn. the áiatencs and extent of
control by both Kayser—Roth nd Crown Textile lUg. Co.,
individually and through their management and control of the
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Crown Division of Xayser”Roth (hereinafter jointly referred to
as Crown flfg.), over Stamina Mills.
II. Affii t’ 5aek rnun
3. In my position as a Financial Analyst, I advise th.
Antitrust Division with respect to corporate and financial
matters that arise in tti. course of its .aforce . t of
Antitrust Laws. When requested, I also advise other divisions
within the Department of Justice with respect to financial and
corporate matters which arise in the course of their
enforcement of Federal laws. I have participated in a number
of matters requiring a determination of the existenc, of
corporate control and the analysis of intercompany activities.
I received a Bachelor of Arts in Business Administration from
Saint Michaels College in 1972, a Master of Business
Administration from Boston University in 1974, and I am a
Certified Public Accountant currently licensed in Texas and
Virginia.
4. From July 1974 through March 1978, I was employed as
the Controller It Northern Oil Company in Burlington, Vermont.
where I was rsuponsible for all matters related to financ, and
accounting.
S. ftc. April 1978 through November 1986. I was employed
by the Arabian American Oil Company (Aramco) in Dhabran, Saudi
Arabia- I held several different supervisory and staff
positi. s within the Controller’s organization during this
time. trom the start of my employment at Arsaco chrough
Dec.niber 1983, i was assigned to the Financial Accounting
Department.
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6. ployees under my supervision were r.sp9nsible for
intercompany account transactions and reconciliations of
account balances with subsidiaries located in The Hague.
Netherlands and Houston, Texas.
7. Prom June 1987 through April 1988, I was employed by
Litigation Systems, Inc. as a financial consultant assigned to
the United States Department of Energy (DOE). I was
respoajible for analyzing the ability of firms to pay DOE
claims resulting from federal oil price control violations. In
connection with my analyses I reviewed parent and subsidiary
company çelationships and transactions.
8. Since May 1988, my duties with the United States
Department of Justice have included providing financial
analysis and advice on a broad range of topics, including the
evaluation of firms’ financial condition, reviâ of settlement
agreements, and the determination of th. existence and extant
of corporate control.
III. Determination of the Existenee of Cornorate Control
9. The existente of corporate control is. determinable by
the ability to direct or caus. a company to tak. or refrain
from taking certain actions, and may be determined through an
analysis •g voting power and the financial and operational
relationships between the entities, which at. the mechanisms of
control. Tb. analysis encompasses th. determination of
ownership of securities, the exercis. of voting rights, and the
evaluation of the decision—making and operational hierarchy,
i.e.. the examination of the creation of budgets, personnel
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contacts. flow of information (required or informal),
comeingling of funds, provision of services, and intercompany
transactions, among others. In the case of Zayser—Roth, as a
general practice Kayser—Roth exercised control over its
subsidiaries downwards through the formation of groups of
subsidiaries (also referred to as divisions) which reported
to a Kayser—Roth corporate executive, as veil as on a direct
basis with each subsidiary as d.termin.d by Kayser—Roth.
10. Examples of the types •f information required for an
analysis of corporate. control include the following: (1) stock
ownership data; (2) identification by name, title and duties of
directors, officers and executive management, including a
description of the personnel selection process and compensation
program; (3) identification and description of the
administrative and other services provided, such as bookkeeping
and accounting services, legal representation, management of
retirement plans, assistance in the preparation of federal
income tax returns, and assistance regarding compliance with
regulatory require ents; (4) identification and description of
the financial services provided such as lending or investing
funds.’guarantesing cemeercial bank loans, and developing or
approving capital expenditures and budgets; (5) identification
by name, titi. and duties of the key personnel who, attend
meetings (such as individuals who attend both parent
corporation and subsidiary company meetings); (6) identifica-
tion by title, purpose. frequency and extent of the
distribution, of the reports and information sent between
/ —4— ,‘
/
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entities (such as between a parent corporation and its
subsidiary companies), including manuals and guidelines; and
(7) identificatiOn by name, location, title and duties of
individuals or groupu (such as a board of directors) in the
approval or authorization chain for capital expenditures and
operating levels.
11. In examining the corporate r.lationships among
Kays.r—Roth, Crown Textile Mfq. Co. and Stamina Mills, I have
reviewed documents made available to the Department of Justice
by Rayser—Roth and Crown Textile Company, a corporation which
acquired certain assets of Crown Textile Mfg. Co., and whjc
was in possession of documents prepared by Crown Textile Xfq.
Co. and Stamina Mills which are relevant to this case. I also
attended depositions of various corporat. officials and -I- -
reviewed the transcripts of the depositions.
12. The remainder of this affidavit is intended to
facilitate the understanding of the integration and
relationships of and among Kayser—Roth, Crown Mfq. and Stamina
Mills. Part IV d aeribei !h hiitôrieit yQ’A of .
Kayser-Roth and establishes the interrelationships amon
Kayser-Roth, Crown Textile Mfg. Co. and Stamina Mills from the
time the latt.r two were acquired by Kays.r’Roth. Part V
describes th. control relationships and methods exerted by
Kayser-Roth and/or Crown Mgg. over Stamina Mills. Part VI is
my conclusion that Kayser—Roth and Crown Mfg., individually and
jointly, both directly and indir.ctly control-led Stamina Mills
from its acquisition in 1966 until its dissolution in December
1977.
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IV. Carnorat. Miatori a1 5aek round
,• Tavier—Roth Cør nratien
13. The Juliua Zayser Company was incorporated in New
York on Dscez er 2, 1911. In 1956, Julius Kayser and Company
acquired Chester Roth and Company, and th. name of Julius
Kayser and Company was changed to Xayssr—Roth Corporation. It
was a publicly—held corporation until 1975, with iti principal
address at 640 Fifth Avsnu., New York, New York. (First Joint
Stipu1at between United States an Xays.r —Roth (hereinif t sr
First Jc t Stip.). 1].
14. .n 1975, Kayser—Roth Corporatiofl merged into a new
Delaware corporation (U Corp.), a wholly—owned subsidiary of
Gulf & Western Industries, Inc., a publicly—held corporation.
Ii ediately after the- merger, -Corp.-changed--its--name---to--
Kayser—Roth Corporation. (First Joint Stip., 23.
3. Crøwn Textile Mfa. Co .
15. rown Textile Manufacturing Company was a privately
held Ilsw ampshire corporation incorporated on Dscemhor 30
1959. In 1964, Crown Textile Manufacturing Company was merged
into Colonial Corporation of America (Colonial), a New York
corporation. A new subsidiary f Colonial. Crown Textile Mfg.
Co., was incorporated and organized to run the business of the
old Crown Textile Xenut.cturing Company with its. principal
offices located in Jcokt town. ?.nnaylvania. (First Joint
Stip., 33.
16. On April 1.1966. Colonial merged with Kayser—Roth,
and Kayser—Roth was the surviving corporation. (First Joint
Stip., .101.
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17. Ia 1971. Crown Textile Mt q. Co. was msrg.dwitk
sandier of baton. Inc. (Sandler), a subsidiary of
X.ysSr—ROth Corporation. After the merger, Sandier changed its
n .m. to Kayser—Roth Industries, Inc. (First Joint Stip. 12).
18. O November 10, 1983, Kayser—Roth Industries, Inc.
sold the assets of the Crown Textile Division of Kayser-Roth
Industries, Inc. to Crown Textile Company, a Pennsylvania
corporation. (First Joint Stip.. 13].
C. Stimina Mills. !ne
19. Stamina Mills, Inc. was a privste1y he16 Ihode Island
corporation incorporated on January 4, 1952. Samuel L. Stayman
and Samuel Ketover were the original sharsholders. The
principal address of Stamina Mills was For.stdal., Rhode
Ii1an Im ü fl1s alid iitI b ii sdUfl iIttysu- -.
308 East School Street in Woonsockst, Rhode Island, among other
locations. (First Joint Stip., 4; Deposition of John.Merrick,
Treasurer of Crown Textile Mfg. Corp. (hereinafter M.rrick
dep.). p. 749].
20. In March 1961. Crown Textile Manufacturing Company
purchased 50% of the outstanding voting comeon stock of Stamina
Mills. Samuel N. Stayman continued to own the other 50%. When
Crown Textile Manufacturing Company was merged into Colonial in
1964, Colonial thereby acquired th. 50% own.rship ii Stamina
Mills previously owned by Crown Textile Manufacturing Company.
On June 15, 1965, Colonial acquired Samuel N. Stayiuan’s 50%
share in Stamina Mills, Which gave Colonial 100% ownership.
(First Joint Stip.. 7—9].
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21. XIyssr—Roth acquired 100% of the ownership of Stamina
Mills as a result of being the surviving corporation from its
merger with Colonial in 1966. (First Joint SUp., 10].
22. Stamina Mills was dissolved on December 31. 1977.
Upon the dissolution, the books of Stamina Mills were
\ ljquidated into the books of Xays.r—Roth. ( Operations continued
in the name of the ! tamina Milli Division of Kayser—Roth until
approximately August 1910. These operations were located in
Woorisocket, Rhode Island. (First Joint SUp., ii; Merrick
dep., p. 808; U.S. Dsp. Ez. 154].
D. Crown ivision and Crown Mfe .
23. .Xays.r-Roth was organized on a divisional balis for
the purpose of streamlining reporting to the corporate office.
(Deposition of Norman Hinerfeld, Executive Vice—President of
Kayser-Roth Corporation (hereinafter 1Iinerfeld dep.’),
pp. 22—221. During the period 1966 through 1977, there were
between twenty and twenty—five Xayser-Roti tivisions, one of
which was the Crown Division. (Min.rfeld .ep., pp. 20—21;
Deposition of Bernard Wibel. Vice—President and Controller of
Kayser-Roth Corporation (hereinafter ‘Nibsi dsp.’), p. 21].
Each division had a person who acted as the ‘president’ who was
responsible to a Eayser—Roth executive for all of the
activities within the division. Each division also had a
controller who was responsible for preparing and sweaarizirtg
generally all financial information related to the division
which was sent to the corporate office. (Hibel dep., pp. 19.
29].
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24. The Crown Division, while itself not an incorporated
entity, wa S composed of 1 9 OUP of jpcor orated entities all o
which were owned directly or indirectly by Kayser—Roth.
(Hinerfeld dep., pp. 99—100].
25. During the period of 1966 to 1977. Stanley Sheerr was
President of Crown Textile )tfg. Co. and designated as the
pr.sident of ths Crown Division. Stanley Sheerr reported to
Nori an Ninerfeld, the Executive Vice—President of Eayser—Roth.
During this same period, the Crown Division had its
administrative headquarters in Jenkintown, Pennsylvania, where
the Crown Textile M i g. Co.’s office and Stanley Sh.err were
located. The people who headed up marketing for Crown fig.
also were located in Jsnkintown, as was John Msrrick who was
the Chief Tiàancial Officer (Controller) of the Crown
Division. The Stamina Mills operations were based in Rhode
Island. and the President of Stamina Mills reported to Stanley
S ’eerr. (Minerfeld dep., pp. 26—27].
26. Stanley Sheerr and John Merrick were President and
Treasurer/Chief Financial Officer, respectively, of Crown
Textile Mfg. Co. and various other companies in the Cro!en
Division. StanleyShserr held no office in Stamina Mills.
while John Merrick was its Treasurer. t?irst Joint Stip.,
21—22; Merrick dep.. pp. 48—49].
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V. Meehinjsi fterted by Kivier—Roth
and1 r Crowi Hf a. Over Stitnini Mule
A. Control by Virtue of Ownershin
27. Ownership of securities and the exercis, of Voting
rights are two mechanisms of control used by parent
corporations to direct th. activities of their subsidiary
companies. Control by virtue of ownership allowed Kayser—Roth
to impose upon its subsidiaries stringent requirements which
were non-negotiable in the areas of operation. and finance.
Among the major areas which Rayser—Roth controlled were the
following: ‘pproval of operating and capital budgets. which in
turn g,the purposes for which funds could be spsnt and
the rate of growth which a subsidiary could seek to achieve;
management of all subsidiary relations with governmental
authorities, including those related to environmental matters;
new product development;jll funds , so that in general th. only
funds available to a subsidiary were those required to meet
obligatiQr: due in accordance with its approved budget; the
preparation and submission of various financial and operating
reports; and the required use by a subsidisry of various
services provided by Kayser-Roth including legal, tax, and
insuranc
1. 4equifitia
28. Kayser—Roth’s control of Stamina Mills came about as
a result of its merger with Colonial on April 1, 1966. (First
Joint Stip., 103. At the time of the merger. Stamina Mills was
a wholly—owned subsidiary of Colonial. It became a
wholly-owned subsidiary of Kayser-Roth because Kayser-Roth was
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the surviving corporation as a result of the Colonial merger.
[ First joint Stip., 10].
29. Following the ayser-Roth merger with Colonial, a new
Crown Division was established by Kayser—Roth. LHinerfeld
dep., pp. 2!—213. Crown Teztile Mfq. Co. was the subsidiary in
the Crown Division which served as the primary liaison with
lcsyser-Roth , and Stamina Mills was on. of the other
subsidiaries included in th. Crown Division. tHinsrf.ld dep.,
pp. 26—27]. e assets of Stamina Mills remained a part of the
Crown Division even after the dissolution of Stamina Mill. on
December 31, 1977. Operations thsr.ait.r continued as the
Stimina Mills Division of Ksyser_R )
2. Votina Riahti
30. Cj yser_Roth’s ownership of .11 of the Stamina Mills
ce mnon stock meant that it also controlled the voting rights of
this st his gave Kayser-Roth the power to elect th.
directors of Stamina Mills. who in turn appointed the corporate
officers of Stamina
5 Control Throuah Directors
1. Selection of Directors
Through the selection and election of subsidiary
comj’ i s’ directors, parent companies are able to participate
in the decision—making, processes of th.Lr subsidiaries. By
electing board members of its choice, all of whom are parent
company employees, a parent can establish direct access to its
subsidiary companies, and thereby ensure that its proposals are
implemente 1
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32.( . Stama.ia Mills By—Laws empowered the stockholders
to elect a board of four directora and the directors in turn
were empowered to elect a president and appoint other officers
of the corporati Jsinc. Kays.r-Roth controlled ill of the
stock of Stamina Killi from 1966 until its dissolution on
December 31, 1977, Kayler—Roth elected both the Board of
Directors and the. officers Of Stamina Kill.. (Stamina Mills
By—Laws, Article. 1 III;].
33. Xayeer—Roth and its subsidiaries including Stamina
Mills had comon directors. Each of the directors of Stamina
Mills was also an officer of Zayser—loth. (?iri€ Joint Stip.,
15, 163.
2. Direetori Meetinci and Particination in
Ruiinesa Onerationa
34. Even though the Stamina Mills By—Laws required the
president, or in his absence, the vice—president, to presid, at
all board meetings, the Stamina Mills president, generally were
unaware even of who waa included on the board. (Stamina Mills
By—Laws, Article IV, Section 1; Deposition of Walter Eastman,
President of Stamina Mills, Inc., 1971—l972(hsreinaf tar
Eastman dep.), p. 54; Deposition of Sidney Stsynan President
of Stamina Kills, Inc., 1969—1971 (hereinafter Stayman dap.),
p. 383.
35. Another indication of the lack of corporate
formalities with respect to Stamina Mills relatis to Board of
Directors meetings. In fact, no board meetings were e16 fr m
1973 through the dissolution of Stamina Mills on December 31,
1977. [ Deposition of Jerome Perlmutter on behalf of the
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Xayssr —ROthCOrPOratiOfl pursuant to Rule 30(b)(6) of the
Federal Rules of Civil Procedure (hereinafter Perlmutter
dep.) , p. 223]. inc. the content and form of the board
minutes from 1966 through 1972 is generally the sam. as those
from 1973 onward when no meetings were held, it does not appeir
that any board meetings wars held from 1966 through 1972. From
.t lust 1973 through 1977, the Xayser-Roth Corporate Law
Department prepared the minutes to reflect transactions that
had to be recorded in the minutes book. The Board of birectora
meetings, as well as th. annual meetings, ware done on
unanimous written consent. Minutes ware generated only for
situations where they ware legally required, or where they were
requested by a third artij7 (Perlimatter dep., . 222—223].
36. The Stamina Mills Board of Directors did not actually
participate in overseeing ths business operations of Stamina
Mills. [ Hinerfeld dsp., p. 160]. Under thes. circumstances,
the officers of Stamin. Mills would be assumed to have greater
authority.
37. Another szample of th• disregard of corporate
formalities relates to the office 0 f Treasurer. The By-Laws
for Stimina Mills gays the Treasurer the authority to arrange
for loans. [ Stamina Mills By—Laws. Articis V, Section 2].
However, Msrrick as Treasurer of Stamina Mills was precluded by
Xayssr-Roth from borrowing from third partiss such as banks.
[ Merrick dsp., p. 648].
38. Instead of the officers of Stamina Mills assuming
greater responsibility for. decisions relating to the company
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based on the noninvolvement Of the Stamina Mills Board, a large
degree of decision—making was carried out by Stanliy Bheerr of
Crown Mi g. and Norman Minerfeld of Kayser—Roth.
C. Côn rp1 Throuah Off ie.re
1. Sel.e inn ef Off ieeri
39. Crown Mi q. and Xaysur—Roth controlled the officers of
Stamina Mills through the selection process of the president as
well as the reporting lines . Stayman, Eastman and Dubin were
each selected as Presidents of Stamina Mills by Sheerr and
Hinerfeld. (Hinerfsld dáp., pp. 53—58].
2. Termination of Of fleera
40. Just as Crown W ig. and Xayser-Roth exercised control
by hiring the presidents of Stamina Mills, they also exercised
similar control by terminating the employment of StaminiM l.’
presidents whenev.r they saw fit . There are several examples
of this. The earliest involves the removal of Sidney Stayman
as President.
A. ......Iwas called down to Philad.lphia one
day out of tite blue and they -— Stanley Sheer: told me
(Eastman] that they were going to drop Sidney unless
they could make a deal with Sam Stayman that he would
pay Sidney’s salary out of the money that he was
qetti*g from Kayser—Roth as part of his termination
payoff. Sam refused to do it. so they let Sidney go.
And sometime later I was informed that I was president.
(Eastman dep., p. 40 (bracketed material supplied)].
41. Walter Eastman’s removal also was implemented without
warning by C own Wig. and Xayser..Roth.
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A. .... (Dubin had] been there a few months,
and anyway, they cams up to me one day and informed me
that they were going to make (Dubin) president of the
company and keep me on as an advisor or some
cockamami. thing. I don’t know just what.
Q. Who came up to you?
A. Stanley Sheerr. well, a. a matter of fact,
he brought his whole crew up with him, he brought John
Merrick and Prooslin (of. Crown Mfg.] and I think maybe
he thought they were going to have trouble with me or
something.
[ Eastman dsp., pp. 140—1 (bracketed material
supplied)].
42. Finally, the removal of Paul Dubin as president in
1977 provides perhaps the best example of the roles of Crown
Mfg. and Kayser-Roth in the removal of a president of Stamina
Mills.
A. . . . (Tjhsr. was a decision made by me. and
acquiesced to by my father (Stanley Sheerrj, and
supported by John Merrick and Frank Engels (of Crown
Mg.] — (to remove Paul Dubin as President].
Q. Th. initiation of the action that Mr. Dubin
should be relieved of his duties was yours?
A. It was mine, absolutely.
(Deposition of Richard Shserr. President of Stamina
Mills, Inc. 1977, later President of Crown Textile Mfg.
Co. (hereinafter Sheerr dep.), pp. 31—32 (bracketed
material supplied))
43. At the time of Dubin’s termination. Richard Sheerr
was Executive Vice—President of Crown Textile Mfg. Co.. but was
not an off ic.r or employee of Stamina Mills. (First Joint
Stip., 21. 22].
3. Re ortina Relationahini
44. During the period 1966 through 1977 the officers of
Stamina Mills included both active and inactive members .
Norman Jackson (the Financial Vice—President) and Harold L.
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Chaser (the Vice—President and Secretary), both of whom were
employed by Xayisr-Roth, were for most purposes inactive as
off Leers 0 f Stamina Mills. In fact, Jackson and Glasssr were
only officers of Stamina Mills as a result of a Kayser—Roth
policy that certain individuals be off ic.rs primarily for ease
of access in New York to sign corporate documents. (Perimutter
dsp., pp. 33. 41—42].
45. The President 0 f Stamina Mills reported directly to
Stanley Shesrr who was the P:esident of Crown Textile Mfg. Co.
and the president of the Crown Division. (Staynan dsp.,
p. 18]. Sidney Stayman, who was President of Stamina Mills
from 1968 to 1971 described the relationship as follows:
A. I would say that in general Stamina Mills
operated almost as a division of Crown Textile
Manufacturing Corporation in that in New York we
shared the same offices with Crown Textile. The
accounting controls were managed by John Merrick from
the Crown Mfg. organization in Philadelphia. The
major decisions for the mill were made by Mr. Stanley
Sheerr, who was president or head of Crown Textile.
(Stayman dsp.. p. 141.
46. Stayman would speak to Shserr about Stamina Mills
matters as often as two or three times per week and would also
have personal mostings with him in New York as much as once per
week. These comlnications were largely confined to Stamina
Mills’ sales matters for which Stayman was primarily
responsible. (Stayman dsp.. pp. 20—21].
47. Although Eastman as Vice—President of Stamina Mill,
reported to Stayman on many matters and received instructions
from him, hi indicatsd that Sidney (Stayman, the President of
Stamina Mills] didn’t tell me anything that Stanley didn’t tell
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himto tell ma. (Eastman dsp., p. 20]. In addition, on some
matters Eastman, as Vice President of Stamina Kills during
stayman’s Presidency, would report directly to Sheert and not
through Stayman. (Stsyman dsp., pp. 11—193. For example, when
the manufacturing plan for Stamina Mills was sstablisheá( ny
financial matters that involved purchase of new material or new
machinery or anything like that, that ill had to be cleared
with Stanley (Sheerri . . . 4’ (Eastman dsp., pp. 21—223.
as Vice Pr dent, met with Sh.err, Merrick and
Stayman approximately three times per month on. among other
things, natters relating to the budget, sales projections,
hiring of management consultants, a j .!nns ati1tions)
(Eastman dsp., pp. 36—371.
48. During Eastman’s Presidency of Stamina Kills from
1971 to 1972, he continued to report to Shssrr, Merrick and
other Crown Mfg. employees. Xe met with She.rr at least every
Monday in Xew York and was in more frequent tel.phcne contact
with him and with John Merrick. (Eastman dsp., pp. 45, 52—53].
49. During their presidencies, neither Eastman nor
Stayman had any dealings with the bard of Directors of Stamina
Mills. Their ordinary reporting channel was exclusively to
Sheerr of Crown Mfg. (Eastman dsp., pp. 45. 54; Stayman dsp.,
pp. 18, 381.
50. During Paul. Dubin’s Presidency of Stamina Mills from
1972 to 1975, he also reported to Shesrr snd Merrick of Crown
Mfq. (Deposition of Paul Dubin, President of Stamina Mills.
Inc., 1972—1977, (hereinafter bubin dep.), pp. 18—203. Dubin
generally spoke to Sheerr every day he was in and met with him
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twice per month about Stamina Mills’ matters. (Dubin dsp., pp.
.20—22].
.51. JOhn Merrick, the Treasurer and Chief Pinancial
officer of Stamina Mills, was also the Treasurer and chief
Financial Officer of Crown Textile Xfg. Co. and functioned as
the Controller of the Crown Division. Merrick did not report
to. nor was he supervised by. the President 0 f Stamina Mills.
Me was supervised by and reported to Stanley Sh..rr, the
President of Crown Textile Mfg. Co. and the Crown Division.
(Staymandep., pp. 39—40].
0. Control Over Finaneial. and Adminiatrative Matters
1. Finaneial Su ert
52. The provision of financial assistance allows the
parent corporation to establish, determin, and regulate the
amount of planned growth and the areas of growth or activity of
its subsidiary corporation.. In this way, resources are
managed in accordanc. with the goals of the parent.
53. The following examples demonstrate Kayser—Roth’s
control over Stamina Mills through the use of financial
support.
2. morrowines and Ousrantees
54. A parent corporation can control a subsidiary by
providing fund. while limiting or prohibiting the subsidiary
from obtaining outsid loans. A parent corporation can also
increass a subsidiary’s dependenc, upon th* parent by
guaranteeing obligations of the subsidiary In fact,
Kayser-Roth prohibited outside borrowings b7 any of its
subsidiaries, while it also at times guaranteed obligations of
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its subsidiaries.
55, In July 1966, only three months after Xayaer—Roth
acquired both Crown Textile Mfg. Co. and Stamina Milli, it
guaranteed payment to the Cirard Trust Bank of Philadelphia of
all sums owed by either Crown Textile PUg. Co. or Stamina
Mills. This guarantee applied to the opening of I ,tters of
the creation of Trade Acceptances by Stamina Mills
or Crown Textile Wig. Co. (U.S. Dep. Ex. 132A3. Notification
to Girard Trust was given by Norman Jackson, who was the
Financial Vice—President of Kayser—Roth, Crown Textile Wig. Co.
and Stamina Mills at that time. (First Joint Stip. 21, 22;
U.S. Dep. Lx. 132A ]. While ay.er-Roth never was required to
pay any amounts covered by the guarantee, the guarantee
nevertheless remained in force until the Oulf & Western
Industries, Inc. takeover of Kayaer . .Roth in 1975. (Merrick
dep., pp. 644—647].
56. Another instance of Kayser-Roth entering into a
guarantee on behalf of Stamina Mills occurred in September
1966. Kayser—ROth guaranteed the obligations of Stamina Mills
under Stamina Mills’ factoring agreement with Textile Banking
Company, Inc. j jIctoring agreement ii an agreement in which a
bank or factoring company agrees to buy a company’s receivables
as of the date of sale, and pay proceeds to the selling company
on a prearr nged formula. For example, if a company sells on a
60 day basis, the company would be paid in 60 days by the
factor. The factor charges a fee of about 1% for its services,
in return for which the factor agrees to .ee responsibility
for collecting the money from the customer. j (U.S. Dep. Lx.
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1323; MerrickdSp., pp 598—599].
57. A third example of how Kayser-Roth controlled Stamina
rni.ls through what is essentiaiiyf guarante. relates to the
lease of the ProPerl)ocat.d at 308 East School Street in
Woonsecket, Rhode Isl nd. The property was used exclusively by
Stamina Mills; however, the lessee was Kayser—Roth. The
inclusion of Kayser—Roth as a less.. for a property in which it
had no direct involvement can be construed as being for the
purpose of providing additional assurance to the lessor that it
will receive its payments under the terms of the lease.
(U.S. Dip. Es. 107].
3. Financial Reatrictiøni
58. Another method used by ICay ser -Roth to control Stamina
Mills was through the imposition of financial restrictions.
Various restrictions were imposed y Kayser—Roth upon Stamina
Mills, including: a prohibition tnst incurring any ext. 31
debt [ Merrick dip., p. 6483; rei :tions against acquirinq ny
capital assets in excess of very mtnimal dollar amounts (as low
as $500) without prior approval (Merrick dsp.. pp. 376—3773;
the need to obtain Xayser—Roth approval for biring officers of
Stamina Mills or granting pay increases when the salary or
percentage increase exceeded certain Xayser—Roth defined limits
(U.S. Dip. x. 76: Merrick dep., p. 335-3363; making
charitable ntri . .ons where t ’ amount exceeded Kayser-th
specified liar iimums [ U.S. ;. Es. 129; M.rrickdep pp.
628-6293; and ope .. g new bank :,3unts (M.rrick dip., p.
336]. These restrictions stripped Stamina Mills management of
much of the financial
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e jsjon—making typically available to an independent Company.
it mad. the financial success of Stamina Mills largely
dependent UPOS the largesse and dscisions.mad. by Xayssr—Roth
personnel whose interests might not coincide with those of
Stamina Mhlls management.
4. Cen ra1 Cash Mansoement System
59. Kayser—Roth exercised control over its subsidiaries
through its central cash management system. This control via
exercised in two Ways: (1) subsidiary companies maintained no
cash in excess of their ismiediate operating needs in their own
name; and (2) restraints were placed upon th• ability of
subsidiaries to handi. their own banking relationships,
including the authority to borrow funds or to open new bank
accounts.
60. The Kayser—Roth central cash management system
evolved from a functional but basic system into an increasingly
more sophisticated system during the period 1966 through 1977.
61. The system first affected Stamina Mills through the
factoring agreement with Textile Banking Company, !nc. Stamina
Mills authorized and directed Textile Banking to remit to
Xayser—Rotb all funds available to Stamina Mills under the
factoring agreement. At this tins, Stamina Mills was factoring
essentially all of its receivables, so that ths impact of this
arrangement was that Kayser—Roth was receiving all of Stamina
Mills sales proceeds. and Stamina Mills was obtaining funds
from Kayser—Roth as needed to meet its expenses. 1 13.5. Dep.
Ex. 122C; Merrick dep., pp. 601—6021.
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62. From at least April 1968, funds rsquired ‘7 Stamina
Mills were requested from Kayssr-Roth by a Crown Mt . employ..,
since all of the accounting peopl. in the administrative area
of the Crown Division were on the Crown Textile lUg. Co.
payroll and located in Jenkintown. (U.S. Dsp. Es. 121; Msrrick
dsp.. p. 597].
63. Effective September 1, 1970. new cash management
procedures were instituted. The major changes resulting from
these new proc.dur.s were as follows: (a) ach division was to
maintain a lock box in the nam. of ayssr—? th in a Xayser—Roth
bank; (b) the Kayser—Roth corporat. accounting office was to
maintain the general ledger control accounts for ‘these lock
boxes; (C) only, the Kayser-Roth corporate treasurer’s
department was authorized to mak. withdrawals froia these
accounts; (4) each Kayser-Roth division was to maintain a
general account at the sans bank used for the lock box to be
used for paying the division’s bills; and Ce) the Kayser—Roth
Treasurer’s Department tranafsrred funds to each division’s
gen.ral account upon request, based upon the division’s cash
needs for meeting its obligations. (U.S. Dsp. Es. 120; Msrrick
dsp., pp. 387—5943.
64. Ivsn though the sophistication and mechanics of the
central cash management system continued to change over the
years, the impact of the system upon Stamina Mills remained
essentially the same, namely tltat Kayser—Roth controlled access
to all funds. A
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subsidiary like Stamina Mills had to obtain approval from
Xayser—ROth for any funds which it requested. This precluded
the management of Stamina Mills from engaging in any
significant independent decision—making with respect to how
funds were espended. and did not necessarily provide access to
all funds generated by Stimina Mills.
5. Finineisi Renôrtino e uir iianti
65. Kayser—Roth played an active role in monitoring the
financial results of its subsidiary companies by requiring the
regular submission to it of various standard forms and
reports. These reporting requirements were imposed coon after
Kayser—Roth merged with Colonial in April 1966, and focused
upon budgeting and cash flow projections. Some Stamina Mills
financial information was reported to John M.rrick by Muriel
Peloquin. a bookkeeper located at the Forestdale mill. Other
information for Stamina Mills was prepared by the Crown Mfq.
accounting staff in Jenkintown. Pennsylvania where it
summarized with other information for the Crown Division and
then forwarded to ICayser—Roth. (Merrick dep., pp. 60—61. 64,
94—96].
66. Sale, information was reported to Rayser—Roth on a
weekly basis. (Merrick dep., p. 1173 A monthly flash
financial repert was prepared which contained sumearized
financial information prepared with preliminary data.
[ U.S. Dep. Ez. 97; MerrieR dep.. pp. 676—8]. This was followed
by a more formal monthly financial report. (MerrieR dep..
pp. 117-1181. Quarterly reports were required which were more
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detailed than the monthly reports. These included, in addition
to the regular financial stataments, analysis of selling and
adainistrative.ezpenses, sales by product un., and fized asset
purchases. (Merrick dsp.. P. 118] All of this information Was
rsviewsd at th. quarterly Crown Division meetings where the
business of the Division’s component companies, including
Stamina Mills, was discussed. Annual reports which were
required were similar to the quarterly reports. All of the
reports were sent from Crown Mfq. to Norman Hinerfeld at
Kays.r—noth. (Merrick dsp., pp. 117—119].
6. Finaneial Aecountino Polietea
67. Financial accounting policies used by Stamina Milli
during the period 1968 through 1977 wets promulgated by
Xayssr—Roth. Stamina Mills never initiated or suggested any
changes on its own.
0.. . . . I’m asking you whether Stamina Mills
initiated any changes in financial reporting which
were subsequently approved by Rayser—Roth.
a a a
A. That’s not the way it worked.
Q. It was all froathe top down?
A. Yes, sir.
(Nsrrick dsp., pp. 652-6833.
68. In fact, Kaysir—Roth set accounting policies for the
entire corporation and.all of its subsidiaries, including
Stamina Mills.
Q, The decision on what kind of finincial
record keeping should be kept and what kifld of
financial reporting procedures Stamina Mills would
hays to follow, was made by who?
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A. The accounting staff at Kayser—Roth. They
would set accounting policies for the corporation
(including Stamina Milli].
(Psrlauttsr dsp., p. 134 (bracketed matsrial
supplied)].
69. Even in a specific matter such as bad debt
wrjte—offs, the decisions r.lat.d to Stamina Mill! were made by
Merrick of Crown Mfg. and approved by the Kayss; —Roth credit
manager if th. amount exceeded several hundred dollars.
(Merrick dep., p. 680; U.S. Dsp. Lx. 138].
7. Suno rt Services
a. Aeeoun ina
70. Both Crown Mfg. and Layser—Roth provided various
types of support services to Stamina Mills, which served as a
way of implementing their policies and provided them with
important details about Stamina Mills’ operations. A prime
example of this is that the books and records of Stamina Mills
were kept and maintained y Crown flfg. employees at the Crown
Mfg. offices in Jenkintewn. Pennsylvania. (Eistman dsp.,
pp. 193—194; Dubia dsp.. p. 89] This gave Crown Mfg. complete
access to Stamina Mills’ financial information, which was
shared with Icayser—Roth a. requested. Since Crown L ug.
maintained the Stamina Mills books and records, it also
prepared the Stamina Mills monthly financial statements.
Stamina Mills’ management. including its president, had no
input into the financial information which was forwarded to
Kayser—Roth by Crown Lug. personnel. (Eastman dsp., p. 194;
Dubin dsp., pp. 93—947.
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71. Stamina Mills also had its annual financial
statements audited by Ernst & Whinney, the accounting firm
engaged by ths Kayser—Roth Board of Directors to do the
lCays.r-Roth audit. Neither Stamina Mills management nor its
Board of Directors had any involvement in this decision.
(Herrick dsp., pp. 661—6633,
b. Le i1 and Ta
72. The Xayser —Po’h corporate legal aid tam departments
handled all matters ir. their respectie areas f 01 all
Kayser-Roth subsidiar is including $t,rntna Mills. Through
involvement in these areas of subsidiaries’ affairs,
Kayser-Roth would obtain a wealth of information not otherwise
available. Furthermore, the subsidiaries had no choice in
making use of Kayser—Roth services. (Perlmutter dsp..
pp. 127—128].
73. Stamina Mills was required to use the Kayser—Roth
legal department. The staff lawyer assigned to a particular
case decided whether t engage outside counsel and, if so who
that outside counsel would be. The.costs of the outside
counsel would be borne by Stamina Mills, even though no Stamina
Mills emplOyee had a voice in retaining the counsil.
(P.rl m tt.g dsp., pp. 128—131; Msrrick dsp., pp. 625-6261.
74. SImilarly, with r.sp.ct to income tam matters,
Stamina Mills had no involvement in itsown affairs. The
Stamina Mills tam returns were prepared in tbe Crown Mfg.
office in Jenkintown, signed by Merrick, and forwarded to the
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Kay er—ROth taz department for review and approval. Once
again. Us president of Stamina Kills had no choice regarding
the xays.r—Roth involvement and no input into the contents of
the return. (U.S. Dp. Ez. 139; M.rrick dsp.. pp. 113—114.
686; Perimuttar dsp., pp. 125—126].
C. 1.Aa33Z.Afl *
75. Stamina Mills. like eli Kayser-Roth subsidiariss , was
covered by a Kaysar—Roth blanket insurance policy for such
risks as firs, us. and occupancy, general compr.h.nsive and
business interruption. Kayser—Roth took over the provision of
insurance to Stamina Kills following the merger with Colonial
in 1966. The premiums were paid by Kayssr-Roth md than billed
to Stamina Mills. (Hibel dsp.. pp. 136—137; Merrick dsp.,
pp. 622—623].
76. While there were cost efficiencies as a result of the
Kayser—Roth blanket insurance policy, this also provided
Kayser—Roth wit)’ additional information regarding insurance
values of its subsidiaries properties, and allowed Kayser—Roth
a voice in approvin settlements resulting from major claims.
[ Hibel dsp.. pp. 139—1403.
d. lovee Benefits
77. Zayser—Roth ezercised control over the employees of
Stamina Kills by requiring their participation in the
Kaysar-Roth pension plan, life insurance plan and health
benefit plan. [ Merrick dsp., pp. 623—624]. Recomeendations as
to fringe benefits for Stamina Mills employees were mad. by
Crown Mfg. and approved by
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Kayser-Roth. (Minerfeld dep., p. 2881. Stamina Mills’
management was not fre. to enter into other indep.ndeñt
employee benefit programs, even if the management felt it
in its employees’ int.r.st to do so. Bonuses for lower level
Stamina Mills employees had to be approved by Shs.rr of Crown
M i g., and bonuses for salaried employses had to be approved by
Kayser—Roth. [ Merrick dsp., pp. 841—8421.
£. Contrøl Ov.r
1. Qzur.iny... ro n Mfg,’. ntrol of Stimini
Mull’ O jQfl5
78. There were many matters invc .iaq the operations of
Stamina Mills over which the Torestdals mill manager or the.
President of Stamina Mills did not have final authority. For
most of those matters Stamina Mills had to obtain the approval
of Stanley Sheerr of Crown Mfg.. Fundamental decision. such as
what quintity of a particular product Stamina Mills should
manufacture were ultimately made by Sheerr. (Merrick dsp., p.
836; Hinerfeld dsp., pp. 286—287; Eastman dep., p. 79; Dubin
dsp., pp. 50-513. Shserr determined what kind of manufacturing
methods Stamina Mills should employ; for szampls, making woven
fabric, non-woven fabric or fuiiblu. (M.rrick dsp., p. 835;
Hinerfeld dep.. p. 216; Eastman dsp.. pp. 77—78]. Sheerr
decided which types of products should be manufactured by
Stamina Mills. (Merrick dsp., p. 834; Min.rfsld dsp., p. 44;
Eastman dep., pp. 77—78; Dubin dep., p. 45]. Shssrr also
decided on the marketing strategies which would be implemented
to sell Stamina.Mills’ products. [ Merrick dep., pp. 830—831:
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Hinerfeld dip.. p. 285; Eastman dip., p. 67]. As John Merrick
put it:
A. Stanley (Sheerr] had the final authority in
all things, marketing and manufacturing —— I think
I’ve said that 12 time. —— and Sidney Stayman was a
part of the team.
tflerrick dip., p. 830 (bracketed material supplied)].
a a
A. . • , . Walter Eastman certainly could
change the assignment of personnel or shut this
machine down, run that machine. Operating decisions
the mill manager does in any manufacturing plant. If
it involved significant change that involved money
costs or affected serious operations, we had to go to
Stanley (Sheerr].
Eflerrick dep., p. 835 (bracketed material supplied)].
79. With the exception of the prices for baseball yarn
which were set by Dubin. the pricing of products manufactured
by Stamina Mills was ultimately the responsibility 0 f Sheerr.
(Merrick dep.. pp. 828—829; Ninerfeld dip., p. 283; Eastman
dip., pp. 66—68; Dubin dep., pp. 41—421. Sales of Stamina
Mills’ products were handled out of Crown Mfg.’s New York
office, in part, by employees of Crown lUg. Sheerr would have
to approve of the hiring of the Stamina Mills salesmen in the
New York office. CRerrick dep., p. 822—8233. Sheerr had final
authority on hiring some of the salaried employees for Stamina
Mills and what their compensation levels would be. (Merrick
dip., p. 821; Eastman dsp., pp. 60, $5]. Personnel policies
for Stamina Mills employees and approval of negotiated labor
union contracts wire also Sheerr’s responsibility.
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(Merrick dsp., p. 196; Hinerfeld dsp., p. 284; Eastman dsp.,
pp. 62—63; Dubin dsp. pp. 39, 45]. Finally, the retaining of
consultants for Stamina Mills also had to be approved by
Sheerr. (Eastman dsp., pp. 68-69; Dubin dsp.. p. 433.
2. Reoortin Re1a ion!hio of Crown Mfo. to
80. Stanley Shserr, as head of the Crown Division
reported to Norman Hinerfeld, the Zzscutiv. Vice Preaid.nt of
Kayser-Roth. (Merrick dsp., pp. 69—70, 312; Minerfeld dsp., p.
36].
8]. Hinerfeld met with Shserr thre. or four times p•r
month and, in addition, maintained regular telephone contact.
Minerfeld also held regular quarterly budget meetings with
Sheerr and Merrick. (Hinerfeld dsp., pp. 205—206]. The
purpose of the quarterly meetings was to review the operations
against our budget, and then to plan what was going forward
with the operation based on our current knowledge. (Minerfeld
dep., p. 39]. Hinerfeld took an activ* role in the meetings
questioning Sheerr and Merrick and satisfying himself that the
budgets and corporate goals were being met. (Hinerfeld dsp.,
p. 393.
3. Xavier—Roth’s Control of Stimina Milla’ Onaritioni
a. Quxxig
82. Zayser—Roth. in combination with and through Crown
Hf g., also played an active role in directing the operations of
Stamina MilL Kayser—Roth ezerted control throug:. the
requirement - ;t Stamina Mills, after obtaining Cr in Mfg.’s
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approval. had to obtain th. approval of Kayser—Roth (a) to
purchase or move capital assets; (b) to resolv. environmental
problems; Cc) to make many daily operational decisions; (6) to
lease, buy or sell real estate; and Ce) to adopt operating and
capital budgets.
b. The Pureheap or flovement of Camital Aieete
83. Th• purchase of any capital asset by Stamina Mills
which had a value in exceas of $500 had to b. approved in
advance by Cxovn flfg. For example, the purchas, of a $750
sewing machine by Stamina Mills had to be first approved by
Merrick at Crown Mfg. [ M.rrick dsp., pp. 361—365; U.S. Dsp. Em.
60].
84. If Stamina Mills wished to purchase a capital asset
with a value in excess of $5000. not only did Sheerr of Crown
Mfg. have to approve the purchase, but so did Hinsrfeld of
Kayser—Roth. (Plerrick dsp. pp. 349. 357. 361—365. 377; U.S.
Dsp. Ems. 58 and 593. In a particular ‘ear Stamina Mills would
have to obtain approval from either Crown Mfg. alone or Crown
Mfg. and Kayser-Roth to purchass capital assets on numerous
occasions. (Merrick dsp., p. 377; U.S. Dsp. Em. 62). Even for
example, if $10,000 had to be spsnt by Stamina Mills to pay the
labor costs of moving machinery, although me machinery was
purchas.d. that expenditur. had to be fine approved by Shserr
of Crown Mfq. and ultimately approved by Minsnf.16.. (Mernick
dep.. pp. 367—368; U.S. Dsp. Em. 61].
c. The Resolution of !nvironmental Problems
85. As early as October 20. 1967. Walter Eastman. as Vice
President of Stamina Mills. notified Msrnick of Crown Pig, that
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Stamina Mills had a serious water pollution problem. The Stat.
of Rhode Xalind was objecting to the fact that Stamina Mills
was discharging contaminated waste water into the Branch River
after using the water as part of its detergent based scouring
system to clean newly woven textiles. [ Merrick dsp..
pp. 382—313; U.S. Dsp. Ex. 63k]. Eastman proposed two
alternative solutions to th. problem: (1) an activated sludge
system; and (2) a system of impoundment lagoons. (U.S. Dep.
Ex. 63k, p. 2].
86. Merrick notified Classer of the Kayser—Roth Legal
Department and Hinerfeld of the problem and Eastman’s proposed
solutions. (U.S. Dep. Ex. 633]. Xinerfeld directed that cost
studies be done to determine the best and least expensive
method to resolve th. problem. Minerfeld and Chester Roth. the
Chief Executive Officer of Xayser—Roth, decided that the least
expensive and ‘ t ef’ective way to deal with the pollution
problem was tc ;urcha e a Derby dry cleaner unit wHch would
clean the newly woven textile using trickloroethylene (TCV)
which could be recycled. (Minerfeld dep., pp. 108-112.
U.S. Dsp. Mx. 633]. The purchase of the dry cleaner for an
amount in excess of $100,000 was r.coemended by Sheerr and
Merrick of Crown Nfg. and approved by Hin.rfeld. Glasser and
Chester Roth of Rayser—Roth. (Merrick dsp., pp.388—389;
erfslddep., p. 1; Eastman dep., p. 103; U.S. Dep.
_ . 63C].
87. Kayser—Roth also ezercis.d cc crol over Stamina Mills
in connection w th other environmental matters. In 1973.
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Kayser—Roth issued a directive requiring all DivisiQn and
components of Divisions including Stamina M;lls, to notify the
ICayser—Roth Legal Department of any contacts from courts or
governmental agencies regarding any environmental problems.
[ U.S. Dep. Ex. 66]. Even prior to 1973. if contact had been
made with a company in the Crown Division, including Stamina
Mills, about an environmental matter by a Federal, State or
local agency, Merrick would be notified and he would notify
Hinerfeld and the Kayser—Roth Legal Department. (Merrick dep.,
pp. 432—433].
88. In 1974, Stamina Mills was sued by the United States
for violation of Stamina Mills’ NPDES permit in that the waste
water discharged by the plant into the Branch River contained
pollutant in excess of the amounts authorized by the permit.
Dubin as President of Stamina Mills was in direct contact with
Ilinerfeld on the matter. Sheerr and M Li k wéa uvulv l in
the decision—making process on how to resolve the dispute. The
ultimate decision on how to settle the case, based upon
Sheerr’s recommendation, was made by Ninerfeld, Glasser and
Roth of Kayser-Roth. (Merrick dep., pp. 441—442; Hinerfeld
dep., pp. 127—128; U.S. Dep. Exa. 67 and 681.
d. Daily Operations of Stamina Mills
89. In a variety of ways Kayser—Roth and Crown Mfg.
controlled many of Stamina Mills’ daily operations. For
example, whenever Stamina Mills conducted an inventory,
personnel from Crown Mfg. were present to observe and to audit
the accuracy of the inventory. (Merrick dep., pp. 698-699).
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If CrO’ fig. deterain.d that Sta: a Mills vii accumulating
too mU- anvintory, Shnerr or Msr .h would direct Eastman to
reduce the inventory. Indeed, Rinerfeld ot Rayuer—Roth also
suggested that Eastman reduce excess Stamina Mills’ inventory
and, on at least one occassion, suggested that he utilize
excess Crown Mfg. inventory. (Merrick dip., pp. 701—702; U.s.
Dip. Lx. 112].
90. Kayssr—Roth and Crown Mfg. also directed the
development of new p :duct lines for Stamina Mills. For
example, in an effort to develop new products for Stamina
Mills, flinerfeld as well as Shesrr was actively involved in
efforts to have a Czechoslovskian inventor, a Dr. Ercms, come
to the United States and demonstrate techniques he was
developing for the manufactur, of non-woven textiles.
Ilinerfeld authorized Ercas’s visit and obtained direct reports
on the project from Stayman, the President of Stamina Mills.
(U.S. Dep. Ess. 145, 114k and 1145]. Min.rf.l6 also obtained
pr;qress reports from Mrrick on this matter. (M.rrick dsp..
p. 716; U.S. Dep. Es. 146].
91. Another example of Layser-Roth’s control over the
production operations of Stamina Mills is Hinerfeld’s
authorization in 1969 for the 9orestdale facility of Stamina
Mills to initiate the weaving of ti• lining. i.., the lining
inserted inside a man’s necktio. IIf*nufsld dep., pp. 236—237;
Merrick dsp.. p. 727]. T e manufacture of e lining was
integrated between the Stamina Mills’ faci; y at Tor.stdale
and Crown Mfg.’s plant at alladega, Alabama. Sons of the yarn
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wus spun at Talladega, and shipped to Stamina Mills where it
V i ! woven into th. ti, lining. The woven ti, lining was then
sent back to Talladega for finishing. (Eastman dsp., pp.
174—175]. When various problems d.v.loped in production of the
ti, lining, Hin.rfeld monitored the activities through reports
from Shssrr. [ Winerfeld dip., pp. 236—240]. Shserr or Lester
Oppenheimer of Crown Xfg. authorized the transfer to Stamina
Mill. of th.flni.hing process for the ti. lining in 1969.
[ Msrrick dsp. pp. 730—731; U.S. Dsp. Em. 116D; Minerfeld dsp.
pp. 236—2401. Eventually, Minerfeld and She.rr decided to
transfer all of the tie lining manufacturing from Stamina Mills
to Crown Mfg. at Talladega. [ M.rrick dsp., p. 737; Eastman
dsp. pp. 176-177; Hinsrf old dsp., pp. 241-242]. Ilinsrfs ld
authorized the movement of some of the needed equipment to
Talladega from Yorestdale. In his view it was irrelevant
whether the President of Stamina Mills ob .ctsd to the transfer
of the tie lining production to Tslladsgs. (Hinerfeld dip., p.
242].
92. A “ erof oth.i manufacturing functions were
transferred from Stamina fills to the Crown Mfg. Talladsqa
plant such.u a noodle punch operation to maki blankets and
interliniuga as well as an operation to manufacture 11C cloth
for the inside of the waistband of men’s trousers. The
decisions to transfer these operations icr. made by Einerfeld
and Sheerr. (.flinerfeld dip., pp. 242—2441.
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93. The manu turing facilities of Stamina Mills in
Forestdsle and Woonseckst were run as part of a manufacturing
operation in which decisions ware made baud on the nssds of
the whole Crown Division.
• A. . . . Prom the Crown groups point of view.
we would try to do what was molt advantageous for the
overall operation of Crown.
0. Regardless of which company was
incorporated or not?
A. Our responsibility was to run the Crown
Division, and these (I.e.. Stamina facilities and the
Talladega plant] were components of it.
[ Merrick dsp.. p. 732 (bracketed material supplied)].
94. Kayser—Roth also considered the Stamina Mills’
facilities as simply part of the production faciliUss within
the Crown Division.
A. I would say, truthfully that Mr. $hserr or
myself nsver considered he corporate organization
because Stamina was operated as a dsparta.nt of
Crown. .‘en though it was separately incorporated.
Q. It was on. of ths Crown production
facilities and that, is how it was viewed in your
d.cision-makiag7
A. Mine and Shssrr’s, absolutely.
[ Hin.rf.ld 6.p., p. 2463.
95. As part of his direct participation in the operations
of Stamina Mills, Hinerfeld would on occasion, such as in the
su er of 1970, meet with the President of Stamina Mills and
review Stamina Mi. 3’ operational problems in substantial
detail. (Hinarfe dáp.. pp. 247—230;. U.S. Dsp. Lx i. 117k,
1173. 117C. 1 17V. •17E]. In his testimony Minurfeld explained
it as follows:
—36—
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Q. You got into, in your discussions, you got
into fair amount of detail about the activities of
Stamina lUlls?
A. Yes, because Stamina was having many
problems and when you have many problems, you have
many questions.
0. That caused you to get nor, involved?
A. Yes.
(Ilinerfeld dep., p. 2301.
• ma Laaia. Purehisa or Sal. of Pail itath
96. Crown Mfg. through Sh..rr determined whether and when
Stamina Kills needed to lease, sell or purchase real estate.
All such transactions required th. approval of Kayser—Roth
through Hinarfeld and Che.t.r Roth. The Xayssr—Roth Legal
Depsrtme t provided any needed isgil services. (Merrick dsp. ,
pp. 745—746; U.S. Dip. Em. 147].
97. In 1969, Icayser—Roth entered into a 15-year lease for
a building at 308 East School Street (the Stsvens building]
in Woonsocket, Rhode Island. The lease was ezecuted by Chester
Roth, as Chairman of the loud, on behalf of Kayser-Roth.
Rowever, the building was to be used by Stamina Kills for
inventory storage and manufacturing operation.. Sh..rr and
Hinerfeld approved the leasing of the building. (Merrick dip..
pp. 749-751, U.S. Dip. Em. 1073.
98. ay 1975 all manufacturing opsrations of the
Torestdal• plant of Stamina hills ceased based upon the
dàcision of Hinerfsld and Sh.err. (Merrick dsp., pp. 146-147;
Minerfeld dsp.. Pp. 210-261]. In 1976 all of the buildings
—37—
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owned by Stamina Mills — Forestdale, and the SMSA and Hazel
Street buildings in Woonsock.t, Rhode Island —— were sold. The
decisions to sell these buildings ware approved by Hinerfeld.
(Hinerfeld dsp. , p. 263].
99. Stamina Mills continued to lease the Stevens building
in Woonsocket. Yarn was spun at the Stevens building which was
sold to baseball manufacturers and clothing manufacturers or
sent for weaving into blankets to Crown Xfg.’s Tallade
plant. After the operations at Yor.stdals wets discon ;usd,
machinery and equipment were moved from Yorestdale int: che
Stevens building. The decision to continue Stamina hills
manufacturing at the Stevens building was made by Hinerf aid and
Sheerr. (Nerrick dsp.. pp. 761—762: Minerfeiddep., p. 2663.
The later decision to stop.manufacturing yarn for woven
blanket5 at the Stamina Mifls’ facility in the Stevens building
was approved by Hinerfeid the recomoendation of She.rr and
Merrick.. (Merrick dsp.. p. 74; U.S. Dep. Ems. 153k, 1535,
153C].
- f. Dev1onm nt of OneraPino and Canital ud ets
100. Kays.r—Roth and Crown Mfg. enreisid extensive
control over the operations of Stamina Mills through the review
and approval of the Stamina Mills’ budget each year, and
through periodic modification of that budget during the year.
Merrick would prepare the proposed budget. for Stamina Mills
and Crown Mi g. Since the Stamizi. Mills’ books were maintained
at Crown hf g. ‘a office in J.nk own. Murick would already
have access to many of the necessary figures. Ks would also
—38—
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have to consult with ths Crown Xfg. personnel in New York about
projected sales volumes and with the mill manager on labor
retaukrementa and other costs in order to develop a complete
budget. [ Mertick dsp., pp. 93—95].
101. At an early stage in the budget process, Sheetr
would meet with Hinerfeid to reach an agreement on what
projected sales figures should be included in the budget.
[ Minerfsld dep., p. 169]. As the budget process continued and
a detailed budget for Stamina Mills was submitted to Minerfeld
he would modify it •i he deemed appropriate. (IlinerfeId dip.,
p. 172; U.S. Dip. Ems. 173k and 1738]. As part of his review
of the budget, flinerf.ld would review with Sheerr pricing
issues, raw material purchase problems sad venous marketing
strategies for Stamina Mills. The budgeting process would
establish broad parameters within which decisions on those
issues would ultimately be made within the Crown Division.
(Hinerfeld dep., pp. 186—189]. A combined budget for all six
components of the Crown Division, including Stamina Mills,
would be developed. [ U.S. Dsp. Ix. 130]. After being approved
by Shserr the Crown Division budget would be reviewed by
Ninarfeld. and the consolidated Kayser-Roth budget would be
approved by hsster Roth. (Minerfeld dip., p. 164]. Merrick
described Ninerfeld’s role as follows:
A. He understood the mechanics of the
propositions that we’d be putting forward (La the
budgeting process]. In these things you have to
forecast your expectations of sales and the cost of
the sales, the amount of capital expenditures that
you need to make that forecast and the staffing
underneath it, the people you need to sell it, hbw
much advertising, the overhead.
—39—
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So all of these details would be discuised
and it would be compared with how you were actually
oprating now. And he invariably would say, You’re
operating at too high a level now and get it the hell
down. And that was the procedure that went on from
the very beginning to the bitter end.
Q. With Minerfeld?
A. Yes. -
(Merrick dsp., pp. 631—632 Cbracketed material
supplied)].
102. According to Walter Eastman, projections would be
made by Crown Mfg. as to the amount of sales for certain
products to be made by Stamina Mill. during the next year.
These projections were then used as the basis for establishing
Stamina Mills’ manufacturing budget. In fact, the
manufacturing budget was controlled exclusively by these sales
projections. (Eastman dsp., pp. 190—1911.
103. When problems arose as to Stamina Mills meeting its
sales projections, Eastman, as Vice—President of Stamina Mills.
was ‘,nabls to unilaterally modify ftose figures.
A. . . . (WJh.n is trouble started to develop
around 1969, 1970, we started to get some projections
that ware very unrealistic and ——
Q. Projections of sales?
A. Yes. And we budgeted on. those sales, and
as a result we ran into trouble because we didn’t
absorb our overhead.
0. Did you object to the unrealistic ——
A. I certainly did.
Q. —— projections at the tin.?
A. I certainly dLd.
—40—
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Q. To whom?
A. Well, to Stanley Sbe.rr. John Merrick,
Prooslin (of Crown].
Q. Wbatdidtheyssy? .
A. Will, they said this is it, this is the way
we want the mill budgeted.
(Eastman dsp., pp. 191-192 (bracketed material
supplied)].
104. Once the budget was approved. Minerfeld would
periodically make inquiries to Sheerr as to why Stamina Mill.
was not meeting its budget and get detailed responses back from
Merriçk. Crown M i q. would send a monthly report to Hinerfeld
that showed the efficiency that was being achieved in every
department of Stamina Mills. It was not unusual for Hinerfeld
to make detailed inquiries of Crown Mfg. about Stamina Mills’
progress. As Stamina Mills’ woolen interlining business was
dropping off in the 1969—1970 period, Minerfeld would
frequently make inquiries of Merrick about variances trom the
approv udget and was in constant co maunication by telephone
with Sheerr about aal aspects of Crown Mfq. op.rations,
including Stamina Mills oporations. [ Merrick dip.,
pp. 638—644; U.S. Dsp. Em. 1313.
VI. one1uainn
105. Zn my opinion, as a result of (a) the nteqration of
the financial and operational management of Stamina Mills with
Crown Mfg. and Kayser—Roth, (b) the reporting relationships
among the companies, and (C) the lack of independence given to
the President of Stamina Mills in making decisions which
—41—
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at fectad Stamina Mills. Kayser—Roth and Crown Mfg.,
individually and jointly, both directly and indirectly
controlled Stamina Mills from its acquisition in 1966 through
its dissolution in December 1 .977.
I declar, under penalty .f perjury that the foregoing is ture
and correct and within my psrsonsl knowledgs.
Executed this L day of ______ in Washington, D.C.
GREGO P POLOMIC
Financial Analyst
Antitrus Division
United States Department of Justice
GREGORY P. POWRIC
—42—
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NOTES
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cu!©
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New Enforcement Measures
-------
Pilot EnforcementlLegal Support
Measures — ICs and Revitalization
Bruce Pumohrey.
OECNOSRE
National PRP Search
Conference
May 13, 2008
Development and Purpose of new
measures
• Developed as a result of Supedund Enforcement measures
woitgrcup that Induded aS 10 Regions. representatives from
prog,ssn and ORG as well as OSRTI
• To capture the enforcement end legal suppoit actIvIties for post
construction enforcement and legal support woik related Ii ICs
and redevetopmentftev ltalizatiorl
• Developed to use existing data to the maximum extent possible
and minimize new data buidens on Regions
Institutional Controls Measures
• The number of IC mechanisms! instruments
to implement ICs required in a Superfund
document
• The number of sites where all ICs required
by an EPA document(s) are in pla
I
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Status of implementation of
Enforcement IC measures
• Developing a pre-FYO8 Baseline based on Regional
information submitted to OSRTI (04/08)
• Develop measures reports once ICTS is deployed in
Regions (04108)
• Provide opportunity for regions to input FY08 data
Into ICTS (03—04108)
• Pull pilot measure results for FY08 consistent with
end of year accomplishment pulls (01/09)
Enforcement Revitalization Measures
• Enforcement accomplishments wlii be based en the number
of Supetfund does that aie sIte . wide ready for antlapated
usV (RAU), and where en enforcement doaiinefit(s) was
Involved (see below) to addresslresoive liability concerns
• NLunber cf Supeifund acre, at RAU sites (detemibled by
opemble unit) where an enforcement document(s) was
involved (see below) to addre .slreaclve liability concerns
[ The universe is Identified as Supemind sites for OSWEW5
Cicas-Ptcgrsivt Revitaizatron Measure !CPRM) Proposed,
final nd deleted NPL sites. SA sites. MTCRA sites, sites
where iii deanup goals related to land use ore edhieved.
end sites where elF IC. are In place
Which “Enforcement Documents?”
• Comfort/status letters that address liability
concemsfissues - including reasonable steps letters
• Wrndfall lien resolution agreements
• Work agreements with bona fide prospective
purchasers (BFPP5)
• Prospective lessee agreements (PLA)
• Prospective purchaser agreements (PPA)
2
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Status of Implementation of
Revitalization Measures
• CERCLIS Enforcement Actions we being added fcr
Prospective Lessee Agreements and BFPP Want Orders
(Completed)
• Repent. to be developed by OSRE based on OSRTI Site-wide
RAU end RAU ewes select lcgts to puS a subset with tabutily
dantlicetion ardors (03i08)
• Realons to be given an opportunity to put FY08 liability
da Illcetlofl InformatIon In CERCLIS (03- 04i08)
• Pull pilot manatee results far FY08 censistant with end 01 year
acconipbs lVTlent pulls (Olitto)
3
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NOTES
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Freedom of Information Act (FOIA)
-------
WHY THIS TRAINING?
-To u tndctuzaod ihet FOIA sic govemmcnl.widc pcegmnu u lhe
1 u dsnce f Office of hifoomattuc md Piwicy (OW). U.S. Depaibmootof
Juattce.
-Topicoute Agency-wade ceoupiwace with the FOIA
-Topiotucce mmfbootspplicatwn sod imptuueutatisu of FOIA lhwagb
widwatmnditig sod knowledge.
—To toodwitsiol Adatunlotrsnen policy gwdmnce an pToccul iag FOIA.
Statutosy Authority $ U.S.C. 552
EPA RegulatIons 40 C.F.R. Part 2
The Freedom of Information Act generally
provides that any person has a right,
enforceable In court, to obtaIn access to
federal agency records, except to the extent
that such records (Or portions of them) are
protected from public disclosure by one of
nine exemptions.
Amoco Renord .
Twopsat teat føo dateoniodng whit cotutliutos sgcticy reeced? wider
lbs FOIA AgwtCy recoed? ito lucuidi that sic (I) either wested it
obbsincd by su sguacy. mud (2) ceder Igeecy control it the now of the
FOIA ru uce. Relevsnt ftctoy, to conalder when .cekmg such a
detaan insdoe.
(1) Crested In lb. cource of busluam;
(2) Roedvod for sedan;
(3) Docuuasnte EPA adMIlsiladlOltI said coounuthcsttu EPA roquirwamb;
(4) S.pportm Ilundil obflgidoua or legel dais.,
(5) Iutogrstmd lots Sb. igescym rucerd kieplag i
mom
(6) Ca. be I . . .ythowlt
1
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FOLA REQUESTER
A FOIA request can be made by ‘any person” including.
Individuals - foreign citizens -partnerships -corporations
— associations — foreign or domestic governments — states —
state agencies — attorney on behalf of a client - nonprofit
DOES NOT INCLUDE: A fugitive from justice or other
Federal Agencies
FOIA REQUEST CAN BE MADE FOR ANY REASON -
PURPOSE FOR WHICH RECORDS ARE SOUGHT HAS NO
BEARING UPON THE MERITS OF TUE REQUEST
FOIA requesters do not have to explain or justify their requests
“Congress granted the scholar and the scoundrel equal rights of
access to agency records”
Argument of legitimate need for the document Is superior to that
of the general public or the press falls because Identity of
requester Is Irrelevant
PROPER FOIA REQUEST
The FOIA specifies only two requirements for an access request:
It must “reasonably describe” the records sought and it must be
made in accordance with the agency’s published FOIA regulations.
Requester need not cite FOlA
FOIA was not intended to make government agencies MI-time
investigators on behalf of requesters or to allow requesters conduct
fishing expeditionS through agency files.
Does the request descabe the recordFrecozds sought with
so that a prolinsional agency employee familiar with the subject
area be able to locate the record with a ‘reasonable amount of
effort”
2
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OVERLY BURDENSOME - Take care
While courts have held that agencies need not conduct
wide-ranging “unreasonably burdensome” searches for
records — processor must be sure that the search would in
fact be overly burdensome. How many records must be
searched?
Cut-off date
In responding to FOI/I requests, agencies are not
required—
—To answer questions
—To create records
--To make automatic releases — tickler system
TIME LIMITS
Time does not begin to run on irumoner FOIA request
Until an agency property receives a FOIA request, It Is not
obligated to smith for responsive records, meet time deadlines, or
release any records
Time does not begin to run until requesters agree to pay all
estimated fees or a fre waiver has been grunted
3
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TWENTY DAYS ( )
Once an agency piopeily receives a FOIA request, it has twenty
working days in which to make a determination on a request
UNUSUAL CIRCUMSTANCE&- MAY lUSTIlY AN
EXTENSION OF TIME TO RENPOND
lOlA Defines Unusual Circumstances as
I. The need to search for and collect records from separate
offices
2 The need to examine a voluminous amount of records required
by the request, and
3. The need to consult with another agency or agency component
Ifexteirsion needs so exceed tOdays, agency MUST allow
requester an opportunity to modify his request
First In - First Out and Multi-Tracking
mxnntn mATh(ENT
-c—rn—
-thilure to ger the ,comda qur Iy could peso in Immanent threat to the lit h
cc afety of an mdmdual Dl i she rcqueatccis speiton ponrelly engaged hi
Iafmomuon
— mint donate so repedita or act withui lOcalaidar dayt
O)NSTRUCTIVE DENIAL
If sa agrecy thfl. so comply with the una tunis for either ‘a initial tequent or
an adinmusnauvo çpesl it nisybe caisideted i uetuvo dearni red the
__ review
S
4
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SEARCHING FOR RECORDS
The adequacy of en agency’s records under the FOLk is
detemuned by a test of REASONABLENESS, which may
vary horn case to case. ______
Who Iookcotl
W hc ,cd adlhoylock? 3’
What dad the scsach entoil? Wu the search ,eaoenablc7 % Ii
Wete recode elvimed to be personally sealewed?
Since 5-FOIA wu pased, agencies sac requucdto awbe e—’ 1
efrosu to search for requested records in dectrowe (aim or foneat
macpt wheat suda efforts would algaaiflenotly mtuferc with the
epcmtwe .f the agency’s astomotlo anfsenntaos lyweta
REASONABLY SEGREGABLE
OBLIGATION
The FOIA requires that any reasonably segregable
pomon of a record must be released after
appropnate application of the Act’s nine
exemptions.
EXCEPTION : When non-exempt Lntbrmation is
so inextricably intertwined that disclosure of it
would leave only essentially meaningless words and
phrases, the entire record may be withheld.
Referrals and Consultations
Whet, an agency locates records rosp005ave na FOIA request. I i should
detesiniac whether icy oFthøeo records, oelitfwniat,oa, contained in thaw
records. originated with auot agency or sgmay
ReSt record Ibodireci taspome by .nstheragaicy BUT enD (ant - Stat
nesii i requcaer eliot yeu ate domg.
NOTE If in acncydctciiuhses that It does not otaintam stay record
responsive too paiticislar FOIA request, that agency I i wader as oblipitco
to refer that request to any other foderal agency whet, each records moy be
located. The .gmay eny. however, advise the rcqiseeteraf the none said
address of such odiessgcncy.
5
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There are three distinct jurisdictional prerequisites to the
initiation of a Special Counsel investigation under the
FOIA:
• the court must order the production of agency records
found to be improperly withheld,
• it mutt award attorney fees and litigation coit and
• it must issue a specific ‘wnttcn finding” of suspected
arbitraiy or capricious conduct.
A provision of the Whistlcblower Protection Act of 1989
authorizes the Office of Special Counsel to investigate
allegations concerning aibitretyor capricious withholding of
information requested under the FOIA.
I. Fees under FOIA
Each ggcncy shall promulgate regulations apecif iing the
schedule of fees applicable to the processing” of FOIA
requests. The schedule ilisil conform to 0MB’. Uniform
Freedom of Information Act Fee Schedule and Guidelines,
52 Fed. Rag. 10012 (Match 27, 1987). An agency’. fee
schedule may recover only the direct costs of search,
review and duplication. 6
- tera .rithu dItumwbk ‘. ipacy tiom
bictsngto nl1cuW..ad ‘ ap’- ti lscsidL 0MB
C.1dd a,BsdII. k
6
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go to Fee Schedule presentation
B. CATEGORIES OF REQUESTERS
I. Commercial Use Request
a request from one who seeks uifomianoa lbr a use or pupose that
finihers the commercial, tnide,orprof.t interests of the requester
A. TYPES OF FEES
1. Search
All time spent looking for material
that Is responsive to a request.
Searches may be done manually or
by computer; by EPA staff, SEE or
contractor.
7
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2. Review
Determining whether the material Is
responsive to the request, determine
whether records are exempt from
disdosure. 0MB guIdelines provide
that review includes “doing all that Is
necessary to excise (the recordsj and
otherwise prepare them for release.”
Only EPA staff can make disclosure
determinations.
3. Duplication
The process of making a copy of the
document. Agencies “shall establish
an average agency-wide per page
charge for paper copy reproduction of
documents. For other methods of
duplication, “agencies should charge
the actual direct costs of producing the
documents.”
“Favored” requester
I. Educational Institutions
a school which operates a program of scholarly research ,
2. Non-commercial scientific institutions
institutions not operated on a commercial bases, operated for the
purpose of conducting scientific research that does not promote
a particular pmduci “hard” or “soft” sciences. e.g.. Brookings
Institute
3. Representatives of the news media
person actively gathering news torso entity that is organised
and operated to public or broadcast news; freelancess.
4. All other requesters
requests for records for non-commercial use
8
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!fl
____ Overview of 2007 FOIA
OGC Amendments
Alan D. Margolls
Attorney-Advisor
Office of General Counsel
Sixth NaUcoal Training Conference on PRP Search
Enhancement
Po,Uand, Oregon
Mayf5. 2008
Purpose
To answer (he following questions:
• What are the new FOIA Amendments?
• How do they affect us?
• What changes can we expect under
the new amendments?
2
What are the new amendments?
S. 2488— ‘Openness Promotes
Effectiveness In our National
Government Act of 2007, or the
OPEN Government Act of 2007,’ was
signed Into law by the President on
December 31. 2007.
3
I
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Sec. 3. Protection of Fee Status for
News Media
Agencies should consult their
existing fee regulations and
practices to ensure compliance with
this new provision.
6
Sec. 3. ProtectIon of Fee Status for
News Media
Effscttve 12131107
Section 3 amends
• 5 u.s.c. § 552(a)(4)(A)(ii)) of the
FOIA by including at the end a
definition of “a representative of the
news medIa.”
• Defines the term ‘news’
4
Sec. 3. ProtectIon of Fee Status for
News Media
• Gives example of news-media entitles
• Recognizes the evolution of methods
of news delivery
Indudes provisions for a “freelance
journalist’ (bloggers may argue that
they should be Included In this
category)
5
2
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Sec. 4. Recovery of Attorney
Fees & Litigation Costs
Eff.ctiv. 12l31i07
Section 4 amends Section 552
(a)(4)(e) by adding two new
elements to the Attorney fees
provision.
7
Sec. 4. Recovery of Attorney Fees
& Litigation Costs
First, section 4 defines ‘substantially
prevailed’:
‘(I) a judicial order, or an enforceable
written agreement or consent
decree;
or
(11)0 voluntary or unilateral change In
position by the agency, If the
complainant’s claim Is not
Insubstantial.’
8
Sec. 4. Recovery of Attorney Fees
& Litigation Costs
Second, section 4 changes the method
by which attorney fees and costs are paid
to FOIA plaintiffs. Such amounts will no
longer be paid by the Claims and Judgment
Fund of the United States Treasury.
Attorney Fees and Costs wIA now be paid
directly by the agency, using funds annuall
appropriated for any authorized purpose.
9
3
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Sec. 4. Recovery of Attorney Fees
& Litigation Costs
• Offloe of Chief Financial Officer
(OCFO) Is developing guidance on
handling of payments within the
Agency
• Increased emphasis on doing it right
the first hme
• Question of retroactivity
Ij1 ji . 10
Sec. 5. DiscIplinary Actions for
Arbitrary and Capricious
Rejections of Requests
Section 5 amends § 552(a)(4)(F) of
the FOJA by adding new reporting
requirements for the Attorney
General and the Spedal Counsel.
11
Sec. 5. Disciplinary Actions for
Arbitrary and Capricious
Rejections of Requests
The Special Counsel shall annually
submit a report to Congress on the
actions taken by the Special
Counsel under this provision.
12
4
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Sec. 5. DiscIplinary Actions for
Arbitrary and Capricious
Rejections of Requests
• The Attorney General shall notify the
Special Counsel of each civil action
described under this provision.
• The Attorney General shall annually
submit a report to Congress on the
number of such civil actions in the
preceding year.
13
Sec. 6. Time LimIts for Agencies to Act
on Requests
(Effective 12131IC8)
First. section 6(a) amends
§552(a)(6)(A)by staling that:
The 20-day period commences on
the date on which the request is first
received by the appropriate
component of the agency, but in any
event not later then ten days after the
request is first received by any component
of the agencf designated in the agenc s
regulations to receive FOIA requests: 14
Sec. 6. TIme Limits for Agencies to
Act on Requests
Reminder, an acknowledgment letter
does not constitute an agency
determination as described in
§ 552(a)(6)(A)(i) of the FOIA.
45
5
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Sec. 6. Time Limits for Agencies to
Act on Requests
Section 6(a) also provides the
instances when an agency may toN the
20-day period:
The agency may make one request to
the requester for information and toll
the 20-day period while it Is awaiting
such Information
The agency may toil the 20-day period,
If necessary to clarify with the
requester issues regarding fee
assessment? 16
Sec. 6. Time Limits for Agencies to
Act on Requests
Second, section 6(b) amends
§552(a)(4)(A), the fee provision, by
adding that:
(ajn agency shall not assess search
fees.. . if the agency fails to comply
with any time limit under paragraph
(6), if no unusual or exceptional
circumstances (as those terms are
defined for purposes of (6)(B) and (C),
respectively) apply to the processing
of the request?
17
Sec. 6. Time Limits for Agencies to
Act on Requests
Unusual circumstances occur when:
• There Is a need to search or collect
records from field offices, or other
establishments;
• Therelsaneedtosearchfbrand
examine a voluminous amount of
records; or
• There Is a need for consultation with
another agency, or with more than
two components within the same
agency.
18
6
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Sec. 6. TIme Limits for Agencies to
Act on Requests
Excludes a detay that results from a
predictable agency woridoad of requests
unless the agency demonstrates
reasonable progress In reducing its
backlog of pending requests?
‘Refusai by a person to reasonabiy
modify the scope of a request, or arrange
an alternative time frame for processing
the request. . . shaii be consIdered as a
factor In determining whether exceptionai
circumstances exist?
19
Sec. 8. Prohibition on
Charging Fees
(EFFECTIVE 1V31108}
• Penalizes Agency for
noncompliance with Section 6 (time
ilmit compiiance)
• Penalty is no search fees for eli
requestors (induding commercial;
no dupilcation fees for eli others)
20
Sec. 9. Openness of Agency
Records Maintained by a
Private Entity (Effective 12131107)
SectIon 9 amends § 552( 1) of the
FOiA, the definition provision of the
FOiA, by Inciuding in the definition
of ‘record” any information
malntained for an agency by an
entity under Government contract,
for the purposes of records
management?
Amendment contaIned within FOiA’s
definition of “record?
21
7
-------
Sec. 9. Openness of Agency
Records Maintained by a
Private Entity
EfficUve 12131107
• is this provision limited to records
management contracts?
• Pro-amendment FOIA case law
concerns whether FOIA applies to
records that are either generated or
maintained by a government
contractor.
22
Sec. 10. Office of Government
information Services
Section 10 contaIns four organizational
elements:
1. The Office of Government information
Services (NARA) with two main
functions:
• To review agency FOIA activities
and recommend changes to
Congress and the President; and
• To offer mediation services to FOIA
requesters as a non-exclusive
alternative to litigation’ and Issue
advisory opinions If mediation has
not resolved the dispute.’
23
Soc. 10. Office of Government
Information Services
2. The Government Accountability Office
(GAO) conducts audits on the
Implementation of the FOIA and Issues
reports.
3. Section 10 codifies key provisions of the
E.O. pertaining to Chief FOR Officers
• Charged with agency-wide
responsibility for efficient and
appropriate compliance with the
FO IA
• Monitor implementation of the FOIA
and recommend to the agency head
any necessary implementations; 24
8
-------
Sec. 10. Office of Government
Information Services
• The Attorney General, In turn, baa
authorIty to dNct Chief FOIA Officers to
submft reports on their agency’s
performance.
• Report to the Attorney General, through
the head of the agency; and
25
Sec. 10. Office of Government
Information Services
4.Sectlon 10 codifies key provisions of
the E.O. pertakikig to FOL Public
Ualsons:
• Assist in reducing delays,
Increasing irai spamncy and
• Assist In resolving disputes.
a
Sec. 12. RequIrement to Describe
Exemptions Authorizing Deletions
of Material Provided Under FOIA
1Z 1 T
SectIon 12 amends 552(b) of the
FOIA, the provision listing exemptions,
and requires agencies to Indicate
directly ‘on the released portion of the
reurrd the amount of information
deleted by adding the additional
requirement that agencies also
indicate the exemption under which
the deletion Is made.”
27
9
-------
Sec. 12. RequIrement to Describe
Exemptions Authorizing
Deletions of Material Provided
Under FOJA
• Requires the Agency to specify what
particular exemption was relied
upon at the place where each
deletion is made
• FOIA statute already required the
Agency to specify the information
withheld on documents (by
handwritten bracket)
10
-------
Types of Fees
Search Fees
Sources of Authority/Guidance
• Statutory Authonty- 5 U.S.C. § 552(a)(4)(A)
• EPA Regulations -40 C.F.R. § 2.107
• 0MB Guidelines -52 Fed. Rag. 10012 (March 27,1987)
• DOJ Guide to the FOIA
1. Search
2. Review
3. Duplication
4. Other Direct Costs
• Includes all time spent looking for material
that Is responsive to a request.
• Searches may be done manually or by
computer.
• Charge according to FOIA Fee Schedule
the cost Agency incurs in the search for
records
I
-------
Search Fees
Review Fees
J Duplication Fees
.
• EPA Employee Conducted Searches
— Clerical Personnel -$400/15 minutes
— Professional Personnel - $7.OW 15 mInutes
— Managerial Personnel - $10.25! 15 mInutes
• Contractor Conducted Searches
— The actual cost of the search up to but not exceeding
the cost had an EPA employee conducted the search.
$earth fees we not assessed imless o hell of the quilter how
Is eperd .ea,thlng for tosponsive records
Time spent detemilning whether the material Is exempt
from disdosure.
0MB guIdelines provide that review Includes dolng all
that Is necessary to excise (the records] and otherwise
prepare them for release
• Does not Include time spent resolving genemi legal or
policy issues regarding the appllcablUty of particular
exemptions or reviewing on appeal exemptions that are
applied.
• Only Commerdal requesters are charged a Review fee.
The process of making a copy of the
document.
• Photocopies —15 cents! page
• Computer Printout — 15 centsl page
• Other Electronic Duplicates — Direct Cost
2
-------
Other Charges
Assurance of Payment
Fee Categories
• Charges for speclal” services done at the
discretion of the Agency.
• Special Handling or Delivery — Direct Cost
— First Class Mail Is only obligation
• Certif 1ng Records - Direct Cost
Before you commence work on a request,
try to estimate the amount of search time, review
time and number of pages that may be responsive
to the request. If the cost is going to exceed $25,
GET ThE REQUESTER’S ASSURANCE OF
PAYMENT FOR THE ESTIMATE COST.
Do no work on the request until you’ve received
a written assurance of payment for the estimate
cost.
• Commerdal Use Fee Category
• Favored Fee Category
— Educational Institutions
— Non-commercial Scientific Institutions
— Representatives of the News Media
• All Other Fee Category
3
-------
°Favored” Fee Category:
Educational Institution
Commercial Use Fee Category
• Commercial Use Requester
— A ,equestso $ io seeke b fomisIIon for. use or purpose that
IU,thers the kede. or profit b tereata of the
roquostet. or the person on Wiose behaif the
mwtiMi canbClrate furthering those lnte iu ’
Vfoafon
• Use of the requested records - not the identity of the
requester - controls the detemilnation
_______ sninaton seeking ,susids intlg
- .
• Assess aN search, review and duplication charges, even
if no responsive records are found or released.
Frequently Asked Questions
Q: Into which fee categoly should a request
submitted by an attorney be placed?
A It depends. If the attorney is making a
request on behalf of another, look to the
client to determine the fee category. If the
attorney Is making the request for
hlm!herself It depends on the use to whIch
the requested records will be put.
• Educational Institution Requester
- School which operates a program of scholarly
research.
• Requester must be made on behalf of the
educational institution Itself.
• The fIrst 100 pages of duplication are free. No
charge fOr search time and review time.
4
-------
Frequently Asked Questions
o in which tee category should a request from a
student be placed?
Proper tea category for requests from students Is
generally the ‘other’ fee category. A student who
makes a request In furtherance of the completion of
a course of Instruction Is cari lng out an Individual
research goal and not a scholarty research goal of
an Institution. if. however, the student was making
the request on behalf of the Institution; such that the
request was made on university stationary and for
an official university purpose, then the request would
appropriately be placed In the Educational Institution
fee category.
TM Favored” Fee Category:
Representative of the News Media
• Representative of the News Media Requester
— Any persons actively gathering news for entities that
are organized end operated to publish or broadcast
news to the public.
• ‘News’ means information about current events
or information that would be of current Interest to
the public.
• The first 100 pages of duplication, search time,
and review time are free.
Frequently Asked Questions
0: Can public Interest groups qualify for
placement in the representabve of the news
media category?
A: It depends. You should look at the mission
of the organization and consider whether the
mission of the organization is primarily to
gather information of potential interest to a
segment of the public, use Its editorial skills
to turn the raw material into a distinct work,
and distribute that work to an audience.
5
-------
All Other Fee Category
Assessing FOIA Fees By
Recluester Fee Category
Commercial
Favored
Other
Search
YES
NO
YES
Review
YES
NO
NO
Duplication
YES
YES
YES
Deductions
tWpags .fr..
NO
YES
YES
NoFees
• Requesters who do not fit within the
Commercial Fee Category or the
Favored Fee Category are placed In the
OTHER’ Fee Category.
• The first 100 pages of duplication and the
first 2 hours of search time Is free. No
charge for review time.
OTNOR reca.uI.iu.r. NOT danpad fc, me m t 2 howl of..wdi
Wo, and fluet 100 pug.. Cho,g r any uirwhoug sa.vth W . and
• Total fee Is $14 or less
• Records about ones self In a Privacy Act
System of Records
• Preparing/reviewing appeal response
• Resolving legal or policy issues related to
exemptions
• Official request from Congress
• Requests from another federal agency
— Not FOIA request
EPA contractor or grantee. if required for
performance
6
-------
Other Fee Issues
Fee Waiver Factors
Assurance of Payment
- Do not cass FOIA request If esimated fee exceed. $25 untf
requester gives mawsnce of pa)llIenL
Advance Payments
- May not requite advance payment unless
Requests? has restessly fa5 .d to mye piepsity essessed fee lea
Ibndymeivw(Ie s 5t i25d .psofMIivg).or
Esihusted Is. . .di $250 sud the ,.qu.star dues nut haves
hlstsiyaf Ihuelypiyiiieit
Aggregating Requests
- If EPA reasonably beleves that a requestar or a grwp c i
requestuil acting together dMded a request kilo a setles of
requests to aveld tees. EPA may eggregale request and charge
fees aesxdh*
Fee Waiver Statutory Standard
Documents shall be furnished without any
charge (or at a reduced rate].. . If
disclosure of the Information is In the
public Interest because It is likely to
contribute signIficantly to public
understanding of the operations or
activities of the government and Is not
primarily In the commercial Interest of the
requester. 40 C.F.R. § 2.107(I)(1).
• Disclosure of the responsive documents
must:
— be In the public Interest, and
— not be primarily In the requester’s commercial
Interest.
• The requester bears the burden of
showing that these requirements are met.
7
-------
Identification of the Public Interest
1. Does the subject of the request concern the
operations or activities of the federal
government?
2. Are the records to be disclosed meaningfully
InfOrmative of the subject matter of the
request?
3. W l disclosure contribute to public
understanding?
4. Will disclosure contribute significantly to
public undersianding?
Frequently Asked Questions
Does a requester’s Intent to place the
documents on the requester’s website satisfy
the public dissemination requirement?
A: No. Placement of a document on a website
Is passive dissemination. To satisfy this
requirement, the requester must express Its
intention to actively disseminate the
information through, for example, press
releases, its contacts with the media, and
newsletters.
Measurement of the Commercial
Interest, If Any
1. Does the requester have a commercial
Interest, i.e., one that furthers the
commercial, trade, or profit motive of the
requester?
2. If yes, which Is greater, the Identified
public Interest or the Identified
commercial interest?
8
-------
Frequently Asked Questions
0: Do public Interest groups automatically
qualify for a fee waiver?
A: No. Public Interest groups, just like all
other requesters, must demonstrate
that their request Is In the public
Interest, and not primarily in Its
commercial Interest.
Frequently Asked Questions
Q: U a person/entity has previously received a
fee waiver are they automatically entitled to a
future roe waiver?
A: No. All decisions to grant fee waivers are
made on a case-by-case basis, regardless of
whether this agency or another agency has
granted the requester a similar fee waiver In
the pest.
Fee Schedules & Fee Waivers
EPA FOIA Conference
Washington, DC
October 18, 2005
Sara E. McGraw
Attorney-Advisor
EPA Office of General Counsel
202-564-2565
9
-------
NOTES
-------
-------
Electronic PRP Search Resources
-------
Electronic Sources of
Information
Carlyn Winter Pilak, R3
Herb Miller, R4
Lance Vicek and Margaret Honing, RE
Courtney Kudla, RE
Eric French, HO
Why Use Electronic Sources of
Information?
Limited funding.
Limited time and manpower.
c i Deadlines.
r Efficiency.
u Economy.
What Information is available
Electronically?
L i Information on assets.
r Financial Information on public companies.
c Information on personal property.
r Corporate information
— Information on corporate officers and directors
— History
— Status.
-------
What Information is available
Electronically?
c Information on individuals.
L Information on liabilities (liens, judgments,
mortgages, UCC filings, law suits, etc.).
L Deeds and title information.
t PRPs’ involvement at other Superfund
Sites (CERCLIS and List 11).
PRPIIS
Potentially Responsible Party Internet
Information Sources
m Created Summer 2007 and updated as often as
necessaiy.
a Compilation of Sites used by the PRP Search
Enhancement team and their co-workers.
a 28 pages, divided Into categories and hothnked.
a Other sites you like? Let one of the team
members know and we’ll add iL
-------
V Doaxnent Tods Wb ow ties,
C ]Ji 27 ( ) 79.1%] - [ ri
Potentially Responsible Party Internet Informafton Sources
(PRPIIS)
Table of Contents
Easiness Information ............................................ ................. .. . . —
EPA Resointes — Public ... ... 7
EPA Resources — internot ........ ... .... — .. 9
Directories __.. .. 10
t tuanclal Information .. . 13
,uvvrnjneni £tgeuc es •....... .... .. 14
Government Directories ....... .. . . .. ......................... 16
Investigative Tools [[[ .. _ .• .•••• . ................ 17
Lair, Legal Slies[[[ ............ .... 19
Libraries and Public Information .......... ........... ........... .. . . 21
iaps and Aerial Photos .................................no....... ............... 23
-------
:dt View Docurner* Toc s W dow H&p
- JV ( 1% - I fr ___
Potentially Responsible Party Internet Information Sources
(PRPL [ S)
Business Information
Annual
Reports and
SIC filings
Annual
Repwt
Servzce
htp:llwww.annualrepartservice.com!
Free dilectozy of nn1in nmi 1 reports.
Report
Galleiy
lOKWizard
U.S.
Securities
and
Exchange
Commission
n:/Irenostcallmv.com/
Search and browse reports.
Search lbs company SEC nlinpj
Subscription requiret
Company ialbnuation, sbard older
tn 5nim iion, and SEC filings inclu ding annual
reports.
btlp:flwwwloKWizard corn
bm:1.sec.voviedgearchedgwbn css ht
Bankruptcy
American
Bankruptcy
Institute’
Public
Access to
Court
Electronic
Records
(PACER)
hup-llw%vw.abiwarItor!I
htep-llpacerpsc uscourtsgov/
Numerous online resources ern.btding
headlines, news, meeting ‘ 0 oniatian, court
opinion and other banlauptcy bib. -
Subscnpnon is required.
Access to federal court documents.
Registration is required. Fees are generally
S -OS a page.
* Denotes a fee for service Page 2
-------
Business
Information
U.S. Securities and
Exchange Commission
t Locate historical and real time information
on publicly traded corporation.
Edgar.
mi http:llwww.sec.ciov/edgar/searchedgarlwe
busers.htm .
-------
Coc# .c&w
For detailed descnptions of the
different ways you can search EDGAR.
please read our Oiick EDGAR Tutorial .
See EDGAR Search Undates to review Improvements in display and function
for EDGAR searches.
General-Purpose Searches Spedol-Purpose Seardies
Companies & Other Filers
Flzid compenigs (or muW l fwtds) end
asccczeted Illngs.
Latest Filings
Vimi thr most recent, ro i-tlm Li gs
as they are processed by tha S
Full-Text Searth
the full text of filings from the
l3St (ogr yws.
Effethveness Notices
CIK Lookup
Look the uniçue Centrai Index K y
(CV() num er for compeJt ss and oTher
filers.
CulTent Events Analysis
Rctrceve t tlstgs made an EI GAR d.utng
the e .ooi w sk.
Fle Edt View Pav kcs To Ne
‘1 5eedi the EDGAR D’ then
Fcoc
Ge 1 — * Bodq iw* .sv p157 dcad ç! ’ C % uthik& v t ‘c ’ Send tev CaP © ScUkçe.
Search the EDGAR Database
Mutual Fund Prospeotuses
Retrcsve pfcrpe tiises end c her 48S
‘°‘? sgfl?eiiau& fund (‘,s. w
Mutual Funds
-------
!
E View Favwtes Tech Help
____________ * odma 5?b! &.ed ‘ rL oth* - ( .sendtu. c p Osew e-
li—i ----- g - ;age. Toch
From this page, you can search the EDGAR database For company
information, including real-time filings. If more than one company name
matches your search keyword(s), you will be presented with a list of
possible matches from which to pick. Company filings are available from
1g94. See also our GAR. Full-Text Search .
Enter your search Information:
I I
Company name:
or or ricicer Symbol: f I (C v i Int k y)
(Ti fb 2CCC56r ear
cubff4’ eed.d rnparJ.s) ________________
or File Number I 1
or StatelCountrv: I I
aod/or 1C: I I
and Ownership Forms emdude OExclude 0 Only
3,4, and 5?
—i —
omp enie
EDGAR Company Search
Notes
Or em IO0%
-------
Duslaoss Address
101 OWMBIARD
PD BOX 4000
MORRISTOV.IN NJ 01962
9734552000
Naiiie Address
101 COWMBIA RD P0 BOX 4000
101 COWMBIA RD P 0 BOX 4000
MORRISTOWN IU 07962
Form Tvoej
Prior to
Ownership? 0 Indude 0 Exdude 0 Only
140 Entziee ,#j [ Retneve Setectad Filings 1
y to Desaiptions
iper) Paoer fitinas are available by film number.
weij Filing contains an SEC-released cover letter or correspondence.
1 -40 ( 5I
( Formats - -- - Desalption __g ILe/FilmI
rhtmflrtexti 6 Ststomeot of chan;cs In btn RcI.I o.sncrehlp of securIties 2008-03-31
Acc-nst 0000950117-08-000395
1html1ftext 5 itS Sternest of chan;es In benaScial osmership of securities 2008-03-31
Acc-no 0000950117-08-000394
fhtmflrtextl 6 I(fl Statern*nt of ch sn 9 e. In b.uaficial o .-n ,sh1p of securIties 2008-03—31
Acc-n : 0000930111-08-000393
fhtml11text 5 y Statement of chan ea In benolcial oi natshIp of.aciuid.s 2008-03-31
Ace-no: 0000950117-08-000392
Irtenet 4 1IID% -
Retileve All Fifings I
Conipany Liformatlon: HONEYWELL INTERNATIONA l.
- [ ) I l xi [ c a I
(d l View Pavostes Tools He
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àPage.@Tods
NEY WELL INTERNATIONAL INC ( 0000773840 )
:: 7j4 - MOTOR VEHICLE PARTS & ACCESSORIES
te location: f I State ol Inc.: DE I Fiscal Year End: 1231
merty: ALUED SIGNAL INC (filings through 1994-08-15)
forty: ALUEDSIGNAL INC (filings through 1999- 11-12)
To limit filing results, enter
fomi type or date (as 2002/05/23).
-------
E View Fevwtcs Tack H
AR Seaith: Enter a S ardi Strina Stait
Search J2oO8 v
End:
12008 i’ l
heaIthand Rfo) See SeartlLHelD
index is a full-text index of the header ; iio contained in eadi dooiment. Please enter your gitsiz in the search dialog box (above).
ES
• The SEC does net require companies that are raising less than $t million under Rule 504 of Regulation 0 to be registered with the SEC , but these companies are
required to file a Form 0 with the SEC. The Form D serves as a brief notice that provides information about the company and the offering. To determine whether
Form 0 has been filed or to obtain a copy, please refer to our Fast Answer: How to ReauestPubllc Deournents .
• g isasampleheaderfl1e.
• General ;nf... tion aboutEDGAR is available.
arid techniques is also available.
• For detailed information on formulating seardies, look
— L Gintemot
S
CtDGM fizthves
* Bocl na*s lS7b otl’.-d J c • s *atW 4 cT Sendto.’ Caili’ OSettfngsv
Page-( Tods
Welcome to the archive of historical EDGAR documenta. This search allows
you to enter complex queries to retrieve all but the most recent day’s EDGAR
firings (from 1994 through 2008). If a simple search will suffice or if you
need real-time, up-to-the-minute firings, please visit the main EDGAR Search
page for other choices.
-------
v igfeww.sac.gavSc bi 1srth-edgar ‘] ±t i IGoo9 a
ECM View favoitas Tools t e%
__________ Bo*no*s” I51I*,cked Ct z - A&LcIh i . A’S?t. - Sendtou CurP Qsettings.r
IOstoilcaI C EDGAR kdiives f ] f p - ._ —
Welcome to the archive of histotical EDGAR documents. This search allows
you to enter complex queries to retheve aD but the most recent day’s EDGAR
filings (from 1994 through 2008). If a simple search will suffice or if you
need real-time, up-to-the-minute filings, please visit the main EDGAR Search
p gg for other choices.
AR Search: Enter a Search Sthna Stait: End:
Searcb 2OO8 vI2oO8 I
I,eaIth and 11fo) See S. ,di HelD
index is a full-text index of the header information contained in each daojment. Please enter your in the search dialog box (above).
• The SEC does net require companies that are raising less than $1 million under Rule 504 of Regulation 0 to be gistered with the SECT but these companies are
required to file a form D with the SEC. The Form 0 serves as a brief notice that provides information about the company and the offenng. To determine whether
Form 0 has bean filed or to obtain a copy, please refer to our Fast Answer: Hois to Reouest Public Oo iments .
• is a sample header file.
• General information about EDGAR is available.
• ________________________________ and techniques is also available.
• For detailed intormation on formulating searches, look hot
! l i’ 1T1V1
kleo%
-------
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E& V ew Fevmtes Tods Hdp
- * Bockmoks - iS7L&d d ‘ h v tathdt.
St x 1
[ 1sendto - ‘)
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Qsetttnqsv
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f ]
-
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Welcome to the archive of histoncal EDGAR documents. This search allows
you to enter complex queries to rebieve all but the most recent day’s EDGAR
filings (from 1994 through 21)08). If a simple search will suffice or if you
need real-thne, up- to-the-minute firings, please visit the main EDGAR Search
p ga for other choices.
R Search: Enter a SeardiStrinci Start: End:
oywell lntemationel Search j2006 vj2C08 v
.. • hsit ) See Seatthl4.Io
llsn I GAR Search Home
search matched 1776 (limited to 000) do iments.
re presented.
1 a a aa z a a 1Q I
Company Format Form Type
Filing Date
Size
48 Alerie International. Inc. ftoxt fhtmfl 4
48 AlerIs International. Inc. ftextl fhtrnfl 4
48 Aleris International. Inc. ftext] fhtrnfl 4
48 Alerts International. Inc. rto t1 rhtrnn 4
48 Aleris International. Inc. Itexti Ihtmll 4
48 Aleris International Inc. rtextl Ihtmll 4
72 ANDERSON DAVID I Itexti Ihtrnll 4
12121/2006
07105/2006
04/04/200.6
03/23/2006
02/23/2006
01/04/2006
03117/2008
5317
5411
5411
19821
8768
5393
6115
7 I P flPJ flMflfl 1 r, ,.i fhImIl .4
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-------
Dun and Bradstreet Reports
r httD:!Iwww.dnb.com/us /
-------
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1e G VÔ.I and bradggeet Go 4. bl &8d tI, 3p Chedt v % Ati1cUr • f . p.d toe )SetJNigSV
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Showing i or 1 Soil byf aa vsnca v _____
HONEYWELL INTERNAIIOJ1ALI1IC VS QUICLEY BLVD. IIEVJ CAS1U, CE - Sded
a
Also Traded as HONEYWELL
i
6100 ILAOEL 1l Pie, U.AYIIONT. CE
9. Selseil
a
Also Traded as HONEYWELL
HONEYWELL tIC . 1110 OIWULIOIID FIX, i w imc, as U 1
HONEYWELLI1IC . 1409 FOUUC RD STE 102, WWINGTOII , CE 1 sat. et1
HONEYWELL AOVAUCEUCO?.IPOSITES INC _____
Also Traded as HONEYWELL
HONEYS
400 BELUVUE RD. IIEWARX, CE
rii i
024 N MARKEt ST. WUIEIGION. CE
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e D&B is a private firm that collects and organizes
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r Sources include public records and self-
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t D&B does some verification of self reported
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t: D&B Reports include —
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nevweil International Inc . Morristown, NJ, United States $34,589 Public (NYSE:
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Headquarters:
101 Columbia Rd.
Morristown, N) 07952-
1219
United States (f liQ)
More Honeywell
International
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Contact Info
— - 5— ——- 5 -— 5’-’ 5’- Lw _. __ - _________.__ - — -
Honeywell International Execulives
Chairman arid CEO David H. Coat Networic E-mail
SVP and CEO David L (Dave Networic E-mail
‘ Anderson
—.
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ç fietv,orlc with peonic At Hnnetj el International
Fiscal Year-End
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2007 Employees
December
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S 122,000
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National Association of
Secretaries of State
E l Information about corporations and
business filings Is accessible through the
web page of the National Association of
Secretaries of State.
r ftttp:/Iwww.nass.orplbusreplbusreg.htmi
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Welcome to the Business Services Section of our
website.
Reglstr tion for access to business aeMeos pages for all 50 at tgs plus the OlsbI of Columbia is FREE.
PLEASE USE ThE LQ IN FORPI ON ThE LEFT1D VIEW ThESE SERVICES.
tWSS dll not share your Information vAth any other organisatlon. CkIc f g to a.. our privecy pulley.
U you hove any questions. pleago esnta us at (202) 6243525 or by smojf.
COMPANY FORMATION TASE FORCE CORPORATE REGISThATION ) J
NAS Cprn rinv Thnk Forve R.oa,t a Most IIASS member officeg handl, the registration of deme tlc
Rarommønthutlonn (July 2007) andlar foreign corporotions (profit and noi-proflt).
Tranaa ons Indudu filings of Incorporation. pwtnerahlps
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Vievr state business regIa sdon pages and corporate name
databases by seleding a desired atat , /teriltoiy from the dsop
dova menu baloiv.
IChoose Your State ]
UCC FILINGS NOTARY SERVICES
UnIFom Comm.rdal Code (UCCJ filings ollowcrod lbora to notify liosily eli ae sthrtes of state oversee the rsgi aUon of
other aethtots about a debtofs S ssais used as collateral for a nOtaries public. tIASS elso has Its ovm Nptnry Public
secured anrection. UCC liens fiLed v4th saeetary of state Adnilnlntritprn ( UPAI S Uon .
offices a as a public notice by the cr.dite, of the c,aditors
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AI.ASgA ( RI ° ARIZORA1R !
Hon. Sc . nPnr,wlI Hon. 2afl Br vtri
Uoutoflont Governor - S Soa’othry of State - S
(0 ° COLORADO R °
Ho Dobraflnwon Hon. Hike Cafim,,, ,
Secretary of Slato -
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FLORIDA ( RI °
Hon. Kiart Brosrmno
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COPifACI ROSIfl ) J 0
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the VIASS Oeaetory of stato contest &ioet.
ALABAIIA SR)°
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INDIAHA 1R1
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Coordinated Legaicom
r Similar to NASS, provides a link to the
Secretary of State in each State as well as
Information about the cost.
r http:llwww.coordinatedleaal.com/Secretar
vOfState.html
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SECRETARIES OF STATE
Find Corporate Information and Online Searchabte Databases
I UNKS TO OThER RESOURCES I DISCLAiMER I
About Thia Site
If you need to do colporate searches. yoitve come to the iight place. Coordinated Legal Technologies has compiled these links for
legal professionals and others who are looking for quick access to the corporate infbtmation available in online searchable databases
maintained by the Secretary of State for any given state.
The estent of information available In these online databases varies from state to state. In addition to corporate status and names of
designated agents for service, the state may also offer searches by officer and director names, and UCC lung information. The data
may also encompass limited paitnerships or limited liability companies. Please be sum to check the hosting state entity for the
specifics of the type of content offored and the time periods covered.
STATE WEB SITES SECRETARY OF STATE WEB SITES ON-LINE CORPORATE INFO SEARCHES
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General Information Name Search F .
Div of Corporations
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FLORIDA
FI Depadment of State
CoreorateILPlLLC Inciuiiv
More DA Unks
UCC Search
GEORGIA
GA Secretary of State
Search Corporations By Entity or Meni iEO
Search the Comorations by Officer c u
Search the Corporations by Re Anent xaw
Trademarks and Serece Marks
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HAWM upa co
HI Dent of Commerce & Consumer nesoRsttath nOiilmeSeMcas
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IDAHO
ID Secretary of State
Business Entity Status Search
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LIJNO IS
IL Secretary of State
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INDIANA
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Fee-based Special Searches ss ..
L! fS. t ow UPS d . bu
IOWA
KANSAS
IA Secretan, of State
Business Sanices
t Gntemat
-------
r Most, but not all, states maintain records of
corporations, business organizations and UCC
filings In the Office of the Secretary of State.
Different states provide more or less Information
some states provide only extracts.
£ Some states have scanned records and they
can be downloaded, sometimes for nothing,
sometimes at a modest cost.
rc The Delaware Secretary of State now
posts some information on as web page.
rAdditional information can be ordered for
cost from the SOS or from Autotrack.
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Freouentlv Asked Ouestions
To retrieve information on a Delaware entity. Key in the name of the entity you are searching.
The search results will return both active and inactive entities from our database. This is net
an indication of the current status of an entity. The information provided in this application is
real time and reflects the information on cur database as of the date of the search. When the
list of names is returned click the name and the information page will be returned.
OnlIne
The entity information provided on this website, free of charge. consists of the entity name,
file number, incorpora tionfforTnation date, registered agent name, address, phone number and
residency
However, additional information can be obtained for a fee.
II you would like to order a Certificate of Status. Certified Copy of a filed document or a Plain
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For more information please read the Freouentlv Asked Questions pap.
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• Required Field
• Entity Name: II1oNE’ wEU. INTERNATIONAL ior File Number
This Sold is not case sensitive.
Search J
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[ Fill PlUMBER ENTflY NAME
0800769 HONEYWELL INIERNAflONAl.. ASIA PACIFIC INC .
2139121 HONEYWELL INTERNA11ONAL FINANCE CORPORA1 ON
0925677 HONEYWELL INTERNA1IONAL INC .
2061712 HONEYWELL INTERNA11ONAL INC .
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This is NOT A STATEMENT OF GOOD STANDING
Incorporation Date ! 1 11104fl9 81
Formation DateJ (mmlddlyyyy)
_______ HONEYWELL INTERNATIONAL INC.
______ CORPORATION - - Entity Tyce ] GENERAL
_______ OOMESTIC - State4 DE
Name:
Address: - -
City:
State:
Phone: (302)658-1581
Additional InlOnnalion is available for a fee. You can retrieve Status for a lee of $10.00 or
more detailed information including current franchise tax assessment. current filing history
and more for a fee of 520.00. ________
— . 1 i.hm I1
Freauently Asked Questions View Search Rasult
tAGency
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File Number
Entity Name:
Emily Kind
Residency - -
REGI STERED AGENT INFORMATION
ThE CORPORATION TRUST COMPANY
CORPORATION TRUST CENTER 1209 ORANGE STREET
WILMINGTON County: NEW CASTLE
DE Postal Code: 19801
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t Occasionally need to obtain Information
about non-American based companies as
well.
c More difficult to find Info, but still out there.
. http:/Iwww.meraentonhine.com/ .
Canadian Companies
r Incorporation info (similar to SOS data)
‘ http:l/stratepis.ic.ac.caleDic/site/cd-
dac .nsflenlh cs03750e.html?OoenDocum
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0 Corporate Name
Creation Date Is equal to I ” I I I YYYY/MMIDD
and is equal to [ “II I YYYY!MMIDD
Subrnl! J [ eu J
hthne FlUng
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:orporauon
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Corporations Canada allows users to search the federal corporations
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Please note that. If you just completed a transaction with Corporations
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Canadian Companies
1 Business info (similar to Hoover data).
i htto:/Iwwwic.pc.ca/a 1ccc/srch/cccBscSr
ch.do?lanp=ena&ørtl=1 .
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EPA Resources
- Public
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Rev,ewrig dowments,
th invesbgetion,
Interviews.
Using irdonnation reguest letters” to gather information,
Titte searches, and
Tnternet reeeardi, libr rie , ceurthousee, arid state offices.
In addftion to identifylno PRPs. A bios to determine earty on:
• The natire ot a party’s involvement (e.g., owner, generatoil.
• A party’a potential dafen ee (e.g., rd party defense),
• Any applicable exemptions or exdusiong.
• The amoimt of waste a party centhbsrted, and
• Whether the party can pay only very little or nothing at all toward the deanup.
Guidance on SPAc lnformatian gathering euthentica ia available In the Guid nee on and
Enforcement of RQA Informat ion Re ueste arid Admirriab-ative Subpoenas (POF) csi .
s ,O26s. boutJCfl (8P5/BS).
Firi n r’RP Populz.r
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P. ?* I Csut.ct Us Search: OAII A 0 ComplIance and Enforcement I
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U.S. ENVIRONM
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Potentially Responsible Parties
ITAL PROTECTION ACSPJCY
‘ I
Early in the deanup process, A conduota a search to find all of the potentially responsible
(PRPa).
P, -u - - ii1er ewr ookv 1P1J 1 (Spp, 121i. reel , SPA will usually ask PRP, to
cenduct the investigation and to petfonn the deanup before using Supeifimd money.
El’A looks for evidence to d mdne liability by matthlrig wastes found at tire site with partIes
hat may have eon thuted wastes in the din. SPA uses many approaches to do this research,
ndudinq:
S
S
S
S
Suporfund Enforcon,cnt
1 opicS
• Enforcement Authorities
• Uablllty
• rndmg Pmentislly
Responsible Parties
• Notice Lettsrs
• Ne otiatin Satd.msn
• Unilateral orders
• Camptlarce/Penalties
• R.covertiig øeerup Csg
PRP 55ar i Manual
• Suaerfund Enfarcernerd
v Directory
A ..ruuiym Ttp
rep- Pi*uiatiølly Re .pws,.ib1s
Party
EPA ’s Terms of the
Eiivnin iiuietit
provides guidance on how to search for PRPs thet may be liable for
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Oregon
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-- _ 1 Product Order Form
Please complete the order form by theddng the box(es) to Indicate whidi produtt(s) you would like to recoive or
—. a ws* .u.ls d resort for a apedfic site or searth aawss the ROAS or RODS databases. Indude as myth
lifonnatiori as possible In order to reseive your pmdud s) m a timely manner. Uldc submr when you have
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FAQs
DSCAP 12-NPLSites
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Desalpifoic The List 11 hats responsible parties at Supeifund itea that have received Spedal or General Notice lesters from A. It displays the
party name and address, and data on seleated enforcement a ions , if present, at the assodated sites, as well as basic site information br eath
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EPA Resources
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CERCLIS
ci Don’t reinvent the wheel.
ci Search to determine a PRP’s involvement
at other Sites around the country and look
for Information there first.
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L JMEPORT PIKE SITE
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OUIMETRL SITE EI iIE PAD04133355l 0300800 ArchIved
Otis WUVEHSIEY DUMP C319 CHESTER PA5F 110385435 0305438 ArchIved
ANE DUMP 0333 ALLEGHENY PA0310I IZTOO 0301544
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Office of Site Remediation
Enforcement (ORSE) Intranet
r Internal EPA resource.
r Includes OSRE contacts, resources,
trainIng, and guidance as well as model
language and sample documents.
r Much of the info is also available on the
EPA ’s public website:
http:llcfpub.eDa.oov/compliance/resources
Ioolicies/cleanuo!sucerfund /
-------
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SRE Home
OSRE’s Intranat contains remedialion enforcement infotmation that is not available elsewhere on EPA web pages. The OSRE Matters
section has information relevant to OSRE stalI Please contactiis with your comments and suggestions.
rb atives , Projects
• OCG-49) Form is due to Karen Motley February 15,2008. See OSRE ’ s Ethics nags for more information. J
• OGC’s annual ethics training 07) is online. Outcide Activties: Your Life Outside E pA ” should be completed by year’s end.
I OSRE Contacts ‘ \ ________________________________________
Ragmeal Liaisons I Suhiect Matter Contacts I Managers Information on how and why to site specific charge your time.
___________ OuattertyFAnnuai Accomulishments I Particulars About SSC I Ugip
___________ with PPL &SSC
Information sharing, access to peitment documents, updates, and
action items.
g I Insurance I Supethmd
ay
bFanns
A Locator
OSRE-developed training courses and materials.
Suoeifund I Institutional Centrals Quality System Traininn I g!
Directed I Career Develeornent
Iii Travel Intornietlon .
ffsce Structures
SRE Contacts
orkgroupsfreams
ito Specific Charging
SRE Training
u = uwce rru ure
OSRE organizational structure and personnel lists and rmks to
other organizatienal charts.
OSRE I PPED I I B Q I Ties & Links to Ore. Charts
I OSRE Databases \
OSRE data systems only available only on the Intranet.
‘ — i — — v f.IAC Institutional
lo OSRETralnina ‘...
suio .
Iu LmIIs EP lc U . (CECA Office oi e Remedetlan &.f l
ocuments
I u Announcements “.
ravel Info
SRE Matters
oQutok th*sie
vet Meneger
iii inmauvesisnecta. rojeas
Cuntemize Unks
Memafr
I F lfr PAdtL heró!flü_II\
Information on meetings. minutes, action items, and pmjects.
Internet
-------
Edit d%ew Favoites Tools -- -
EaK ’ Q%fa •fl 4
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lcI [ G1’ - Bookne, sw 9! P 29hladed ‘ ‘theck Ai*aLM* A - 5endtor Oseti
orkçroups/Taams
ite Specific Charging
nOutck Litikeir
bF ims
A Locator
Mministrat,ye Cost RecovervlCachout Landowner
Usna
_____________ MSWMSS
____________ NcticeR emand
Notice of 7003 COvEnant
Orphan Share
RCRA P Cs
RD A
Removal
Conlnbulion Protection
Do Mirrimis/De Micromis
Financial Assurance
Unless otheiwise indicated, documents listed below are available for download in WordPerfect fennel. If yeu have questions abcut how to
open or download these files, go to our hem sage .
Ability to Pay
IL sate. A
oOSl Links :1
SRE tome
Ffice Structures
SRE Contacts
nitiatives/Projects
________ dr.nat OSCA • Onto. of SLe Rm.a4 fr Eu. . esr ..rg OS Doe nerte OSRE
ocuments
SRE Training
ravel Info
Ability to Pay
Access & Information Gathering
OSRE Model Language and Sample Documents (In WordPerfect and
Word format)
SRE Matters
Good Samaritan Initiative
Judicial Cost RecovervlCashout
vet Manager
Custoneze Links
• Interim Revisions to CERCLA 122(h’t Past Cost Recovery and Penoheml Party Cashout Mode A masusnis Is Clarify
Conitibution Ri tits and Protection Msing Under Section 113 (0 (September21. 2006)
• Section 122(h’t Model Cashout Ameement for Ability to Pay Peripheral Parties (January 8, 2004) (supersedes Appendi S to
•Inbtnet
-------
V WF *oo Took Hok
locate a document within the Superfund enlbrcement policy and guidance compendium choose from the search box, chronological
•ieting, or subject listings below.
I The documents are available in PDF format. You will need the Adobe Acrobat Reader to view the documents contained in the compendium.
ee EPA’s POF page to learn more about PDF. and for a link to the free Acrobat Reader.
iearth Superfirnd douimen
“Go’
p th F e L) %
tt :IkI u
a - * Boolmarke. - 1 29bhd ed che& - tcLb i ‘ Send to-
j Go
Cleanup Policies and Guidance
Li
I
hformet n Resowcav Pntcies 8 O mce ’
Materials found in this area address Superfund enforcement topics. EPA’S Office of Site Remediation Enforcement maintains the
compendium. Additional cleanup enforcement materials are available on the cleenue enforcement Infrmnnatlon resources web nape . For
access and informalion to non-enforcement, Supetfund program office documents. vmsft gPA ’s 5uparlljndprogram cfficp.
ema acaut . . docwnent ?
0 begins with ® contains 0 exact match
— ‘List of CIesnuD Enforcement Documents -(1983 to the Present)
igs Under Superfund Enforcement
Ability to Pay
All Annmanat lnmiirv
Access
Qenbniaa.a
•Internet
-------
SRE Home
Sine Structures
SRE Contacts
OSREs lntranet contains remediation enforcement information that is not available elsewhere on EPA web pages. The OSRE Maftars
section has information relevant to OSRE staff Please contact us with your comments and suggestions.
• OCG-450 Form is due to Karen Morley February 15. Z308. See 1 .SPE F
• OGCs annual etisce training 2UO7) is online. ! Outside Ac1ivitis j! !!
I U Otttce Structure X
OSRE organizational structure and personnel lists and links to
other organizational charts.
OSRE I PPED I QZ I fi I Iisa&Unke to Urn. Charts
ubject Mallar Contacts IManaeers
itt iniuauvesisueciai Proiects ‘\
Information shartng access to pertinent documents, updates, and
action items.
Mall I ‘ --‘ rinancial Assurance I Insurance l Suoe,firnd
Altematr
Lz Wo!kerouP /Teams X
form ereI I
should be completed by year$ and.
I o OSRE Databases .
OSRE data systems only ewailable only on the Intranet.
Judicial and Administrative Caselaw 1JAC t Database I Institutional
t ordrolsEnfeicement Manattemant IICEM% Svatem
itt Site SnedlIc Charalna ‘
Information on how and why to site specific charge yew time.
QuaderlvLAnnuslAccomohshrnsnts I Particulars AboutSSC I kiala
v ,ithPPl&SSC
i rs OSRE Tralnlna ‘
OSRE-daveteped training courses and materials.
I U uravet inrennatton .
E dt V w Favortes Tools He - - -- - -- - - - -.
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V G a U
le IIGI’ Ga i c lm s” 29 bk ed thed . Ai*oL v A l . . 5eznt tw 0 e t
cOSRE links a
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ocuments
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ravel Info
SRE Matters
QUicIs Ltnksu
aPk s
wei M& ages
fir
Pay
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bFoims
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Customize links
Information on meetings. minutes action items. and projects.
•Mbmat
-------
v Fav tes Tco Help
verftes 2 [ J %
l Go U
le G ” e Barks v I 29 b!cdcad Ched - ( send to- , , ( ) 5 tt
Disk Reoositorv of i04fe Questions - Cover Memorandum to 104(e) index (2/29 )86)
Index of 1D4(e topical miestions (Tailoring 104(e) QuestIons - Categorical Concept
pERCIA Section fl fte) Rpquesta j j tionçp Insurance Coverage (Jan. 8.2004) (wpd)
Rejj gg Qupgtiai s for Use Whoatbe$ jperf ind RecycIi g Act ( May Agp y tg an
Enforcement Case end Guidance on Issuance of CERCLA Section 104(et Information Renuaot Leltets and Documenting Decisions Not to
Pursue a Potential Reseonsible Party - reen 7s26 102) pc
Transmittal of Guidance on Issuina CERCLA Section lO4leW2Unformstinn Requests to Federal Aaencies atPrivatelv-Owned Sunerfund
iune 14.2004) (PD?)
Attachment A FPRPs Points of Contact for CERCIA Section 104(e Information Reaussts (October2000) pcr )
CERCLA Section 104fo Requests for Information on Insurance Covaraqe ftrensrnittal memorandum and four a?tachments IWordi (Feb.
28.2007)
Attachment A: List of Insurance PolIcy Evidence Sources
Attachment B: Sample 104(e) Request. for Information about Insurance Coverage for Ability to Pay PRPs
Attachment C: Sample 104(e) Request for Information About Insurance Coverage for Insurers
Attachment D: Sample 104(e) Request für Information About Insurance Coverage for Brokers
1 0 6(b ) ____________ ____________________
Imeact of Reimbursement Petitions under Section 106fb of CERCLA on the Supethind Enforcement Effort - (Patterson. 2 124104) (PD?)
Too of Peat
( Brownfuelds Gran ____- _____________________ —_________________ -_________
Best Practices for Ensurinaihat ElieibIIitv Determination. Under the CERCIA 104 Grant Prearam are Well-Documented and Comely
vdith the atute (Ill 812005) (POP)
1nte,net
-------
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ated 03-28-08
E IG FIVE
PROEILED BY
ABOTBA8 GA Rnymond (15 Most Wanted)
ASDELHADL D iana
ACEVEDO. Gilbeit
ACiiisR d (Major Case)
ACOSTA.RODRIQUELJome (Major Case)
ADAME. Farnandp
ADHAMES. Albert
District of Puerto Rico
CentratThstnct of California
Northern District ofOhip
Southern District of New York
Eastern District of California
Eastern District of Wisconsin
District of Vermont
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Scanffafts ............,........ SCAR ARM, RIGHT,
NONSPECIFIC (BE MORE
SPECIFIC REGARDING
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Naae: ALLEN,JOHN BENJAMIN
A11u ALLEN JR,JOHN BENJAMIN;
ALLEN,JOHN BENJAMIN; ALLEN,JOHN
BENJAMIN JR
MALE
WHITE
DateofBkiIL.--- —--..................07127/ 1947
Place of B ............S..NEW YORK
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ral judicial districts, lnclud’mg at least one district In each state, the District of Columbia, the Commorrwaafth of Puerto
and three territories of the United Stit.i - the WgIn Islands, Guam, and the Northern Mañana Islands.
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Legal
Resources
LexislNexis
r. http:/Iwwwiexis.coml
iComprehensive database of law,
business, public records and
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AdcIEdlt Tabs
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Litigation
i The business or individual may have been in
court in recent years.
Search the web pages of both the state court
(usually accessible through the county web
page) and federal court for the fimi or individual
m Search both as plaintiff and as defendant.
a Searches can be done through Lexis-Nexis, but
that costs money and many state courts post the
docket on-line at no cost.
Bankruptcy
L Bankruptcies are filed in federal
bankruptcy courts.
Most often filed In the Dlstilct in which the
firms headquarters are located or the
State in which the company is
incorporated.
PACER
r Public Access to Court Electronic
Records.
r htt :ipacer.osc.uscourts.aov/ .
Registration required and $08 per page
fee.
ri Check with your Regional bankruptcy
contact person first.
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e L ffiaes.p .g is*d pI 4i fx _______________
E View Fav tas lads Hdp
!e ‘www.t oovers.cun Go * Boobnavks- 1 $7 I ed ‘ d ed - % AutMki A ,tc ( Send tor © Setth r
PACER Web tb,Iu _________________— Page Tools
Public Access to Couit Electronic Records
PACER Web Links
Appeals District Bankruptcy f Court Home Pages
BILLiNG NOTICE
In aece fee of e. a per page , as approved by the Judicial Conference of the United States, will be
encased for aee ’ to PACER service on the Internet. AIDgIJI and password, issued by the PACERServIce
enter, Is required for access to PACER. If you do not already have a PACER account, you may reg1st r on-
Ins at this web site.
I you have comments, su estions, or questions, please send email to the PACER Service Center at
) acer psc.uscouris.gev . If your comment(s) p rta1zi to a specific court, please Include the name of that
vurtin your smalL
f the court you would like to access does not appeer on this list, the court does not provide case information on the
nternet supported by the PACER Service Center. Some wu b provide case information on the Internet without support
p the PACER Service Center. Oieck the respeetive Qn J1QmsPss far this service.
I
Supreme Court
• Supreme Court Home Page
National l.udex
I V 9fnteinet
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____ H 1 Lx) IG
E k View Favw es Tools I1e
j ]6Oo ç * Boâcm -
Jj ea fl
IUECF Flier or PACER Login
tice
s is a Restricted Web Site for Offidal Court Business only. Unauthorized entry is prohibited and subject to prosecution under Title 18 of tlu
Code. All activities and access attempts are logged.
tructlons for viewing flied documents and case Information:
u do not need filing capabilities, enter your PACER login and password. If you do not have a PACER login, you may register online at
ilpacer.psciiscourts.gov .
tructions for filing:
icr your CM!ECF filer login and password it you are electronically filing something with the court.
thentlcation ______
in: lueDoil I
aeword: ....... I
ant code: PRP Search Enhancemen4
i ) [ CIear
flCE: An access tee of $.08 per page. as approved by the Judicial Conference of the United States, wiU be assessed for access to this
ice. For more information about CMIECF, dick here or contact the PACER Service Center at (800)676-8856.
ECFI b wztuwdz L ftdIy sab gh t ,Io,er tOo MozilIaFfr6foz rJp7 wUcffiltTOn7AzL 0th.,
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Databace Area _n Page - Tools
ery
h Clues __________
Number I (Example: 99-80013)
9usinesa Name I I (Examples: Desoto. Des’t)
Name _______________ Middle Name
I I TaxiD ____________
I H ___ __________
iQueiy 1 I0e I
-- erntemet EkIOO%
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Real Property
Real Property
r From Black’s Law Dictionary —
L Real Property: Land and anything growing
on, attached to, erected on it, exduding
anything that may be severed without
Injury to the land. Real property can be
corporeal (soil and buildings) or
Incorporeal (easements).
Real Property Title Documents
It Deeds.
It Easements
It Mortgages.
r Uens (mechanics, tax, etc.).
• Releases of Mortgages and Liens.
It Leases.
It Right of Way.
• Partition Proceedings
• An extended list is in the supplemental
materials.
-------
Locating Property Records
Records are maintained at the county
level, the Office of the Recorder of Deeds.
r Many counties maintain a web site and
post the title records.
L Some only have extracts of information;
others post the scanned documents.
EAccess may require registration and
sometimes a fee.
r Go first to the county web page.
C Counties may utilize an outside service to
provide electronic access to deed and tax
records.
C Eg. Landex Remote, Xspand, Record
Fusion.
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*Becrnatu.u. 57b1Oded ‘ ‘Qu&. AutcI ike A U 5endtc O -
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LANDEX Remote
O$c zl StQ1;Q e
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Optical Storage Snhitnnc offers two r ote access sohniq,n,. A browser based approach
(WthStcre for the general public and a desktop pp ‘in (LANDEX R note) for
industry profescnn ik
WELCOME TO THE NEW VERSION OF LMIDEX EEMOTE!
Log in and dowuload a brand new version and check out the new look
and better performance!
(Aa of /25/2C3 this software versionis required to use LANDEX Remote!)
Wseymire sthrgUsertD for grad& )
New features include;
tD:/I W .d.Cif 1f rr j j
LN EX Remote
de73of77 Beam - — -
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Ei tiew Pavwtes Tools He
v] J - BOdITWl5P i57blod ed ‘ ‘0ieck - %Attalk - ,Sezeltoi. Qsctt s.. -
4 I i p
I-
-f Page. TocIs-
Is
Welcome Carlyn Prisk to Lawrence County Online Services
What would you like to do today?
o Searth Public Records
o Stait a New Transa lon Help?
o Retheve an Existing Transaction
o Seardi My
o Modify My User Preferences
o How Do
o Badc to Lawrence County Web Site
The Realty flansfer Tax Regulations have been i
the PA COPE website. The regulations can be accessed
foil owing internet Iink
http:/Iwww.pacode .corsecure/data/o61/diaptergl/ch
Cover Page Changes
You may have noticed that the Cover Page looks differe
made some dianges to improve the efficiency of the rec
process.
We really appreciate everyone who has been aeating t
page prior to recording and welcome your commentol P1
the tree trial period. Information on paid subscnptions
The Laerence wdy Recorder of Deeds Office I . providing the Informatlan on this nab site as a oeMce to the public. We have made every effo,t to
ensure that the Information contained in this ele onlc eaa,th system Is a uste. Honaver. the Rocorder of Deeds Office, the County of Lawence.
end RecordFuslon make no serronty or guarantee concerning the acoicecy or reliability of the content of this site or at other sites to vlilth v ia link. The
user I. advised to ceardi on all posSIble spelling vadetione of name. In aider to miadmize eee ,cfi results. The Recorder of Deeds Office. County of
Laerence. and RecordFualon shall not be held liable far Snare contained herein or for any damage. ase result of the information canbilned herein.
CAll righte reserved, Lawrence County Register and Recorders Office
PeredBy RecxirdRiclon ‘
orne S orch PuHic Rucordz St New Tran dion My Tr nS3thOn Seorch Guide I Preferences I Cos ta Us Log Out
DISQAIMER
i i e Intornet ‘ 100% -
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v 14 ____________
E V w Favc te Tools He ,
je Is aodanarisv Qses
-. Toals
Nancy J.Becker ’-Recorderof Deeds
me I Searth Public Records Search Guide I Pre oreuces I Contact Us
Welcome Cai-lyn Prisk to Montgomery County Online Services
What would you like to do today? Announcements
Please note: National Deed Service has wri en to many
o Searth Public Records residents offering to sell them a copy of their deed for
$69.50. Please tell anyone who asks, they can get a copy
o eCertilied Documents of their deed for $.50 a page in our office, certified would
bean additional $1.50, or $5.00 by mail for a copy, or
o Modify My User Preferences $10 by mail for a certified copy (self-addressed stampec
o How Do I.. envelope required).
o Disdaimer and Refund/Return Policy UPDATED E-RECORDING GUIDEUNE&
Montgomery County wants to continue to improve your
o i . t e-Recording espenence and ensure quality assurance as
well as the integrity of the documents. As a reminder, in
order to ensure that your documents are processed
quiddy and returned to you efficiently, we are asldng yoi
to follow these guidelines.
- Please Omit your transactions to a total c i 6 OOWMBV7S
ORA MAXIMUM OF 60 PAGES FOR ALL OOCIJMEN7S
5U9M ED
All ngl.ts reserved. Montgomery County
_fl_w —J .fl . —
Log O t
Qzntemet
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Real Property Records
a Other Internet sources include the county tax
assessor and derk of court.
a Useful to have name of title hotder, property
address and property identification number.
Often information can be located by any one of
these three.
Electronic availability usually limited to mid
1990s or later.
a Secure tax records as well as title documents.
Real Property Records
a If a tax sale has occurred, the Office of the
Clerk of Court may have the most recent
Information.
a When a tax sale occurs, there is a period
within which the title holder can reclaim
the property be payment of the back taxes
and a fee. Possibly Interest as well.
I D Tax sates are governed by state law and
records are organized at the local level.
Real Property Records in Contract
Data Bases
a Contract data bases such as AutoTrak and
Lexis-Nexis also provide Information about
real property.
a’ The profiles of Individuals will Include the
real property to which they now hold or
recently held title.
-------
Demonstration of
our favorite sites.
Questions?
-------
Potentially Responsible. Party Internet Information Sources
(PRPIIS)
Table of Contents
Business Information 2
EPA Resources — Public 7
EPA Resources — Internal 9
Directones 10
Financial Inlormation 13
Government Agencies 14
Government Directories 16
Investigative Tools 17
Law, Legal 19
Libranes and Public Information 21
Maps and Aerial Photos 23
Real Property 25
Technical Information 26
* Denotes a fee for service Page 1
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Potentially Responsible Party Internet Information Sources
(PRPIIS)
Business Information
Annual
Reports and
SEC filings
U.S.
Securities
and
Exchange
Commission
Annual
Report
Service*
htm://www.annualreportservice.coml
Free directory of online annual reports.
I.t+.. . //r.n.nt, c on
Report
Gallery
10K
Wizard*
http://www.reportgalleri.com/
http://www.10KWizard.com
Search and browse reports.
Search for company SEC filings.
Subscription required.
Company information, shareholder
information, and SEC filings including annual
reports.
Bankruptcy
American
Banlcruptcy
http://www.abiworld.orfi
Numerous online resources including
headlines, news, meeting information, court
lnstitute*
opinions and other bankruptcy info.
I
Subscription is required.
Public
Access to
Court
Electronic
Records
(PACER)
httr,://pacer.psc.uscourts.gov/
Access to federal court documents.
Registration is required. Fees are generally
$.08 a page.
* Denotes a fee for service
Page 2
-------
Potentially Responsible Party Internet Information Sources
(PRPIIS)
Compliance
Information
Occu. Safety
and Health
Admin.
(OSHA)
www.osha.gov/c i-bin/estiest1
Search for information on OSHA inspections
and violations.
Company
Profiles and
Information
American
Business
Directory
Corporate
Information
http:/Ilibrarv.dialog.com/bluesheets/htrnl/b10531.htm
1
http://www.corporateinformation.com/
Contains company contact, SIC, financial, and
linkages on over 12 million U.S. business
establishments.
Information on companies in 55 different
countries. Free snapshots reports as well as
more comprehensive reports for a fee.
Dun and
Bradstreet
Hoovers
Online
http://www.dnb.com
http://www.hoovers.com
Search for business and fmancial information
on companies. Certain D & B information is
available through Lexis. Your region may
already have a subscription to access D & B
reports.
Excellent source of company information,
including flnancials and links to websites.
Free snapshot reports and more
comprehensive reports available for a fee.
Corporate
Affiliates
Dun and
Bradstreet*
http://www.dnb.com
Financial information on many companies.
Lexis
Corporate
Afflliations
httD://www.corporateaffihiations.com/
Database of relationships between companies.
* Denotes a fee for service Page 3
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Potentially Responsible Party Internet Information Sources
(PRPIIS)
Corporate
Financial
Information
Hoovers
Online
http://www.hoovers.com
Financial information on many companies.
Motley Fool
Mergent
http://www.fooI.com/
http://www.mereenton1ine.com
A variety of fmancial information.
A variety of tools available.
Yahoo!
Finance
htto://finance.yahoo.com/
Financial news and information.
Corporate
Records
•
Government
Files
Online
http://www.governmentfilesonline.com/search/
This site provides links to Secretary of State’s
Offices. It offers a “free one day
membership” but otherwise charges a hefty
fee.
National
Association
of
Secretaries
of State
http://www.nass.org/sos/sos.html
National SOS organization. Provides links to
every State.
Search
Systems
http://www.searchsystems.net/list. hp?nid=l I
Free link to public records by state, county, or
city.
International
Business
British
Columbia
Assessment
httD:I/www.bcassessment.bc.ca/
Property ownership in British Columbia.
Canadian
government
http:I/www.canada.gc.ca/maiu_e.html
Information on the Canadian government.
Canadian
Stock
Exchange
http://www.sedar.com/
Access to most public securities documents
and information filed by public companies in
Canada.
* Denotes a fee for service Page 4
-------
Potentially Responsible Party Internet Information Sources
(PRPIIS)
Corporate
information
htto://www.corporateinforniation.com/
Search for information about companies in 55
different countries.
industry
Canada
Kompass
Mergent
Online*
htto://strategis.ic. c.ca/cgi-
bin/sc mrksv/corudir/dataOnline/search.cgi?lang=e
http://www.komnass.com
http://www.mergentonline.com/
Search for information about Canadian
companies.
Search for information about companies from
70 different countries.
Obtain information on international
companies, including annual reports.
Ministry of
Mining
http://www.em.gov.bc.ca/MininalGeolsurv/Publicati
ons/catalo /catarpts.htm
Mining reports from the British Columbia
Ministry of Mining.
Oncorp
Direct
http://www.oncom.com/
Search for information about Canadian
companies.
htti,://www.news-review.co.uk / Information on British based companies.
Registration is required but free.
Manufacturing
information
Industry
guide
htii,://www.thomasregister.com/
Search by product service, company name,
brand name or industry.
News
Business
Week
http://www.businessweek.com
A weekly business news magazine that has an
online issue with the information more
-
frequently updated.
Journal of
Business
httn://www.biziournals.com/
This is nation’s largest publisher of
metropolitan business journals and updates
websites for 41 print business journals.
UK
Business
and Finance
* Denotes a fee for service
Page 5
-------
Potentially Responsible Party Internet Information Sources
(PRPIIS)
Local
business
news
htm://www.dbusiness.com/
Covers business news and information for 50
local markets nationally.
TheStreet
http://www.thestreet.com
Investment news.
Wall Street
Journal
http://www.wsj.com
International market and economic news.
* Denotes a fee for service Page 6
-------
Potentially Responsible Party Internet Information Sources
(PRPHS)
EPA Resources - Public
“Administrative Record on
the Web”
hp:/lloggerhead.epa.gov/arweb/oublic/advancedse
arch.isp
EPA’s Superfund Administrative Record
Database.
Compliance and
Enforcement
http:/Iwww.ena.2ov/comnliancel
EPA’s Compliance and Enforcement
website.
Computer Models
http:/Iwww.eDa.gov/enahome/models.htm
EPA’s link to all financial computer models,
which evaluate a PRP’s ability to pay clean
up costs.
Environmental Response
Team
http://www.ert.org/
EPA’s Environmental Response Team’s
website.
Environmental Terms
http://www.epa.gov/OCEPAtenns/
A glossary of environmental terms,
abbreviations and acronyms.
Hazardous Waste Clean Up
Information
http:/fwww.clu-in.org/
Provides information about innovative
treatment and site characterization
technologies to the hazardous waste
remediation community.
EPA Libraries
http:/Iwww.e a.gov/nat1ibra1ols.htm
Provides the ability to search EPA libraries
for specific information and/or publications.
Links to State
Environmental Agencies
http:/Iwww.epa.gov/epahomelstate.htm
EPA’s web link to state environmental
Agencies.
National Enforcement
Training Institute (NETI)
National Locator
http://www.netionline.com/
http:llcfint.rtpnc.eoa.gov/locator/extended_search.c
fin
Listing of classes that are provided by EPA’s
enforcement training institute.
EPA’s electronic phone book.
* Denotes a fee for service Page 7
-------
Potentially Responsible Party Internet Information Sources
(PRFIIS)
National Priority List
http://www.epa.gov/superftind/sites/npl/frlist.htm
,
Provides information concerning sites that
are proposed, listed and/or deleted from the
National Priorities List.
OSC website
httn://www.eDaosc.org
EPA’s web site for Removal Actions.
PRP Search Manual
Superfund
Enforcement Directory
(SFED)
http://www.epa.gov/compliance/cleanup/super
fimd/prpmanual.html
http://cfpub.epa.gov/compliance/sfed/
Link to EPA’s PRP Search Manual.
EPA Superfund Enforcement Directory.
It can be searched by Region or by area
of expertise.
Superfund
Enforcement
Documents
Superfund Information
System (CERCLIS)
http://cfpub.epa.gov/compliance/sfed/
htto://cfj,ub.epa.gov/supercnad/cursites/srchsit
es.cfm
Link to Superfund guidance documents.
Publicly available access to EPA’s
Superfund Information System.
“Where You Live” Site
http://www.epa.gov/epahome/wherevoulive.ht
Link to various web locations that
provide information concerning the
location of hazardous substances within
a community.
* Denotes a fee for service Page 8
-------
Potentially Responsible Party Internet Information Sources
(PRPIIS)
EPA Resources - Internal
Office of Site Remedlation
Enforcement
http:iintranet.epa.gov/oeca/osre/index.htrni
Internal list of Superfund Enforcement
subject matter contacts.
Office of Site Remediation
Enforcement
http://intranet.epa.gov/oeca/osre/
Primary link to EPA’s Office of Site
Reniediation Enforcement.
Office of Superfund
Remediation and Technology
Innovation
htt :/Iintranet.epa.govloerrinetI
Office of Superfund Remediation and
Technology Innovation main website.
CERCLA Enforcement
Project Manager Handbook
http://intranet.epa.gov/oecalosre/documentslhbk-pdfl
The link provides an overview of the roles
and responsibilities of the remedial project
manager and the on-scene coordinator
(RPMJOSC) in identifying and
communicating with PRPs; coordinating with
communities, states, tribes, and natural
resource trustees; negotiating agreements for
site cleanup; initiating aLlniinistrative and
judicial enforcement actions; selecting site
remedies; recovering EPA’s response costs;
and overseeing PRP-lead response actions.
Office of Site Remediation
Enforcement
http://intranet.epa.aov/oeca/osre/documents/internal.
html#104
Links to EPA Information request letters and
standard questions.
* Denotes a fee for service Page 9
-------
Directories
Potentially Responsible Party Internet Information Sources
(PRPIIS)
Email, white pages, yellow pages and reverse
searches are available.
Whowhere
httD://www.whowhere.com
White and yellow pages.
Credit
Reports
Experian
https:/Iwww.infoloolcuD.experian.com/metronet*
Credit Reports, business searches, and personal
searches.
Email addresses
Search Tips
Directory
httixllmy.email.address.is/
Searches Yahoo!, Switchboard, W.E.D,
InfoSpace, and Look4U, as well as reverse email
address search and tips on fmding email
addresses.
All-purpose
directories
Bigfoot http://www.bigfoot.com /
Freeality
httn://www.freealitv.com/findc.htm
Search public records by category or state or
nationwide.
Infobel
http://www.infobel.comIteldir/
Find anyone anywhere in the world.
Search
Systems
Starting Page
Superpages
http://www.searchsvstems.net/freepub.php
htto://www.startingoage.com/html/lookup.html
http://vp I O.supernages.coni/
General Information Search (i.e. zip code, area
code).
Lists categories of searches, then it lists websites
of where to conduct those types of searches.
Lists links to search websites for various types of
information.
Business Directory
Switchboard
htto://www.switchboard.com
Personal and Business Directory.
* Denotes a fee for service
Page 10
-------
Potentially Responsible Party Internet Information Sources
(PRPHS)
Find people-
general
Yahoo
httD://www.vahoo.com/search/DeoDle/email.html
htto://www.semaphorecorp.com/default.html
http://www.searchbug.com/teoplefinder/
Search for people and businesses information.
Software development company with a few free
search programs.
Personal and Business directory with additional
services if you submit an email address in which
the information can be sent.
Semaphore
Searchbug
Find people
comprehen-
sive
Reverse
Directories
Westlaw t
http://www.westlaw.com
Search for legal information, as well as parties to
lawsuits. Your legal office may have an account.
AutoTrak
xp•
http://atxp.choicepoint.com/
Search for business or personal information with
an address or name. This service was previously
known as ChoicePoint.
Dia1og
Public Data
Anywho
http://www.dialog.com
http://www.publicdata.com
http://www.anywho.com/rl.html .
Search for business information.
Search criminal, motor vehicle, drivers’ license,
sex offenders, voter, property tax, federal,
Secretary of State, and professional license from
select states.
Reverse phone.
Reverse
address
directory
http://www.reverseaddressdirectorv.com
Reverse address, phone.
Reverse
phone
directory
http://www.reversephonedirectorv.com/
Reverse address, phone.
* Denotes a fee for service Page 11
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Potentially Responsible Party Internet Information Sources
(PRPIIS)
* Denotes a fee for service
Page 12
-------
Potentially Responsible Party Internet Information Sources
(PRPIIS)
Financial Information
Calculators
Commerce Bank
http://www.commerceonline.comlfinancial cal
culators.cfm
A variety of fmancial calculators.
Financial
Models
EPA Enforcement
Models
httD://www.epa.gov/compliance/civil/econmod
els/index.html
Download BEN, ABLE, INDIPAY,
MUNIPAY, and PROJECT.
Interest
rates;
industry
discount
rates
Investment
Information
,
Loan rates
Federal Reserve
MomingStar*
Bankrate.com
http://w’ww.federalreserve.gov/releases
http://www.morningstar.com/?pgid=hetabhome
http:I/www.bankrate.com/brmldefault.asp
Current and historical information on interest
rates, industry discount rate, etc.
Investment news, information, tools and
calculators. Registration (free regular
membership required to use portfolio feature.
Premium (fee) membership for access to analyst
research and stock reports.
Current mortgage and other loan rates.
Bestrate.com
http://www.bestrate.com/
Current mortgage and other loan rates.
Quicken loans
http://www.auickenloans.com
Current mortgage and other loan rates.
Salary.com
http:llwww.salarv.com
Salary comparisons by profession and location.
* Denotes a fee for service Page 13
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Potentially Responsible Party Internet Information Sources
(PRPIIS)
Government Agencies
Bureau of Economic Analysis
http:I/www.bea.gov/
Link to various economic indicators.
Bureau of Prisons
http:/Ibop.gov/
Link to the Bureau of Prisons. It includes the
ability to search for inmates who have been
located in federal prisons.
Census Bureau
httD://www.factfinder.cens u s.gov
Link to United States census information.
Census Bureau (Pre-set profiles
of communities)
httn://censtats.census. ov/pub/Profiles.shtml
Link to pre-established sets of census
information for communities in the United
States.
County Courthouses
httn://www.genealogv.com/00000229.html?We
lcome=1085073621
Link to county websites.
Courts (district, appeals,
bankruptcy)
http:llwww.uscourts.gov/Iinks.html
Link to federal court information.
Department of Justice
(attorneys)
http://www.usdoi.govfusaol
Link to information on the United States
Attorney’s Office.
Department of Labor
http://www.bls.gov/
Link to the Department of Labor. Provides
information concerning various economic
indicators.
Federal Election Commission
http://www.fec.gov/flnance/disclosure/norindse
a. shtml
Individual contributions.
Federal Reserve Board
httD:I/www.federaIreserve. ov/rnd.htm
Link to the Federal Reserve Board’s economic
research information.
* Denotes a fee for service Page 14
.
-------
Potentially Responsible Party Internet Information Sources
(PRPIIS)
Financial Crimes Enforcement
Network
http://www.fmcen.gov
Main web link to the Department of Treasury’s
Financial Crimes Enforcement Network.
Government Phone Numbers
htto://www.info.gov/phone.htm
Listing of federal state and local government
phone numbers.
Government Printing Office
http:I/www.gpoaccess.gov
Main link to the Government Printing Office.
Useful access portal to all U.S. government
publications.
Internal Revenue Service
http://www.irs.gov
Main access point for information provided by
the Internal Revenue Service.
Money Service Business
httD:I/www.msb. ov
Money Services Business link from the
Financial Crimes Enforcement Network.
National Archives
http://archives.gov/
Main link to the National Archives.
Occupational
Safety & Health
Administration
Index to site
Inspection
Information
http://www.osha.gov
Main link to the Office of Safety and Health
Administration.
Link to OSHA inspection information.
http://www.osha.gov/oshstats/index.html
Office of Patents &
Trademarks
httj,://www.usoto.gov/mainItrademarks.htm
Main link to information concerning patents and
trademarks.
Securities and Exchange
Commission (EDGAR)
httu://www.sec.aov/edaar/searchedgar/company
search.html
Link to the Securities and Exchange
Commission’s (“SEC”) Electronic Data
Gathering, Analysis, and Retrieval System
(EDGAR). This database allows the ability to
research company filings with the SEC.
State & Local Government
links
http://www.statelocalgov.net
Link to state and local government Internet
sites.
US, State & Local Government
http://www.usa.gov/Topics/Reference Shelf.sht
ml
Link to federal, state and local websites.
* Denotes a fee for service Page 15
-------
Potentially Responsible Party Internet Information Sources
(PRPIIS)
Government Directories
Federal
Government
FedStats
http://www.fedstats.gov/
Statistics from 100 government agencies.
Louisiana State
University
Libraries
http://www.lib.lsu.edu/gov/fedgov .html
Federal agency directory.
State and
local
government
GovEngine.com
http://www.govengine.com/
Federal, state and local government information.
State and Local
Government on
the Net
http://www.statelocalgov.net/index.cfin
Directory of state, county, city government
websites.
USA.gov
http://www.firstgov.gov
“Government made easy.”
* Denotes a fee for service Page 16
-------
Potentially Responsible Party Internet Information Sources
(PRPIIS)
Investigative Tools
Bureau of Justice Statistics
http://www.ojD.usdoi.gov/bjs/welcome.html
Crime statistics and court statistic information;
no individual or company information.
Investigators Guide to
Sources of Information
(GAO)
http:/Iwww.fas.org/irp/gao/osi-97-2/soi ch4.htm
Lists and describes investigator and law
enforcement databases; no links to databases;
can be found by using Google.
National Criminal Justice
Reference Service
http:/Iwww.ncjrs.gov
Federally funded resource offering justice and
substance abuse information.
Personal
Property
Collect.com
http://www.collect.com/
Antiques, collectibles values. Registration
required.
EBay
http://www.ebay.com/
Online auction.
Kelley Blue
Book
http://www.kbb.com/
Car values.
Kovels.com
http://www.kovels.com/
Antiques, collectibles values. Registration
required.
Nada
Guides
http://www.nadaguides.com/
Car, boat, RV, motorcycle, mobile home
values.
Public
records
directory
Search
Systems
htti,://www.searchsvstems.net
Lists 38,541 searchable public record
databases; no direct link unless a paying
member, but will show which databases are
free or charge.
* Denotes a fee for service Page 17
-------
Potentially Responsible Party Internet Information Sources
(PRPIIS)
Regional Information
Sharing Systems*
http://ww.ii9r.com/rissl
National program of regionally oriented
services designed to enhance the ability of
criminal justice agencies to share information;
membership required.
* Denotes a fee for service Page 18
-------
Potentially Responsible Party Internet Information Sources
(PRPIIS)
Law, Legal Sites
Code of Federal
Regulations
http://www.access.gpo.govfnara/cfr/cfr-table-
search .html
Searchable CFR database from 1996.
Code of Federal
Regulations, Federal
Register, and more
http://www.heinonline.orglHOLfWelcome?collec
tion=fedrea
ABA journals, most cited journals, criminal
justice journals, intellectual property library,
CFR from 1938, FR from 1936, U.S. Attorney
General opinions, legislative history,
Presidential and Supreme Court libraries,
statutes.
Federal Acquisition
Regulation
http://www.arnet.gov/far
FAR regulations and GSA forms library.
Federal Register
http://www.g oaccess.gov/fr/index.htrn1
Federal Register from 1994 with links to
libraries for FRs prior to 1994.
Law library
http:I/www.law.indiana.edu/v-lib/index.html
Undergoing major design check later.
Lawyers
Martindale
locator
http://www.martindale.com
Find a lawyer.
Find a
lawyer
htti,://www.findlaw.com
Find a lawyer.
Bar
associations
httD://www.bestcase.com/statebar.htm
State bar association links.
* Denotes a fee for service Page 19
-------
Potentially Responsible Party Internet Information Sources
(PRPIIS)
Legal
research
pages
Find Law
___________
htfl,:llwww.findlaw.com
General law information for public, case law,
statutes, rules and regulations for lawyer.
Lexis
http://www.lexis.com
Comprehensive databases of law, business,
public records and news. Your legal office
may already have an account.*
Legislation
pending In
Congress;
votes, b ,
laws
Senate
http://www.senate.gov
U.S. Senate.
House
http://www.house.gov
.
U.S. House of Representatives.
Legislative information
http://thomas.loc.gov
Bills, resolutions, congressional record,
committee reports, searchable by bill text.
Supreme Court Decisions
http:I/supct.law.comell.edu/supct /index.html
Supreme Court decisions, briefs, links to briefs,
oral argument recordings 1990 — present.
U.S. Code U.S. House
Cornell
University
http://uscode.house.aov
U.S. House of Rep.; searchable code from
1988; link to_Federal Register.
Searchable U.S. Code.
http:/fwww.Iaw.cometiedu/uscodel
•
U.S. Courts
httix/Iwww.uscourts.gov/courtlinks/
Links to all U.S. Courts. Documents are
available using PACER.
* Denotes a fee for service Page 20
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Potentially Responsible Party Internet Information Sources
(PRPIIS)
Libraries and Public Information
Almanacs
http://www.infoplease.con,Iindex.html
Miscellaneous information.
Environmental News
http://www.earthvision.net/
Contains information resources on
environmental news, innovative
environmental technologies, government
environmental technology programs,
contracting opportunities, market
assessments, market information, current
events and other material of interest to
the environmental technology
community.
Environmental
Research Foundation
http://www.racheLorgfhome eng.htm
Web site under repair as of 5/15/07.
Library of Congress
httn://lcweb.loc.gov
Largest library in the worlç services include
Ask a Librarian, photo duplication;_see FAQs.
Linda Hall Library httD://www.lindahall.org
Library of science, engineering and
technology; document delivery services;
searchable catalog; reference and search
services.
Selected newspaper links in selected states.
. s.com Links to all major newspapers; search by state,
no logins.
“ e.com
* Denotes a fee for service
Page 21
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Potentially Responsible Party Internet Information Sources
(PRPIIS)
National Archives
http://www.nara.gov
Searchable databases of historical information.
Non-Profit Entities
http://www.guidestar.org/
Web link that provides information concerning
non-profit entities.
Public Records Search
http://www.brbpub.com/pubrecsites.asp
Public records databases by state; links to free
databases (similar to Search Systems before it
became a pay service).
U.S. Earth
Geological Sciences
Survey Library
http://librarv.usgs.gov/
The largest earth science library in the world.
* Denotes a fee for service Page 22
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Potentially Responsible Party Internet Information Sources
(PRPIIS)
Maps and Aerial Photos
Enviromapper
Freeality.com
httD://www.ela.gov/envirolemefl
htto://www.freealitv.com/maps.htm
U.S. EPA’s interactive maps and aerial
photography to display facility-based
information from the Envirofacts Warehouse.
Directory of map-related sites.
Geography network
htt :I/www.geographvnetwork.comImaps/index.ht
ml
Static, browser and (iTS-access maps.
Google Earth
http://earth.google.com/
Satellite imagery, maps, terrain and 3D
buildings. Free service but requires a software
download.
Google Maps
http://maps.google.com/maps
Maps and directions. Limited aerial photos.
Mapquest
http://www.manuuest.com/
Maps and directions.
Microsoft Maps Live
http://maps.live.com’
Similar to Google Earth. View 3d aerial photos,
maps, and more. Free service but requires a
software download.
NationalAtlas.gov
http://nationalatlas.gov/
Maps of North America.
Terraserver.com
http://terraserver.microsoft.com/
Aerial photos - Search by address or longitude &
latitude.
U.S. National
Geological Geologic Map
Survey Database.
http://namdb.usRs.Rov/nRmdb/ngm catalog.ora.htm
1
National Geologic Map Database. Search USGS
maps.
* Denotes a fee for service Page 23
-------
Potentially Responsible Party Internet Information Sources
(PRPIIS)
National Map
http:IlnationalmaD.gov/
Information on the USGS National Map.
USGS
national map
viewer -
http://nmviewogc.cr.usgs.gov/viewer.htm
View the USGS National Map.
* Denotes a fee for service Page 24
-------
Potentially Responsible Party Internet Information Sources
(PRPHS)
Real Property
ABC’s of Real Estate
http://www.realestateabc.com/
Real estate and mortgage resources.
AcxiomlDataquick*
http://Droducts.dataguick.com/consumer/
Real property ownership, appraisal information.
HomeSeekers.com
http://www.homeseekers.com/
Residential property sales and value information.
Netronline.com
http://www.netronline.com/
Real estate information and public records
search.
RealEstate.com
htp:I/dowiones.homeuricecheck.coin/
Residential property sales and value information.
Rent-O-Meter
http://www.rentometer.com
Residential rental comparison.
ZWillow
httu://www.zillow.com/?kwg=zwillow
Real estate information and property values.
The information available varies by region
searched.
* Denotes a fee for service Page 25
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Potentially Responsible Party Internet Information Sources
(PRPIIS)
Technical Information
Il . lieu i)ijT1 [ O)j ‘A .) (or.
Agency for CERCLA
Toxic Hazardous
Substances Substances
7. ease Hazardous
Registry Substances
(ATSDR)
Cleaner Solutions Database
Efunda (Engineering
Fundamentals)
http:Ilwww.atsdr.cdc.gov/cerclal
Hazardous substance and toxicological
information.
http://www.atsdr.cdc.gov/toxfaq.html
http://www.cleanersolutions.orgl?action=vendorsearch&pa
http://www.efunda.comlprocesses/processes_home/process.c
ToxFaqs: Frequently asked questions
about contaminants found at hazardous
waste sites.
Search for products based on vendor-
recommended contaminant, substrate
and equipment information.
Descriptions of industrial processes.
Envirofacts Master
Chemical Integrator
http://www.epa.gov/enviro/html/emci/chemref/
Search the EMCI Chemical References
Web Pages.
Material
Safety Data
Sheets
(MSDS)
Product Name
http://www.setonresourcecenter.com/MSDS/search.html
MSDS search by chemical, product
name.
Manufacturer
http://www.setonresourcecenter.comlmsds/docs/wcd00000/
wcd000l4.htm
MSDS search by manufacturer name.
Military specification
lubricant products
httD://www.mtpinc-
xporter.com/chemicals/chem mil_snec.htm
Listing by specification number and
title of specification.
* Denotes a fee for service
Page 26
-------
Potentially Responsible Party Internet Information Sources
(PRPIIS)
National Library of
Medicine
http://sis.nlm.nih.aov/enviro.html
Environmental health and toxicology
infonnaton. Also, access to TOXNET,
a collection of databases on hazardous
chemicals, toxic releases, and
environmental health.
Radiochemistry Society
http://www.radiochemistrv.org/periodictable/
Periodic table.
Toxuet- Toxicology Data
Network
http://toxnet.nlm.nih.gov/
Data on toxicology, hazardous
chemicals, environmental health, toxic
releases.
US Metric Association
http://lamar.colostate.edu/—.hillger/evervdav.htm
Metric conversions.
* Denotes a fee for service Page 27
-------
NOTES
-------
-------
S
-------
Portland Harbor Site History
-------
Porttand Harbor was added I x , the Natlon&
Ptiodtles LISt In De zmber 2000
Bskts * t Urns
desnup *15
pro sdkigonI
sItsby U
C d
- ,
• Study ares from RN 1•12
• B AIe.d for fr -water
rvesu on1desnup
• DeQ edIbr
Portland Harbor Superfund Site
• Stat rederW tru ess p Ius 6
thdin Thbes cc
.10 PRPS ks LWG condu flg
-------
RI/FS Status
• Draft RI - December 2008
• Draft BRA ____
• DraftFS- ----
• Working towaq
PRP Search Investigation Area
-------
Conceptual Site Model
Historical
and Current
Stormwater Runoff
Historical
and Current
Historical
and Current
Riverbank
Historical
and Current
Atmospheric
Deposition
Industrial
-------
Sediment Contaminants
• Me Is
• Pestiddes/herbiddes
• PA
•PCBs
•svocs
• Dlodns/furans
Types of Industries
• acat/ lpiepah
• Btdk
• a n mww g
• Wocd P e O5oso
• Liii Mills
• Ma 1lsd r Gas FI Ils
• d MasWThth
•
— Wodas Mlii
• M R de
• Pc t Tenilods
• Eecblod Sub atb s
• Stwm wat J Os
• Plathg dio s
•
• Thnk rdasnlng
• Raliyaids
•
•
• tasy
• —
PRP Search Status
• Currently 83 PRPs sent GNLs
• De mber 2000 —69 GNL5
•Apr1l2006-2SGNL S
• January 2008 - 267 104(e) letters
-------
Factors for 104(e) Questionnaires
• Previously Identified PRPs;
• Past owner/operator tenants on PRP
propeitles;
• Comrnerdalflndustilal properties adjacent to
ilver;
• DEQ deanup sites with pathway to river,
• Facilities which may have releases or potential
threats of a release;
• Considered LWGFCIty candidates.
Challenges for PRP Search at a
large Sediment Site
• Team Coordination
• Resources
• Complexity
• Integrating w/ source control
• 104(e) extension requests
• RevIewing 267 responses
Contact Information
• K,lstlne Koch — PRP Searth/Sour03 Control
• __________________
•
• thlpHumprey—IU/FS
• ____________________
• 503-326-2670
• Eilc Bllsthke - RJ/FS
• __________________
• 503-3264003
• Sean Sheldral - Early Ad ons
• _____________________
• 206-550-1220
-------
NOTES
-------
-------
Miscellaneous Resource Information
-------
Introduction
Superfimd sites are places where EPA has
determined that a hazardous substance, pollutant
or contaminant is located. These areas are
entered in EPA’s official site inventoiy. There
are many pathways available to getting a
Superfund site cleaned up. Among the best
known pathways, for sites that need long-term
cleanup, is to list the site on the National
Priorities List (NPL). Sites on the NPL are
eligible for federal remedial (long-term) cleanup
funds.’
EPA may also clean up sites eligible for the NPL
using other Superfund and non.Superfund
authorities, or States may use their authorities to
clean up these sites. Which cleanup pathway is
chosen depends on many variables, such as the
complexity of the cleanup, the availability of
funds (private or public) for the cleanup, and the
nature (e.g., private, governmental, tribal),
number and experience of the parties involved at
the site.
One of EPA’s non-NPL Superfund pathways is
referred to as the Superfund Alternative (SA)
approach. The SA approach uses the same
process and standards for investigation and
cleanup as sites on the NPL. Sites using the SA
approach are not eligible for federal remedial
cleanup funds. Cleanup funding for sites with
SA agreements is provided by the potentially
responsible parties (PRPs).
As long as a PRP enters into an SA agreement
with EPA and stays in compliance with that
agreement, there is no need for EPA to list the
site on the NPL. If a PRP fails to meet the
obligations of the agreement, EPA may
reconsider putting the site on the NPL.
Currently, sites using the SA approach are a
small percentage of all cleanup agreements.
Threshold Criteria
for Using the SA Approach
Eligibility for this approach is based on the
following three criteria:
1. Site contamination is significant enough that
the site would be eligible for listing on the
NPL (i.e., the site would have a Hazard
Ranking System (HRS) score of 28.5 or
greater;
2. A long-term response (i.e., a remedial
action) is anticipated at the site; and
3. There is at least one willing, capable party
(e.g., a company or person) that has
responsibility under Superfund, who will
negotiate and sign an agreement with EPA
to perform the investigation and cleanup.
Getting Started with the SA Approach
EPA has discretion to determine if the SA
approach is appropriate at a particular site. If a
site meets criteria 1 and 2 above, EPA may
approach a PRP, or a PRP may approach EPA,
to negotiate an SA agreement. The SA
agreement is equivalent to an agreement
negotiated at an NFL site. For example, the
same investigation and cleanup will be done as
if the site were listed on the NPL.
For more information on the NPL listing process,
see www.epa.gov/superfimd/sites/npYindex.htm.
United States
Emitronmental Protection Agency
Office of Enforcement and
Compliance Assurance
Office of Solid Waste and
Emergency Response
ApnI 2008
EPA-330R080 01
&EI ___ Understanding the Superfund
Liniled Stalaa _____
Alternative Approach
Office of Site Remedlatlon Enforcement
Office of Superfund Ramedlation and Technology Innovation
-------
PRPs may choose not to negotiate an SA
agreement. In that case, the site would proceed
to cleanup using a different path (e.g., NPL
listing, State cleanup program).
State Role
EPA will consult with the state in which the site
is located on whether to attempt the SA
approach, settlement negotiations and remedy
selection. Throughout the process, the state will
have the same opportunities for involvement as
at an NPL site.
Cleanup Agreements
EPA will negotiate agreements with PRPs for
site investigation and site cleanup. The
agreement for investigation is usually in the
form of an Administrative Order on Consent
(AOC). The agreement for remedial action is
always in the form ofajudicial Consent Decree
(CD).
Both the AOC and the CD should include
language specific to the SA approach that keeps
sites using the SA approach in an equivalent
position to sites listed on the NPL. EPA has
model language for SA provisions that address
NPL listing after partial cleanup, technical
assistance for communities, financial assurance
and natural resource damage claimc . The
provisions needed depend on the work being
performed.
Investigation & Remedy Selection
Once the site studies are complete and the
hazards are identified, EPA will select a site
remedy the same way it selects a remedy for
sites listed on the NFL.
funds should a qualified community group apply
for such an advisor.
EPA’s Role During and After Cleanup
EPA will oversee the investigation and cleanup
just as it would at a site listed on the NPL.
When the cleanup is completed, EPA will ensure
the remedy continues to work as intended by
monitoring the site and performing the same
reviews it conducts for sites listed on the NPL.
Potential Benefits of the SA Approach
The benefits of the SA approach will vaiy
depending on the site circumstances. A benefit
that accrues at most sites is the resource savings
of not formally proposing and listing a site on
the NPL. Other benefits may include a
community’s good will at not having the site
listed on the NPL, a PRP’s willingness to
negotiate a good-faith agreement, and the
opportunity to start cleanup work more quickly
than waiting for listing on the NPL. Overall, the
cleanup process is as protective as at NFL sites.
Further Information. If you have questions
regarding this fact sheet, please contact Nancy
Browne, Office of Site Remediation
Enforcement, at (202) 564-4219,
browne.nancy epa.gov; or Robert Myers,
Office of Superfund Remediation and
Technology Innovation, (703) 603-8851,
myers.robert@epa.gov.
For more information on the SA approach,
including links to the guidance and a list of sites
that have SA approach agreements, please go to:
http://epa.gov/compliance/c leanup/superfund/saa
.html
Community Participation
At sites listed on, or proposed to be listed on the
NPL, a qualified community group may apply
for a technical assistance grant (TAG) to hire an
independent technical advisor. In SA
agreements, EPA negotiates a technical
assistance provision for the PRP to provide
Disclaimer This document is provided solely for
informational purposes. It does not provide legal
advice, have any legally binding effect, or expressly
or implicitly create, expand, or limit any legal rights,
obligations, responsibilities, expectations, or benefits
for any person. This document is not intended as a
substitute for reading the statute or the guidance
documents described above.
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NOTES
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Acronyms & Abbreviations
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Acronyms and Abbreviations
A
AA Assistant Administrator
AAG Assistant Attorney General
AAI All Appropriate Inquiries
ACL Alternate Concentration Limit
ADR Alternative Dispute Resolution
AM Action Memorandum
AO Administrative Order
AOA Advice of Allowance
AOC Administrative Order on Consent
AOC Area of Contamination
AR Administrative Record
ARARs Applicable or Relevant and Appropriate Requirements
ARCS Alternative Remedial Contracts Strategy
ASTSWMO Association of State and Tribal Solid Waste Management Organizations
ATP Ability to Pay
B
BFPP Bona Fide Prospective Purchaser
BIA Bureau of Indian Affairs
BLM Bureau of Land Management
BPA Blanket Purchase Agreement
BRAC Base Realignment and Closure
BUREC Bureau of Reclamation
C
CA Cooperative Agreement
CAA Clean Air Act
CAG Community Advisory Group
CBI Confidential Business Information
CD Consent Decree
CD ROM Compact Disk Read-Only Memory
CEC CERCLA Education Center (OSWER)
CERCLA Comprehensive Environmental Response, Compensation and Liability Act of 1980
CERCLIS CERCIA Information System
CFR Code of Federal Regulations
Cl Civil Investigator
CIC Community Involvement Coordinator
CLP Contract Laboratory Program
CO Contracting Officer
COl Conflict of Interest
COR Contracting Officer’s Representative
CPO Contiguous Property Owner
CR Community Relations
CR Cost Recovery
CRC Community Relations Coordinator
CRC Cost Recovery Coordinator
CRP Community Relations Plan
CWA Clean Water Act
D
DA Deputy Administrator
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DAA Deputy Assistant Administrator
D&B Dunn and Bradstreet
DCN Document Control Number
DD Division Director
DFO Designated Federal Official
DOD Deputy Office Director
DOD Department of Defense
DOE Department of Energy
DOI Department of Interior
DOJ Department of Justice
DOT Department of Transportation
DPO Deputy Project Officer
DQO Data Quality Objective
E
EDGAR Electronic Data Gathering, Analysis, and Retrieval
EE/CA Engineering Evaluation/Cost Analysis
EJ Environmental Justice
EMSL Environmental Monitoring and Systems Laboratory
ENRD Environment and Natural Resources Division (DOJ)
EPA Environmental Protection Agency
EPAAR EPA Acquisition Regulation (Manual)
EPCRA Emergency Planning and Community Right-to-Know Act
EPIC Environmental Photographic and Investigation Center
EPM Enforcement Project Manager
EPS Environmental Protection Specialist
ERCS Emergency Response Cleanup Services
ERNS Emergency Response Notification System
ERS Environmental Response Services
ERT Environmental Response Team
ESAT Emergency Services Assistance Team
ESD Environmental Services Division
ESD Explanation of Significant Difference
ESI Expanded Site Investigation
ESS Enforcement Support Services
F
FACA Federal Advisory Committee Act
FAR Federal Acquisition Regulation
FEMA Federal Emergency Management Agency
FFA Federal Facility Agreement
FFEO Federal Facilities Enforcement Office (OECA)
FIFRA Federal Insecticide, Fungicide, and Rodenticide Act
FINDS Facility Index System
FMD Financial Management Division
FOIA Freedom of Information Act
FR Federal Register
FRC Federal Records Center
FS Feasibility Study
FSAP Field Sampling and Analysis Plan
FTE Full-Time Equivalent
FUDS Formerly Used Defense Sites
FWPCA Federal Water Pollution Control Act
FY Fiscal Year
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G
GAAPs Generally Accepted Accounting Principles
GAAS Generally Accepted Accounting Standard
GAO General Accounting Office
GFO Good Faith Offer
GIS Geographic Information System
GNL General Notice Letter
GPRA Government Performance and Results Act
GSA General Services Administration
H
HASP Health and Safety Plan
HAZWOPER Hazardous Waste Operations and Emergency Response
HQ Headquarters
HRS Hazard Ranking System
HSWA Hazardous and Solid Waste Amendments (RCRA)
I
lAG Interagency Agreement
ICs Institutional Controls
IFMS Integrated Financial Management System
lG Inspector General
IGCE Independent Government Cost Estimate
ILO Independent Land Owner
IMC Information Management Coordinator
L
LAN Local Area Network
LDR Land Disposal Restrictions
LOE Level of Effort
LSI Listing Site Inspection
LTRA Long-Term Response Action
LUST Leaking Underground Storage Tank
M
MARS Management and Accounting Reporting System
MCL Maximum Contaminant Level
MCLG Maximum Contaminant Level Goal
MOA Memorandum of Agreement
MOU Memorandum of Understanding
MSDSs Material Safety Data Sheets
MSCA Multi-Site Cooperative Agreement
MSW Municipal Solid Waste
MUNIS Municipalities
N
NAAG National Association of Attorneys General
NARPM National Association of Remedial Project Managers
NBAR Non-Binding (Preliminary) Allocation of Responsibility
NCLP National Contract Laboratory Program
NCP National Contingency Plan
NEIC National Enforcement Investigations Center
NEJAC National Environmental Justice Advisory Council
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NEPA National Environmental Policy Act
NESHAPS National Emissions Standards for Hazardous Air Pollutants
NETI National Enforcement Training Institute (OECA)
NFRAP No Further Remedial Action Planned
NOAA National Oceanic and Atmospheric Administration
NOSC National Association of OSCs
NOV Notice of Violation
NPDES National Pollution Discharge Elimination System
NPL National Priorities List
NRC National Response Center
NRC Nuclear Regulatory Commission
NRD Natural Resource Damages
NRT National Response Team
NTC Non-Time-Critical (Removal)
NTIS National Technical Information Service
0
O&F Operational and Functional
O&M Operation and Maintenance
OAM Office of Acquisition Management
OARM Office of Administration and Resources Management
OD Office Director
ODCs Other Direct Costs
OECA Office of Enforcement and Compliance Assurance
OEJ Office of Environmental Justice
OERR Office of Emergency and Remedial Response (now known as OSRTI)
OGC Office of General Counsel
OIA Office of International Activities
OIG Office of the Inspector General
0MB Office of Management and Budget
OPA Oil Pollution Act of 1990
ORC Office of Regional Counsel
ORD Office of Research and Development
OSC On-Scene Coordinator
OSHA Occupational Safety and Health Administration
OSRE Office of Site Remediation Enforcement (OECA)
OSRTI Office of Superfund Remediation and Technology Innovation (formerly known as OERR)
OSW Office of Solid Waste (OSW ER)
OSWER Office of Solid Waste and Emergency Response
OTIS On-Line Targeting Information System
OU Operable Unit
P
PA Preliminary Assessment
PA/SI Preliminary Assessment/Site Investigation
PCB Polychlorinated Biphenyl
PCOR Preliminary Close-Out Report
PNRS Preliminary Natural Resources Survey
P0 Project Officer
POIREP Pollution Report
POTW Publicly-Owned Treatment Works
PPA Prospective Purchaser Agreement
PPB Parts per Billion
PPED Policy and Program Evaluation Division (OSRE)
PPM Parts per Million
PR Procurement Request
PRP Potentially Responsible Party
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PRSC Post-Removal Site Control
Q
QA Quality Assurance
QA/QC Quality Assurance/Quality Control
QAPP Quality Assurance Project Plan
QC Quality Control
R
R&D ResearCh and Development
RA Remedial Action
RA Regional Administrator
RAC Response Action Contractor
RACS Response Action Contracting Strategy
RCMS Removal Cost Management System
RCRA Resource Conservation and Recovery Act
RCRAInfo Resource Conservation and Recovery Act Information
RD Remedial Design
RD/RA Remedial Design/Remedial Action
RDT Regional Decision Team
RI Remedial Investigation
Rl/FS Remedial Investigation/Feasibility Study
ROD Record of Decision
RODS Record of Decision System
RP Responsible Party
RPM Remedial Project Manager
RPO Regional Project Officer
RQ Reportable Quantity
RRT Regional Response Team
RSD Regional Support Division (OSRE)
RSE Removal Site Evaluation
RSI Removal Site Inspection
RTP Research Triangle Park, North Carolina
S
SACM Superfund Accelerated Cleanup Model
SAM Site Assessment Manager
SAP Sampling and Analysis Plan
SARA Superfund Amendments and Reauthorization Act of 1986
SAS Special Analytical Services
SAS Superfund Alternative Site
SBA Small Business Administration
SBLR&BRA Small Business Liability Relief and Brownfields Revitalization Act (commonly referred to
as the Brownfields Amendments”)
SBREFA Small Business Regulatory Enforcement Flexibility Act
SCA State Cooperative Agreement
SCAP Superfund Comprehensive Accom plishments Plan
SCORE$ Superfund Cost Organization and Recovery Enhancement System
SDWA Safe Drinking Water Act
SEE Senior Environmental Employee
SEPs Supplemental Environmental Projects
SESS Superfund Enforcement Support Service
SETS Superfund Enforcement Tracking System
SF Superfund
SI Site Inspection
SMOA State Memorandum of Agreement
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SNL Special Notice Letter
SOL Statute of Limitations
SOP Standard Operating Procedure
SOW Scope of Work
SOW Statement of Work
SREA Superfund Recycling Equity Act
SSC Superfund State Contract
SSI Screening Site Investigation
STARS Strategic Targeting Activities Reporting System
START Superfund Technical Assessment and Response Team
SWDA Solid Waste Disposal Act
T
TAG Technical Assistance Grant
TAT Technical Assistance Team
TBC To Be Considered (Material)
TBD To Be Determined
TC Time-Critical (Removal)
TCLP Toxicity Characteristic Leaching Procedure
TDD Technical Directive Document
TDD Telecommunications Device for the Deaf
TOM Technical Direction Memorandum
110 Technology Innovation Office (OSWER) (now known as TIP)
TIP Technology Innovation Program (OSWER) (formerly know as TlO)
TRI Toxic Release Inventory
TSCA Toxic Substances Control Act
TSDF Treatment, Storage and Disposal Facility
U
UAO Unilateral Administrative Order
UCC Uniform Commercial Code
USACE U.S. Army Corps of Engineers
USC U S Code
USCG U.S Coast Guard
USDA U.S. Department of Agriculture
USFWS U S. Fish and Wildlife Service
USGS U.S Geological Survey
UST Underground Storage Tank
w
WA Work Assignment
WACR Work Assignment Completion Report
WAF Work Assignment Form
WAM Work Assignment Manager
WasteLAN Waste Local Area Network
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Glossary
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Glossary
Administrative Order on Consent (AOC): A legal agreement signed by EPA and an individual,
business, or other entity through which the entity agrees to take an action, refrain from an activity,
or pay certain costs. It describes the actions to be taken, may be subject to a public comment period,
applies to civil actions, and can be enforced in court. AOCs are most commonly used for removal
actions and RIJFSs, but may be used for de minimis and cost recovery settlements.
Administrative Record (AR): The body of documents that “forms the basis” for the selection of
a particular response at a site. For example, the AR for remedy selection includes all documents that
were “considered or relied upon” to select the response action. An AR must be available at or near
every site to permit interested individuals to review the documents and to allow meaningful public
participation in the remedy selection process. This requirement does not apply to other ARs, such
as those for deletion.
Administrative Subpoena: A command issued by EPA requiring testimony and, if necessary, the
production of documents deemed necessary to the administrative investigation of a site. CERCLA
section 122(e)(3)(B) authorizes the issuance of administrative subpoenas as is “necessary and
appropriate” to gather information to perform a non-binding preliminary allocation of responsibility
or “for otherwise implementing CERCLA section 122.” No legal mandate prohibits the use of an
administrative subpoena as an initial information gathering tool; however, the Agency prefers using
104(e) requests before issuing administrative subpoenas.
All Appropriate Inquiries: The inquiries that a landowner must make into the previous ownership
and uses of a facility in order to claim the innocent landowner, contiguous landowner, or bona fide
prospective purchaser defense to CERCLA liability. Standards and practices for conducting all
appropriate inquiries were published in the Federal Register (70 Fed. Reg. 66069-66113) on
November 5, 2005 as 40 CFR Part 312. These standards and practices also apply to persons
conducting site characterization and assessments with the use of grants awarded under CERCLA
section 1 04(k)(2)(B).
Alternative Dispute Resolution (ADR): A process that allows parties to resolve their disputes
without litigating them in court. ADR involves the use of neutral third parties to aid in the resolution
of disputes through methods that include arbitration, mediation, mini-trials, and fact finding.
Arbitrary and Capricious: Characterization of a decision or action taken by an administrative
agency or inferior court meaning willful and unreasonable action without consideration or in
disregard of facts or without determining principle. Under CERCLA section 1 30(j)(2), a court ruling
on a challenge to a response action decision will apply the arbitrary and capricious standard of
review.
Arbitration: An alternative dispute resolution technique that involves the use of a neutral third
party to hear stipulated issues pursuant to procedures specified by the parties. Depending upon the
agreement of the parties and any legal constraints against entering into binding arbitration, the
decision of the arbitrator may or may not be binding.
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Brownfields: CERCLA section 10 1(39), as amended by the Small Business Liability Relief and
Brownfields Revitalization Act, defines “brownfield site” in general as “real property, the expansion,
redevelopment, or reuse of which may be complicated by the presence or potential presence of a
hazardous substance, pollutant, or contaminant.” The term does not include:
a facility that is the subject of a planned or ongoing removal action under CERCLA;
a facility that is listed or proposed for listing on the National Priorities List (NPL);
a facility that is the subject of a unilateral administrative order, a court order, an order of
consent or judicial consent decree that has been issued to or entered into by the parties under
CERCLA, the Solid Waste Disposal Act (SWDA), the Federal Water Pollution Control Act
(FWPCA), the Toxic Substances Control Act (TSCA), or the Safe Drinking Water Act
(SDWA);
a facility that is subject to corrective action under SWDA section 3004(u) or 3008(h), and to
which a corrective action permit or order has been issued or modified to require the
implementation of corrective measures;
a facility that is a land disposal unit with respect to which a closure notification under Subtitle
C of the SWDA has been submitted, and closure requirements have been specified in a closure
plan or permit;
a facility that is subject to the jurisdiction, custody, or control of a department, agency, or
instrumentality of the United States for an Indian tribe;
a portion of a facility at which there has been a release of polychlorinated biphenyls (PCBs),
and that is subject to remediation under the TSCA; or
a portion of a facility, for which portion, assistance for response activity has been obtained
under Subtitle I of SWDA from the Leaking Underground Storage Tank Trust Fund established
under section 9508 of the Internal Revenue Code of 1986.
Cash Out: A settlement that requires PRPs to provide up-front financing for a portion of the
response action, rather than performing the work themselves. There are several types of cash-out
settlement. A mixed-funding cash-out settlement requires the settling PRP to provide a substantial
portion of the total response costs whereas a de minimis cash-out settlement requires a minor portion
of the response costs to be paid by the settling PRPs.
CERCLA 106(b) Reimbursement Petition: Petition by an entity, which has complied with a
unilateral administrative order, requesting reimbursement from EPA for reasonable costs plus
interest of conducting a response action. A person may be entitled to reimbursement if the person
can establish that he or she is not liable for response costs under CERCLA section 107(a) or if the
person can demonstrate that the Agency’s selection of the response action was arbitrary and
capricious or was otherwise not in accordance with law.
CERCLIS: The acronym for the Comprehensive Enforcement Response, Compensation, and
Liability Information System; a national information management system for the CERCLA program.
CERCLIS inventories and tracks releases, accomplishments, expenditures, and planned actions at
potential and actual Superfund sites.
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Cleanup Activities: Actions taken to deal with a release or threatened release of a hazardous
substance that could affect humans or the environment. The term “cleanup” is sometimes used
interchangeably with the terms remedial action, removal action, response, or corrective action.
Comment Period: Period provided for public to review and comment on a proposed EPA action,
rulemaking, or settlement.
Community Relations (involvement): EPA’s program to inform and encourage public
participation in the Superfund process and to respond to community concerns and incorporate them
into the Agency decision-making process.
Community Relations (involvement) Coordinator (CRC or CIC): Lead Agency staff who works
to involve and inform the public about the Superfund process and cleanup actions.
Community Relations Plan (CRP): A document that identifies techniques used by EPA to
communicate effectively with the public during the Superfund cleanup process at a specific site.
This plan describes the site history, the nature and history of community involvement, and concerns
expressed during community interviews. Additionally, the plan outlines methodologies and timing
for continued interaction between the Agency and the public at the site.
Consent Decree (CD): A legal document, approved by a judge, that formalizes an agreement
reached between EPA and one or more potentially responsible parties (PRPs) outlining the terms
under which that PRP(s) will conduct all or part of a response action, pay past costs, cease or correct
actions or processes that are polluting the environment, or comply with regulations where failure to
comply caused EPA to initiate regulatory enforcement actions. The CD describes the actions PRPs
will take, is subject to a public comment period prior to its approval by a judge, and is enforceable
as a final judgment by a court.
Contribution: A legal principle according to which an entity can seek to recover some of the
response costs for which it has already resolved liability with the United States. For example, when
several PRPs are liable for a hazardous substance release, EPA is not required to pursue all of the
PRPs. If EPA settles with or wins its case against a subset of PRPs, then the right of contribution
enables the PRPs (i.e., the settling PRPs or those against whom a judgment is rendered) to seek
recovery of a proportional share from other PRPs who were not named as defendants in EPA’s suit
or settlement, but who nonetheless contributed to the release.
Contribution Protection: A statutory provision that provides that any PRP who resolved its
liability to the United States in an administrative or judicial ly approved settlement is not liable to
other PRPs for claims of contribution regarding matters addressed in the settlement.
Cooperative Agreement (CA): Mechanism used by EPA to provide Fund money to States, political
subdivisions, or indian tribes to conduct or support the conduct of response activities. Subpart 0 of
the NCP, 40 CAR Part 35, outlines specific response actions that may be conducted using CA funds.
Cost Recovery: A process by which the U.S. government seeks to recover money previously
expended in performing any response action from parties liable under CERCLA section 107(a).
Recoverable response costs include both direct and indirect costs.
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Covenants Not to Sue: A contractual agreement, such as those authorized by CERCLA section
122(f) and embodied in a consent decree or administrative order on consent, in which the Agency
agrees not to sue settling PRPs for matters addressed in the settlement. EPA’s covenant not to sue
is given in exchange for the PRPs’ agreement to perform the response action or to pay for cleanup
by the Agency, and does not take effect until PRPs have completed all actions required by the
consent decree and administrative order on consent.
Covenants not to sue are generally given in either consent decrees or administrative orders. Under
CERCLA, the use of covenants not to sue is discretionary. In effect, the Agency is authorized to
agree to such a release of future liability only if the terms of the covenant include “reopeners.”
Declaratory Judgment: A binding adjudication of rights and status of litigants. Within the context
of CERCLA, the United States may file a claim seeking declaratory judgment on liability for past
and future response costs at the site. Ifdeclaratory judgment on liability is granted, the United States
does not have to prove liability in any future action with the defendant.
Defendant: A person against whom a claim or charge is brought in a court of law.
Demand Letter: A written demand for recovery of costs incurred under CERCLA. The primary
purposes of written demands are to formalize the demand for payment of incurred costs plus future
expenditures, inform potential defendants of the dollar amount of those costs, and establish that
interest begins to accrue on expenditures. A demand letter may be incorporated into the special
notice letter.
De Micromis Exemption: CERCLA section 107(o), as amended by the Small Business Liability
Relief and Brownfields Revitalization Act, provides that in general, a party shall not be liable under
CERCLA section 107 if it can demonstrate that the total amount of the material containing hazardous
substances that it generated and arranged for disposal at, or accepted for transport to, an NPL site
was less than 110 gallons of liquid materials or less than 200 pounds of solid materials, unless those
substances contributed significantly to the cost of the response action or natural resource restoration
with respect to the facility; or the party has been uncooperative with EPA’s response actions at the
site; or the party has been convicted of a criminal violation for the conduct to which the exemption
would apply.
De Minimis Contributor: PRPs who are deemed by the settlement agreement to be responsible for
only a minor portion of the response costs at a particular facility. A determination of a PRP’s
responsibility is made based on the volume, toxicity, or other hazardous effects in comparison with
other wastes at the facility. CERCLA section 1 22(g)( 1 )(A) expressly defines de minimis contributor.
De Minimis Landowner: PRPs who are deemed by the settlement agreement to be past or present
owners of the real property at which the facility is located who did not conduct or permit the
generation, transportation, storage, treatment or disposal of any hazardous substance at the facility,
did not contribute to the release or threat of release of a hazardous substance at the facility through
any act or omission, and had no actual or constructive knowledge that the property was used for the
generation, transportation, storage, treatment, or disposal of any hazardous substance at the time of
purchase. CERCLA section 122(g)(l)(B) expressly defines de minimis landowner.
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Dc Minimis Settlement: An agreement, either administrative or judicial, authorized by CERCLA
section 122(g), between EPA and PRPs for a minor portion of response costs.
Dc Novo: Generally, a new hearing or a hearing for the second time. At a de novo hearing, the court
hears the case as the court of original and not appellatejurisdiction. Under CERCLA, for example,
ajudge may hear a case de novo if the administrative record is found to be incomplete or inaccurate.
Such a hearing would allow judicial review that is not limited to the administrative record. A
potential result of a de novo trial could be the court selecting the remedy.
Discovery: A pre-trial procedure that enables parties to learn the relevant facts about the case. The
Federal Rules of Evidence provide for extremely broad discovery. The basic tools of discovery are
depositions, interrogatories, and requests for production of documents. One of the few limitations
on the scope of discovery is that the material sought must be relevant to the subject matter of the
pending suit, or likely to lead to the production of relevant material.
Easement: A right afforded to an entity to make limited use of another’s real property. An easement
is one form of institutional control that may be required at a Superfund site if all the hazardous
substances cannot be removed from the site. Easements may include limiting access or control of
surface activities.
Eminent Domain: The power to take private property for public use. Under the U.S. Constitution,
there must be just compensation paid to the owners of this property. EPA exercises its power of
eminent domain through the process of condemnation.
Enforcement Actions: EPA, state, or local legal actions to obtain compliance with environmental
laws, rules, regulations, or agreements, or to obtain penalties or criminal sanctions for violations.
Environmental Justice (EJ): The fair treatment of people of all races, incomes, and cultures with
respect to the development, implementation, and enforcement of environmental laws, regulations,
and policies. Fair treatment implies that no person or group should shoulder a disproportionate share
of negative environmental impacts resulting from the execution of environmental programs.
Explanation of Significant Difference (ESD): A document regarding a significant change to the
record of decision when new information is discovered about a site or difficulties are encountered
during the remedial design/remedial action phase of cleanup. An ESD is appended to the
administrative record to inform the public of any significant changes that are being made to the
selected remedy.
Extraordinary Circumstances: Situations that justify the deletion of a standard reopener in a
consent decree. This release is granted infrequently and is given in response to unusual conditions
related to liability, viability, or physical circumstances.
Federal Lien: A lien in favor of the United States authorized by CERCLA section 107(1) that may
be imposed upon a PRP’s property subject to a response action. The lien arises when the PRP
receives written notice of its potential liability for response costs under CERCLA, or the Agency
actually incurs response costs at a particular site. The lien continues until the PRP’s liability is fully
satisfied or the claim becomes unenforceable by operation of the statue of limitations.
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Federal Register: A federal government publication that includes proposed regulations, responses
to public comments received regarding proposed regulations, and final regulations. The Federal
Register is published every working day by the Office of Federal Register, National Archives and
Records Administration, Washington, DC 20408. The Federal Register publishes regulations and
legal notices issued by federal agencies. These include presidential proclamations and executive
orders, federal agency documents required by Congress to be published, and other federal agency
documents of public interest. The Federal Register is available to the public through public libraries
that are federal depositories, law libraries, and large university libraries.
Force Majeure: A clause common to construction contracts which protects the parties in the event
that a portion of the contract cannot be performed due to causes that are outside of the parties’ control
(i.e., problems that could not be avoided by the exercise of due care, such as an act of God). These
causes are known as force majeure events. Force majeure provisions are included in administrative
orders on consent and consent decrees. These provisions stipulate that the PRPs shall notify EPA
of any event that occurs that may delay or prevent work and that is due to force majeure. Two
examples offorce ma) eure may be raised as defenses to liability. CERCLA section 107(b) releases
from liability any person who can establish by a preponderance of the evidence that the release or
threat of release of a hazardous substance was caused solely by an act of God or an act of war (i.e.,
force majeure.)
Full Release: An agreement by EPA to release a PRP from any further liability for response costs.
Under CERCLA section 1 22(j)(2), natural resource trustees may grant full releases of liability for
damages to natural resources.
Fund (Hazardous Substance Superfund or Superfund Trust Fund): A fund set up under
CERCLA to help pay for cleanup of hazardous waste sites and for legal action to force cleanup
actions on those responsible for the sites. The fund is financed primarily with a tax on crude oil and
specified commercially used chemicals.
General Notice Letter (GNL): A notice to inform PRPs of their potential liability for past and
future response costs and the possible future use of CERCLA section 122(e) special notice
procedures and the subsequent moratorium and formal negotiation period.
Generator: Any person who by contract, agreement, or otherwise arranged for disposal or
treatment, or arranged with a transporter for disposal or treatment of hazardous substances owned
or possessed by such a person, by any other party or entity, at any facility or incineration vessel
owned or operated by another party or entity and containing such hazardous substances.
Good Faith Offer (GFO): A written proposal submitted by a PRP to the EPA to perform or pay
for a response action. PRPs are given 60 days from the special notice to provide EPA a written
GFO. The GFO must be specific, consistent with the ROD or proposed plan, and indicate the PRPs’
technical, financial, and management ability to implement the remedy.
Hazard Ranking System (HIRS): The principal screening tool used by EPA to evaluate risks to
public health and the environment associated with abandoned or uncontrolled hazardous waste sites.
The HRS calculates a score based on the potential for hazardous substances spreading from the site
through the air, surface water, or ground water, and on other factors such as nearby population. This
score is the primary factor in deciding if the site should be on the NPL and, if so, what ranking it
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should have compared to other sites on the list. A site must score 28.5 or higher to be placed on the
NPL.
Indian Tribe: As defined by CERCLA section 101(36), any Indian tribe, band, nation, or other
organized group or community, including any Alaska Native village, but not including any Alaska
Native regional or village corporation, which is recognized as eligible for the special programs and
services provided by the United States to Indians because of their status as Indians.
Information Repository: Where the administrative record, current information, technical reports,
and reference materials regarding a Superfund site are stored. EPA or the State establishes the
repository in the community as soon as a site is discovered. It provides the public with easily
accessible information. Repositories are established for all sites where cleanup activities are
expected to last for more than 45 days. Typical community repository locations include public
libraries and municipal offices.
Information Request Letter: Formal written requests for information, authorized by CERCLA
section I 04(e)(2)(A) through (C), issued during an administrative investigation. EPA is authorized
to request information from any person who has or may have information relevant to any of the
following:
the kind and quantity of materials that have been or are being generated, treated, disposed of,
stored at, or transported to a vessel or facility;
the nature or extent of a release or threatened release of a hazardous substance, pollutant, or
contaminant at or from a vessel or facility; and
the ability of a person to pay for or perform a cleanup.
Failure to respond to or incomplete response to an informational request is subject to statutory
penalties.
Innocent Landowner: A person who purchased or acquired real property without actual or
constructive knowledge that the property was used for the generation, transportation, storage,
treatment, or disposal of any hazardous substances. PRPs may assert this claim as part of their
defense, but only the court may make this determination based on CERCLA sections 107(b) and
101(35).
Institutional Controls: Non-engineered instruments such as administrative or legal controls that
minimize the potential for human exposure to contamination or protect the integrity of a remedy by
limiting land or resource use or providing information that helps modify or guide human behavior.
ICs are generally used in conjunction with rather than in lieu of engineering measures such as waste
treatment or containment. Some common examples of ICs are zoning restrictions, building or
excavation permits, well drilling prohibitions, easements and covenants.
Joint and Several Liability: A legal doctrine defining the scope of a defendant’s liability. When
more than one PRP is involved at a site and the harm is indivisible, the court may impose joint and
several liability upon all parties involved at the site. In this instance, each PRP involved at the site
may be held individually liable for the cost of the entire response action.
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Judicial Review: The court’s review of a decision rendered by a federal agency or department or
a court’s review of an appeal challenging either a finding of fact or finding of law. Under CERCLA,
for example, the court provides judicial review prior to entry of the consent decree. In addition, the
court would provide judicial review of an EPA decision if a PRP submitted a “petition to review”
to a federal court of appeals. Thejurisdiction of the court and the scope of its review are defmed by
CERCLA section 113(h) and the Judicial Review Act, 28 U.S.C. § 2341-2351.
Lead Agency: The agency that primarily plans and implements cleanup actions. This could be
EPA, State, or political subdivisions, other federal agencies, or Indian tribes. Other agencies may
be extensively involved in the process, but the lead agency directs and facilitates activities related
to a site, often including enforcement actions.
Mixed Funding: Settlements whereby EPA settles with fewer than all PRPs for less than 100
percent of the response costs. The settlement must provide a substantial portion, greater that 50
percent of the total response costs, and there must be viable non-settlers from which remaining
response costs may be pursued. The three types of mixed funding settlement are preauthorization,
cash-out, and mixed work.
Mixed Work: A type of mixed funding settlement whereby EPA and the PRPs agree to conduct
discrete portions of the response action. Often EPA’s portion of the work is paid for or performed
by other PRPs as a result of subsequent settlements or unilateral administrative orders.
Moratorium: The period of time after special notice letters are issued during which the Fund will
not be used to begin work at the site on the RIJFS or RA. EPA also will not seek to compel PRP
action at the site during the moratorium. —
Municipal Solid Waste (MSW): CERCLA section 107(p), as amended by the Small Business
Liability Relief and Brownfields Revitalization Act, defmes MSW as waste material generated by
a household; and waste material generated by a commercial, industrial, or institutional entity, to the
extent that the waste material:
is essentially the same as waste normally generated by a household;
is collected and disposed of with other MSW as part of normal MSW collection; and
contains a relative quantity of hazardous substances no greater than the relative quantity of
hazardous substances contained in waste generated by a typical single family household.
National Oil and Hazardous Substances Pollution Contingency Plan (NCP): The NCP is the
major framework regulation for the federal hazardous substances response program. The NCP sets
forth procedures and standards for how EPA, other federal agencies, States, and private parties
respond under CERCLA to releases or threats of releases of hazardous substances, and under Clean
Water Act section 311, as amended by the Oil Pollution Act of 1990, to discharges of oil.
Natural Resources: Land, fish, wildlife, air, water, ground water, drinking watersupplies, and other
such resources belonging to, managed by, or controlled by the United States, state or local
government, any foreign government, any Indian tribe, or any member of an Indian tribe.
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Natural Resource Damages: Damages for injury or loss of natural resources as set forth in
CERCLA sections 107(1) and 111(b) and NCP section 300.615.
Non-Binding Preliminary Allocation of Responsibility (NBAR): An allocation of the total cost
of response among PRPs at a facility. CERCLA section 122(e)(3) allows EPA to provide NBARs
to PRPs to facilitate settlement. An NBAR is not binding on the United States or the PRPs and
cannot be admitted as evidence in court.
Orphan Share: A portion of cleanup costs that cannot be assessed to a PRP as a result of either the
PRP’s insolvency or EPA’s inability to identify PRP(s).
Owner or Operator: Any person owning or operating a vessel or facility, or in the case of a
hazardous substance being accepted for transportation, the common or contract carrier. It does not
include a unit of state or local government that acquired ownership or control involuntarily through
bankruptcy, tax delinquency, or abandonment.
Performance Bond: A guarantee given by a contractor that a work assignment will be completed
according to its terms and within the agreed time.
Performance Standards: Provisions in consent decrees and administrative orders specifying
specific levels of performance that site activities must achieve; often incorporated by reference into
the record decision. The inclusion of such performance standards enables the Agency to assure
measurable levels of cleanup that provide the protection desired.
Person: An individual, firm, corporation, association, partnership,joint venture, commercial entity,
U.S. government, State, municipality, or any interstate body.
Plaintiff: A party who brings a legal action; the party who complains or sues in a civil action and
is so named on the record.
Potentially Responsible Party (PRP): Any individual or entity including owners, operators,
transporters, or generators who may be liable under CERCLA section 107(a).
Preauthorization: A type of mixed funding settlement whereby EPA preauthorizes a claim against
the Fund by the PRPs for a portion of costs of conducting a response action. Once the
preauthorization agreement is finalized, the PRPs conduct the response action, as outlined in
settlement agreement, petition non-settling PRPs for reimbursement, and, if necessary, seek
reimbursement from the Fund for the preauthorized amount not received from non-settling PRPs.
Premium: A sum paid or agreed to be paid by a PRP to cover risks associated with settlement. This
sum represents an amount in addition to the cost of the response action. For example, a premium
may be part of an early de minimis settlement due to potential inaccuracy of total response cost
estimates or remedy failure.
Record of Decision (ROD): The official Agency document that explains which remedial cleanup
alternatives have been considered, the selected remedy, technical background relative to the decision,
and how the decision complies with the law.
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Recalcitrant: A PRP that is persistently uninterested in or refuses to reach settlement or that fails
to comply with a settlement or order.
Recusal: The voluntary or involuntary removal of a government official from any involvement in
a specific matter. Recusal is used to preserve the ethical standards of public service. Recusal
generally occurs when there is an appearance of a conflict between governmental responsibilities and
private interest. Once a person is removed through recusal, she cannot participate in any activity
relating to the matter; specifically, she cannot see any correspondence or participate in any meetings
or negotiations related to the issue.
Remand: A legal term used when a court sends a case back to either a lower court or an
administrative agency for further action. For example, under CERCLA, if an administrative record
is found to be incomplete or inaccurate, one option of the reviewing court is to remand the case to
EPA with instructions to compile an accurate and complete administrative record.
Remedial: CERCLA section 101(24) defines a remedial action as one that is “consistent with
permanent remedy taken instead of or in addition to removal actions in the event of a release or
threatened release of a hazardous substance into the environment.” Generally, response actions that
take longer than a non-time-critical removal and are more complex than removals.
Removal: CERCLA section 101(23) defmes a removal as “the cleanup or removal of released
hazardous substances from the environment, such actions as may be necessary taken in the event of
the threat of release... [ and] such actions as may be necessary to monitor, assess, and evaluate the
release or threat of release of hazardous substances...” Such evaluations include RIIFS. Removals
are classified according to urgency as “emergency,” for those requiring immediate response; “time-
critical,” for those that take no more than six months; and “non-time-critical” for removals that need
up to a year or more.
Reopeners: Contractual provisions that preserve the Agency’s right to compel the PRPs to
undertake additional response actions or to pay costs for Agency response actions in addition to those
agreed to in the settlement. Reopeners to liability are triggered when previously unknown conditions
at the site are discovered, or information previously unknown to EPA is received, that indicates the
remedial action is not sufficiently protective. Reopener provisions restrict the covenant not to sue
by defining the conditions under which the settlement may be re-examined.
Remedial InvestigationfFeasibility Study (RIJFS): The remedial investigation and feasibility study
are conducted at an NPL site by EPA, or a PRP acting under an administrative order on consent
(AOC) or (rarely) a unilateral administrative order (UAO), to assess site conditions and evaluate
alternatives to the extent necessary to select a remedy, described in the record of decision (ROD),
that will clean up the site in accordance with CERCLA section 121.
Remedial Design/Remedial Action (RD/RA): The remedial design and remedial action are
conducted at an NPL site by EPA or a PRP under a consent decree (CD) approved and entered by
a federal court. RD is the engineered design of the selected remedy; RA is the construction and
continuing operation and maintenance of the remedy.
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Settlement: Resolution of a claim. Settlement occurs when a federal or state agency has a written
agreement with PRPs regarding payment for and conduct of specified response actions. Settlements
may be achieved administratively through an administrative order on consent or judicially through
a consent decree.
Special Account: A sub-account of the Fund in which cash-out settlement funds may be deposited
to segregate the funds and ensure that they are readily accessible for work at the site covered by the
settlement.
Special Master: A court-appointed individual who oversees the progress of a complex case before
it goes to trial. The scope of the special master’s authority is set forth in an order of reference.
Special masters are appointed only under exceptional conditions. For example, special masters may
be appointed in cases requiring the interpretation of complicated technical data or voluminous
information.
Special Notice Letter (SNL): A written notice to a PRP providing information on potential
liability, conditions of the negotiation moratorium, future response actions, and demand for past
costs. The SNL is authorized under CERCLA section I 22(e)( I) and triggers the start of the nego-
tiation moratorium.
Statute of Limitations (SOL): The statutorily defined period of time within which the United
States, on behalf of EPA, must file a claim for cost recovery. If the United States does not file a case
within the SOL, it may not be able to recover its costs from the PRPs.
Stipulated Penalties: Fixed sums of money that a defendant agrees to pay for violating the terms
of a settlement. Procedures for invoking and appealing stipulated penalties and penalty amounts are
agreed to in the administrative order on consent or the consent decrees.
Strict Liability: Legal responsibility for damages without regard to fault or diligence. The strict
liability concept in CERCLA means that the federal government can hold PRPs liable without regard
to a PRP’s fault, diligence, negligence, or motive.
Transporter: CERCLA section 107(a) defines a transporter as a person who “accepts or accepted
any hazardous substances for transport for disposal” to any site selected by such person, “from which
there is a release or threatened release which causes the incurrence of response costs, of a hazardous
substance...”
WasteLAN: The acronym for Waste Local Area Network. For historical reasons, EPA’s Regions
use it when referring to CERCLIS.
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