United States
       Environmental Protection
       Agency
Office of Enforcement
and Compliance Assurance
Office of Site Remediation Enforcement
EPA 330-K-09-001
 September 2009
&EPA  PRP Search Manual
         Prepared for:
         Personnel Performing PRP Searches

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                 United States Environmental Protection Agency
                              Washington, D.C. 20460

                                  September 30, 2009
                                                Office of Enforcement and Compliance Assurance
MEMORANDUM
SUBJECT:   Transmittal of the 2009 PRP Search Manual

FROM:      Elliott Gilberg, Acting Director /s/
            Office of Site Remediation Enforcement

TO:         Superfund National Policy Managers (Regions I - X)
            Regional Counsel (Regions I - X)
       I am pleased to announce the distribution of the 2009 PRP Search Manual.  This manual
supersedes the PRP Search Manual of September 2003.

       The manual was written by Agency subject-matter experts who are involved in the PRP
search process, and the National PRP Search Enhancement Team. Their collective effort has
resulted in a useful tool that enhances the PRP search process.  Procedures and information
contained in the manual are based on current, existing EPA policy and guidance. For the user's
convenience, any references and/or guidance documents mentioned in the manual are supported
by a web site address or hard  copy.

       The manual is a working document intended to provide information to persons involved in
the PRP search process. Users are encouraged to provide comments regarding the manual to one
of the National PRP Search Enhancement Team members listed  below.

       Hard copies are being provided to team members to distribute in their regions.  The team
is pleased also to be distributing the manual to state and tribal peers who are involved in
enforcement and PRP search activities.

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       If you  have  any questions or comments  regarding  this manual,  please contact Nancy
Deck at (202) 564-6039 (deck.nancy@epa.gov) or a PRP Search Enhancement Team member.
PRP Search Enhancement Team Members

Region 1  James Israel
Region 2  Carol Berns
Region 3  Carlyn Prisk
Region 4  Herb Miller and Blake Sterling
Region 5  Gladys Watts, Fouad Dababneh,
         and Tom Marks
Region 6  Courtney Kudla and Robert Werner
Region 7  Cheryle Micinski and Norma Tharp
Region 8  Mike Rudy
Region 9  Monika O'Sullivan
Region 10 Susan Haas and Grechen Schmidt
         HQ:  Nancy Deck, Team Leader
              Monica Gardner, Manager Advisor
              Clarence Featherson
              Eric French
              Stephen Keim
cc:    Bruce Gelber, DCO
      John Michaud, OGC
      Sandra Connors, OSRE
      Ken Patterson, OSRE
      Karin Leff, OSRE
      Ann Pontius, OSRE
      Monica Gardner, OSRE
      David Kling, FFEO

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                                     Preface

The PRP Search Manual provides an overview of the PRP search process, identifies tools for
finding PRPs early in the process,  and provides a framework for conducting thorough PRP
searches that identify the universe of PRPs and gather comprehensive evidence of liability.
It provides an outline of the general objectives of the PRP search, describes typical baseline
and follow-up PRP search tasks, and provides specific tools and references from which the
user may select those most appropriate for a particular search or site.

The manual may be  used at sites where PRP searches are planned, where PRP searches are
ongoing, and where  the PRP search is considered sufficiently complete to pursue a  response
or cost  recovery enforcement action or determine  that no liable, viable  PRPs exist.  It is
designed primarily as a reference tool for EPA, state, and tribal staff members involved  in
PRP  searches, and  is not intended  to circumscribe or limit the  legitimate investigative
activities and inquiries of experienced PRP search personnel.

The manual includes four chapters:

Chapter 1
  Overview of CERCLA and PRP Searches presents an overview of CERCLA and CERCLA
  liability, PRP search information, and general information about how and why the Agency
  gathers, exchanges, and manages  PRP search information.


Chapter 2

   PRP Search Planning describes potential roles and responsibilities of parties involved
   in PRP searches,  factors that should be considered in search planning, and opportunities
   for PRP input to the search process.


Chapter 3

   Baseline  PRP Search  describes tasks most often performed during the initial  PRP
   search.


Chapter 4

   Follow-up PRP  Search describes more specialized tasks that may be employed during
   a follow-up to the baseline phase of the PRP search.
             NOTE: The PRP Search  Manual's electronic version is
             available at EPA's Internet site
             http://www.epa.gov/compliance/cleanup/superfund/prp
             manual.html.  Future updates will also be posted at this
             Internet address.

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                              Acknowledgments


The PRP Search Manual was prepared by the Office of Site Remediation Enforcement in
EPA's Office of Enforcement and Compliance Assurance. The manual is the result of a
collective effort by the National PRP Search Enhancement Team and representatives from
various headquarters and regional offices.  Nancy Deck served as EPA's Project Manager
and Monica Gardner as Management Advisor.  The culmination of this teamwork is a manual
that serves as a reference document and covers all aspects of the PRP search process.

Many persons, too numerous to name, provided significant input in  the development and
review of the manual, and our appreciation and thanks go to them for their contributions.
National PRP Search Enhancement Team

James Israel (Region 1); Carol Berns (Region 2); Carlyn Prisk (Region 3); Herb Miller and
alternate Blake Sterling (Region 4); Gladys Watts, Fouad Dababneh, and Tom Marks
(Region  5); Courtney Kudla and alternate Robert Werner (Region 6); Cheryle Micinski, and
alternate Norma Tharp (Region 7); Mike Rudy (Region 8); Monika O'Sullivan (Region 9);
Susan Haas and alternate Grechen Schmidt (Region 10); Clarence Featherson, Eric French,
Stephen Keim, Nancy Deck (Team Leader), and Monica Gardner (Manager Advisor), Office
of Site Remediation Enforcement.

Headquarters Contractor: DPRA Incorporated

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                                  Disclaimers
This manual supersedes the PRP Search Manual of September 2003 published by the
U.S.  Environmental  Protection Agency's  Office of  Enforcement  and  Compliance
Assurance, Office of Site Remediation Enforcement.
The  policies,  methods, and  procedures  set  forth  in  this  manual, and  internal
government procedures adopted to implement them, are intended as guidance for U.S.
Environmental Protection Agency and  other  government  employees. They do  not
constitute rulemaking by the Agency and may not be relied on to create a substantive
or procedural right or benefit enforceable by any other person. The government may
take action at variance with the policies, methods, and procedures in this manual.
When the term  "generator" is  used in  this manual,  it is  not used in its  most
commonly understood sense,  i.e., "a party that creates a material." The term has a
broader meaning  under the Comprehensive Environmental Response, Compensation,
and  Liability  Act  (CERCLA).  Refer  to  subsection  1.2.4, "Categories  of  Potentially
Responsible Parties," which states that it is commonly used to designate an entity that
generated a  hazardous substance  or arranged for its disposal or treatment. Thus the
term  "generator"  can  encompass  corporations that have  entered  into  disposal
contracts, waste brokers, and corporate officers who  are involved in, or responsible
for, waste disposal.

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                                                                       PRP Search Manual
                                                                            September 2009
1.0
Overview of CERCLA and PRP Searches	1
       1.1   Overview of CERCLA	1
            1.1.1    Overview of the Superfund Cleanup Process	2
            1.1.2    Overview of CERCLA Enforcement	4
            1.1.3    Objectives of the PRP Search	5

       1.2   CERCLA Liability	6
            1.2.1    Categories of Potentially Responsible Parties	6
            1.2.3    Strict Liability	14
            1.2.4    Joint and Several Liability	15
            1.2.5    Statutory Defenses to CERCLA Liability	16
            1.2.6    Statutory Exemptions and Protections from CERCLA Liability	19
            1.2.7    EPA Enforcement Discretion Policies	27

       1.3   PRP Notification of Potential Liability	33
            1.3.1    General Notice Letters	34
            1.3.2    Special Notice Letters	35
            1.3.3    Types of Settlements	37

References	38
                                             Chapter 1: Overview of CERCLA and PRP Searches

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                                                                      PRP Search Manual
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2.0     PRP Search Overview	42

       2.1   Roles and Responsibilities	44
            2.1.1   PRP Search Team	45
            2.1.2  Opportunities for PRP Input	52

       2.2   PRP Search Plan	56
            2.2.1  Timing and Duration	59

       2.3   Information Disclosure Issues	70

       2.4   Document Filing and Retention Issues	78
            2.4.1  Document Management	79
            2.4.2  CERCLIS/WasteLAN	79
References.
.81
                                                    Chapter 2: PRP Search Planning Overview

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                                                                           PRP Search Manual
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3.0    Baseline PRP Search	83

3.1    Review Files and Collect Records	83
       3.1.1    Federal Files	84
       3.1.2    State Files	86
       3.1.3    Local Government Files	87
       3.1.4    Other Records	89
       3.1.5    Special Planning Considerations	90

3.2    Organize Records and Track Correspondence	95
       3.2.1    Organization	95
       3.2.2    Correspondence Tracking	98

3.3    Issue Information Requests	99
       3.3.1    Identify Recipients/Draft Information Requests	101
       3.3.2    Mail and Track Information Requests	117
       3.3.3    Analyze Responses	119
       3.3.4    Develop Response Summaries	121
       3.3.5    Information Request Followup	121

3.4    Conduct Interviews	123
       3.4.1    Interview Considerations	123
       3.4.2    Who Performs the Interview	127
       3.4.3    Identifying Interviewees	129
       3.4.4    Conducting Interviews	132
       3.4.5    Interview Documentation	136

3.5    Perform Title Search	139
       3.5.1    Determine Ownership Interests	140
       3.5.2    Develop a Title "Tree" or Chronology	146
       3.5.3    Additional Uses for Title Documents	148
       3.5.4    Updating Title Information	148

3.6    Business Status and Financial Research	149
       3.6.1    Introduction	149
       3.6.2    Forms of Business  Organization	150
       3.6.3    Person 	150
       3.6.4    Business Organization	151
       3.6.5    Sole Proprietorships	151
       3.6.6    Partnerships: General Partnerships and Limited Partnerships	152
               3.6.6.A  Elements Specific to a General Partnership	153
               3.6.6.B  Elements Specific to a Limited Partnership	154
       3.6.7    Corporations	155
               3.6.7.A  Elements Unique to Corporations	156
               3.6.7.B  Classification of Corporations	157
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              3.6.7.C   Evolution of Corporations	159
              3.6.7.D   Sale of Stock in a Corporation	161
       3.6.8   Indemnification Agreements	162
       3.6.9   Other Entities	163
       3.6.10 Additional Liability Theories	165
              3.6.10.A  Direct Liability of a Person as an Operator or as a Person Who Arranged for
                        Disposal or Treatment of Hazardous Substances	166
              3.6.10.B  Corporate Officers, Directors, Shareholders, or Employees	166
              3.6.10.C  Liability of Parent and Affiliated Corporations	167
              3.6.10.D  Elements of Direct Liability	168
              3.6.10.E  Piercing the Corporate Veil	170
              3.6.10.F  Successor Liability	173
       3.6.11  Financial Research	177
              3.6.11.A  Corporation and Partnership Filings Required by States	177
              3.6.11.B  Court Filings	178
              3.6.11.C  Federal Sources	178
              3.6.11.D  Corporate Directories Summary	178
              3.6.11.E  Credit Reporting and On-Line Services	179

3.7    Develop Site	179

3.8    Compile Waste-In Information	181
       3.8.1   Transactional Databases	182
       3.8.2   Waste-In Lists and Volumetric Rankings	184

3.9    Classify PRPs	190
       3.9.1   Identify PRPs	190
       3.9.2   Define PRP Category	192

3.10   Prepare  Baseline PRP Search Report	193
       3.10.1  Report Format and Content	194
              3.10.1.A  Deliverable 1:  Site Chronology and Property History	195
              3.10.1.B  Deliverable 2: PRP Synopsis	195
       3.10.2 Report Review and Distribution	196

References	200
                                                                Chapters: Baseline PRP Search

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                                                 J
4.0    Follow-up PRP Search	202

       4.1  Issue Follow-up Information Request Letters	203

       4.2  Compel Compliance with CERCLA Section 104(e)	205

       4.3  Issue Administrative Subpoenas	208

       4.4  Perpetuate Testimony Using Rule 27	211

       4.5  Perform Ability To Pay Determinations	213
            4.5.1  General Policy on Superfund Ability To Pay Determinations	214
            4.5.2 ATP Information Sources	216
            4.5.3 Performing Property Appraisals	222

       4.6  Perform Insolvent and Defunct Determinations	225
            4.6.1  Definition	225
            4.6.2 Insolvent and Defunct Determinations	226

       4.7  Perform Waste Stream Analyses	231
            4.7.1  Industrial Surveys	231
            4.7.2 Process Chemistry Analysis	231
            4.7.3 Waste Stream Inventory	232
            4.7.4 Mine Sites	232

       4.8  Interim-Final Report Preparation and Review	233
            4.8.1  Interim-Final Report Followup	234

       4.9  Pursue Litigation and Cost Recovery	234

References	241
                                                             Chapter 4: Follow-up PRP Search

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                                                                       PRP Search Manual
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1.0
Overview of CERCLA and PRP Searches	1
       1.1   Overview of CERCLA	1
            1.1.1    Overview of the Superfund Cleanup Process	2
            1.1.2    Overview of CERCLA Enforcement	4
            1.1.3    Objectives of the PRP Search	5

       1.2   CERCLA Liability	6
            1.2.1    Categories of Potentially Responsible Parties	6
            1.2.3    Strict Liability	14
            1.2.4    Joint and Several Liability	15
            1.2.5    Statutory Defenses to CERCLA Liability	16
            1.2.6    Statutory Exemptions and Protections from CERCLA Liability	19
            1.2.7    EPA Enforcement Discretion Policies	27

       1.3   PRP Notification of Potential Liability	33
            1.3.1    General Notice Letters	34
            1.3.2    Special Notice Letters	35
            1.3.3    Types of Settlements	37

References	38
                                             Chapter 1: Overview of CERCLA and PRP Searches

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1.0  Overview of CERCLA and PRP Searches
1.1
Overview of
CERCLA
The objective of the Comprehensive Environmental Response,
Compensation, and Liability Act (CERCLA) as amended by the
Superfund Amendments and Reauthorization Act (SARA)  (see
Chapter 1 References, p. 38) is to reduce and eliminate threats to
human health and the environment posed by uncontrolled
hazardous waste sites. To meet this objective,  CERCLA created:

   •   a hazardous waste site response program; and

   •   a comprehensive liability scheme that authorizes the
       government to hold persons who caused or contributed to
       the release of hazardous substances liable for the  cost or
       performance of cleanups.

In enacting CERCLA,  Congress  authorized the President or the
delegated federal agency to draw funds from a revolving  trust fund
called the Hazardous Substance Superfund ("Superfund,"  "Trust
Fund," or "Fund") to respond to releases or threatened releases of
hazardous substances.1

CERCLA provides EPA with three basic options for cleaning up a
hazardous waste site:

   •   Under CERCLA Sections 104 and 107, EPA can perform  a
       response action at the site using Superfund money and
       recover response costs from potentially responsible parties
       (PRPs).

   •   Under CERCLA Section 106, EPA can order, or ask a court to
       order, PRPs to clean up  the site.
                             1 The petroleum and chemical feed stocks tax and the environmental income tax (HIT)
                       along with funds from general revenues funded the Superfund. These taxes have not been levied
                       since the end of 1995 when the taxing authority expired. The Superfund program is currently
                       funded primarily through annual appropriations of general taxpayer dollars.
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                             Under CERCLA Section 122, EPA can enter into settlement
                             agreements with PRPs that require PRPs to clean up the site
                             or reimburse the United States for cleanup under CERCLA
                             Section 107.
1.1.1
Overview of the
Superfund
Cleanup Process
CERCLA Section 104(a) authorizes the President to respond to a
release or substantial threat of release to the environment of a
hazardous substance or a pollutant or contaminant. Also, CERCLA
Section 104 authorizes the President to address hazardous waste
sites through removal and remedial  response actions.  By executive
order, EPA and other federal agencies have been delegated
authority to undertake these response actions.  EPA also has
responsibility for overseeing all response actions at sites on the
National Priorities List (NPL), a list of the nation's most
contaminated sites.
                       EPA may respond to a release or substantial threat of release into
                       the environment of any hazardous substance; EPA may also
                       respond to a release or substantial threat of release into the
                       environment of any pollutant or contaminant provided that the
                       release may present an imminent and substantial danger to public
                       health or welfare.

                       "Removal" is defined in CERCLA Section 101(23) 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 of hazardous substances into the environment, such
                       actions as may be necessary to monitor, assess, and evaluate the
                       release or threat of release of hazardous substances, the disposal
                       of removed material, or the taking of such other actions as may be
                       necessary to prevent, minimize, or mitigate damage to the public
                       health or welfare or to the environment, which may otherwise
                       result from a release  or threat of release." CERCLA Section
                       104(c)(l), however, limits Fund-financed removal actions by  both
                       time and cost.  Without a case-specific waiver, Trust Fund money
                       may only be used to finance removal actions for up to one year and
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up to $2 million. A waiver of the time or cost limits may be issued
to abate an emergency or allow removal activity that is consistent
with further remedial action at the site.  Issuance of such
"consistency" waivers requires that a site be proposed for or listed
on the  NPL.

"Remedial action" is defined in CERCLA Section 101(24) as "those
actions 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, to prevent
or minimize the release of  hazardous substances so that they do
not migrate to cause substantial danger to present or future public
health or welfare or the environment."

CERCLA Section 104 limits the use of Superfund money for
remedial actions to sites meeting the following three conditions:

    •  The site is listed on the NPL.

    •  The state in which the site is located either contributes or
       provides financial assurances for 10 percent of any remedial
       costs incurred by Superfund and all operation and
       maintenance (O&M).

    •  The remedial action is not inconsistent with the National Oil
       and Hazardous Substances  Pollution Contingency Plan.

EPA may perform a removal, site investigation, or remedial design,
or enforce a remedial action at a site not listed on the NPL. A site
must be listed  on the NPL,  however, for EPA to fund a remedial
action.   Also, if a state or subunit of a state owned or operated the
site, the state must contribute at least 50 percent of the response
costs incurred.  CERCLA Section 104(c)(3) exempts tribes from the
requirement that states provide assurances regarding future
maintenance and cost sharing at remedial action sites.
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                       CERCLA Section 104(a)(3) limits EPA's authority to respond to a
                       release or threat of release:

                          •  of a naturally occurring substances in their naturally
                             occurring and unaltered form, or altered solely through
                             naturally occurring processes or phenomena, from a location
                             where it is naturally found;

                          •  from products which are part of the structure of, and result
                             in  exposure within, residential buildings or business or
                             community structures; or

                          •  into public or private drinking water supply systems due to
                             deterioration of the system through ordinary use.

                       Section 104(a) gives the President authority to respond
                       notwithstanding the limitations in (a)(3) provided that there is a
                       determination that the release or threat of release is an emergency
                       and no one else has the authority and ability to respond to  it.
                       The major regulation implementing CERCLA is the National Oil and
                       Hazardous Substances Pollution Contingency Plan (NCP). (See
                       Chapter 1 References,  p. 38.)  It establishes the framework for
                       implementing Superfund response actions to address releases or
                       threats of releases of hazardous substances, pollutants, or
                       contaminants.  The NCP was revised in 1994 to reflect the oil spill
                       provisions of the Oil Pollution Act of 1990 (OPA) (see Chapter 1
                       References, p. 38) and is occasionally  supplemented with
                       regulations implementing amendments of CERCLA.
1.1.2
Overview of
CERCLA
Enforcement
EPA has adopted an "enforcement first" policy for removal and
remedial actions at CERCLA sites. This means that when PRPs for a
site have been identified, EPA typically will first pursue the PRPs to
conduct the site response rather than conduct the cleanup with
Superfund money.
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                       EPA may seek to obtain PRP participation through settlements,
                       unilateral orders, or litigation.  In addition, EPA may take the lead
                       for cleanup activities and seek to recover its costs from PRPs.  At
                       95 percent of non-federal facility Superfund sites where there are
                       known viable,  liable parties, the Agency endeavors either to reach a
                       settlement or take an enforcement action before  the start of a
                       remedial action.
1.1.3
Objectives of the
PRP Search
A PRP search seeks to establish evidence of liability by identifying
PRPs and associating their waste type and volume with that found
at the site. EPA identifies PRPs and collects evidence by collecting
site documents, performing title searches, sending Section 104(e)
information request letters, reviewing documents, conducting
interviews, and performing  research.
                       The information gathered during a PRP search should enable EPA to
                       assess the nature of the party's potential liability at the site (such
                       as current owner or operator; prior owner or operator at a time of
                       disposal; arranger/generator; or transporter who selects the
                       disposal location, described in Section 1.2.4 of this manual). The
                       PRP search should gather information about a party's potential
                       defenses (e.g., third party defense, divisibility) or exemptions (e.g.,
                       municipal solid waste, Superfund Recycling Equity Act). In
                       addition, the PRP search should identify those PRPs that may have
                       a limited ability to pay (ATP) or are insolvent or defunct ("orphan").
                       Finally, the PRP search should assist in the early identification of
                       contributors of relatively small quantities of hazardous substances
                       (e.g., de minimis and "de micromis" parties).

                       One of the primary objectives of the PRP search is to identify the
                       entire universe of PRPs.  Thorough PRP searches enhance EPA's
                       success in negotiating with PRPs to conduct the  response activity
                       under EPA's oversight.  In  addition, early identification of PRPs
                       enables EPA to issue general notice letters (GNLs) promptly to
                       parties to inform them of their potential  liability at a site.  These
                       PRPs may then be able to help EPA locate other PRPs to share the
                       cost of the response activity.  When PRPs are identified and notified
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                       early in the remedial process, there is a greater likelihood that they
                       will decide to undertake appropriate response actions.

                       Finally, the early identification of PRPs affords EPA the opportunity
                       to settle with small volume contributors promptly, thereby
                       minimizing their transaction costs. For example, CERCLA Section
                       122(g) authorizes  de minimis settlements with parties whose
                       contribution is minimal in amount and toxicity if the settlement
                       involves only a minor portion of the response costs.  (See "Interim
                       Guidance on the Ability to Pay and De minimis Revisions to CERCLA
                       Section 122(g) by  the Small Business Liability Relief and
                       Brownfields Revitalization Act" (May 17, 2004), Chapter 1
                       References, p. 38.)
1.2
CERCLA
Liability

1.2.1
Categories of
Potentially
Responsible
Parties
CERCLA Section 107(a) imposes liability on four classes of person:
   •  current owners and operators of a facility;

   •  former owners and operators of a facility at the time of
      disposal;

   •  persons who arranged for treatment or disposal of
      hazardous substances (commonly referred to as
      "generators" or "arrangers"); and

   •  transporters of hazardous substances who  selected the
      disposal site.
                       Any person who falls within the definition of one of these classes
                       may be held  liable under CERCLA unless one of the statutory
                       defenses or exemptions to liability applies. (See Sections 1.2.5 and
                       1.2.6 of this  manual.)
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                 Current Owners and Operators of a Facility

                 CERCLA Section 107(a)(l) imposes liability on the current owner(s)
-. s*
                 and operator(s) of a vessel or facility from which there has been a
                 release of a hazardous substance, even if they did not own or
                 operate the facility at the time of disposal of hazardous substances.
                 The term "owner or operator" is defined in Section 101(20), and
                 has been interpreted broadly by courts to include almost any
                 person who has an ownership interest in or the ability to manage or
                 control a business.  The definition excludes, however, a person who
                 holds indicia of ownership primarily to protect a security interest
                 (e.g., a lender) if the person does not participate in the
                 management of the facility. (See CERCLA Section 101(20)(A) and
                 the discussion of secured creditors in Section  1.2.6 of this manual
                 for more details.)  In addition, current owners who meet the
                 statutory criteria of bona fide prospective purchasers in Section
                 101(40) are not liable as owners or operators under CERCLA.  (See
                 CERCLA Section 107(r) and further  discussion in  Section 1.2.7 of
                 this manual.)

                 Courts also have imposed owner/operator liability on parent
                 corporations and corporate officers  and  personnel.  In 1998, in
                 United States v. Bestfoods, 524  U.S. 51 (1998),  the Supreme Court
                 set forth the instances in which a parent corporation may incur
                 "direct" liability as a CERCLA Section 107(a)(2) operator.  In
                 Bestfoods, the Supreme Court held  that a parent corporation is
                 subject to direct operator liability where it "manage[s], direct[s],  or
                 conduct[s] operations specifically related to pollution, that is,
                 operations having to do with leakage or disposal  of hazardous
                 waste, or decisions about compliance with environmental
                 regulations." Courts have also applied the Bestfoods test for direct
                 operator liability to corporate officers and shareholders.

                 In some instances, federal courts have applied traditional principles
                 of corporate law to "pierce the corporate veil" and hold such parties
                 liable indirectly as CERCLA owners.  In  addition to setting forth the
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test for "direct" operator liability, Bestfoods also addressed
conditions under which parent corporations may be "indirectly"
liable as CERCLA "owners."  In Bestfoods, the Court distinguished
indirect liability from direct liability by stating that although a
parent corporation cannot be held directly liable as an owner of a
polluting facility owned or operated by its subsidiary, the parent
corporation's corporate veil  may be pierced - and the parent
corporation may be held liable as an owner for the subsidiary
corporation's conduct - upon a finding that the corporate forum has
been "misused to accomplish certain wrongful purposes, most
notably fraud,  on the [parent corporation's] behalf."  Bestfoods, 524
U.S.  at 62.

"Piercing the corporate veil" is "the judicial act of imposing personal
liability on otherwise immune corporate officers, directors, and
shareholders for a corporation's fraudulent or wrongful acts."
Black's Law Dictionary, 3d Ed.  In Bestfoods, the Court expressly
declined to decide if courts should apply veil piercing standards
arising from CERCLA-based  federal common law or from state
common law.  Bestfoods at  63-64. (See Section 3.6.10 of this
manual for further discussion of the liability of parent corporations
and corporate  individuals.)

Former Owners and Operators of a Facility

CERCLA Section  107(a)(2) imposes liability on any person who
owned or operated a facility at the time of disposal of any
hazardous substance at the facility.  Thus, unlike current owners
and operators, a former owner or operator is liable only if disposal
of hazardous substances occurred while the person owned or
operated the facility. The term "disposal," however, incorporates
the broad  definition under the Resource Conservation and Recovery
Act.  It has been interpreted by some courts to include releases
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that occur long after the hazardous substance was initially disposed
of at the facility.2

For example, if Party A owned the site and disposed of hazardous
substances there during ownership and later sold the property to
Party B, both parties  could be held  liable.  Party A could  be held
liable because the disposal took place when it owned the property.
Some courts have ruled in similar cases that Party B is liable if, for
example, drums or tanks containing hazardous substances  leaked
at the facility during Party B's ownership even if Party B  did  not
place the drums or tanks on the property and  no longer  owns the
property.

Arrangers (or "Generators")

CERCLA Section 107(a)(3) imposes liability on a person  who
arranged for disposal or treatment, or arranged with a transporter
for transport for disposal or treatment, of hazardous substances at
any  facility owned or operated by another party and containing
such hazardous substances.   Although the statute does not use the
term "generator," this term is commonly used  to refer to a person
who generated the hazardous substance, or arranged for its
disposal or treatment, or did  both.

Arrangers or generators may include corporations that entered into
disposal contracts, waste brokers, or corporate officers who are
involved in or  responsible for waste disposal activities. A person
may be held liable as a generator even if that  person did not select
the disposal location. In addition, a generator's liability  may follow
its waste from site to site. For example, if a generator sends its
waste to site A and site A's operator sends some of that  waste to
        Liability for "passive migration" is determined by the specific case law of the federal
circuit where the site of the release is located, and federal circuits are divided on this issue. See,
e.g., CarsonHarbor Village, Ltd. v. Unocal Corp., 270 F.3d 863 (9th Cir. 2001) (gradual passive
migration through soil which took place when prior owner had property was not a disposal); United
States v. 150 Acres of Land, 204 F.3d 698 (6th Cir. 2000) (liability for disposal based on passive
migration requires human activity); ABB Industrial Systems Inc. v. Prime Technology, Inc., 120 F.3d
351 (2nd Cir. 1997); UnitedStates v. CDMGRealty, 96 F.3d 706 (3rd Cir. 1996); JoslynMfg. Co. v.
Koppers Co. Inc., 40 F.3d 750 (5th Cir. 1994) (interpreting disposal to require active human
conduct); but see Nurad, Inc. v. William Hooper & Sons Co., 966 F.2d 837 (4th Cir. 1992)
(upholding CERCLA liability for passive migration).
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site B, the generator may be liable for the cost of cleaning up both
site A and site B.  To establish generator liability, EPA must
demonstrate that there was a  release or threatened release of a
hazardous substance from a facility, but EPA does not need to
prove that the generator's actual hazardous substance was
released.

An arrangement for disposal or treatment may take a wide variety
of forms, including a conventional oral or written contract or a toll
processing agreement where disposal of hazardous substances is
inherent in the work to be performed under the agreement.  Courts
have looked at a variety of factors to determine "arranger" liability,
including but not limited to whether (1)  a sale involved  the transfer
of a "useful" or "waste" product; (2) the party intended to dispose
of a substance at the time of the transaction; (3) the party had
knowledge of the  disposal; and (4) whether the party owned the
hazardous substances.

In Burlington Northern & Santa Fe Railway Company v. United
States, the Supreme Court recognized that some situations plainly
give rise to arranger liability.  It said that, on the one hand, liability
will attach if the "sole purpose" is to discard of a used and no
longer useful hazardous substance. On  the other, it said that there
is no liability for merely "selling a new and  useful product if the
purchaser of that product later, and unbeknownst to the seller,
disposed of the product in a way that led to contamination."3
Specifically,  the Supreme Court in Burlington Northern found that a
party  with knowledge of spills  alone was insufficient to prove that
the party "planned for" the disposal, "particularly when the disposal
occurs as a peripheral result of the legitimate sale of an unused,
useful  product" and the party took numerous steps to reduce the
likelihood of spills. The Supreme Court found  that to qualify as an
arranger the party must have  intended that "at least a portion of
the product  be disposed of."4
       3Burlington Northern & SantaFeRy. Co. v. UnitedStates, 129 S.Ct. 1870, 1878 (U.S.
2009).

       ^Burlington Northern & Santa FeRy. Co. v. UnitedStates, 129 S.Ct. 1870, 1876 (U.S.
2009).
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                       A generator's liability may follow its waste from site to site. For
                       example, if a generator sends its waste to site A and site A's
                       operator sends some of that waste to site B, the generator may be
                       liable for the costs of cleaning up both site A and site B.

                       Transporters

                       CERCLA Section 107(a)(4)  imposes liability on a person who
                       accepts a hazardous substance for transportation to a disposal or
                       treatment facility or site selected by the transporter.  The term
                       "transportation" is defined to  include the movement of a hazardous
                       substance by any mode, including any stoppage in  transit which is
                       temporary and incidental to the transportation movement.

                       The key factor in establishing transporter liability is that the
                       transporter must have selected the disposal site. Unless EPA can
                       prove that the transporter chose the site, the transporter is not
                       liable under CERCLA Section 107(a)(4).
1.2.2
Prima Facie Case
"Prima facie" is not a CERCLA definition but a legal term meaning
"legally sufficient to establish a fact or case unless disproved."  This
term is used to describe the basic set of facts that EPA must be
able to prove to establish that a person is liable under CERCLA:
                          •  there was a release or threatened release;
                          •  of a hazardous substance;
                          •  from a facility;
                          •  that caused the government to incur response costs; and
                          •  the party is in at least one of the four classes of PRPs
                             described in CERCLA Section 107(a).
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There are several key definitions associated with the elements
listed above:

    •   "Person" is defined in CERCLA Section 101(21) as "an
       individual, firm, corporation, association, partnership,
       consortium, joint venture, commercial entity, United States
       Government, State, municipality, commission, political
       subdivision of a State, or any interstate body."

    •   "Release" is defined in CERCLA Section 101(22) as "any
       spilling, leaking, pumping, pouring, emitting, emptying,
       discharging, injecting, escaping, leaching, dumping, or
       disposing into the environment."
       "Hazardous substance" is defined in CERCLA Section 101(14)
       as any substance EPA has designated under specified
       provisions of the Clean Air Act, the Clean Water Act, the
       Toxic Substances Control Act, and the Resource
       Conservation and Recovery Act.  (See Chapter 1 References,
       p. 38.)  EPA also may designate  additional substances as
       hazardous substances under CERCLA.  EPA maintains and
       updates a  list of CERCLA hazardous substances in Title 40 of
       the Code of Federal Regulations, Part 302. (See Chapter 1
       References, p.  38.)  The term does not include petroleum,
       including crude oil, unless it is specifically listed or
       designated as a hazardous substance under one of those
       Acts, and  does not include natural gas, natural gas liquids,
       liquefied natural gas, or synthetic gas usable for fuel.5
       5 CERCLA's petroleum exclusion has been held in the case law to apply to refined and
unrefined petroleum products even though some of the indigenous components and additives added
during refining are listed hazardous substances. The petroleum exclusion has been held not to
apply, however, if (1) the indigenous components are found in amounts in excess of amounts which
would have resulted from refining, or (2) the indigenous components are added to the petroleum
product during or after use.
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•  "Pollutant or contaminant" is defined in CERCLA Section
   101(33) as any other substance not on the list of hazardous
   substances which "will or may reasonably be anticipated to
   cause" adverse effects in organisms or their offspring.

•  "Facility"  is  defined in CERCLA Section 101(9) as "any
   building,  structure, installation, equipment, pipe or pipeline
   (including any pipe into a sewer or publicly owned treatment
   works), well,  pit, pond, lagoon, impoundment, ditch, landfill,
   storage container, motor vehicle, rolling stock, or aircraft, or
   any site or  area where a hazardous
   substance has been deposited, stored, disposed of, or
   placed, or otherwise come to be located; but does not
   include any consumer product in consumer use or any
   vessel." The term "facility" has been interpreted to include
   the site of a hazardous waste disposal operation; ground
   upon which hazardous substances were deposited; and
   trucks  from which hazardous substances were released into
   the environment, even though the trucks themselves were
   not the subject of a  removal or remedial action.

•  "Response" is defined in CERCLA Section 101(25) as
   "remove, removal, remedy,  and remedial action." Response
   costs include, but are not limited to:

       •   the  costs of site investigations;
       •   enforcement costs, including PRP search costs;
       •   sampling;
       •   remedial studies;
       •   monitoring and testing (to identify the nature and
          extent of the release or threatened release, or the
          extent of the danger to public health, welfare, or the
          environment);
       •   planning and implementation of a response action;
          and
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                                    •   the recovery of costs associated with these actions
                                       (including costs incurred by EPA and other entities,
                                       such as the Department of Justice (DCO), U.S. Coast
                                       Guard, and the states).

                         Response costs include direct as well as indirect costs (general EPA
                         operating costs).  Costs associated with the oversight of PRP
                         response actions are also recoverable.6

                         Section 104(a)(l) specifically provides for recovery of oversight
                         costs for PRP-conducted remedial investigation and feasibility study
                         (RI/FS) work.  Response costs do not include civil penalties for
                         violations of statute, but they do include interest on past
                         expenditures.7  Response costs incurred prior to CERCLA's
                         enactment also may be recovered.  Cost recovery actions may be
                         filed at any time after response costs have been  incurred; however,
                         they must be initiated within the statute of limitations defined in
                         CERCLA Section 113(g)(2) and described in more detail in Section
                         4.9 of this manual.
1.2.3                   CERCLA Section  107(a) imposes strict liability on the four classes of
Strict Liability        parties described and listed on page 6.  Strict liability means that
                         PRPs are liable even if:
                             •  the problems caused by the  hazardous substance release
                                were unforeseeable;
                             •  the PRP's actions were legal  at the time they occurred; and
                             •  state-of-the-art waste management practices were used at
                                the time the materials were  disposed of.
                                6 Previously, in states under the jurisdiction of the United States Court of Appeals for the
                         Third Circuit - Pennsylvania, New Jersey, Delaware, and the Virgin Islands - there were limitations
                         on EPA's authority to recover costs for oversight. See U.S. v. Rohm &Haas Co., 2 F.3d 1265 (3rd
                         Cir. 1993). The Third Circuit Court of Appeals subsequently overturned Rohm & Haas, finding that
                         the plain meaning of CERCLA allowed EPA to recover oversight costs. See United States v.
                         DuPont, 432 F.3d 161 (3rd Cir. 2005)

                                 Comptroller Policy Announcement 87-17, "Interest Rates for Debts Recoverable Under
                         the Superfund Amendments and Reauthorization Act of 1986," September 30, 1986. (See Chapter 1
                         References,  p. 39.)
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1.2.4                   In addition, CERCLA liability is usually joint and several.  This
Joint and Several     means that any one PRP can be held  liable for the entire cost of site
Liability               cleanup, regardless of the share of the waste contributed by that
                        PRP.  The PRP who pays the costs can then seek to recover costs
                        from the non-paying PRPs.  In general,  however, EPA attempts to
                        identify and notify the universe of PRPs at a site and negotiate with
                        the largest manageable number of parties.

                        Joint and several liability is based  on  the legal concept of
                        "indivisible harm."  A  PRP may be able  to defend against the
                        application of the full extent of joint and several liability
                        in a particular case if it can show that there are distinct harms or
                        there is a reasonable basis for determining the contribution of each
                        cause to a single harm.8 A common method for attempting to
                        demonstrate distinct harms is based on geographical
                        considerations, for example, where there  are separate and distinct
                        plumes of ground water contamination. Methods for attempting to
                        demonstrate a  reasonable basis for determining contributions to
                        single harm can be far more complex.

                        Where successful, this divisibility defense  apportions liability to a
                        defendant based on the amount of harm contributed (e.g., if a
                        defendant's separate plume can be expertly modeled at causing
                        10% of the harm, that might mean the  defendant would be found
                        responsible for 10% of the response costs). Not all harms are
                        capable of apportionment, and the burden of demonstrating
                        divisibility is on the defendant.9  Furthermore, "when two or more
                        causes produce a single, indivisible harm, 'courts have refused to
                        make an arbitrary apportionment for  its own sake, and each of the
                        causes is charged with responsibility for the entire harm.'"10
                              8 Restatement (Second) of Torts § 881; Burlington Northern & Santa Fe Ry. Co. v. United
                       States, 129 S.Ct. 1870, 1881 (2009), citing United States v. Chem-Dyne Corp., 572 F.Supp. 802
                       (S.D.Ohio 1983).

                              9 Restatement (Second) of Torts § 433B.

                              10 Burlington Northern, 129 S.Ct. at 1881, citing Restatement (Second) of Torts § 433A,
                       Comment i.
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                       Where hazardous substances are commingled following disposal at
                       a site, evidence that a single PRP's contribution caused a distinct
                       and segregable environmental harm is generally difficult.  The
                       divisibility defense requires a fact-intensive analysis, and the
                       defendant bears a heavy burden of proof.  The defendant must
                       demonstrate that the hazardous substances it sent to a site caused
                       a specific, separate, and distinct environmental harm from other
                       environmental harm at the site.11

                       Divisibility issues typically  are raised by PRPs who bring information
                       to EPA's attention that they wish to be considered in the context of
                       a settlement. EPA must then carefully review the
                       information provided, which will likely include the PRPs' belief
                       regarding the specific contribution of each  PRP to the release of
                       hazardous substances that resulted in the contamination at the site
                       or why the harm is distinct. A reasonable basis for such
                       determinations should be well documented. (See United States v.
                       Alcan Aluminum Corp., 315 F.3d 179 (2nd Cir.  2003), and United
                       States v. Hercules, 247 F.3d 706 (6th Cir.  2001), for good
                       discussions of the divisibility defense to joint and several liability.)
1.2.5
Statutory
Defenses to
CERCLA Liability
A person identified as a potentially responsible party may claim a
statutory defense to liability based on CERCLA Section  107(b).
Section 107(b) provides that a party is not liable if a release was
caused solely by:

    •   an act of God, as defined in Section 101(1);
    •   an act of war; or
    •   an act or omission  of a third party other than an employee
       or agent of the defendant or one in a contractual
       relationship with the defendant (commonly referred to as
       the "third party" defense).
                              11 See, e.g., United States v. Hercules.Inc., 247 F.3d 706 (8th Cir. 2001) (holding that the
                       evidence proffered must be "concrete and specific").
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Third Party Defense

In order to establish a third party defense under Section 107(b)(3),
a person  has the burden of proving that the act or omission was
conducted by someone other than the person claiming the defense,
and by someone with whom that person has no contractual
relationship.  In addition, the person must establish that he: (1)
exercised due care with respect to hazardous substances; and (2)
took precautions against foreseeable acts or omissions of the third
party and any consequences thereof.  The defense is not available
to a person who  has actual knowledge of a release or threatened
release during his ownership and subsequently transfers the
property  to another person without disclosing the release or
threatened release. In addition, the person may not have caused
or contributed to the contamination.

CERCLA Section  101(35)(A) defines "contractual relationship" to
include land contracts, deeds, or other instruments conveying
interests  in land.  A contractual relationship does not exist - and
the defense still applies - if the property was acquired after the
disposal or placement of the hazardous substances and one or
more of the following circumstances is established:
   •  The person had no  knowledge or reason to know that there
      was a release of hazardous substances at the property at
      the time of acquisition and that, prior to acquisition, the
      person made all appropriate inquiry into the previous
      ownership and  uses of the property consistent with good
      commercial or customary practice.

   •  The person is a government entity which acquired the
      facility by escheat,  or through any other involuntary transfer
      or acquisition, or through the exercise of eminent domain.

   •  The person acquired the property by inheritance or bequest.
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This third party defense is often referred to as the "innocent
landowner" defense.

The Small Business Liability Relief and Brownfields Revitalization
Act of 2002 (SBLR&BRA or "Brownfields Amendments") (see
Chapter 1 References, p. 39) clarified the "all appropriate inquiry"
into the previous ownership and uses of the property required by
the statute. For purchasers of residential property, CERCLA Section
101(35)(B)  provides that a facility inspection and title search are
sufficient.  For all other purchasers, the determination is based on
the date of purchase.  For property purchased prior to May 31,
1997, Section 101(35)(B) prescribes a narrative standard directing
courts to consider a list of factors, including specialized knowledge
of the "defendant," the obviousness of the contamination, and the
relationship of the purchase price to the value of the property if it
were not contaminated.  For property purchased on or after May
31, 1997, Section 101(35)(B) directs  EPA to establish  standards
and practices for satisfying the all  appropriate inquiries
requirement. EPA issued a regulation establishing such standards
and practices on November 1, 2005, which took effect November 1,
200612, and subsequently made available a detailed fact sheet on
their implementation.13

The amendments also require that "innocent landowners" can
maintain this defense only  by  complying with certain continuing
obligations. A purchaser must take reasonable steps to stop any
continuing release, to prevent any threatened new release, and to
prevent or limit any human, environmental, or natural resource
exposure to hazardous substances. All innocent landowners must
provide cooperation, assistance, and access to  persons conducting
response actions at the facility, and comply with and maintain land
use restrictions and institutional controls.
       12 "Standards and Practices for All Appropriate Inquiries," 40 C.F.R. Part 312; Federal
Register, Vol. 70, No. 210, November 1, 2005, pp. 66069-66113.  (See Chapter 1 References, p..39.)

       13 "Fact Sheet on All Appropriate Inquiries Final Rule," EPA 560-F-05-240, November
2005. (See Chapter 1 References, p. 39.)
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1.2.6
Statutory
Exemptions and
Protections from
CERCLA Liability
In addition to the statutory defenses to CERCLA liability, CERCLA
provides statutory exemptions and protections from liability for
certain parties.

"De Micromis" Parties

The Brownfields Amendments added CERCLA Section 107(o), which
provides a qualified statutory exemption from liability for response
costs for "de micromis" generators and transporters where: (1) the
total amount of material  containing hazardous  substances
contributed by the party  to a site was less than 110 gallons of
liquid materials or less than 200 pounds of solid materials; (2) the
site is listed on the NPL;  and (3) all or part of the party's disposal,
treatment, or transport occurred before April 1, 2001.

The exemption does not  apply, however,  if the President
determines that: (1) the person sent materials that contributed or
could contribute significantly, either individually or  in the
aggregate, to the cost of the response action or natural resource
restoration; (2) the person has failed to comply with an information
request or administrative subpoena; (3) the  person has impeded,
through action or inaction, a response action or natural resource
restoration; or (4) the person has been convicted of a  criminal
violation for conduct related to the exemption.  (See also Section
1.2.7 of this manual for a discussion of EPA's enforcement
discretion  policy toward non-exempt "de micromis" parties.)
                       Municipal Solid Waste Exemption

                       Section 107(p), also added to CERCLA by the Brownfields
                       Amendments, conditionally exempts three categories of parties
                       from liability for response costs incurred with respect to municipal
                       solid waste (MSW) disposed of at a facility on the NPL:
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   •   an owner, operator, or lessee of residential property;
   •   a  business entity (including a parent, subsidiary, or affiliate
       of the entity) that, during the three years preceding written
       notice of its potential liability, employed on average not
       more than 100 full-time individuals, or the equivalent
       thereof, and is a small  business concern from which was
       generated all of the municipal solid waste (MSW)
       attributable to the entity with respect to the facility; and
   •   an organization described in Section 501(c)(3) of the
       Internal Revenue Code of 1986 (see Chapter 1 References,
       p. 39) and exempt from tax under Section 501(a) of the
       Code that during  the tax year preceding written  notice of
       liability employed 100 or fewer paid individuals at the
       location from which all  MSW was generated.

The conditional exemption does not apply to parties liable as
owners or operators under Section 107(a)(l) or (2) or as
transporters under Section 107(a)(4).  (See "Contiguous Property
Owner Guidance Reference Sheet" (February 4, 2004), Chapter 1
References, p. 39;  see also Section 1.2.7 of this manual for a
discussion of EPA's enforcement discretion policy toward contiguous
property  owners.)

Contiguous Property Owners

Another liability protection established by the Brownfields
Amendments is  CERCLA Section 107(q), which protects from owner
or operator liability persons who own  land contaminated solely by a
release from contiguous property, or similarly situated property,
owned by someone else, if the owner:

   •   is not a PRP or affiliated with a PRP;
   •   did not cause, contribute, or consent to the  release of
       hazardous substances; and
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   •   conducts "all appropriate inquiry" prior to purchase and
       demonstrates that it did not know or have reason to know of
       contamination.  (See Section 1.2.5 of this manual for a
       discussion of the "all appropriate inquiry" requirement.)

In order to maintain the liability protection, the owner must:

   •   take reasonable steps to stop continuing releases, prevent
       threatened future releases, and prevent or limit human,
       environmental, or natural resources exposure to hazardous
       substance release;
   •   provide cooperation, assistance, and access;
   •   comply with and maintain land use restrictions and
       institutional controls;
   •   comply with CERCLA information requests and
       administrative subpoenas; and
   •   provide legally required  notices.

(See "Contiguous Property Owner Guidance Reference Sheet"
(February 4, 2004), Chapter 1 References, p.  39; see also Section
1.2.7 of this manual for a discussion of EPA's enforcement
discretion policy toward contiguous property owners.)

Bona Fide Prospective Purchasers

The Brownfields Amendments to CERCLA now enable a person to
acquire contaminated property  without thereby being considered a
PRP as the present owner of a Superfund site.  By following the
statutory requirements of CERCLA Section 101(40),  such a person
now  may become a "bona fide prospective purchaser" (BFPP).

CERCLA Section 107(r) protects a BFPP whose potential liability is
based solely on the purchaser's being  an owner or operator of a
facility  so long as the purchaser does not impede the performance
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of a CERCLA response action. Section 101(40) defines a BFPP as a
person, or tenant of that person, who acquires ownership of a
facility after January  11, 2002, and:

   •   establishes that disposal at the facility occurred prior to
       acquisition;
   •   is not a PRP or affiliated with a PRP;
   •   made all appropriate inquiry into previous ownership and
       uses of the facility in accordance with generally accepted
       practices and  new standards contained in  Section
       101(35)(B);
   •   takes reasonable steps to stop any continuing releases,
       prevent any threatened future releases, and prevent or limit
       human, environmental, or natural  resource exposure to any
       previously released hazardous substance; and
   •   provides cooperation, assistance, and access, complies with
       and maintains land use restrictions and  institutional controls,
       complies with information requests and  administrative
       subpoenas, and provides legally required notices.

A critical distinction between the BFPP provision and the innocent
landowner and contiguous property owner provisions is that the
BFPP can purchase with knowledge of the contamination and still
have CERCLA liability protection. Section 107(r)  provides,
however, that a BFPP may be subject to a "windfall lien" for
unrecovered response costs incurred  by the United States at a
facility where the response action increases the fair market value of
the facility. The lien  is limited to the  lesser of the increase in the
fair market value attributable to EPA's response action or the
unrecovered response costs.  (See  also Section 1.2.7 of this manual
for a discussion of EPA's enforcement discretion policies toward
prospective purchasers.)
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Scrap Recyclers
The Superfund Recycling Equity Act (SREA) (see Chapter 1
References, p. 39) signed into law on November 29, 1999, was
passed as part of the Omnibus Appropriations Bill and  is codified as
an amendment to CERCLA at §42 U.S.C. 9627 and incorporated into
CERCLA as Section 127. This amendment exempts from the
generator and transporter liability sections of CERCLA  certain
generators and transporters who "arranged for recycling of
recyclable materials."  Owners and operators of sites are ineligible
for the exemption, as are generators and transporters of non-
recyclable materials or generators and transporters of recyclable
materials that fail to meet the criteria necessary for the exemption.

A PRP's liability should be carefully examined in order to determine
the applicability of SREA.  If the region determines that a party is a
PRP, then the region may evaluate whether the PRP is exempt
under SREA.  Regions should not presume a party's eligibility for
the exemption absent either a demonstration of proof  by the party
that it was recycling consistent with Section  127 or other site-
specific information that suggests that the party is eligible for the
exemption.

Recyclable materials defined  under SREA include scrap paper, scrap
plastic, scrap glass, scrap textiles, scrap rubber (other than whole
tires), scrap metal, spent lead-acid, spent nickel-cadmium
batteries,  and other spent batteries.  (See CERCLA Section 127 for
further details on SREA.)

Secured Creditors

CERCLA Section  101(20)(A) and (E) exempts from owner/operator
liability any person who, without  participating in the management
of a facility, holds indicia of ownership primarily to protect that
person's security interest in the facility.  Holding a security interest
means having a  legal claim of ownership in order to secure a loan,
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equipment, or other debt.  This exemption protects from CERCLA
Section 107 owner/operator liability those persons, such as private
and governmental lending  institutions (e.g.,  banks), who maintain a
right of ownership in, or guarantee loans for, facilities that become
contaminated with hazardous substances.

Under CERCLA Section 101(20)(F), which was added to CERCLA by
amendment in 1996, a lender "participates in management" and will
not be  protected by the secured creditor exemption  if it either:
    •   exercises decision-making control over environmental
       compliance related to the facility, such that the lender has
       undertaken responsibility for hazardous substance handling
       or disposal practices; or

    •   exercises control  at a level  comparable to that of a manager
       of the facility, such  that the lender has assumed or
       manifested responsibility with respect to (1) day-to-day
       decision-making regarding  environmental compliance, or (2)
       all, or substantially  all, of the operational (as opposed to
       financial or administrative)  functions of the facility other
       than environmental compliance.

The term "participate in  management" does  not include certain
activities, provided those activities do not rise to the level of
participating in management as defined  in CERCLA Section
101(20)(F), such as:

    •   inspecting the facility;
    •   requiring  a response action or other lawful means to address
       a release or threatened  release;
    •   conducting a  response action under CERCLA Section
       107(d)(l) or  under  the direction  of an on-scene coordinator
       (OSC);
    •   providing financial or advisory support toward an effort to
       prevent or cure default; or
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    •   restructuring or renegotiating the terms of the security
       interest.

With respect to post-foreclosure activities, a lender that did  not
participate in management prior to foreclosure, did not contribute
to or cause a release, and seeks to divest itself of the facility at the
earliest practicable, commercially reasonable time, on commercially
reasonable terms, is not an "owner or operator" if  it:

    •   sells, re-leases (in the case of a lease-finance transaction),
       or liquidates the facility;
    •   maintains business activities or winds up operations;
    •   undertakes a response action under CERCLA Section
       107(d)(l) or under the direction  of an OSC; or

    •   takes any other measure to preserve, protect, or prepare
       the facility for sale or disposition.

Fiduciaries

CERCLA Section 107(n) limits the CERCLA liability of fiduciaries.
The term "fiduciary" means a person acting for the benefit of
another party as a bona fide trustee, executor, or administrator,
among other things.  It does not include a person who either:

    •   acts as a fiduciary with respect to a for-profit trust or other
       for-profit fiduciary estate, unless the trust or estate was
       created because of the incapacity of a natural person, or as
       part of, or to facilitate, an estate plan; or

    •   acquires ownership or control of  a facility for the objective
       purpose of avoiding liability of that person or another
       person.

Under CERCLA Section 107(n), fiduciary liability under any
provision  of CERCLA cannot exceed the  assets held in the fiduciary
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capacity. In addition, a fiduciary will not be liable in its personal
capacity for certain actions, such as:

   •   undertaking or requiring another person to undertake any
       lawful means of addressing a release of a hazardous
       substance;
   •   enforcing environmental compliance terms of the fiduciary
       agreement; or
   •   administering a facility that was contaminated before the
       fiduciary relationship began.

The liability limitation described above does not limit the liability of
a fiduciary whose negligence causes or contributes to a release or
threatened  release.

Service Station Dealers

Service station dealers may be eligible under CERCLA Section
114(c) for an exemption from liability as a generator or transporter
of hazardous substances under CERCLA Section 107(a)(3) or (a)(4)
if the dealer accepted  from the public used oil for recycling which
is:
   •   not mixed with any other hazardous substance; and
   •   stored, treated, transported or otherwise managed in
       compliance with regulations or standards promulgated
       pursuant to Section 3014 of the Solid Waste Disposal Act
       and  other applicable authorities.

The exemption applies only to recycling transactions that occur
after the effective date of EPA's "Standards for the Management of
Used Oil" (May 3, 1993).  (See Chapter 1 References, p. 39.)  A
service station dealer still may be held liable under CERCLA Section
107(a)(l) and (2) as an owner or operator.
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State and Local Governments
CERCLA Section 107(d)(2) provides that, except for gross
negligence or intentional misconduct, state and local governments
are not liable for costs or damages resulting from an emergency
response to a hazardous substance release or threatened release.
Under CERCLA Section 107(d)(l), a person rendering care or
assistance in accordance with the NCR, including but not limited to
state and local governments, cannot be held liable under CERCLA
for costs or damages resulting from such care unless the care or
assistance is rendered in a negligent manner.  Such a person can
be liable for costs or damages as the result of his  negligence.

CERCLA Section 101(20)(A) exempts from owner/operator liability
units of state and local government that "involuntarily"  acquire
CERCLA facilities, provided they did not cause or contribute to the
contamination.  Governmental entities may also be protected from
liability resulting from involuntary acquisition by the third party
defense of CERCLA Section 107(b)(3) as discussed in Section 1.2.5
of this manual.  Examples of involuntary acquisition include those
made by a government entity that is:

   •  acquiring property following abandonment or tax
      delinquency;
   •  acting as a conservator or receiver pursuant to a clear and
      direct statutory mandate or regulatory authority (such as
      acquiring the security interests or properties of failed private
      lending or depository institutions);
   •  undertaking foreclosure or its equivalent while administering
      a governmental loan,  loan guarantee, or loan insurance
      program; or
   •  acting pursuant to seizure or forfeiture authority.
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                       Federally Permitted Releases
                       Section 107(j) excludes from CERCLA liability response costs
                       resulting from a "federally permitted  release."  Although EPA has
                       full authority under CERCLA to respond to federally permitted
                       releases, the permittee  is not liable for cleanup costs resulting from
                       such releases.  CERCLA Section 101(10) defines releases that
                       qualify as federally permitted releases (e.g., the discharge of
                       pollutants in compliance with a National Pollutant Discharge
                       Elimination  System permit under the Clean  Water Act).
                       Application of a Registered Pesticide

                       Section 107(i) excludes from CERCLA liability response costs or
                       damages resulting from the application of a pesticide product
                       registered under the Federal Insecticide, Fungicide, and Rodenticide
                       Act (FIFRA). (See Chapter 1 References, p. 39.)
1.2.7
EPA Enforcement
Discretion
Policies
The Agency may exercise its discretion in deciding whether to
pursue certain parties who fall within a category of liable parties
under CERCLA Section 107(a).  EPA has issued several policies
concerning the exercise of its enforcement discretion.  Because
they are discretionary, these policies are not legally binding on any
party, including EPA. When identifying and classifying PRPs at a
site, the Agency's discretionary enforcement policies and guidance
should be considered.
                       "De Micromis" Parties

                       In November 2002, EPA and DCO jointly issued the "Revised
                       Settlement Policy and Contribution Waiver Language Regarding
                       Exempt "de micromis" and Non-Exempt "de micromis" Parties"
                       (November 6, 2002). (See Chapter 1 References, p. 39.) As
                       discussed above, CERCLA Section 107(o) provides a statutory
                       exemption for certain "de micromis" parties.  This settlement policy
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addresses the United States' position regarding those parties that
fall within the statutory definition of "de micromis" ("exempt "de
micromis" parties"), and those parties that fall outside the statutory
definition, but who may be deserving of similar treatment based on
case-specific factors ("non-exempt "de micromis" parties").  As a
matter of national policy, EPA intends to use its enforcement
discretion, as necessary, to achieve settlements that provide
appropriate relief for those non-exempt "de micromis" parties that
are being sued in contribution or threatened with a suit by other
responsible parties.

Municipal Solid Waste Exemption

Prior to the Brownfields Amendments, EPA relied on MSW
enforcement discretion policies.  In 1989,  EPA issued the "Interim
Policy on CERCLA Settlements Involving Municipalities or Municipal
Wastes" (December 12, 1989) ("1989 MSW Policy").  (See Chapter
1 References, p. 40.)  The 1989 MSW Policy sets forth the criteria
by which EPA generally determines whether to exercise
enforcement discretion to pursue MSW generators or transporters
as PRPs under CERCLA. The 1989 MSW Policy provides that EPA
generally will not identify a generator or transporter of MSW as a
PRP unless there is site-specific evidence that the MSW disposed  of
by that party contained hazardous substances derived from a
commercial, institutional, or industrial process or activity. The
1989 MSW Policy also addresses certain provisions that may be
appropriate in settlements with municipal  owners or operators.

Building on the  1989 MSW Policy, EPA issued its "Policy for
Municipality and Municipal Solid Waste CERCLA Settlements at NPL
Co-Disposal Sites" (February 5, 1998) ("1998 MSW Policy"). (See
Chapter 1 References, p. 40.) The  1998 MSW Policy states that
EPA will continue its policy of generally not identifying generators
and transporters of MSW as PRPs at NPL sites.  In an effort to
reduce contribution litigation by third parties, the 1998 MSW Policy
also identifies a methodology for settlements with generators  and
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transporters of MSW at NPL sites who request a settlement with the
United States.  Finally, the 1998 MSW Policy identifies a
presumptive settlement range for municipal owners and operators
of co-disposal sites on the NPL.

After the Brownfields Amendments added CERCLA Section 107(p),
EPA and DCO jointly issued the "Interim Guidance on the Municipal
Solid Waste Exemption Under CERCLA Section 107(p)" (August 20,
2003) ("2003 Interim Guidance").  (See Chapter 1 References, p.
40.)  The 2003 Interim Guidance discusses the statutory exemption
and identifies some factors to be considered in the exercise of
enforcement discretion under the exemption.  In addition, the 2003
Interim Guidance provides that  the 1989 and 1998 MSW policies
remain in effect and should be applied where appropriate.

Contiguous Property Owners

In 1995, EPA issued its "Policy Towards  Owners of Property
Containing Contaminated Aquifers" (May 24, 1995). (See Chapter
1 References, p. 40.) Although  the 1995 policy is similar to the
exemption in favor of contiguous property owners in CERCLA
Section 107(q), in some ways the 1995 policy is broader, and may
apply to parties that do not qualify for the Section 107(q)
exemption. Under the 1995 policy, where hazardous substances
come to be located on or in a property solely as the result of
subsurface migration in an aquifer from a source or sources other
than the affected property, EPA will not take an enforcement action
against the owner of such property to require the performance of
response actions or the payment of response costs.  The following
conditions apply:

   •  The landowner did  not cause, contribute to, or exacerbate
      the release or threat of release of any hazardous substances
      through any act or omission. The failure to take affirmative
      steps to mitigate or address ground water contamination,
      such as conducting ground water investigations or installing
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      ground water remediation systems, will not, in the absence
      of exceptional circumstances, constitute an omission by the
      landowner within the meaning of this condition.
   •  The person who caused the release is not an agent or
      employee of the landowner, and was not in a direct or
      indirect contractual relationship with the landowner. In
      cases where the landowner acquired the property, directly
      or indirectly, from a person who caused the original release,
      application of the policy will require an analysis of whether,
      at the  time the  property was acquired, the landowner knew
      or had reason to know of the disposal of hazardous
      substances that gave rise to the contamination in the
      aquifer.

   •  There  is no alternative basis for the landowner's  liability for
      the contaminated aquifer, such as liability as a generator or
      transporter under CERCLA Section 107(a)(3) or (4), or
      liability as an owner by reason of the existence of a source
      of contamination on the  landowner's property other than the
      contamination that migrated in an aquifer from a source
      outside the property.

Bona Fide Prospective Purchasers

Prior to the change in the CERCLA liability scheme discussed in
Section 1.2.6 of this manual, EPA negotiated agreements that
provided a covenant not to sue  for certain prospective purchasers
of contaminated property prior to their acquisition of the property
in order to resolve the  potential liability due to ownership of such
property.  These agreements are known as  prospective  purchaser
agreements (PPAs).  As discussed in  Section 1.2.6, CERCLA now
limits the liability of persons who qualify as  BFPPs.  EPA's
memorandum titled "Bona Fide  Prospective  Purchasers and the New
Amendments" (May 31, 2002) (see Chapter 1  References, p. 40)
states that, in most cases, the Brownfields Amendments make
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PPAs from the federal government unnecessary. The memorandum
describes when, primarily because of significant public benefit, EPA
will consider providing a prospective purchaser with a covenant not
to sue.

On July 16, 2003, EPA and DOJ issued an interim enforcement
discretion  policy titled "Interim Enforcement Discretion Policy
Concerning "Windfall Liens" Under Section 107(r) of CERCLA." The
"windfall lien" policy explains when EPA generally would, and would
not, seek compensation for increasing a property's market value
through a  Superfund response action. Under Section 107(r) of
CERCLA, bona fide prospective purchasers are not liable as
owner/operators for CERCLA response costs. While a BFPP may not
be liable, the property he acquires may be subject to a windfall lien
if an EPA response action has increased the fair market value of the
property.  The interim policy explains that, absent a Superfund
response action at a site, the United States has no  windfall lien on
that property. For properties that have been the subject of an EPA
response action, the policy sets forth factors that may lead EPA and
DOJ to assert a windfall lien; provides examples of a number of
situations  where EPA will generally not pursue a windfall lien;
describes EPA's and DOJ's general approach to settling windfall
liens; and  discusses letters and agreements that EPA may  provide
to prospective purchasers to address any windfall lien concerns.
(See Chapter 1 References,  p. 40, for copies of the guidance,
attachments, and  frequently asked questions; see also "Windfall
Lien Administrative Procedures" (January 8, 2008), Chapter 1
References,  p. 40.)

Residential Homeowners

In 1991, EPA issued its "Policy Toward Owners of Residential
Property at Superfund Sites" (July 3, 1991).  (See Chapter 1
References,  p. 40.) Under this policy, EPA will not  require
residential owners of property to  undertake response actions or pay
response costs unless the residential homeowner's  activities lead to
a release or threatened release of hazardous substances resulting
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                        in a response action. The policy applies to properties that are
                        owned and used exclusively for single-family residences of one to
                        four units. Furthermore, the owner's knowledge of the presence of
                        contamination on the property at the time of purchase or sale does
                        not affect this enforcement discretion policy. However, if the
                        residential owner's activities lead to a release or threatened release
                        resulting in a response action, the enforcement  discretion policy will
                        not apply.  The policy also does not apply if the  owner of the
                        property refuses to provide access to the  residential property when
                        requested or interferes with response activities conducted on the
                        residential property.

                        Good Samaritans at Orphan Mine Sites

                        EPA's Good Samaritan Initiative is an Agency-wide effort to
                        facilitate the cleanup of certain watersheds affected  by orphan mine
                        sites by encouraging the efforts of certain non-liable parties ("Good
                        Samaritans"  or "Good Sams") who are willing to  voluntarily clean up
                        some of these sites. Concerns about incurring potential liability
                        under CERCLA and the Clean Water Act (CWA) as a result of
                        performing cleanup work at orphan mines have  long discouraged
                        voluntary cleanups at many of these sites. The  Good Samaritan
                        Initiative's principal purpose is to use the  federal government's
                        authority to  provide greater legal certainty to Good Samaritans and
                        resolve to the extent possible the threat of potential federal
                        liabilities so that voluntary cleanups at these sites can proceed.14
1.3
PRP Notification
of Potential
Liability
When PRPs have been identified, EPA's general policy is to notify
them of their potential liability, advise them of the intended
response action, and afford them the opportunity to pay for or
conduct response actions. Where circumstances require, EPA may
issue concurrently to each PRP a notice of potential liability
                                OECA/OSWER Memorandum, "Interim Guiding Principles for Good Samaritan
                       Projects at Orphan Mine Sites and Transmittal of CERCLA Administrative Tools for Good
                       Samaritans" (June 6, 2007). (See Chapter 1 References, p. 40.)
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                       (general notice letter) and/or a notice of opportunity to negotiate to
                       conduct the response action (special notice letter).  EPA uses
                       different notice letters for different recipients, each with a different
                       tone as well as content.  These include the general notice letter
                       (GNL); special notice letter (SNL) for RI/FS; SNL for remedial
                       design and remedial action (RD/RA), which usually also includes a
                       demand for past costs;  notice of decision not to use an SNL;
                       combined GNL/104(e) letter; and combined GNL/demand letter.
1.3.1                  A GNL is a notice that informs PRPs of their potential liability for
General Notice       past ancl future response costs.  GNLs generally contain the
.  ..                   following information:
Letters

                          •  notification of potential liability under Sections 106 and
                             107(a) of CERCLA, including notification that:

                                •   CERCLA Section 107 authorizes the Agency to initiate
                                    cost recovery actions to recover all costs not
                                    inconsistent with the NCP incurred in responding to
                                    the release or threatened release of hazardous
                                    substances;
                                •   CERCLA Section 106 authorizes the Agency to issue
                                    administrative orders or take judicial action
                                    compelling the PRP to implement the response
                                •   selected by EPA to abate an imminent and
                                    substantial  danger caused by the release or
                                    threatened  release of hazardous substances;  and
                                •   The Agency encourages PRPs to agree to perform or
                                    finance those response activities that  EPA determines
                                    to be necessary at the site;
                          •  to the extent practical, information that supports the PRP
                             designation, such as the dates of ownership of real site
                             property or the period of time that  the company operated
                             the facility;
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                            •   information about the general opportunity to discuss any
                               selected response action and opportunities to undertake the
                               selected response action, including;

                                  •    discussion of any planned response measures,
                                  •    the merits of forming a PRP steering committee,
                                  •    the deadline for the PRPs to respond, in writing,
                                      indicating their willingness to  participate in the
                                      response action at the site, and
                                  •    the name and phone number  of the EPA contact for
                                      PRPs or their attorneys,
                                  •    information about development of the administrative
                                      record pursuant to the NCP; and
                                  •    a demand for reimbursement of EPA costs.

                        (See "Sample General Notice Letter" (April 30, 2008), Chapter 1
                        References, p. 41.)
1.3.2
Special
Notice Letters
                        General notice letters usually encourage PRPs to undertake
                        response actions. Although EPA is not required to do so, providing
                        as much information as possible to PRPs concurrently with the GNL
                        often yields the best results, including identification of additional
                        PRPs, better responses to Section 104(e) information requests,
                        and, ultimately, more productive negotiations with PRPs for
                        performance of the work under a settlement agreement.15
The SNL, authorized under CERCLA Section 122(e)(l), is a written
notice to PRPs that triggers an enforcement moratorium — a period
in which EPA postpones Fund-lead response actions and withholds
                               15 OSRE Memorandum, "Revised Final Guidance on Disseminating EPA's SBREFA
                        Information Sheet to Businesses at the Time of Enforcement Activity" (August 31, 1999) states that
                        EPA will notify small businesses of their right to comment on regulatory enforcement activities
                        when EPA makes its "initial enforcement contact" with the business. The initial enforcement
                        contact under CERCLA is typically a general or special notice letter. (See Chapter 1 References, p.
                        41, for the memorandum and current Small Business Information Sheet.)
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any enforcement action in order that EPA and the PRPs may
negotiate a settlement concerning response actions at the site. The
SNL contains the following:

   •   information about the Agency's discretionary authority  under
       Section 122(e) of CERCLA to formally negotiate the terms of
       settlements pursuant to special notice procedures if EPA
       determines that such procedures would facilitate an
       agreement and would expedite a response action at the site;
   •   information on the recipient's potential liability;
   •   conditions of the enforcement moratorium;
   •   description of  a good faith offer;

   •   description of  future  response actions, if known;
   •   statement of work to be performed;
   •   additional information, including information on other PRPs,
       site fact sheets, volumetric ranking if available;
   •   demand for past costs; and
   •   for RD/RA and non-time-critical removal SNLs, a statement
       whether the site is eligible for orphan share compensation
       under the "Orphan Share Policy" (June 3,  1996) (see
       Chapter 1 References, p. 41) and, if so, the maximum
       amount appropriate for compensation.

EPA may, at its discretion, choose not to follow special notice
procedures.  It may instead  send  a letter to PRPs stating that it is
not going to use special notice procedures because, for instance,
negotiations are already underway, and outlining EPA's plans for
the negotiations.  Due to the urgency of emergency and time-
critical removals, Section 122 does not require special notice
procedures.  For procedures applicable to removals,  refer to the
"Superfund Removal Procedures Removal Enforcement Guidance for
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                       On-Scene Coordinators" (April 1992). The volume referenced is
                       one of a ten-volume series of guidance documents collectively titled
                       Superfund Removal Procedures. (Chapter 1 References, p. 41.)
1.3.3
Types of
Settlements
EPA sets forth settlements in legal documents that describe the
requirements of the response action. If the response action is an
RI/FS or RD, EPA usually requests that the PRPs enter into an
administrative order on consent (AOC). An AOC is a legally binding
administrative order that EPA and the PRPs agree to and sign.  A
consent decree (CD) is required for an RA; it is similar to an AOC in
that negotiations are bilateral. A  CD, however, is a judicial action
that must be approved by DCO, filed with  a complaint in federal
court, and approved by a judge before  it becomes final.

The above settlement devices are addressed in more detail in the
"Addendum to the Interim CERCLA Settlement Policy." (See
Chapter 1 References, p. 41.)
                       A number of activities take place in preparation for negotiations for
                       removals, RI/FS, and RD/RA, including substantial completion of
                       the PRP search.  It is important that sufficient attention be given to
                       the PRP search before these negotiations commence. PRP search
                       activities may be initiated at the preliminary assessment and site
                       investigation  (PA/SI) phase of the  enforcement timeline.
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                               Chapter 1 References
           Name
                               Section
               Location
Comprehensive Environmental      1.1
Response, Compensation, and
Liability Act of 1980, as
amended by the Superfund
Amendments and
Reauthorization Act of  1986
                                1.1.1
                                1.1.1
                                1.1.3
National Oil and Hazardous
Substances Pollution
Contingency Plan

Oil Pollution Act of 1990
Interim Guidance on the
Ability to Pay and De minimis
Revisions to CERCLA Section
122(g) by the Small Business
Liability Relief and Brownfields
Revitalization Act (May 17,
2004
Clean Air Act                     1.2.2
Clean Water Act                  1.2.2
Toxic Substances Control Act       1.2.2


Resource Conservation and        1.2.2
Recovery Act

CERCLA Hazardous               1.2.2
Substances
                                          42 U.S.C. §9601 etseq.
                                          http://www.epa.gov/emergencies/lawsregs
                                          .htm#laws
40 C.F.R. Part 300
http://www.epa.gov/emergencies/lawsregs
.htm#laws

33 U.S.C. §2701 etseq.
http://www.epa.gov/emergencies/lawsregs
.htm#laws

http://www.epa.gov/compliance/resources
/policies/cleanup/superfund/atp-demin-
122g-04.pdf
                                          42 U.S.C. §7401 etseq.
                                          http://www.epa.gov/emergencies/lawsregs
                                          .htm#laws

                                          33 U.S.C. § 1251 etseq.
                                          http://www.epa.gov/emergencies/lawsregs
                                          .htm#laws

                                          15 U.S.C. §2601 etseq.
                                          http://www.epa.gov/agriculture/lsca.html

                                          42 U.S.C. §6901 etseq.
                                          http://www.epa.gov/epawaste/index.htm

                                          40 C.F.R. Part 302
                                          http://www.epa.gov/emergencies/lawsregs
                                          .htm#laws
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                               Chapter 1 References
           Name
Section
Location
Comptroller Policy                 1.2.3
Announcement 87-17,
Interest Rates for Debts
Recoverable  Under the
Superfund Amendments and
Reauthorization Act of 1986
(September 30, 1986)

Small Business Liability Relief       1.2.5
and Brownfields Revitalization
Act of 2002

Standards and  Practices for All      1.2.5
Appropriate Inquiries, 40
C.F.R. Part 312  (November 1,
2005)

Fact Sheet on All Appropriate       1.2.5
Inquiries Final Rule (October
2005)

Internal Revenue Code of          1.2.6
1986

Contiguous Property Owner        1.2.6
Guidance Reference Sheet
(February 5, 2004)

Superfund Recycling Equity         1.2.6
Act (CERCLA Section 127)
Standards for the                  1.2.6
Management of Used Oil

Federal Insecticide, Fungicide,      1.2.6
and Rodenticide Act

Revised Settlement Policy and      1.2.7
Contribution Waiver Language
Regarding Exempt "De
micromis" and Non-Exempt
"De micromis" Parties
(November 6, 2002)
           http://www.epa.gov/ocfo/finstatement/
           superfund/int_rate.htm
           Public Law 107-118 (H.R. 2869)
           http://www.epa.gov/brownfields/pdf/
           hr2869.pdf

           http://ecfr.gpoaccess.gov/cgiA/text/text-
           idx?c=ecfr&tpl=/ecfrbrowse/Title40/40cfr3
           12_main_02.tpl
           http://www.epa.gov/brownfields/aai/aaLfi
           nal_factsheet.pdf
           http://www.irs.gov/taxpros/article/0,,id=9
           8137,00.html

           http://www.epa.gov/compliance/resources
           /policies/cleanup/superfund/contig-prop-
           faq.pdf

           42 U.S.C. §9627
           http://www.epa.gov/emergencies/lawsregs
           .htm#laws

           40 C.F.R. Part 279
           http://www.access.gpo.gov/nara/cfr/waisi
           dx_08/40cfr279_08.html

           7 U.S.C. § 136etseq.
           http://www.epa.gov/agriculture/lfra.html

           http://www.epa.gov/compliance/
           resources/policies/cleanup/superfund/
           wv-exmpt-dmicro-mem.pdf
                                        Chapter 1:  Overview of CERCLA and PRP Searches
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                                                                  PRP Search Manual
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                               Chapter 1 References
           Name
Section
Location
Interim Policy on CERCLA          1.2.7
Settlements Involving
Municipalities or Municipal
Wastes (December 6, 1989)

Policy for Municipality and          1.2.7
Municipal Solid Waste CERCLA
Settlements at NPL Co-
Disposal Sites (February 5,
1998)

Interim Guidance on the           1.2.7
Municipal Solid Waste
Exemption Under CERCLA
Section 107(p) (August 20,
2003)

Policy Toward Owners of           1.2.7
Property Containing
Contaminated Aquifers
(May 24, 1995)

Bona Fide Prospective              1.2.7
Purchasers and the New
Amendments
(May 31, 2002)
Windfall Lien Administrative        1.2.7
Procedures  (January 8, 2008)

Interim Enforcement               1.2.7
Discretion Policy Concerning
"Windfall  Liens" Under Section
107(r) of CERCLA (July 16,
2003)

Policy Towards Owners of          1.2.7
Residential Property at
Superfund Sites
(JulyS, 1991)

Interim Guiding Principles for       1.2.7
Good Samaritan Projects at
Orphan Mine Sites and
Transmittal of CERCLA
Administrative Tools for Good
Samaritans (June 6, 2007)
           http://www.epa.gov/compliance/resources
           /policies/cleanup/superfund/munwst-
           dclay-mem.pdf
           http://www.epa.gov/compliance/
           resources/policies/cleanup/superfund/
           munic-solwst-mem.pdf
           http://www.epa.gov/compliance/
           resources/policies/cleanup/superfund/
           interim-msw-exempt.pdf
           http://www.epa.gov/compliance/
           resources/policies/cleanup/superfund/
           contamin-aqui-rpt.pdf
           http://www.epa.gov/compliance/
           resources/policies/cleanup/superfund/
           bonf-pp-cercla-mem.pdf

           http://www.epa.gov/compliance/resources
           /policies/cleanup/superfund/wf-admin-
           mem.pdf
           http://www.epa.gov/compliance/
           resources/policies/cleanup/superfund/
           interim-windfall-lien.pdf
           http://www.epa.gov/compliance/
           resources/policies/cleanup/superfund/
           policy-owner-rpt.pdf
           http://www.epa.gov/compliance/
           resources/policies/cleanup/superfund/
           cercla-goodsam-principles-mem.pdf
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                                                                 PRP Search Manual
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                               Chapter 1 References
           Name
Section
Location
Sample General Notice Letter      1.3.1
(April 30, 2008)


Revised Final Guidance on         1.3.1
Disseminating EPA's SBREFA
Information Sheet to
Businesses at the Time of
Enforcement Activity
(August 31, 1999)

Small Business Information        1.3.1
Sheet
(October 2007)

Orphan Share Policy              1.3.2
(June 3, 1996)


Superfund Removal               1.3.2
Procedures
Removal Enforcement
Guidance for On-Scene
Coordinators (April 1992)

Addendum to the Interim          1.3.3
CERCLA Settlement Policy
Issued on December 5, 1984
(September 30, 1997)
           http://www.epa.gov/compliance/resources
           /policies/cleanup/superfund/gnl-mod-
           08.pdf
           http://www.epa.gov/compliance/
           resources/policies/civil/sbrefa
           http://www.epa.gov/compliance/resources
           /publications/incentives/smallbusiness/sma
           llbusresources.pdf
           http://www.epa.gov/compliance/
           resources/policies/cleanup/superfund/
           orphan-share-rpt.pdf

           OSWER Directive 9360.3-06; NTIS Product
           Code PB92963409
           http://www.ntis/search/index.aspx
           http://www.epa.gov/compliance/
           resources/policies/cleanup/superfund/
           adden-settle-mem.pdf
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2.0     PRP Search Overview	42

       2.1   Roles and Responsibilities	44
            2.1.1   PRP Search Team	45
            2.1.2  Opportunities for PRP Input	52

       2.2   PRP Search Plan	56
            2.2.1  Timing and Duration	59

       2.3   Information Disclosure Issues	70

       2.4   Document Filing and Retention Issues	78
            2.4.1  Document Management	79
            2.4.2  CERCLIS/WasteLAN	79
References.
.81
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2.0   PRP Search Overview
                       The primary purpose of the PRP search is to identify parties who
                       may be liable under CERCLA.  The PRP search is designed to gather
                       information establishing the elements  of liability for each PRP.

                       Effective PRP searches are fundamental to the Agency's
                       "enforcement first" strategy of obtaining increased PRP involvement
                       in conducting response activities, and  information obtained in the
                       course of PRP searches serves a variety of other purposes in the
                       remedial site response process.  These purposes include:

                          •   finding out from whom to obtain site access;1

                          •   facilitating site characterization by providing information on
                              hazardous substances  used, site boundaries, disposal
                              practices, and locations for conducting sampling;

                          •   identifying individuals who  may have historical information
                              or historical knowledge of site activities;

                          •   assessing potential applicable or relevant and appropriate
                              requirements (ARARs)  (See Chapter 2 References, p. 81.);

                          •   developing waste-in lists and volumetric rankings; and

                          •   assessing settlement prospects and litigation  risks.

                       (See Exhibit 1, "Overview of the PRP Search Process.")

                       Achieving the Agency's goals of accelerating cleanups, maximizing
                       PRP involvement in response actions, and reaching fair settlements
                               OECM Memorandum, "Entry and Continued Access Under CERCLA" (June 5,
                       1987) (See Chapter 2 References, p. 81.)
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                                                                                                                  PRP Search Manual
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                                        Exhibit 1.  Overview of the PRP Search Process










Share Factual, Non-Enforcement-Sensitive Information with 1
PRPs as Appropriate (e.g., Site Chronology and Property |^™^™H
History, PRP Names, Waste-in Information) |
          Special Notice
             Letters*
                                                                       Com pile, Organ ire &
                                                                        Analyze Responses
   104(e) Fbllowup/Compel
lorn pliancewith 104(e) Requests
 as Necessary and Appropriate
                      "I     Ongoing Review and Quality Assurance  U
            generally dictated by response planning. The baseline phase of the PRP search
                      purpose of RI/FS Special Notice at least 90 days before the planned RI/FS
                      ility and ability to pay will be collected during the RI/FS and follow-up phase,
                      ea evidence will be completed, reviewed, and updated, if necessary, prior
   if necessary. Collection of such improv*
   to issuance of RD/RA SNLs.

** Completed at least 90 days prior to issuance of RD/RA Special Notice Letters.
NOTE:


Thisexhibit presents an overview of a
typical PRP search. It is not Intended as
a prescribed process for every PRP search.
The appropriate process for a particular
site Is a matter for the professional judgment
of the PRP search team.
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Responsibilities
                                                                     PRP Search Manual
                                                                        September 2009
                       with PRPs requires careful and coordinated planning of the PRP
                       search.  Planning  involves identifying key personnel involved in the
                       PRP search, outlining their roles and responsibilities, determining
                       the timing and duration of PRP search activities, and identifying
                       tasks to be performed. The PRP search planning process should be
                       a team effort.
In recent years, there has been increased planning, coordination,
and integration among remedial, site assessment, and removal
staff, and increased dedication of resources to the post-construction
phase of the Superfund timeline, (e.g., five-year reviews and
institutional controls).

Management Team

In some regions, this strategy has been facilitated by a standing
management team of regional EPA decision makers.  The purpose
of such a team is to ensure appropriate and effective coordination,
communication, and integration of Superfund responses, and
adequate personnel, funds, and decision-making processes to
accelerate site responses. The team will generally take PRP search
information into consideration when establishing priorities and
direction for the site response.2 Although the management team is
not involved in the day-to-day management of the PRP search, it
may request specific information about PRPs to determine, (e.g.,
the appropriate enforcement response or potential dollar needs for
orphan share compensation). Greater emphasis on the post-
construction phase does not reduce the need to  apply PRP search
resources early in the listing phase for new NPL  sites and sites with
significant remaining future response work, and  the management
team can play an important role  in determining the appropriate
sites to "front load" with those resources.
                              2
                               The National Prioritization Panel also will consider PRP search information when
                       prioritizing sites proposed for Fund-lead remedial action.
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2.1.1                  Each of EPA's regional offices has its own unique organizational
nnn *>     •_ •*•        structure and procedures for performing PRP searches, and the
PRP Search Team
                       titles of persons performing search tasks may vary from region to
                       region. Search and search-related tasks may be performed by
                       persons with one or more of the following job titles: civil
                       investigator; remedial project manager; on-scene coordinator; case
                       developer; attorney;  paralegal; enforcement specialist;
                       enforcement officer; enforcement project manager; cost recovery
                       specialist; and environmental protection specialist. Some general
                       descriptions of key players and responsibilities, however, cut across
                       regional variations.

                       PRP Search Manager
                       The PRP search manager has the lead for overseeing each  site-
                       specific PRP search.  He or she  is responsible for selecting an
                       appropriate combination of the search personnel listed above to
                       ensure an effective case team to perform the following tasks as
                       necessary and appropriate:

                          •  establish PRP search priorities;

                          •  establish PRP search strategy;

                          •  develop PRP search work assignments, budgets, and
                             schedules;

                          •  manage contractor-conducted search tasks;

                          •  define the scope of the search;

                          •  review baseline, interim, and final contractor deliverables;

                          •  introduce the contractor to state and local government
                             contacts, as needed;

                          •  issue information request, general notice, and special notice
                             letters;
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    •   follow up on all tasks necessary for conducting a complete
       search;

    •   implement quality assurance and quality control (QA/QC)
       procedures  to ensure the accuracy of data gathered during
       the search;

    •   gather adequate information for special notice letters;

    •   perform ATP analysis (ABEL/INDIPAY);

    •   gather adequate evidence of PRP liability and ability to pay;

    •   obtain site costs as appropriate for  potential cost recovery;
       and

    •   afford the universe of PRPs an opportunity to provide input
       into the completeness of the Agency's PRP search efforts.

Following are general descriptions of several categories of search
personnel that comprise the search team, keeping in mind that in
some regions similar tasks and certain post-search tasks may be
performed by search  personnel with one of the other job titles listed
above.

Civil Investigator

The civil investigator (CI) typically performs specialized PRP search
tasks such as interviews with private parties and specialized
investigative work  related to, (e.g., waste disposal or PRP
identification).  CIs may assist PRP search  managers or case
attorneys in preparing CERCLA Section 104(e) information request
letters, reviewing evidence, and conducting interviews.  In some
regions, CIs are responsible for  all PRP search activities; in other
regions, contractors may be used to do a portion of the work, such
as title searches, and CIs are responsible for all other activities.  In
some regions, CIs  work exclusively on either removal or remedial
PRP searches.  Potential advantages to this approach are that it
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                                             PRP Search Manual
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allows the investigator to become familiar with the special types of
investigative situations that each presents,  prevents conflicts
between the remedial and removal programs, and ensures an
investigator's availability in cases involving  time-critical removals.

PRP searches often involve complex evidentiary and legal issues. If
PRP searches are conducted or managed by remedial project
managers, on-scene coordinators, or other  personnel not
experienced in performing enforcement investigations, it is
advisable to involve both  CIs or other enforcement staff and
counsel in planning PRP search activities as well as in reviewing
information obtained, contractor deliverables, and conclusions
drawn.

Remedial Project Manager

The remedial project manager (RPM) is the Agency official
designated to coordinate, monitor, and direct remedial and certain
other response activities at NPL sites. RPMs may serve as work
assignment managers (WAMs) or contracting officer's
representatives (CORs) on a  PRP search or  assist other Agency
personnel performing or overseeing the search. RPMs are
responsible for overseeing PRPs' performance of response activities
at enforcement-lead sites. Once PRPs have agreed to perform
response actions at a site, the RPM is responsible for ensuring that
studies and cleanup activities are performed correctly and in
accordance with the AOC  or CD, CERCLA, the NCP, and relevant
policy and guidance.  Moreover, RPMs may  be involved in RI/FS,
engineering evaluation and cost analysis (EE/CA), or RD/RA
negotiations.  As they work extensively with PRPs, it is essential
that RPMs understand Agency policies and procedures for
completing a thorough PRP search whether or not they are involved
in performing it.
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On-Scene Coordinator

The on-scene coordinator (OSC) is the Agency official designated to
coordinate, monitor, and direct removal actions. A removal action
is conducted to respond to a release or threatened release and
must be performed within a short period of time.  OSCs need basic
information, such as property ownership, very early in the removal
action to enable them to get access to the site and identify the
source of the release or threat of release.  The OSC may ask for a
thorough PRP search  once the removal is under way or the release
or threat has been addressed. The nature and extent of an OSC's
involvement in PRP search efforts will depend on the nature of the
removal and the urgency of responding to the release or threat of
release.  Like RPMs, OSCs need to understand the PRP search
process whether or not they are actively involved in the search
itself.   (See subsection 2.2.1 of this manual for other PRP search-
related tasks during removal actions.)

Paralegal

Some regions use paralegals to support PRP searches. Paralegals
work with case attorneys and other staff to develop the evidence to
support a  finding of liability.  They are generally skilled at
researching case law, statutes, rules, and legislative histories using
legal research databases such as Lexis/Nexis and Westlaw, which
are made  available to regional legal staff.  Paralegals' research
skills often extend to obtaining information regarding corporate
filings from secretaries  of state, and information regarding PRPs
from business, news, and internet sources.  Depending on the skills
of the paralegal and the organizational structure in a region,
paralegals may perform some of the same tasks as CIs or PRP
search managers, including interviewing potential witnesses and
PRPs.  Paralegals also may research property ownership, perform
limited title searches, and obtain deeds and  maps relating  to sites.
Paralegals draft CERCLA Section 104(e) information requests and
review and summarize  PRP responses to those requests.
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Paralegals work closely with regional attorneys to trace corporate
successors and help determine successor liability and liability of
parent or subsidiary corporations. This often involves searching
archives and public records for historical information.

EPA Attorney

The level of involvement of the case attorney in the PRP search
may vary from region to region, site to site, and with the nature
and number of legal issues associated  with the site.  The case
attorney should be involved as early as possible to ensure that
collected information meets evidentiary standards and that the
scope of the PRP search is appropriate. It is very important to
obtain  attorney input regarding sufficiency of evidence questions,
title searches,  conducting interviews, definition of site, and
classification of PRPs (e.g., "de micromis", insolvent).  As most
PRPs retain legal counsel to represent  them throughout
performance of the response action, it is important that the
regional case attorney, at a minimum, be involved in  identification
of critical PRP search planning and implementation milestones. In
addition to preparing litigation referrals to and serving as EPA's
main contact with DCO, EPA attorneys  play a major role in all
phases of the Superfund process from  site discovery through
cleanup and post-construction activities.

Contractor

As mentioned earlier, each region performs PRP searches in a
slightly different manner, depending on the organization of the
region, availability of staff with PRP search experience, number of
PRP searches,  and other factors.  Most, if not all regions, however,
also employ contractors in some capacity when performing PRP
searches.  Contractor support activities include establishing and
maintaining PRP databases, performing title searches, preparing
PRP search reports, and reviewing and compiling records.  (See
Appendix A for a sample "Performance Work Statement for
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                                             PRP Search Manual
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Enforcement Support Services," including PRP search support.)
Contractors may not perform inherently governmental functions.
Prohibited activities include making legal or liability determinations
and approving and signing CERCLA Section 104(e) information
request letters. Contractors may, however, draft and mail Section
104(e) letters and other correspondence. Regions may share
enforcement support contracts with one or more other regions or
enter into interagency agreements enabling them to access sister
agencies' contractors to assist in PRP search efforts.  Regional
contracting officers (COs) and project officers (POs) should  be
consulted  regarding award, period of performance, scope of work,
and suitability of regional enforcement contracts for obtaining PRP
search task support.

Financial Analyst

There are situations when specialized expertise is needed to make
ability to pay determinations, assess complex PRP financial  records
or business transactions,  and evaluate bankruptcy claims. In these
instances, regions may use in-house financial analysts, EPA's
National Enforcement Investigations Center (NEIC) staff expertise,
or contractors with this expertise. Financial analysts may also help
evaluate compliance with the financial assurance provisions of
settlement agreements.

SEE Personnel

The Senior Environmental Employment (SEE) program was  formally
established through the Environmental Programs Assistance Act
(June 12,  1984).  (See Chapter 2 References, p. 81.)  Under this
Act,  EPA is authorized  to enter into cooperative agreements (CAs)
with certain private, non-profit organizations designated by the
secretary of labor as organizations that are eligible to receive funds
under Title V of the Older Americans Act  (1965).  (See Chapter 2
References, p. 81.)  The Act specifies that individuals age 55 and
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                                             PRP Search Manual
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older in temporary, short-term assignments can provide technical
assistance to federal, state, and local environmental agencies for
projects on pollution prevention, abatement, and control. Most, if
not all, regions participate in the SEE program.

Although not EPA employees, SEE personnel working for EPA in a
PRP search investigative role could take on the following tasks:

    •   assisting in coordinating with other regional PRP search
       personnel to assure effective implementation of national
       investigative policy or guidance; and

    •   providing training or technical assistance on possible
       techniques and approaches to other personnel who are
       involved in fact finding or information gathering.

If SEE personnel are used to support PRP searches or
investigations, they should have a general knowledge of criminal
and civil provisions of environmental protection statutes, knowledge
of investigation principles and techniques, skill in the use of
investigative techniques, and the ability to conduct interviews and
draft interrogatories. Like other contractors, SEE employees must
identify themselves as contractors and may not provide legal
advice, make inherently governmental decisions, or sign CERCLA
Section 104(e) letters or other EPA correspondence.

Community Involvement

The PRP Search Team should consider establishing communication
with the Community Involvement  Coordinator  early in the search
process as community involvement activities may produce many
benefits,  including information on  additional PRPs.  Areas adjacent
to Superfund sites often contain numerous residents who may have
lived in the area for a long time.  Many of these residents have
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                                                                         PRP Search Manual
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                        specific knowledge of the site and are usually willing to share their
                        information. The local community should routinely be considered a
                        potential source of information.
2.1.2
Opportunities for
PRP Input
As PRPs have an interest in identifying additional parties with whom
response costs might be shared - and may have information that
could lead  to such parties - EPA should  provide PRPs the
opportunity to participate in or provide  input to the search.3  PRP
input may  speed up the settlement process, help avoid third-party
litigation, and facilitate private allocation efforts. In addition, PRPs
may be invaluable in identifying witnesses and parties with
pertinent information.  It is up to EPA to determine whether PRP
participation will be  beneficial, define the nature and extent of such
participation, evaluate  information submitted  by the PRPs, and
maintain oversight of their search activities.  It is advisable to make
this determination as early in the search process as possible.
CERCLA Section  104(e) information request letters and GNLs may
be used to invite PRPs to participate in the search and submit
information about additional parties.4

If PRPs express interest in participating in the search, EPA must
determine  whether the potential benefits of their participation
outweigh the burden of directing and overseeing their activities.
Factors that EPA may weigh in making this determination include:

   •   whether the  PRPs have the ability to provide needed
       information;
                                 The case team's planning of response and enforcement actions should allow
                        sufficient time for EPA to issue follow-up CERCLA Section 104(e) information request
                        letters to newly identified parties before EPA makes final PRP determinations.
                               4
                                 Model CERCLA Section 104(e) letters include questions seeking information
                        from PRPs about other PRPs. (See "Transmittal of Sample Documents for More Effective
                        Communication in CERCLA Section 104(e)(2) Information Requests" (June 30, 1995),
                        Chapter 2 References, p. 81, for sample information request letter questions.)
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   •   whether information obtained by the PRPs may raise
       confidentiality issues;

   •   whether PRPs have cooperated with EPA and been
       responsive to its information requests;

   •   whether third-party tort issues or contribution  litigation exist
       or may arise among PRPs;

   •   whether the PRPs have any advantage, bias, or interest that
       could influence their performance of search-related tasks;

   •   site-specific factors such as timing or large numbers of
       known PRPs.

Direction and Oversight
Proper direction and oversight are necessary to maximize the
potential benefits of PRP participation in the search and to ensure
that PRP-assisted searches are conducted in a manner both
effective and consistent with overall Agency responsibility for the
search. In some circumstances, EPA may find that channeling PRP
input through a steering committee or other organized group of
PRPs whose liability has been established facilitates direction and
oversight.  In addition, the following guidelines are recommended:

   •   The PRPs should commit themselves to working with EPA in
       good faith for the duration of the search.

   •   The PRPs should be in compliance with any CERCLA Section
       104(e)  information requests issued to them and commit
       themselves to supplement those responses in a timely
       manner as additional information becomes available.

   •   The PRPs must not represent themselves as EPA personnel
       when performing PRP search-related tasks.
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    •   Do not share with the PRPs any CBI, trade secrets, or other
       sensitive information obtained from PRPs who are not
       participating in the search.

    •   Document the PRPs' tasks, roles, authorities, deadlines, and
       any tasks they may perform without EPA oversight in
       writing.

    •   Advise the PRPs that they must adhere to deadlines in order
       to avoid delays and ensure that EPA has enough time to
       consider information for a particular purpose (e.g., issuance
       of SNLs).5

    •   Advise the PRPs that the work they perform must be fully
       documented so as to support its completeness and accuracy,
       and that all supporting records and documentation  must be
       submitted to EPA for possible inclusion in the site's
       administrative record or for use as evidence in federal court.

    •   Require that the  PRPs explain the legal and factual basis of
       identified parties' liability and submit documentation
       supporting their determination.

    •   Require that the  PRPs explain all assumptions made in
       compiling all waste-in lists they submit.

    •   Advise the PRPs that information submitted regarding  other
       parties may be used for litigation and  negotiation  purposes,
       and ensure that they understand how to treat information
       containing personal privacy information or claimed as
       confidential business information (CBI). (Before sharing
        Failure of the PRPs to meet agreed deadlines may result in EPA takeover of a task
that a PRP has agreed to perform, which may increase PRPs' costs and result in information
being obtained too late to be considered.
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       any information of this kind with other PRPs, check with
       your Office of Regional Counsel (ORC) to determine if a
       confidentiality agreement should be drafted covering this
       information.  (Information disclosure  issues are discussed in
       Section 2.3 of this manual.)

    •   Explain to the PRPs that although the Agency appreciates
       receiving information on additional  parties, EPA is not
       obligated to explain or justify its decisions regarding
       whether or not to pursue those parties.

    •   Ensure that all  PRPs participating in the search have equal
       access to information.

    •   Advise the PRPs of EPA's enforcement discretion policies.

EPA is under no legal obligation to address information provided by
PRPs  identifying other PRPs or to advise them whether the new
parties were determined to be PRPs, but the PRPs who provided the
information should receive some feedback or explanation as to  why
the newly identified  parties were or were not named.6

EPA Responsibilities

Just as EPA determines whether PRPs will participate in the search,
it determines what tasks they will perform. Regardless of the
nature and extent of PRP participation, however, EPA - and
specifically the Case Team - is responsible for performing the
primary search functions and bringing the  search to a successful
conclusion.  The Agency's prerogatives include:
        EPA personnel are required to document in an enforcement-confidential
memorandum their decisions to exclude certain PRPs from any CERCLA Section 106 UAOs
that are issued or not to issue UAOs to late-identified PRPs. (See OSRE Memorandum,
"Documentation of Reason(s) for Not Issuing CERCLA §106 UAOs to All Identified PRPs"
(August 2, 1996), Chapter 2 References, p. 82.)
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2.2                         •   determining the timing and extent of the PRP search;

PRP Search              .   deciding which parties should receive CERCLA Section
Plan                           104(e) information request or notice  letters;7

                             •   evaluating information developed in the course of the
                                search;

                             •   deciding which parties to name as PRPs; and

                             •   determining the terms of settlement with PRPs.

                         PRP Search  Tasks

                         As part of their efforts to identify additional parties, PRPs may
                         perform associated tasks such as:

                             •   conducting title searches;

                             •   developing waste-in lists;

                             •   preparing volumetric rankings;

                             •   performing corporate and other public document research;

                             •   providing information on industry processes and waste
                                streams;

                             •   identifying and locating witnesses and other knowledgeable
                                parties;

                             •   interviewing witnesses and providing  EPA with notes and
                                affidavits;8
                                 OSRE Memorandum, "Revised Final Guidance on Disseminating EPA's SBREFA
                         Information Sheet to Businesses at the Time of Enforcement Activity" (August 31, 1999)
                         ,states that EPA will notify small businesses of their right to comment on regulatory
                         enforcement activities when EPA makes its "initial enforcement contact" with the business.
                         The initial enforcement contact under CERCLA is typically a general or special notice letter.
                         (See Chapter 2 References, p. 82, for the memorandum and current "Small Business
                         Information Sheet.")
                                o
                                 EPA may choose to re-interview witnesses originally interviewed by other PRPs
                         and obtain its own affidavits or witness statements.
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       funding neutral ADR professionals to assist in information-
       gathering efforts;
       establishing and managing document repositories of publicly
       available, non-privileged, non-CBI site information;
       developing databases to make site information accessible to
       widely dispersed parties; and
       sharing information from in-house databases.
The site-specific PRP search plan focuses on the "nuts and bolts" of
how the search will be conducted; it identifies the goals of the
search and the tasks necessary to achieve them. The PRP search
plan should be considered iterative in nature since it is not possible
to foresee all the types of information that may need to be
gathered, the questions and issues that may develop during the
baseline phase, or the tasks necessary to complete as part of a
follow-up search. PRP search plans should not be confused with
PRP search work plans.  Work plans are documents prepared by
contractors that describe in detail the work to be performed  and
identify proposed staff in response  to a scope of work prepared and
issued by EPA or another contracting agency.

Since each site involves a unique set of legal and technical issues,
there is no fixed set of tasks that must be performed during every
PRP search; the nature and number of search tasks will vary from
site to site.  For instance, a PRP search at an industrial plant site
with only a few owner/operators may require only a baseline effort
with few or no follow-up tasks.  At  a complex site, on the other
hand, a baseline search is insufficient and will require follow-up
activities.  (See Appendix B for a checklist of PRP search tasks.)
The plan  should  have the flexibility to respond to needs identified in
any part of the PRP search process. To ensure that the PRP search
plan addresses potential legal, technical, and policy issues that may
be associated with the search, the  PRP search manager should
include all EPA staff working on the site (e.g, CI, RPM, OSC,
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attorney) in the development of the plan.  (See Exhibit 2, "PRP
Search Process Flow Chart.") The PRP search plan should be fully
implemented before RD/RA negotiations commence.

Despite the differences among sites, PRP search plans generally
address the following:

   •   Defining search tasks and  the order in which they should be
       performed, including follow-up tasks to repair  data gaps that
       appear during the search ;

   •   Defining resources needed to accomplish search tasks,
       taking into consideration site factors that may require
       specialized resources and skills, such  as:

        •  an unusually large number of generators;
        •  PRPs that may qualify for an exemption;
        •  area-wide ground water contamination or surface
           water contamination  where sources are not apparent;
        •  non-contiguous sites (e.g., where one company owned
           or operated multiple  sites and transshipped wastes
           between them); or
        •  mining sites, particularly those that are very old  or
           involve large watersheds;

   •   Developing a detailed scope of work to obtain  contractor
       support, if necessary;

   •   Establishing a schedule for completion of search tasks;

   •   Managing the search, including:

         • roles and responsibilities of all members  of the PRP
           search team;
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                                  procedures for assessing search progress, conducting
                                  evidence reviews, and identifying impediments to
                                  progress; and

                                  describing the PRP Search Team's strategy for
                                  encouraging PRP participation in the search.
2.2.1
Timing and
Duration
The PRP search should be initiated as soon as possible after it
becomes reasonably certain that EPA will incur response costs at a
site. Searches may be performed  in phases. A preliminary search
may be initiated during a removal  response or during the
preliminary assessment/site investigation (PA/SI) if a removal
action is anticipated before a site is proposed for listing on the NPL.
Many traditional pre-remedial site  assessment tasks provide
information needed for the PRP search. These tasks need not be
duplicated by the  PRP search staff.  Appendix C contains a
checklist for removal and pre-remedial sites that was developed to
assist early on-site responders (e.g., CIs, OSCs) in documenting
valuable information on PRPs and site conditions.  To avoid
duplication of these tasks, early on-site responders  may fill out the
checklist as completely as possible and forward a copy to the
regional CI or enforcement staff person conducting the PRP search,
put a copy in the site file, and provide a copy to the case attorney.
                       Basic tasks needed at any site, including removal sites, include (1)
                       identifying the current site owner and, if applicable, operator, and
                       (2) gaining access to the site. Identifying the owner/operator is
                       particularly urgent at removal sites as the early responder needs to
                       determine whether the party is capable of or willing to perform
                       actions to stabilize conditions at the site. Once a removal response
                       has been completed or the site has been proposed  for listing on the
                       NPL, a more extensive PRP search may be undertaken based on
                       these preliminary tasks.  In practice, depending on resources and
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                                                Exhibit 2. PRP Search Process Flow Chart
  0
DAYS
 90
DAYS
 180
DAYS
 270
DAYS
 360
DAYS
 450
DAYS
540
DAYS
• REVIEW AGENCY FILES
• DEVELOP PRP SEARCH STRATEGY       '
• INITIATE WORK ASSIGNMENT (IF CONTRACTOR SUPPORT IS NEEDED)

   • HOLD WA KICK-OFF MEETING WITH CONTRACTOR

     • REVIEW, REVISE, AND APPROVE WORK PLAN
      • COLLECT FEDERAL, STATE AND LOCAL GOVT RECORDS
      • PREPARE LIST OF POTENTIAL INTERVIEWEES
      • DEVELOP AND REVIEW INTERVIEW QUESTIONS
         • CONDUCT FIRST-ROUND INTERVIEWS: GOVT OFFICIALS (AND
           PRIVATE PARTIES, IF POSSIBLE)
         • PERFORM TITLE SEARCH
                 • ACCESS CERCLISIII/WasteLAN FOR EXISTING PRP INFORMATION
                 • UPDATE PRP NAMES AND MAILING ADDRESSES
                    • PREPARE LIST OF 104(e) LETTER RECIPIENTS
                    • DEVELOP AND REVIEW 104(e) LETTER QUESTIONS
                    • ISSUE FIRST-ROUND 104(e) LETTERS
                    • SET UP CORRESPONDENCE TRACKING SYSTEM
                               • REVIEW FIRST-ROUND 104(e) LETTER RESPONSES
                               • COLLECT ALL RECORDS FROM OWNER/OPERATOR
                                AND NON-GOVERNMENT SOURCES
                                   • DEVELOP ADDITIONAL PRP NAMES AND MAILING ADDRESSES
                                   • PROVIDE OPPORTUNITY TO PRPs FOR INPUT INTO PRP SEARCH
                                                                    BASELINE REPORT PHASE
                                             I ISSUE SECOND-ROUND 104(e)/FOLLOW-UP LETTERS (AS NECESSARY AND APPROPRIATE)

                                                   • REVIEW SECOND-ROUND 104(e)/FOLLOW~UP RESPONSES
                                                            • COLLECT INFORMATION ON PRP FINANCIAL STATUS

                                                                           • PREPARE BASELINE REPORT
   FOLLOW-UP PHASE
    LEGEND

    CONTRACTOR RESPONSIBILITIES

    EPA RESPONSIBILITIES

    SUGGESTED STARTING POINT •
                                                 • UPDATE PRP SEARCH STRATEGY
                                                 • MEET WITH CONTRACTOR (IF APPLICABLE) TO DISCUSS FOLLOW-UP TASKS
                                                 • IMPLEMENT BASELINE REPORT RECOMMENDATIONS
                                                        • PREPARE LIST OF SECOND-ROUND INTERVIEWEES
                                                        • DEVELOP AND REVIEW SECOND-ROUND INTERVIEW QUESTIONS

                                                             • CONDUCT SECOND-ROUND INTERVIEWS
                                                             • IDENTIFY GENERATOR/TRANSPORTER INFORMATION SOURCES
                                                                • COLLECT GENERATOR/TRANSPORTER RECORDS

                                                                        • PROVIDE OPPORTUNITY FOR PRP INPUT INTO
                                                                          COMPLETENESS AND THOROUGHNESS OF PRP SEARCH

                                                                              • SET-UP TRANSACTIONAL DATABASE
                                                                                 • CONDUCT SPECIALIZED SEARCH TASKS

                                                                                       • ISSUE THIRD-ROUND 104{e)/FOLLOW-UP
                                                                                        LETTERS (IF NECESSARY AND APPROPRIATE)

                                                                                               • REVIEW THIRD-ROUND 104(e)/
                                                                                                 FOLLOW-UP RESPONSES
                                                                                                     • DEVELOP VOLUMETRIC
                                                                                                       RANKING/WASTE-IN LIST
                                                                                                      • CONDUCT FINANCIAL
                                                                                                        ASSESSMENT OF PRPS
                                                                                      PREPARE INTERIM-FINAL PRP SEARCH REPORT*
                                                 	ISSUE GENERAL NOTICE LETTERS -•
                                                 	ISSUE SPECIAL NOTICE LETTERS	•
 At sites where no volumetric ranking/waste-in list or financial assessment of PRPs is done, the interim-final PRP search report should be prepared 60 days after review
 of third-round 104(e)/follow-up responses. At sites where a volumetric ranking/waste-in list or financial assessment of PRPs is done, the interim-final PRP search report
 should be prepared 120 days after these tasks are completed.
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the urgency of site response actions, there may or may not be a
break between the preliminary PRP search and the more extensive
PRP search.

PRP search activities are generally iterative rather than discrete,
especially at more complex sites.  For example, at a watershed
contaminated  by mining activity where there are hundreds of waste
piles or discharging mine adits that could be sources, the PRP
search team may wait until technical staff have determined which
waste piles or adits will require a response before undertaking
extensive ownership and operational history research. In such
situations, the region may choose to have a contractor conduct
research on archive, library, and government  agency records for all
individual mines and mills within the site, but  initiate title searches
for individual mine properties only when a response  action for the
facility is being planned.

In conducting  the PRP search, regions should  consider which of the
tasks outlined below are cost-effective and reasonable to meet
relative to the anticipated overall cleanup costs at the site.9
Regions should document in the site file that they have taken all
reasonable, achievable steps to identify PRPs.  Task  1 below is
mandatory for all PRP  searches. Ideally, all reasonable,  achievable
steps should have been taken prior to completion of cleanup
negotiations, but it is recognized that this may not be feasible in all
situations.

    1.  PRPs have been afforded opportunities to participate in or
       contribute to the PRP search, and the information
       contributed has been verified and/or authenticated and
       incorporated in the PRP search.
       9 Superfund Program Implementation Manual (SPIM) Fiscal Year 2009/2010,
Appendix B-5, OSWER Directive 9200.3-14-1G-T, March 31, 2009;
http://www.epa.gov/superfund/action/process/spim09.htm.

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   2.  All relevant and material leads from CERCLA Section 104(e)
       responses, interviews, and other primary or source
       documents have been pursued.

   3.  Sufficient information and evidence have been obtained to
       support the government's liability case or to determine that
       no viable PRPs exist or can be found.

   4.  PRPs have been categorized  and financial and waste
       contribution information needed to perform orphan share
       calculations has been collected.

   5.  Ability to pay determinations (including but not limited to
       the investigation and analysis of any applicable insurance
       coverage) have been made for those PRPs  who have
       asserted inability to pay in good faith.

   6.  General  notice letters have been issued to  all PRPs being
       pursued.

The following two sections provide a more detailed discussion of the
timing and duration of PRP searches at removal and remedial sites.

Removal Searches
When PRPs are  known and are  able to perform the removal, EPA
prefers that they undertake the response action.  EPA's goal  is to
maximize PRP participation in all aspects of site response, including
the removal process, which  means PRP searches in the removal
context are increasingly important.

A PRP investigation should be part of the removal  site evaluation
conducted by an OSC. An important reason for initiating a PRP
search during the removal site  evaluation is to identify and locate
the property owner(s) in order  to obtain access. To the extent
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appropriate under the circumstances, the search should proceed to
identify other PRPs and attempt to have them perform the
necessary removal action. If the removal is conducted with federal
funds from the Superfund, supplemental searches during a
stabilization action may be warranted to  identify PRPs to take over
the action and reimburse EPA's response costs.

The appropriate level of effort to devote to preliminary PRP search
tasks in the removal context depends on the amount of time
between discovery of the release or threatened release and
execution  of the action memorandum, the urgency of the need to
respond to the release or threatened release, the estimated cost of
the removal, and available resources. At a minimum, the current
owner and current operator should be identified and, as
appropriate, issued notice. This can often be accomplished readily
and reliably by consulting witnesses and  neighbors, signs and
placards, or the local assessor's office.

EPA classifies removals into three categories:
1. Emergency Removals

Emergency removals are initiated in response to a release or
threatened release that requires on-site activities within hours of
determination that an action is needed. In emergency situations
where the PRPs are not immediately known, oral inquiries should
be made of municipal officials and reasonably available on-site
personnel, and reviews of readily available site records should be
undertaken.
The OSC should prioritize and expedite certain search activities to
support the notice, negotiation, and AOC process before the
removal begins.  Such activities may include notifying PRPs orally of
their potential liability after consulting with the ORC, and following
up with a notice letter as soon as possible after the oral
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notification. An expedited work assignment under a regional
enforcement support contract may be used for this purpose.  (See
the expedited PRP search support task in the sample "Performance
Work Statement for Enforcement Support Services" in Appendix A.)
 Once the site is stabilized, a second, more extensive phase of PRP
identification should commence.

2. Time-Critical Removals

Time-critical removals are initiated when the lead agency
determines, based on a site evaluation, that a removal action is
appropriate and on-site activities must be initiated within six
months.

In time-critical situations, the OSC and PRP search personnel
should follow procedures that expand  upon the PRP search activities
discussed for emergency situations. Title searches and on- and off-
site interviews also may be conducted. CERCLA Section  104(e)
information requests that include questions pertaining to
generators, transporters,  and financial viability may be used to
obtain  additional evidence.

3. Non-Time-Critical Removals

Non-time-critical removals (NTCRs) are initiated when the  lead
agency determines, based on a site evaluation, that action is
appropriate but a planning period of more than six months is
available before on-site activities must begin. NTCRs are managed
by RPMs  in some regions.

PRP searches for NTCRs are expected,  generally, to obtain  the
same level of PRP information that would be gathered  during a  PRP
search at a remedial site. As in  remedial searches, follow-up
activities should be completed in time for issuance of GNLs.
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Typical NTCR PRP search tasks include:

    •   reviewing EPA, state, and local agency files for information
       regarding land use, owners and operators, waste handling,
       and disposal permits;

    •   questioning persons on or near the site in greater detail;

    •   conducting extensive on-site and off-site interviews;

    •   reviewing documents left on site, (e.g., manifests (generator
       information), business records (business partners, financial
       status), payroll records (former employees who may have
       information about generators, operators, or on-site  waste
       disposal));

    •   issuing CERCLA Section 104(e) letters; and

    •   conducting title searches.

Other Considerations Applicable to All Removal Searches:

    •   Neighbors and nearby businesses are often rich sources of
       information about former and current site owners and
       operators and site activities.  These people should be
       interviewed as soon as possible.

    •   Visual evidence linking PRPs to the site (e.g., drum  labels,
       shipping records, vehicle registrations) should be
       documented, photographed, or photocopied, as appropriate.

    •   The regional attorney should be advised promptly if criminal
       activity is suspected.
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Remedial Searches

Remedial sites typically require comprehensive PRP searches that
may be performed in two or more phases.  Search activities should
begin as soon as the region believes that the site would qualify for
listing on the NPL and that a long-term response is appropriate.

These are sites that would score 28.5 under the hazard ranking
system (MRS) or otherwise meet one or more of the following
listing criteria:

    •   contaminated aquifers used for public drinking water;

    •   soils in  residential areas or schools contaminated with
       hazardous substances significantly above background levels;
       and

    •   sensitive environments, and those with threatened or
       endangered species, containing hazardous substances
       significantly above background levels.

Timing and duration goals for remedial searches should be to:

    •   identify a sufficient number of viable PRPs concurrently with
       the NPL listing  of a site to negotiate performance of the
       RI/FS;

    •   identify and classify PRPs such that EPA can offer de minimis
       parties  a settlement prior to conclusion of the RI/FS (pre-
       ROD);

    •   identify the insolvent and defunct parties so that an orphan
       share can be calculated, if appropriate, and the number of
       viable PRPs for negotiations can be established prior to the
       issuance of RD/RA SNLs; and
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    •  identify and classify other parties (e.g., "de micromis" and
       municipal solid waste contributors, parties with ability to pay
       problems) prior to issuing GNLs.

 With potentially numerous and complex legal and technical issues
 to address at remedial sites, a phased approach to the PRP search
 should be considered. A phased approach may initially yield a  core
 group of financially viable, capable, and cooperative PRPs with
 whom EPA can negotiate performance of the RI/FS. EPA may then
 continue PRP search efforts, perhaps with assistance from  the PRPs,
 while the core group of PRPs is performing the RI/FS.

 Follow-up activities to the initial phase of a remedial search will
 likely be highly site-specific  and may be dictated by leads
 developed  from prior activities or sampling and response activities.
 Relatively straightforward enforcement sites may only require a few
 interviews  as followup to evidence-preservation activities in order
 to establish PRP liability and determine ability to pay.  Complex
 enforcement sites such  as area-wide ground water sites  and
 landfills typically require more comprehensive follow-up  activities
 such as issuing a large number of information request letters,
 conducting interviews, and developing transactional databases. Old
 sites with limited documentation also may present complex liability
 issues calling for site-specific follow-up activities.

 For planning purposes, regions should identify a general period of
 two to five quarters for conducting PRP searches, with more time
 allowed for complex,  multi-generator sites. Some complex sites,
 such as those with  area-wide ground water contamination  with
 multiple sources of hazardous substance releases or stream
 sediment contamination, may require specialized tasks that extend
 through the RI.  Where enforcement staff and resources allow, a
 baseline PRP search report should be completed for specific parcels
 of land and identify the owner/operator 90 days before the start of
 the RI/FS,  and the  interim-final PRP search report should be
 completed  at least  90 days prior to  issuing RD/RA SNLs. Adhering
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                       to these schedules may be problematic or impractical for ground
                       water and sediment sites as site sampling RI/FS data may be
                       necessary for PRP identification.

                       Even if a PRP search seems complete for a specific purpose, EPA
                       may undertake additional search activities.  This is likely to be the
                       case when follow-up search activities are needed to support the
                       Agency's cost recovery efforts against non-settlors or at sites with
                       Trust Fund-financed cleanups.  For instance, additional information
                       request letters can be sent to a facility's suppliers during cost
                       recovery litigation in an effort to obtain more evidence about the
                       facility's waste. If EPA is engaged in ongoing litigation (e.g., cost
                       recovery), PRP search personnel should coordinate closely with the
                       assigned attorney in issuing any such information requests.

                       Although strong precedents support the claim that
                       EPA's administrative information-gathering authorities are separate
                       and distinct from the civil discovery process, it is necessary for case
                       teams to carefully consider their available options in the scenario of
                       ongoing litigation.
2.2.2
Streamlining
Considerations
Due to constrained resources and an increased focus on gathering
more PRP search information earlier, possible ways to increase the
efficiency of a PRP search include:

   •   a  comprehensive enforcement support contract that
       provides for expedited PRP search support;

   •   simultaneous submission of reports to all Agency reviewers;
   •   open procurement authority for enforcement staff; and
   •   a  removal/pre-remedial checklist to avoid duplicating tasks.

Enforcement support contracts may provide for obtaining expedited
PRP search support.  Under the appropriate contract vehicle, any
PRP search-related support could be obtained on an expedited
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basis.  (See Tasks I and 2 of the "Performance Work Statement for
Enforcement Support Services" in Appendix A.) Consult your
region's contracting officer (CO) or project officer (PO) to determine
whether a contract vehicle is in place that allows for expedited  PRP
search support.

Some regions are reducing PRP search deliverable review times by
requiring the PRP search contractor to submit copies of the draft
baseline and interim-final PRP search reports simultaneously to the
program and ORC offices.  Regions are also encouraged to require
phased deliverables instead of one or two deliverables over the life
of the PRP search.  Phasing can reduce the risk of contractors
conducting searches that are entirely off track, increase product
quality, and provide opportunities to modify the PRP search
approach incrementally.

Enforcement investigative staff typically make  repeated small
purchases in the performance of their duties, primarily for
photocopying.  Some regions have successfully streamlined the
process for reimbursing Agency employees for such out-of-pocket
expenses.  Streamlining involves the use of an open procurement
request (PR) against which a succession of claims may be made
instead of preparing a new PR for each claim.  Open PRs are
established for each investigator, authorizing the individual to incur
expenses up to the amount committed under the PR. Investigators
obtain reimbursement by providing  receipts and documenting a
Standard Form (SF) 1164 referencing the open PR.  Enforcement
investigative staff should consult the appropriate regional contract
and financial personnel about specific procedures for open
procurement.

An early on-site responder's checklist is another useful tool for
streamlining the process and reducing duplication of activities.
(See Appendix C.)
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2.3
Information
Disclosure
Issues
Release of Information
The Agency must follow EPA guidelines, statutory, and regulatory
requirements when determining whether to release information to
other PRPs.  The Agency emphasizes the importance of a consistent
approach when releasing information to PRPs about the identity,
source, relative contributions, type, and quantity of wastes at a
site. (See "Revised Policy on Discretionary Information Release
Under CERCLA" (March 31, 1993) and the  "Privacy Policy"
(September 27, 2007) issued by the Agency's Chief Information
Officer, Chapter 2 References, p. 82.)

Information may be released through direct contact with PRPs, in
conjunction with issuance of general notice letters or special notice
letters, or by other means. For example, if a large number of PRPs
is identified at a site and a PRP steering committee has been
formed, the steering committee could be an effective channel for
releasing information to all PRPs.  It may prove beneficial for EPA to
convene a meeting of PRPs at either the EPA regional  office,
state office, or a location central to the PRP community.  The goal
here is for EPA and state staff involved with the site to provide
information,  answer questions,  and  receive input from the PRPs.
Convening a meeting of PRPs can result in the  identification of
additional PRPs and facilitate formation of  a PRP steering
committee.

Information release also may occur when the region invokes special
notice procedures under Section 122(e)(l) of CERCLA. When
invoking CERCLA Section 122 special notice procedures, EPA must
provide PRPs with waste-in lists, volumetric rankings, and a list of
PRPs' names and addresses "to the  extent such information is
available." Documents may include manifests, logbooks, waste
tickets, receipts, and  CERCLA Section  104(e) responses.
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Handling Sensitive Records

Confidential Business Information (CBI)

CBI is commercial or financial information obtained from a person
that is privileged or confidential. Protection of CBI keeps others
from deriving a business advantage from information to which a
specific party has exclusive rights.  CBI includes such items as
trade secrets and other proprietary information (e.g., the design of
an innovative treatment technology).  CBI  also includes tax returns
and other financial data to the extent that they have not already
been released by the company, for example, in its annual report.
When a company submits information that it thinks should be
treated as CBI, it should label the data as such and explain why the
information is considered confidential.  EPA is required  to advise
PRPs of these requirements when issuing information request
letters under CERCLA Section 104(e).  EPA does not have to decide
whether the information is CBI unless someone requests its
release, but EPA must  maintain the security of that information as if
it were CBI until EPA makes a determination to the contrary.
(See 40 C.F.R. 2.201, et seq., Chapter 2 References, p. 82, for
information on EPA procedures for making  CBI determinations.)

Enforcement-Confidential/Enforcement-Sensitive

Enforcement-confidential and enforcement-sensitive records are
documents such as plans for enforcement actions, case-specific
enforcement strategies, and draft PRP search reports, that might
damage EPA's enforcement case if they were released.  Therefore
regions should establish records management processes and
procedures that are  consistent with applicable law to prevent the
unauthorized release of enforcement-confidential and enforcement-
sensitive documents. Even though a document has been marked
enforcement-confidential or enforcement-sensitive, it must be
reviewed for privilege in discovery  or in response to a FOIA request
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to ensure that the designation remains appropriate.  (See Chapter
3 ("Analyze Responses") for further discussion of reviewing
documents for discovery.)

Information Requested Pursuant to FOIA

The Freedom of Information Act (FOIA) imposes two basic
requirements:

   •   a duty to publish or otherwise make publicly available
       certain classes of agency records, 5 U.S.C. § 552(a); and

   •   a duty to make all other agency records publicly available
       upon  written request, unless specifically exempt by statute,
       5 U.S.C. § 552(b). (See Chapter 2 References,  p. 82.)

Under FOIA, a record includes any information currently maintained
by the  agency in any format. An "agency record" is a record that
was created  by or is under the control of an agency. FOIA does not
require an agency to create a record in response to a request for
information,  nor require an agency to  provide future records.  New
FOIA amendments passed in December 2007 expanded the FOIA
definition of record to include any information that would be an
agency record maintained for an agency by a government
contractor for the  purposes of records management. Information
maintained by a government contractor may need to be searched in
response to a FOIA request.

A FOIA search requires review by manual or automated means of
agency records for the purpose of locating responsive records. The
agency needs to make "reasonable efforts" to search for records in
electronic form, except when the search would "significantly
interfere" with the operation of the agency's computer systems.
The search need only be reasonable; it need not uncover every
responsive document in existence, but an agency employee must
not avoid searching for records known to exist.
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The initial response should inform the requester of the agency's
decision to release or deny records, when it will release records, of
the anticipated cost to the requesting party, and that the requester
may appeal the agency's decision. The initial response is due 20
working days after receipt of the request. The agency may obtain a
10-day extension by informing the requester in writing of "unusual
circumstances" that will cause delay, such as the need to search
separate office and field locations, search voluminous records, or
consult another agency. Failure of the agency to respond within
deadlines may constitute an exhaustion of administrative remedies,
allowing the requester to go to court immediately.  The new FOIA
amendments also have a  provision which goes into effect on
December 31, 2008 that prohibits an agency from collecting fees if
the agency does not respond to a request within 20 days, except
where "unusual circumstances" or "exceptional circumstances" apply
to the processing of the request (existing language in FOIA).

Title 5 U.S.C. § 552(b) defines nine categories of records that are
exempt from release under FOIA.

Exemption 1 - National security
This exemption protects from disclosure  national security
information concerning national defense  or foreign policy that has
been properly classified in accordance with procedural
requirements of an executive order.  EPA received classification
authority in 2002.

Exemption 2 - Internal rules and practices of an agency
This exemption applies to two kinds of records: (1) records the
disclosure of which may lead to the subversion of an agency rule or
policy, and (2) technically responsive yet purely inconsequential
records that contain little  information of value in comparison to the
burden of having to provide it to the requester.
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Exemption 3 - Records specifically exempted by statute
Congress often exempts specific kinds of records through an
"Exemption 3 statute" instead of a FOIA amendment. Laws that
exempt specific records include the Federal Rules of Criminal
Procedure (grand jury information), the Patent Act (unfiled patent
application materials), Procurement Integrity Act (site selection
information), and certain statutes dealing with the  location of
endangered species.  Critical infrastructure statutes many contain
FOIA exemption  provisions.

Exemption 4 - CBI/Trade secrets
Exemption 4 protects trade secrets and  commercial or financial
information that  is obtained from a person that is privileged or
confidential. The release of such information would either cause
substantial competitive  harm to the submitter of the information or
impair the government's ability to obtain such information in the
future. Information that is voluntarily submitted to the agency has
only to meet the lower standard of not being otherwise  publicly
available.  Information must involve a formula or production
process to be granted trade secret status.  Most business
information is not a trade secret under that definition.

Information that is claimed as CBI or  a trade secret by a submitter
may initially be withheld from a FOIA  requester pending a
confidentiality determination by the Office of General Counsel
(OGC) or ORC.  OGC is  responsible for making the final  CBI
determinations for all headquarters CBI requests and for only the
regional CBI requests involving FIFRA and TSCA. All other CBI
determinations are made by the applicable ORC.

When Exemption 4 is used to withhold information, the  office sends
an initial denial letter to the FOIA requester explaining that the
information has been claimed as CBI and that EPA is making a final
determination regarding whether the  information is entitled to
confidential treatment.  Program offices are also encouraged to
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contact the FOIA requester directly (by phone or e-mail) to ask if
the requester is willing to narrow the scope of the request to
exclude the CBI. In addition, a letter should  promptly be sent out
to the submitter business asking  it to confirm its CBI claims for the
information and to substantiate any claim of confidentiality (request
for substantiation).

Exemption 5 - Privileged communications
A record must satisfy two criteria to qualify for this exemption.
First, the record must be inter- or intra-agency, meaning it cannot
have been shared outside the executive branch.  Records or
information that originated outside the executive branch may
nonetheless be considered intra-agency if the source is a
"consultant." A "consultant" is one who assisted the agency's
decision-making process by advising the agency on a  matter in
which the consultant has no stake in the outcome and is not
otherwise advancing an interest or agenda that may benefit it over
other parties. Settlement records often must be released  because
they are not inter- or intra-agency records. Second, the record
must be protected  by a civil discovery privilege.  Common
privileges include:

Deliberative process privilege

The record must be pre-decisional and deliberative. The purpose of
the privilege is to  promote frank and honest discussion of options
prior to a decision and to avoid public confusion about the rationale
behind an agency decision.  Indicators of the privilege include the
management level of the author, the point in the decision-making
process when the record was  created, and how the record was
used. The privilege does not  lapse after a  decision is made, and
generally does not cover facts.
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Attorney-client privilege

The record must have been drafted by or at the direction of an
attorney and contain advice regarding a client's legal issue and
must have been generated and  maintained in confidence.  The
purpose of the privilege is to facilitate effective representation by
promoting frank and open discussion between attorney and client.
The agency - not an individual employee or program office - is the
client.  Privilege may protect opinions and facts.  Privilege does not
attach  unless the attorney is actually employed or acting in a legal
capacity.  Privilege can protect communications with any EPA
employee,  not just members of management.

Attorney work product privilege

The record must have been drafted by or at the direction of an
attorney in anticipation of litigation, and generated and maintained
in confidence. The purpose of the privilege is to protect the mental
impressions and work product generated  by an attorney while
representing a client in litigation.  Litigation need not have
commenced; the work product only needs to identify specific claims
that may reasonably lead to litigation.  A  record that was generated
as a normal part of an agency's functions that later may be relevant
to litigation is not covered. The privilege  may also apply to factual
materials.

Exemption 6 - Personal privacy
This exemption protects personal information whose disclosure
would constitute a  "clearly unwarranted" invasion of personal
privacy.  The purpose of FOIA is to allow public inspection of
information that is relevant to the workings of government, not
necessarily every piece of information the government possesses.
This exemption requires a constant balancing of the public interest
in the requested information and the individual's right to privacy.
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Exemption 7 - Law enforcement
This exemption applies to documents that are compiled for civil or
criminal law enforcement purposes. The exemption applies to
documents the disclosure of which:

    •   could reasonably  be expected to interfere with law
       enforcement proceedings (open investigations only;
       documents relating to closed investigations must be
       released);

    •   would deprive a person of his right to a fair trial;

    •   could reasonably  be expected to constitute an "unwarranted"
       invasion of personal privacy (lower threshold than
       Exemption 6);

    •   could reasonably  be expected to disclose a confidential
       source;

    •   would disclose law enforcement techniques and procedures
       and could reasonably be expected to risk circumvention of
       the law; or

    •   could reasonably  be expected to endanger the life or
       physical safety of an individual.

Exemption 8 - Banking information
This exemption applies to records used by agencies responsible for
the regulation or supervision of financial institutions.

Exemption 9 - Well data
This exemption applies to geological and geophysical  information
and data, including maps, concerning  wells.

Regional FOIA officers should be consulted on requirements for
responding to FOIA requests.  OGC or ORC should be consulted
whenever a question arises about releasing or withholding records.
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                        EPA employees risk criminal liability by releasing protected
                        information such as CBI materials or Privacy Act (see Chapter 2
                        References, p. 82) information.
                      On January 21, 2009, President Obama signed the "Presidential memorandum for
                      the Heads of Executive Departments and Agencies on the Freedom of Information
                      Act," which established a new policy for Executive Branch departments and agencies
                      concerning disclosure and transparency. The president directed  all agencies to
                      administer FOIA with a clear presumption in favor of disclosure, to resolve doubts in
                      favor of openness, and not to withhold information based on "speculative or abstract
                      fears."  In addition, he called on agencies to ensure that requests are responded to in
                      "a spirit of cooperation," that disclosures are timely, and that modern technology is
                      used to make information available to the public even before a request is made. The
                      memorandum was effective immediately,  superseding former Attorney General
                      Ashcroft's memorandum  on  FOIA of October 12, 2001. Accordingly,  agency
                      personnel should begin to apply the presumption of disclosure to all decisions
                      involving  FOIA immediately.

                      The president directed the attorney general to issue new guidelines governing FOIA
                      to implement these objectives. Once the new guidelines are issued, DOJ's Office of
                      Information and Privacy (OPI) will conduct training and provide additional advice and
                      guidance on their implementation. Consult your regional FOIA officer for information
                      on issuance of the guidelines and availability of OPI's training and guidance.
2.4

Document Filing

and Retention

Issues


2.4.1

Document
Management
During the planning process, the search manager should establish a
file structure for the search, considering factors such as regional file
structure, anticipated volume of information, nature of PRP
interaction with EPA on the PRP search, anticipated information
exchange, FOIA response requirements, and evidentiary concerns;
ascertain  whether the accumulated data are likely to be voluminous
enough that an electronic system for managing them will be
needed; and develop or obtain such a system.  The PRP search
manager should utilize the expertise of the records manager in
each region.  This person can be valuable in organizing and
managing records. A document control system for identifying and
tracking documents should also be established.
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2.4.2
CERCLIS/
WasteLAN
The Comprehensive Environmental Response, Compensation, and
Liability Information System/Waste Local Area Network
(CERCLIS/WasteLAN), is an information  management system made
available to EPA's regional offices and headquarters. It
incorporates numerous site-related subjects.

CERCLIS/WasteLAN includes a number of features intended to
facilitate PRP searches and the sharing of PRP financial and other
data across regions. These features are particularly important
when interstate or multi-state PRPs are concerned. Data entered
into CERCLIS/WasteLAN  about parties that are associated with a
general notice  letter, special notice letter, enforcement instrument,
or filed litigation referral  are available to all regions the following
Monday. This data-sharing  capability, combined with features that
make it easy to find out if a particular individual or firm is already
in the database, is intended to reduce the need to repeat
preliminary work that has already been done by others.
                       In addition to basic information (name, address, phone number) on
                       all parties associated with a site, CERCLIS/WasteLAN also stores
                       information describing the involvement of the identified PRPs at the
                       site, a history of any enforcement actions taken, what response
                       actions the PRPs have undertaken or committed themselves to
                       perform, and information about correspondence issued by the
                       Superfund  program.  CERCLIS/WasteLAN is available at most work
                       stations in  regional offices, and training is available.  Check with
                       your regional information management coordinator for additional
                       information. A summary of CERCLIS/ WasteLAN's capacity and the
                       type of PRP-related data gathered, along with examples of screens
                       used when entering data, can be found in Appendix D.
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Information Management

Factual information gathered during a PRP search can be grouped
by its source and within each source by PRP.  Information request
letters and responses should be organized and maintained for use
by Agency personnel. Government documents, title search
documents, PRP documents, interview summaries, and information
request letters and responses may be grouped separately.  Index
numbers should be assigned to all documents to ease referencing
of the evidence summary sheets and the PRP search report.
Section 3.2 of this manual discusses some factors involved in
database creation and the storage and special handling of
documents.
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                              Chapter 2 References
Entry and Continued Access
Under CERCLA (June 5, 1987)
Applicable or Relevant and              2.0
Appropriate Requirements
(ARARs)

Superfund Program                    2.0
Implementation Manual (SPIM)
Fiscal Year 2009/2010

Performance Work Statement for       2.1.1
Enforcement Support Services

Environmental Programs              2.1.1
Assistance Act (June 12, 1984)

Title V of the Older Americans Act      2.1.1
(1965)


Revised Final Guidance on             2.1.2
Disseminating EPA's  SBREFA
Information Sheet to Businesses
at the Time of Enforcement
Activity (August 31,  1999)

Small Business Information Sheet      2.1.2
(October 2007)
Confidentiality of Business             2.1.2
Information
Transmittal of Sample Documents      2.1.2
for More Effective Communication
in CERCLA Section 104(e)(2)
Information Requests (June 30,
1995)
http://www.epa.gov/compliance/resour
ces/policies/cleanup/superfund/cont-
access-mem.pdf
http://www.epa.gov/superfund/poliy/re
medy/sfremedy/arars.htm


http://www.epa.gov/superfund/action/
process/spim09.htm


Appendix A
http://www.epa.gov/epahrist/see/
brochure/law.htm

42 U.S.C. §3056etseq.
http://www.doleta.gov/seniors/
other_docs/owp-106-501.pdf

http://www.epa.gov/compliance/
resources/policies/civil/sbrefa
EPA Publication 300-F-07-003
http://www.epa.gov/compliance/
resources/publications/incentives/
smallbusiness/smallbusresources.pdf

40 C.F.R. Part 2, Subpart B
http://ecfr.gpoaccess.gov
http://www.epa.gov/compliance/
resources/policies/cleanup/superfund/
sampledoc-cercla-mem.pdf
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                              Chapter 2 References
             Name
Section
Location
Documentation of Reason(s) for        2.1.2
Not Issuing CERCLA §106 UAOs to
All Identified PRPs
(August 2, 1996)

Checklist of PRP Search Tasks           2.2

Checklist for Removal/Pre-             2.2.1
remedial Sites

Performance Work Statement for       2.2.1
Enforcement Support Services

Revised Policy on Discretionary         2.3
Information Release Under
CERCLA (March 31, 1993)

Privacy Policy (September 27,           2.3
2007)

Confidentiality of Business              2.3
Information

Freedom of Information Act            2.3
(Reference Guide)

Privacy Act                           2.3
Quick Reference Guide for Using       2.4.2
CERCLIS/WasteLAN
            http://www.epa.gov/compliance/
            resources/policies/cleanup/superfund/
            reason-cerl06-rpt.pdf


            Appendix B

            Appendix C


            Appendix A


            http://www.epa.gov/compliance/resour
            ces/policies/cleanup/superfund/rev-
            discre-info-rel.pdf

            http://www.epa.gov/irmpoli8/ciopolicy/
            2151.0.pdf

            40 C.F.R. Part 2, Subpart B
            http://ecfr.gpoaccess.gov

            5 U.S.C. § 552etseq.
            http://www.epa.gov/foia/guide.html

            5 U.S.C. § 552etseq.
            http://www4.law.cornell.edU/5/552a.ht
            ml

            Appendix D
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3.0    Baseline PRP Search	83

3.1    Review Files and Collect Records	83
       3.1.1    Federal Files	84
       3.1.2    State Files	86
       3.1.3    Local Government Files	87
       3.1.4    Other Records	89
       3.1.5    Special Planning Considerations	90

3.2    Organize Records and Track Correspondence	95
       3.2.1    Organization	95
       3.2.2    Correspondence Tracking	98

3.3    Issue Information Requests	99
       3.3.1    Identify Recipients/Draft Information Requests	101
       3.3.2    Mail and Track Information Requests	117
       3.3.3    Analyze Responses	119
       3.3.4    Develop Response Summaries	121
       3.3.5    Information Request Followup	121

3.4    Conduct Interviews	123
       3.4.1    Interview Considerations	123
       3.4.2    Who Performs the Interview	127
       3.4.3    Identifying Interviewees	129
       3.4.4    Conducting Interviews	132
       3.4.5    Interview Documentation	136

3.5    Perform Title Search	139
       3.5.1    Determine Ownership Interests	140
       3.5.2    Develop a Title "Tree" or Chronology	146
       3.5.3    Additional Uses for Title Documents	148
       3.5.4    Updating Title Information	148

3.6    Business Status and Financial Research	149
       3.6.1    Introduction	149
       3.6.2    Forms of Business  Organization	150
       3.6.3    Person 	150
       3.6.4    Business Organization	151
       3.6.5    Sole Proprietorships	151
       3.6.6    Partnerships: General Partnerships and Limited Partnerships	152
               3.6.6.A  Elements Specific to a General Partnership	153
               3.6.6.B  Elements Specific to a Limited Partnership	154
       3.6.7    Corporations	155
               3.6.7.A  Elements Unique to Corporations	156
               3.6.7.B  Classification of Corporations	157
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              3.6.7.C   Evolution of Corporations	159
              3.6.7.D   Sale of Stock in a Corporation	161
       3.6.8   Indemnification Agreements	162
       3.6.9   Other Entities	163
       3.6.10 Additional Liability Theories	165
              3.6.10.A  Direct Liability of a Person as an Operator or as a Person Who Arranged for
                        Disposal or Treatment of Hazardous Substances	166
              3.6.10.B  Corporate Officers, Directors, Shareholders, or Employees	166
              3.6.10.C  Liability of Parent and Affiliated Corporations	167
              3.6.10.D  Elements of Direct Liability	168
              3.6.10.E  Piercing the Corporate Veil	170
              3.6.10.F  Successor Liability	173
       3.6.11  Financial Research	177
              3.6.11.A  Corporation and Partnership Filings Required by States	177
              3.6.11.B  Court Filings	178
              3.6.11.C  Federal Sources	178
              3.6.11.D  Corporate Directories Summary	178
              3.6.11.E  Credit Reporting and On-Line Services	179

3.7    Develop Site	179

3.8    Compile Waste-In Information	181
       3.8.1   Transactional Databases	182
       3.8.2   Waste-In Lists and Volumetric Rankings	184

3.9    Classify PRPs	190
       3.9.1   Identify PRPs	190
       3.9.2   Define PRP Category	192

3.10   Prepare  Baseline PRP Search Report	193
       3.10.1  Report Format and Content	194
              3.10.1.A  Deliverable 1:  Site Chronology and Property History	195
              3.10.1.B  Deliverable 2: PRP Synopsis	195
       3.10.2 Report Review and Distribution	196

References	200
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3.0   Baseline PRP Search
                       This initial phase of the PRP search is focused on collecting evidence
                       that establishes the liability of owner/operator PRPs and identifies
                       generator/transporter PRPs. Although the exact nature, number,
                       and sequence of search tasks will vary from site to site, this
                       chapter describes 10 tasks that are often completed as part of the
                       baseline PRP search. Keep in mind that the specific activities
                       undertaken at a given site will depend on what is needed to achieve
                       the Agency's PRP search goals for that site.  The 10 baseline PRP
                       search tasks are:
3.1
Review Files
and Collect
Records
                          1.    Reviewing files and collecting records;
                          2.    Organizing records and tracking correspondence;
                          3.    Issuing information request letters;
                          4.    Conducting interviews;
                          5.    Performing title searches;
                          6.    Conducting business status and financial research;
                          7.    Developing a site summary;
                          8.    Compiling waste-in information;
                          9.    Classifying PRPs; and
                          10.  Preparing a baseline PRP search report.

                       (See Appendix B for a checklist of PRP search tasks.)
The objective of this task is to locate and obtain copies of all
records pertinent to the site and relevant to the PRP search.
Relevant records may include correspondence, photographs, sound
or magnetic recordings, computer tapes, drawings, hazardous
waste manifests, technical  data and reports, permits, notices of
violations (NOVs), complaints, investigations, site owner records,
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                       fire department chemical reports, litigation files, bankruptcy files,
                       local newspaper accounts and records, and information available on
                       line.

                       These records are potential sources of information on site history,
                       identity of PRPs, and additional contacts.  Before an effective file
                       review can take place, it is critical to become familiar with the site
                       and all background information.  This task generally starts with a
                       review of EPA files to determine the volume, content, and nature of
                       existing information. As a starting point, the PRP search manager
                       should coordinate with the region's record center to determine what
                       information is available within the region. Because state and local
                       offices can be a valuable resource in the search  process, their
                       records should be reviewed concurrently with EPA's files or soon
                       thereafter. A thorough search for records in other federal agencies,
                       local offices, and other sources should be  performed.  This task can
                       be conducted at the same time as the title search and interviews.

                       In addition to the sources discussed below, refer to "Potentially
                       Responsible  Party Internet Information  Sources" (Appendix	), a
                       detailed compendium of links to business, financial, legal, real
                       property, and technical information sources; EPA and other
                       government agency web sites; investigative tools; directories;
                       libraries; maps; and aerial photographs.

3.1.1                  Federal records may be found in  EPA's regional record centers or in
Federal Files         files in tne CERCLA, RCRA, Emergency Planning and Community
                       Right to Know Act (EPCRA), air, water, regional counsel,  and
                       criminal investigations offices.  Documents maintained in these
                       offices may include permits, inspection reports, correspondence,
                       records of violations and enforcement actions, and criminal records.
                       These documents often reference other federal agencies  that are or
                       were involved with the site or a PRP.  Intra-agency communications
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and databases, such as the CERCLIS/WasteLAN database and the
On-Line Targeting Information System (OTIS), can also yield
information on a site or PRP within the region. Federal sources of
information can include the following:
POTENTIAL SOURCES:
Department of the Interior
Nuclear Regulatory
Commission
U.S. Geological Survey
Environmental Photographic
Interpretation Center
National Oceanic and
Atmospheric Administration
U.S. Army Corps of Engineers
Occupational Safety and
Health Administration
Securities and Exchange
Commission
Coast Guard
Food and Drug Administration
POTENTIAL INFORMATION
OBTAINED:
maps and aerial photographs
licenses, permits, studies
studies and ground water data
aerial photographs
meteorological data
studies, permits, records at
federally owned sites
inspection reports, health and
safety incident information
current and archival PRP
documents, including financial
statements, corporate business
publications, quarterly and
annual reports
incident response reports
inspection reports (The FDA had
records of facility inspections
from the 1970s at one Region 2
site.)
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POTENTIAL SOURCES:
Federal Emergency
Management Agency
Federal Records Center
U.S. Forest Service
Bureau of Land Management
POTENTIAL INFORMATION
OBTAINED:
relocation information
retired federal record files
maps, title searches, studies
mining information
3.1.2
State Files
State offices may maintain valuable technical information about
sites. A site may be listed on a state registry of contaminated
sites, or state-regulated activity or resource use, (e.g., well
drilling), may have occurred there, generating applications,
permits, or notices to or from owners or operators.  Such
information may be useful both in identifying PRPs and planning
and implementing site response actions.  Of particular interest are
documents located in the state's Superfund and RCRA program
offices as well as  records maintained by the secretary of state,
attorney general, and tax officials. It is a good idea to familiarize
yourself with the  organizational history of state offices in order to
determine the possible location of all needed records. When offices
are reorganized, they sometimes retain files that address subjects
for which the office  is no  longer responsible.
                       The region may want to consider including language in State
                       Multi-Site Cooperative Agreements providing that the state will
                       compile information that it has on file for each site (e.g., spills,
                       permits issued, compliance history, orders, citizen complaints).
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                       This should result in preservation of PRP-related information and
                       more timely identification of PRPs. If states provide such
                       information to EPA, the PRP search manager should coordinate in
                       advance with  the state and include this activity in the PRP search
                       plan. Types of information collected  from state files can include the
                       following:
                              POTENTIAL SOURCES:
                                    POTENTIAL INFORMATION
                                          OBTAINED:
                          Environmental Agency
                                licenses, permits, studies,
                                inspection reports, sample data,
                                enforcement actions
                          Water and Soil Conservation
                                studies
                          Attorney General
                                correspondence, lawsuits,
                                orders
                          Secretary of State
                                corporation names and
                                addresses, registered agents,
                                articles of dissolution, annual
                                reports, limited partnership
                                filings
3.1.3
Local
Government Files
Cities and counties regulate and keep records of activities and
resource use within their jurisdiction.  Local government offices
may contain records of building, ground water use, and excavation
permits and licenses; applications for repeal or amendment of
county zoning ordinances; tax assessments; local disposal
guidelines; inspection and violation notices and reports;  and
memoranda and correspondence between site owners and
operators and local officials.  In some cases, local officials may
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have prepared site history memoranda and lists of hazardous
materials. Like its counterpart at the state level, such information
may be useful  both in identifying PRPs and planning and
implementing site response actions. Relevant local government
records can be found in:
POTENTIAL SOURCES:
Office of the City or County
Attorney
Health Department
Department of Public Works
Wastewater Management or
Pollution Department
Planning, Land Use, and
Engineering Departments
Zoning Boards
Police and Fire Departments
City or Township
Clerk/County
Clerk/Recorder's Office/Tax
Assessor's Office
Historical Society
POTENTIAL INFORMATION
OBTAINED:
correspondence, permits,
licenses, enforcement actions
accident reports, lists of
hazardous materials
operation maps, applications,
inspection and violation reports
permits and licenses,
correspondence, control
department's inspection and
violation reports
plat maps, aerial photographs,
operations maps,
correspondence, applications
applications, plat maps and
aerial photographs
accident reports, lists of
hazardous materials
deeds, leases, grants,
addresses, mortgages and liens,
easements, agreements, legal
property descriptions
past business at the site
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3_.|_4                  Other good sources of information can include:
Other Records
                       The PRPs
                          •   PRP management;
                          •   employees;
                          •   suppliers;
                          •   independent contractors; and
                          •   customers.

                       Sources of information commonly in PRPs' possession are:

                          •   information on other PRPs (including those not previously
                             identified);
                          •   hazardous materials listings;
                          •   shipment manifests;
                          •   transporter records;
                          •   Material Safety Data Sheets (MSDSs) for substances used by
                             PRPs;
                          •   correspondence; and
                          •   corporate records such as board meeting minutes.

                       Public  Libraries, University Libraries, and Historical Societies
                          •  local business collections;
                          •  local newspapers, community newsletters, and articles or
                             newsletters published by businesses associated with the
                             site;
                          •  documents and other paper collections donated by well-
                             known individuals in the community; and
                          •  specialized collections (e.g., mining, collections of aerial
                             photographs).
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                       Residents Living Adjacent to the Superfund Site
                          •  identity of PRPs (particularly leads early in the PRP search);
                          •  location of waste disposal areas; and
                          •  information about other activities at the site relevant to the
                             PRP search.

                       Other Sources of Information
                          •  on-line sources of free information;
                          •  subscription on-line information sources (e.g., Autotrack XP,
                             Dataquick, LexisNexis, Westlaw, Dun & Bradstreet);
                          •  Sanborn Fire Insurance maps;
                          •  Polk/Cross directories; and
                          •  commercial aerial photograph companies.

                       Early contact with the community may provide  important site and
                       PRP information, establish an EPA and community dialogue, and
                       encourage productive community involvement throughout the life of
                       the project.
3.1.5
Special Planning
Considerations
Performing file reviews and collecting records may involve some
special planning considerations such as:

Document Production and Retention
                       It is important to determine the best method for reproducing
                       records in consultation with the records management coordinator in
                       each region. Factors relevant to this decision include cost,
                       accessibility of the facility where the records  will be maintained,
                       and current regional records guidance.  If any records are to be
                       placed in a public docket, the technology available to the public for
                       accessing them should be taken into account.
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In many instances, the integrity of records and chain-of-custody
issues need to be considered to ensure that the evidentiary value of
documents is not compromised.  Also consider Bates stamping1
documents as this will help verify that no document has been lost,
and allows for accurate re-filing of documents. The regional
records management coordinator should be consulted in any matter
that affects records management. (See also subsection 3.2.1 of
this manual.)

Volume of Records

If the estimated volume of records to be reviewed and copied is
large, a contractor may be better suited to the task than EPA.
Consult the regional records management coordinator to determine
the type and amount of work required, and  check with project and
contracting officers to make sure  that an appropriate contract
vehicle is available and that the type of work is within its scope.  If
use of a contractor2 is a feasible option, EPA may want to initially
accompany the contractor in reviewing the records to determine
which documents are relevant and need to be copied.

Depending on the volume  of records or the  release policy of the
keeper of the documents,  it may be more efficient to:
        Bates stamping, which is done by hand with a specially-designed mechanical
stamp, is often used in the legal industry to number or date/time mark images as they are
processed. In recent years, more high-tech marking technologies have been developed that
can create images with copyrights by putting a company name, logo, or legal copyright mark
on documents as they are scanned or filmed. These imaging technologies can also
automatically add sequential numbering to the images.

       2
        When contractor support is being contemplated for any PRP search task, make
certain that all conflict of interest (COI) checks have been completed before the task begins.
Coordinate with the regional project officer (PO) or contracting officer (CO) to confirm that
all necessary contract documentation is in place. Only the CO can make the final
determination about the possible existence of a COI.
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    •   copy the records at the agency with the help of a rental
       copier or temporary help;

    •   send the records to a  local vendor for copying under the
       supervision of the contractor staff;

    •   microfilm3 or otherwise image the documents and then
       produce hard copies from the images;

    •   procure or rent portable, hand-held scanners as an
       alternative to removing,  handling, and copying hard copies;
       or

    •   scan documents onto  a CD-ROM and provide a database on
       line (this method was used successfully for site records in
       Region 4 during an  allocation pilot).

Privileged Documents

The government's documents may be subject to a claim of
privilege, the most common privileges being attorney work product,
attorney-client, and deliberative process. (See Section 2.3 of this
manual for a description of these privileges.)  These privileges may
be asserted by the government  in litigation or in settlement
negotiations  in order to withhold particular documents.  If a
document is  subject to one of these privileges, the assertion of the
privilege is discretionary.  Deliberate or inadvertent release of a
privileged document, however, may waive the privilege. The
determination to produce or withhold a privileged document is
made by DCO and EPA attorneys. When making a claim of
        Most regional offices have microfilm readers, but use them mainly to view older
records. Other imaging technologies (e.g., PDF files, CD-ROM, CD scans) have largely
supplanted microfilm, and different regions may rely on different technologies. Check with
the regional records manager for preferred methods and procedures.
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privilege, the government must prepare a privilege log (a list of all
the documents being withheld and the particular privilege(s) that
apply), which is sent to the party requesting the document(s).
Assertion of deliberative process privilege has special  requirements,
including an affidavit from the appropriate AA or RA justifying the
deliberative process privilege. The designation of privilege  may be
litigated by the opposing party.

Not all documents subject to  a potential claim of privilege may be
so marked. Therefore, if there is a possibility that the documents
being reviewed are privileged, the reviewer should contact the
assigned attorney, who can review the documents and make a
determination that there is a  privilege claim.  Some documents may
be marked "Enforcement Sensitive" or "Confidential Settlement
Document." These designations do not necessarily support a claim
of privilege and  must be reviewed by the assigned attorney to
determine if there is a  claim of privilege or if the documents are
releasable.

Keep in  mind that privilege designations on  a  document are not the
same as FOIA exemptions. While documents  subject  to a claim of
privilege may also be within one of the  FOIA exemptions, these are
two different determinations as documents subject to a  FOIA
exemption must be reviewed  in light of the FOIA exemptions at 40
C.F.R. § 2.105.  Consult the regional records management
coordinator regarding special procedures for managing privileged,
enforcement-sensitive, confidential, and FOIA-exempt documents.

Confidential Business Information (CBI)

Files obtained from PRPs may be subject to  a  CBI claim. Although
government privilege is discretionary, CBI is a matter of law.
Consult  with your PRP  search manager and case attorney if CBI is
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an issue. Generally, enforcement contracts include a CBI clause,
and contractor personnel sign CBI agreements at the time the
contract is awarded. The PRP search manager, PO, and CO,
however, can verify that fact and provide procedures for CBI
claims.  State records and records from other federal agencies may
be subject to such claims as well. If a contractor is performing the
file review and records collection task for EPA, and the PRP makes a
CBI claim, the contractor should immediately inform the PRP search
manager.  The PRP search manager should then consult with the
EPA PO and CO responsible for the contract under which the file
review is being conducted.  The Agency will then determine
whether it is appropriate for the contractor to review the records
and whether the  records in question are CBI.  Consult the  regional
records management coordinator regarding special  procedures for
managing documents subject to a CBI claim.

Health and Safety

The health and safety of the personnel conducting the file  review
and record search are an important concern.  Documents or records
encountered during this task may be contaminated  with hazardous
substances.  While not common, this problem does  arise on
occasion. If document contamination is  suspected (e.g., because
records were found in a contaminated warehouse, documents are
stained), the PRP search manager should be notified immediately
and the Agency should attempt to determine the probable degree
of contamination and its associated  health effects, whether the
documents should be tested, and possible methods  to obtain clean
copies.  If a contractor is performing the task, the contractor's
health and safety plan  (in accordance with procedures outlined in
the PRP  search work plan) must be current before the contractor
begins work with contaminated records.
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                      Access Refusal
                       If EPA or EPA's contractor is refused access to records or other
                       sources of pertinent information, EPA or the contractor should
                       document the circumstances of refusal and identify when, where,
                       and by whom access was denied. This information should be
                       provided to the EPA case attorney.  Often, parties refusing access
                       have little or no knowledge of EPA's information gathering authority
                       under CERCLA, and access can often be obtained subsequently
                       through informal dialogue between  the case attorney and the
                       property owner or the owner's counsel, if one has been retained.  If
                       a contractor is conducting a records search, the Agency should
                       provide the contractor with a letter  of introduction that explains
                       access rights. This should  be a standard operating procedure  when
                       a contractor is responsible for records collection and file review.
3.2
Organize
Records and
Track
Correspondence
A good system for organizing, storing, and tracking site files and
tracking correspondence is imperative for case development,
litigation, and cost recovery efforts. Check with your region's
records manager and other case teams to assess what file
structures are already in place and effective.  Effective tracking of
the status of information request letters and other correspondence
greatly enhances the Agency's ability to share information with
PRPs and other parties,  and saves time and resources.
3.2.1
Organization
Records compilation and tracking may involve a fairly simple file
organization, but some sites, especially large sites with many PRPs
and a large volume of records spanning a number of years, may
require a more complex file organization. To choose the best
method  of organizing documents, the following factors should be
considered:
   •  types of information needed from the documents;
   •  volume of documents;
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   •  regional file structure;
   •  capabilities of the organizer;
   •  ease of document retrieval;
   •  long-term tracking needs and capabilities;
   •  potential document security issues (especially since
      databases are often shared);
   •  unique site-specific needs;
   •  nature and number of potential users; and
   •  time required to organize documents.

Manual Arrangement of Documents

If a simple organization will meet the records management
objectives for a site, a  manual arrangement may be utilized.
Documents may be organized by chronological order, subject
matter, PRP, or author. The documents are then assigned an index
number (e.g., using a Bates stamp, microfilm frame number), and
an index for the entire  document set is developed.  To be user-
friendly, multiple indexes should be developed based on index
number, document title, author, and date of document, or other
characteristics as decided by the case team.

Use of a Database

If documents need to be  organized in a more complex fashion (e.g.,
to  permit extensive cross-referencing or keyword indexing), it may
be useful to develop an electronic database. All EPA regions now
have access to the Superfund Document Management System
(SDMS), and some regions use  it to store and retrieve PRP search-
related documents such as notice  letters, demand letters,
responses, waste tickets, and invoices.  File transfer protocol (FTP)
set-ups have been used in some regions for warehousing site-
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related information, and may have PRP search applications.
Regions differ in what database systems they use and how they use
them, however, and you should consult your regional records
management coordinator and PRP Search Enhancement Team
contact (see Appendix E) for information about database
development practices, procedures, and protocols in your region.

Following are basic guidelines for organizing a  database.  Some
regions have developed more technically advanced databases than
the guidelines contemplate, but they serve as a useful starting
point.

    •  Group documents of similar content, such as scientific
      research, environmental studies, or legal documents.
    •  Assign an index number to each of the documents.

    •  Decide what information to use in the database index.
      Examples of information from each document might include
      the index number, document title, date, author, and
      addressee.
    •  If required, develop a more complex database using a coded
      designation for particular subject matter, a database index
      to refer to a particular subject,  and/or keyword indexing.

    •  Program the database to access information in various ways
      (e.g., chronological order, author, keyword, subject matter).

When establishing a database for site documents, keep in mind that
new documents will be added periodically.  The database  index may
require significant  revisions if a large number of new documents is
discovered after the keywords are selected or the index is created.
When planning a PRP search for which complex file organization
may be necessary, time and resource
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                       requirements for database maintenance and modifications must be
                       considered in order to assure the continued usefulness of the
                       database.
3.2.2
Correspondence
Tracking
Tracking correspondence with PRPs and other parties often requires
use of a database due to the large number of parties involved. If a
database is necessary, the following factors should be considered
prior to database development.

Information to be tracked:


      •       identity of the recipients;
      •       delivery status (e.g., accepted, refused  receipt,
             address unknown); and
      •       response status  (e.g., no response, partial response,
             complete response).

Capacity of the database system:


      •       procedures  for entry and retrieval of information
             (keeping the database user-friendly);
      •       types of summaries and reports needed;
      •       number of waste types that may need to be tracked;
      •       nature  and  number of database users;
      •       resource requirements for database development and
             maintenance;
      •       contractor support requirements;
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                            •      period of performance of the contract;
                            •      expected period of database use;
                            •      compatibility of contractor hardware/software with
                                   the Agency's hardware/software; and
                            •      ease with which the database system can be taken
                                   over by another contractor or agency.

                      Care should be taken not to clutter printouts with any information
                      not required, or with unprofessional comments. A voluminous
                      printout of information will likely negate the desired benefits of
                      tracking, which are to promote information sharing and increase
                      time and cost savings.  As with any database system development,
                      a quality assurance  program should be incorporated for data entry
                      and edits.

                      Maintain a Backup
                      A manual system for correspondence tracking should also be in
                      place in the event the  primary information retrieval system fails.
                      Responses  to information requests should be organized
                      alphabetically by party or in a similar system. Index numbers
                      should be assigned to  all documents and an index of the
                      correspondence should be created.
3.3
Issue
Information
Requests
Sections 104(e) of CERCLA and 3007(a) of RCRA authorize the
Agency to issue information request letters.

Section 104(e) authorizes the Agency to issue information request
letters to any person (including business entities and government
agencies) who may have information about a site,  not just to
persons who may be PRPs. The authority to issue  letters under
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Section 104(e) is delegated to specific individuals within each
region.  Issuing information request letters is a basic component of
nearly all PRP searches. Under Section 104(e)(2) of CERCLA,
"[a]ny officer, employee, or representative [of the President]...may
require any person who has or may have information relevant to
any of the following to furnish, upon reasonable notice, information
or documentation relating to such matter:

   •   The identification, nature, and quantity of materials which
       have been or are generated, treated, stored, or disposed of
       at a vessel or facility or transported to a vessel or facility.

   •   The nature or extent of a release or threatened release of a
       hazardous substance or pollutant or contaminant at or from
       a vessel or facility.

   •   Information relating to the ability of a person to pay for or
       to perform a cleanup."

RCRA Section 3007(a) provides that "[f]or purposes of developing
or assisting in the development of any regulation or enforcing the
provisions of this chapter, any person who generates, stores,
treats, transports, disposes of, or otherwise handles or has handled
hazardous wastes shall, upon request .  . . furnish information
relating to such wastes and permit such person at all  reasonable
times to have access to, and to copy all records relating to such
wastes."

Section 3007(a)  authority is in some ways narrower than Section
104(e) authority. It does not expressly authorize the Agency to
seek information about a person's ability to pay for or perform a
cleanup, for example, and  it is limited to information (1) about
hazardous wastes (2) gathered from persons who have generated,
stored, treated, transported, disposed of, or otherwise handled
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                       such wastes.  On the other hand, information the Agency may seek
                       about hazardous wastes under Section 3007(a) is not expressly
                       restricted to their identity, nature, and quantity. Section 104(e)
                       and 3007(a) authorities may supplement each other  usefully in
                       some circumstances.

                       Section 104(e) letters are used for information-gathering purposes
                       and do not designate an entity as a potentially responsible party.  A
                       compilation of sample information request letters, questions, and
                       additional  relevant resources can be found on OSRE's internet site.
                        (See Chapter 3 References, p. 200.) The letters and questions are
                       specifically tailored to the type of site (e.g., chemical plant, dry
                       cleaner), recipient (e.g., individual, small business, large
                       corporation),  recipient's involvement with the site (e.g., owner,
                       operator, transporter),  and nature of the information sought.

                       Recipients of  information request letters may be requested to
                       produce records or provide information on site ownership, site
                       operation, their financial position, wastes sent to the site, possible
                       generators and transporters, and the existence of records.  (See
                       subsection 3.3.1  of this manual for additional information on the
                       nature and content of information  request letters.)

                       The Agency's statutory  information-gathering authority is broad
                       enough to allow EPA to  seek any information reasonably calculated
                       to lead to information about a release. Although EPA's authority is
                       broad under Section 104, the Agency is sensitive to the substantial
                       burden that may be imposed on parties who receive an information
                       request.
3.3.1
Identify
Recipients/Draft
Information
Requests
Records obtained through the review of files may contain a number
of potential sources of information and names of PRPs. Before
drafting the information request letter, the PRP search team
should:
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    •   develop and maintain a list of potential recipients;
    •   decide who from the list should receive letters;
    •   verify the current addresses of recipients; and
    •   make decisions on the tone, content, and format of each
       letter, depending on the individual recipient or category of
       recipient.

Although site-specific needs will ultimately determine what to
include in information request letters, the following factors should
generally be considered when drafting them.

Access to On-Line Information Sources

On-line services are a rapidly growing source of PRP information.
Obtaining information through on-line research is, in some cases,
the fastest and most effective method of obtaining PRP information.
The difficulty with this type of research,  however, is knowing what
is available and how to access it.

Most on-line sources are available nationally and can be accessed
through the internet,  but some are not available in every EPA
region or state. If this is the case, public libraries, universities,
colleges, or schools can be  contacted to  determine their capabilities
and use requirements. These institutions frequently provide
services for minimal fees. In  addition, contractors typically have
numerous on-line capabilities.  (See "Potentially Responsible Party
Internet  Information Sources (PRPIIS)" in Appendix F).

PRP search staff should start by contacting their regional LAN
administrator, information support staff, or EPA librarian to
determine what subscription on-line sources are currently available
in the region and if any use restrictions apply to them.  EPA's
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Superfund Enforcement Directory (SPED) is a nationwide on-line
directory of Superfund Enforcement personnel and resources.  (See
Chapter 3 References, p. 200.)

Nature of Recipient

The nature of the recipient (e.g., individual, corporation,
municipality) significantly affects the content of the information
request.  Where feasible, information requests should be tailored to
each PRP or information source. Tailoring the request can greatly
improve the quality of the response, reduce the need for follow-up
requests, and reduce the burden on the recipient of the request.
The types of information typically requested from each kind  of PRP
(e.g., owner, operator, transporter, generator) are presented later
in this section.

Recipient's Understanding of CERCLA

The PRP search team should consider the degree to which an
information request recipient is likely to understand CERCLA. It is
not always feasible to ascertain a recipient's degree of
understanding of CERCLA, but the PRP search team can usually
make some assumptions. For instance, it can assume that "ABC
Corporation," which has been involved  as a PRP at a number of
Superfund sites,  has a good understanding of CERCLA.  Thus, the
information request letter can use technical and legal terms that do
not have to be explained in detail. Similarly the team can generally
assume that a "Mrs. Joyce Smith" at a  residential address likely has
little or no knowledge of CERCLA or legal terminology. In this
situation, the request should contain clear, non-legal language and
be as concise as  possible. A sample initial information request
letter for individuals or small businesses is provided  in "Transmittal
of Sample Documents  for More Effective Communication in CERCLA
Section  104(e)(2) Information Requests" (June 30, 1995).  (See
Chapter 3 References, p. 200.)
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Confidentiality Considerations

If there is reason to believe that the recipient will be concerned
with the confidentiality of its response, the PRP search team should
insert confidentiality language into the information request letter
that is consistent with 40 C.F.R. Part 2, Subpart B (40 C.F.R. §§
2.201-2.311). From a practical standpoint, it makes sense to
include this language with each request as it serves two purposes.
First,  it defines the boundaries of a confidentiality claim, reducing
the likelihood of a general assertion of confidentiality.  Second, it
makes clear to the recipient that EPA may have to release
information provided in a response.  Also, the presence of such
language will reassure the recipient that the response will be
handled in an appropriate manner. Similarly, if EPA plans to use
contractors to review and organize responses, inserting language  in
the letter identifying the contractor and explaining its duties may
help reduce recipients' concerns.

Pursuant to EPA's CBI regulations, the PRP search team should
request that recipients segregate information being claimed as CBI
from non-CBI information. Segregation of this information can
improve future information sharing with other parties by allowing
for the quick release of information for which no claim of
confidentiality has been asserted.

Where possible,  use a corporate address to send  a Section 104(e)
letter, GNL, or SNL so the letter is releaseable under FOIA.  If a
home address is used, the letter has to be redacted to omit the
home address.

Recipient's Willingness to Cooperate

Occasionally EPA has reason to  believe that a recipient of an
information request may  not be cooperative in responding to the
request or may take actions to avoid liability. This belief can be
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based on past experience with the party or on correspondence
pertaining to previous permit violations, police reports, state
investigations or interviews, or other documents. In such cases,
the PRP search team should consider including language in the
information  request letter that asserts EPA's authority and
describes the recipient's responsibilities. For instance, the False
Statements  Act (see Chapter 3 References, p. 200) provides for
criminal penalties for any person who provides unsworn false
statements or conceals information from an agency or department
of the United States. This Act clearly applies to statements made
to civil investigators, any written responses to questions, and
signed statements.  The letter might also note that a party would
be in violation of the Federal Debt Collection Procedures Act (see
Chapter 3 References, p. 200) if he transferred property or assets
to avoid a federal debt under CERCLA.

When seeking information from a corporation, Section 104(e)
letters should be sent by name and title to corporate officials (e.g.,
president, manager, CEO, registered agent), not to staff members,
in order to lay the groundwork for legal action against the
corporation  in case of non-response. The Federal Register should
be reviewed annually to see if penalty amounts for non-response
have increased.  If they have, Section  104(e) letters should be
revised accordingly.  (See Section 4.2 of this manual for further
discussion of penalties under the heading "Judicial Action to Compel
Compliance/Referrals to DCO.")

The PRP search team may also ask the  recipient to send copies of
requested documents to EPA and maintain the original documents
for a specified period of time. The primary benefit of requesting the
preservation of records is notifying parties of their legal duty to
preserve relevant evidence.  The region should consider these
factors when deciding on inclusion of preservation language.
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Site/PRP Information Needed

The PRP search team should determine:


   •   what information is needed to identify PRPs (e.g., manifest
       data, names, addresses);
   •   what information is needed to determine PRPs' liability
       (including possible defenses to liability); and
   •   what site information is needed for future investigations or
       response actions (e.g., physical characteristics of the site,
       historical data, sample data).

Once this information  has been gathered, the PRP search team can
draft the letters to ensure that the responses will contain
information that will advance the PRP search and the site cleanup.

Need for PRP Financial Information

Under CERCLA Section 104, the Agency has the right to collect
financial information in order to determine a PRP's ability to pay
response costs or perform response work. This authority should be
used to request information about insurance coverage, specifically
whether a PRP purchased insurance policies for the period in which
environmental contamination took place, and to obtain copies of
those policies or other evidence of their existence.  This information
is particularly relevant when a PRP's financial viability is, or could
be, an  issue (e.g.,  in ability to pay and bankruptcy situations).
(See the discussion of insolvent and defunct determinations in
Section 4.6.2 of this manual.)  Each case team needs to determine
if information regarding insurance coverage should be requested,
either in an initial  or a follow-up Section 104(e) request.
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Although it is important to assess a PRP's ability to pay response
costs, the PRP search team needs to evaluate the best time for
seeking such information.  The team may choose not to request
this information in the first round of information requests unless the
liability of the recipient as a PRP has been reasonably established.
Some regions have found that seeking information such as tax
returns and checking account statements during the first round of
questions has been counterproductive. Recipients of information
requests who are asked to provide financial information about the
site in their first contact with EPA are often reluctant to do so
because they feel it is an unnecessary burden or intrusion on them
and may seek legal counsel to prepare a response or protest to the
Agency.  Such actions can  lead to delay in getting information
needed to coalesce PRPs and initiate a site response. Therefore,
EPA may wait until it issues general notice letters and ask recipients
to contact EPA if they believe they may have an ability to pay
problem.  EPA can then send appropriate financial questions to the
PRP. In this way, recipients without ability to pay problems avoid
having to answer financial questions and submit voluminous
financial  records.

When an information request letter concerns a removal action, it
may be necessary to solicit financial information from PRPs so that
the region can decide whether to issue a CERCLA Section 106
administrative order requiring the PRPs to conduct the removal.
Desired Format and  Due Date for Response

When developing the information request, the PRP search team
should select an appropriate  format for the response. There are
several options, including:

   •   a  written response for each question;
   •   a  fill-in-the-blank checklist; and
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    •   a written response, signed by the recipient of the letter or a
       corporate officer, describing their efforts to locate
       documents or knowledgeable  persons.

The format will likely vary from site to site or party to party.  In
addition to the format, consideration  should  be given to how much
time the recipient may need to adequately respond to the request.
Time is often of the essence; information requests typically provide
30 days from the receipt of the letter for a response.  Methods for
facilitating timely, complete responses include:

    •   establishing an information repository or publicly accessible
       web site related to PRP search activities before or
       immediately after  issuance of the first round of information
       requests.  The purpose of such a repository or publicly
       accessible web site is to make available non-confidential
       information to assist recipients of the information requests
       in  better responding, reduce the  number of inquiries  or
       requests to the Agency for information, and provide
       information to the community at an early point.4 The nature
       and location of a repository or publicly accessible web site
       may vary from site to site. One region, with assistance from
       a contractor, developed a database for the repository.
       Physical locations have included regional offices, state and
       county facilities, and rental space at facilities that manage
       records and provide chain-of-  custody services. Contents of
       the repository could include;

       •  site  history,
       •  environmental  studies, reports, and sample data,
       •  copies of notice letters/information request letters;
       4
        For more information on sharing information with PRPs, consult "Releasing
Information to Potentially Responsible Parties at CERCLA Sites" (March 1, 1990). (See
Chapter 3 References, p. 200.)
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       •   previous site response reports, if applicable (e.g., an
          OSC report), and
       •   a copy of CERCLA, the NCR, and relevant guidance;

   •   initiating a dialogue with information request recipients
       immediately after issuing the information requests.  Such a
       dialogue could be in the form of a "town meeting" at which
       the PRP search team:

       •   explains the information-gathering process,
       •   explains why information request recipients received
          their information requests,
       •   presents factual site information,
       •   identifies the location and purpose of the repository,
       •   explains the Agency's authorities and the recipients'
          responsibilities, and
       •   provides copies of site summaries.

Where the information requests are issued concurrently with a
notice letter to perform the RI/FS or some other response action,
this dialogue provides an excellent  opportunity for PRPs to coalesce
as a group, exchange information with each other, and assure that
better and more timely information is provided in their responses.

Potential Burden of Responding to Request

Responding to an information request letter imposes a burden on
the recipient.  Therefore the  PRP search team should review the
generic list of questions to narrow or eliminate questions that are
not appropriate for the individual recipient.
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Type of Information Needed

Information that is collected generally can be classified as either
quantitative or qualitative:

Quantitative Data. This is typical waste-in information: gallons,
drums, cubic  yards, and other numerical descriptions of the
materials contributed  by the parties.  For most sites, the
information of interest will likely be quantitative.  It can include
either waste volumes, including waste-in, waste-out, or waste
remaining, depending on the circumstances, or narrative
descriptions that can be converted into waste volumes.

Qualitative Data.  This includes all other information that
describes a party, its waste material, or its relationship to a site,
and can range from a  substance name (e.g., waste oil, trash), to
the nature  of a transaction (e.g., sale, manifested disposal), to
information relevant to PRP status (e.g., a contract confirming that
a party conveyed property with knowledge of contamination).

For owner/operator sites, specific  kinds of information may be
required when certain liability issues are raised.  For instance, when
the Agency seeks to establish successor liability,  it is important to
gather as much factual information as possible regarding the
relationship of the alleged successor to the prior owner/operator.
Consequently, if a corporation may be the legal successor in
interest to a PRP business/corporation, questions seeking
information about that relationship should be included in the
information request sent to that corporation. Similarly, when a
parent corporation may be liable for the acts of its subsidiary under
the legal standard set by the U.S.  Supreme Court in United States
v. Bestfoods,  524 U.S. 51 (1998), information  requests should seek
factual information about the relationship between the parent and
its subsidiary. The case attorney should provide  the questions
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appropriate to either a Bestfoods or successor liability inquiry. (See
Section 3.6 of this manual for more information on these issues.)

Regulatory agencies often have relatively little information
concerning older sites, illegal disposal sites, and owner/operator
sites because the acts resulting in the release of hazardous
substances at these sites were not subject to a regulator's authority
or were not closely monitored by a regulator.  The absence of
detailed government documentation about such sites makes the
use of information requests all the more important. Similarly,
chemical formulator cases (i.e., generator cases based on an Aceto
theory of liability, where the Agency argues that waste generation
is inherent in a facility's chemical formulation operations) frequently
cannot be built around information found in regulatory files.  When
preparing information request letters for such sites, the PRP search
team  should be particularly careful to evaluate  information about
the site that is available from other sources, and include questions
in  its  information  requests that solicit the remaining information
needed to establish liability.

Components of Information Request Letters

Although information request letters should be tailored to individual
recipients, listed below are some elements that are commonly
included and types of information that are commonly requested
from the various categories of parties.

For All Recipients

The information request letter should:

   •  identify the site and briefly describe it;
   •   explain why the Agency thinks the recipient may have
       information about the site;
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    •   cite EPA's statutory authority under Section 104(e) of
       CERCLA and/or Section 3007(a) of RCRA to request
       information.  (When determining the statutory authority
       under which to request information, make sure that the
       official who has signed the letter has been delegated the
       information gathering authority for each statute identified in
       the letter. For example, a letter that requires the production
       of information pursuant to both CERCLA Section 104(e) and
       RCRA Section 3007 may be challenged if the EPA official who
       signs the letter has been delegated only CERCLA Section
       104(e) authority.);
    •   indicate that  the Agency plans to enforce  its information-
       gathering authority under CERCLA Section 104(e)(5);5

    •   set forth the  purpose of the request and its  relationship to
       the overall case;
    •   indicate that  the response must be in writing;
    •   indicate that  the recipient is responsible for informing the
       Agency if any information contained in the PRP's response is
       confidential and subject to protection  under Section 104(e)
       of CERCLA;
    •   advise the recipient that it must supplement its response if
       new information comes to light;

    •   inform the recipient that he may contact the Agency if he
       has questions or needs clarification about what is being
       requested; and
    •   clearly identify when the response is due.
        As previously discussed, EPA should consider the recipient's level of legal
sophistication and degree of familiarity with CERCLA when determining the content and tone
of the information request letter. It may not be desirable in every instance to cite the
enforcement provisions of CERCLA in the first round of letters.
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For Owners
The information request letter should ask and give a relevant
timeframe for:

   •   names and addresses of all known previous owners and
       current owners, within the relevant time period, if that time
       period has been established;
   •   period of ownership;
   •   copy of the deed or other instrument conveying ownership;
   •   information related to liens or other encumbrances,
       including mortgages and copies of those documents;
   •   identity of lessors, lessees, and  the terms of leases,
       including lease payment amounts, allowable and prohibited
       activities under the terms of the lease, description of any
       actions taken to enforce the terms of the lease, and a copy
       of the lease;
   •   description of any other contractual agreements affecting
       the property and copies of such agreements;
   •   if owned by a trust, a  copy of the trust agreement;
   •   if owned by a corporation, corporate records (e.g., annual
       reports, meeting minutes) that discuss the property;
   •   information regarding operations at the property, including
       disposal practices (amounts, type of substance, location,
       timeframe), and site conditions, including any Phase I or
       Phase II investigation, of both present and past
       owners/operators ;
   •   surveys, maps, photographs (including aerial photographs)
       of the property;
   •   copies of insurance policies covering the property;
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   •   property tax records;
   •   any permits covering the property (e.g., building,
       excavation);

   •   information specific to the type of site (e.g., questions
       designed to allow EPA to make a determination that a party
       may be de minimis or"de micromis");
   •   Any information relating to exemptions  or defenses to
       liability (e.g., BFPP, acts of a third party).

For Operators

The information requested from operators is similar to that
requested from owners, except that detailed descriptions of the
operations should be requested from operators and from owners
who were also operators.  Operator information requests should
seek information needed to identify individuals in charge of past
and present operations as well as persons who may be liable as
operators under the tests set forth by the  U.S.  Supreme Court in
United States v. Bestfoods.  The PRP search team should give
special attention to corporate/subsidiary and successor liability
issues.

For Owners and Operators

   •   Questions about financial information generally seek to
       determine a PRP's ability to pay for or perform a cleanup,
       and may include questions about insurance policies that may
       provide coverage,  such as comprehensive general liability
       and environmental impairment insurance.
   •   When an owner/operator's financial records survive, they
       often contain the amounts and dates of customer invoices
       and payments,  and serve both as a primary source of
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   information and a secondary source of conversion rates,
   which allow a customer's "one load at $ 5.00" record to be
   translated to an appropriate volume.
•  Site financial records may be  in the form of accounts
   payable and receivable ledgers, copies of incoming and
   outgoing invoices and checks, deposit slips, and customer
   account statements.
•  One of the most important categories of information to seek
   from the owner/operator is  the identity of possible off-site
   generators or transporters associated with  the site. Such
   information may include:

   •   names and addresses, quantities, and materials sent to
       or from the site; and
   •   any arrangements made with regard to materials.

Materials Handling Information.  Ask the owner/operator to
provide a description of information it has  on each shipment of
materials disposed of at, transported to, stored at, or treated at
the site, including:

   •   dates of shipment or disposal;

   •   quantity and  nature of the materials;
   •   hazardous  substances (as defined in 40 C.F.R. § 302.4)
       contained in the materials, including information on the
       waste and  waste stream as possible RCRA hazardous
       wastes (This  information will help the Agency determine
       if RCRA is an applicable  or relevant and appropriate
       requirement for future response actions, or may be used
       later in an  allocation of PRP responsibility.); and
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       •   what was done with the material after it reached the
          facility (e.g., further processing).

•  Documentation.  Request copies of all business records
   relating to activities at the site, including customer lists, gate
   logs, batch reports and analytical test records, worker
   notebooks, laboratory reports on samples of materials, storage
   locations for handled items, ledgers,  invoices, accounts
   receivable and back-up income records for taxes,
   correspondence, permit applications, operation reports, deeds
   and leases, and spill  notifications. Also, consider asking for
   correspondence that addresses shipments that were
   discontinued  because the material was not accepted or
   correspondence that threatens to discontinue shipments if
   material does not meet standards.  This information may  be
   very useful in distinguishing the hazards and threats posed by
   materials  associated  with various PRPs.

Additional Items to Request from Owners/Operators

   •   names and addresses of individuals who have information
       regarding the items listed above;
   •   any data or studies resulting from environmental
       investigations at the site;
   •   a description of the files searched by the individual or
       corporation in response to the Agency's request;
   •   special information for particular classes of sites (e.g.,
       municipal landfills); and
   •   a description of the recipient's personal or corporate
       relationship to the site.
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                       In some cases, the recipient will be unable to provide EPA with the
                       information sought. In these cases, the PRP search manager may
                       determine that it is necessary to require the recipient of the letter,
                       or a corporate officer responding for a corporation, to describe the
                       efforts made to locate information or knowledgeable persons, and
                       to sign the entire response under penalty of perjury.

                       For Generators/Transporters

                       Generator/transporter information requests are often issued in the
                       follow-up phase of the PRP search based on information received
                       from the initial round of information requests.  The PRP search
                       team is encouraged, however, to identify and issue  requests to
                       generators/transporters as early as possible in order to establish a
                       core group of PRPs to work with and facilitate determining which
                       parties are exempt, de minimis, insolvent, or defunct.
3.3.2
Mail and Track
Information
Requests
                       Information request letters to persons who arranged for disposal
                       (generators) and transporters are typically similar in scope to the
                       letters issued to owners/operators.  Information request letters
                       issued to generators/transporters should request information
                       regarding their liability.  In addition, the information request should
                       seek information that will establish  whether the substance was a
                       listed or characteristic hazardous waste as defined by EPA.
The PRP search plan should designate the person responsible for
tracking and receiving information requests.  To the extent
possible, PRP search managers should arrange for the verification
of the address, and identify an appropriate point of contact (e.g.,
registered agent, corporate counsel) for each recipient prior to
mailing information request letters.  While confirming this
information may be burdensome at sites with hundreds of
recipients, it can greatly reduce the number of letters that are
returned due to an incorrect address.
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Information request letters may be sent via:
   •   Certified mail, return receipt requested.  Delivery may also
       be accomplished through Federal Express.  Use of post office
       box addresses should be avoided because there may be no
       signature to indicate receipt of the letter.  Date stamp the
       "green cards" (i.e., the returned receipts) as they are
       received by EPA; returned receipt cards often do not show
       the date on which the letter was received, and it is difficult
       to take enforcement action for late responses without proof
       of when the information request letter was received.  The
       information on the return receipt provides the Agency with
       proof that a representative of the recipient received the
       letter. Within a week of the mailing, there will likely be
       some letters returned to EPA due to reasons such as
       "address unknown," "no forwarding address," or "refused
       receipt;"
   •   Priority mail. The U.S. Postal  Service will provide the sender
       a tracking number to check on line at the www.usps.gov
       web site.  The recipient does not have to sign for the  letter.
       If the recipient is located at the address on the  letter, the
       USPS will deliver the package and post the delivery date and
       time on line. Priority mail is a good option when the
       recipient has refused a certified letter.
   •   Air courier.  Information request letters may also be sent via
       air courier if the courier provides documentation of the
       delivery attempt and of the  receipt of the delivery.

For letters with address problems, the PRP search manager should
attempt to obtain a valid  address for the intended recipient and
re-send the information request. Although this requires some
effort,  any effect on the schedule will likely be relatively minor and
the rewards from successful delivery could be significant.  Tracking
information request letters should be planned for in advance of
their mailing.
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                       For those letters that are unclaimed or refused, the PRP search
                       manager should work with the case attorney to identify options for
                       successful delivery.  If you are confident that you have the correct
                       address of a PRP and the letter is continually being refused, the
                       letter can be delivered by the CI or search manager.  When parties
                       fail to comply or only partially comply with information requests,
                       the Agency will consider its options for encouraging or compelling
                       compliance, which are discussed in detail in Sections 4.1 and 4.2 of
                       this manual.
3.3.3
Analyze
Responses
Performing an analysis of the responses received is among the
most important elements of the PRP search. Information request
letters are a basic component of most PRP searches, and responses
may be the only source of information.  Consequently, it is very
important that the responses are reviewed  by appropriate
personnel in a timely manner.  Summaries  of responses, which are
often created with contractor support, can be quite useful when a
large number of parties or requests is involved.

Responses to information requests should be analyzed for:

   •  information that links a  party to the  site;
   •  information establishing liability;
   •  information that establishes  a PRP's  financial viability, if
      necessary; and
   •  leads that may provide the region with additional
      information about a particular PRP, other parties, or site
      characteristics.
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Information request responses may help the PRP search team
develop a history of site activities and describe the involvement of
various parties in the treatment or disposal of hazardous materials.
The PRP search team should take care when extracting information
on site history for the baseline PRP search report, especially when
responses are from hostile, uncooperative parties or those with
significant liability concerns; there are often conflicting
interpretations of a site's chronology of events. Responses can be
compared to aerial  photographs, state permits, correspondence,
and other information in an attempt to verify  site history.  The
team member who  reviews a response should note  if the response
appears incomplete or false.  In these situations, the PRP search
manager and case attorney should determine the appropriate
enforcement action.

After analyzing the  responses, the PRP search team can begin to
develop a list of parties associated with the site who may be PRPs.
The team should present PRP liability information in evidence
summary sheets created expressly for documenting the liability of
each PRP. A separate evidence sheet for each PRP is advisable.

An assertion of a CBI claim on documents or information submitted
to EPA (whether pursuant to a 104(e) request or under other
circumstances) requires that EPA treat the documents or
information  as CBI until such time as OGC or  ORC determines that
the information is not entitled to treatment as CBI.6  PRP search
managers and others should segregate any materials claimed as
CBI in order to assure that such  materials are not released.  A
determination as to whether the submitted materials are entitled to
treatment as CBI must be made in accordance with the regulations
at 40 C.F.R. Part 2, Subpart B.  CBI is a complex issue and a
       6 40 C.F.R. § 2.201 etseq. (see Chapter 3 References, p. 200) sets out the
procedures for making CBI determinations. EPA may determine the confidentiality of
business information as soon as it is received. (See 40 C.F.R. § 2.204(a)(2), authorizing EPA
to make a CBI determination even though no request for release of the information has been
made.)
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                       determination that materials are either CBI or not CBI can only be
                       made by OGC or ORC.  The common practice is to maintain
                       materials as CBI when such a claim is made by the submitter
                       unless it is necessary to make a formal determination  pursuant to
                       Sections 2.204, 2.205, or 2.207. Generally such a determination
                       becomes necessary when the material is the subject of a request
                       pursuant to FOIA or in discovery. There are procedures for EPA
                       contractors to view CBI materials. It is very important to follow the
                       CBI regulations; there are civil and criminal penalties for improper
                       disclosure of CBI  materials.
3.3.4  Develop
       Response
       Summaries
After analyzing the responses to the information request, it may be
helpful to develop summaries of all the responses received.
Response summaries aid the development of site history and
encourage PRP involvement.  Summaries can be very useful for
decision makers or other parties involved in the PRP search, who
can review the summaries rather than each individual response.
                       Contractors can be called upon to assist the Agency in developing
                       response summaries for cases with numerous information requests.
                       Care should be taken, however, to avoid having contractors
                       perform legal analyses or reach conclusions about PRPs' liability, as
                       these functions must be performed by EPA personnel.
3.3.5  Information
       Request
       Followup
Once the due date for a response has expired and the responses
have been reviewed, the PRP search manager should coordinate
with the case attorney on appropriate follow-up actions, if needed.
These actions may include:
                          •  issuing a follow-up letter;

                          •  using alternative means to seek a response or clarify the
                             request;
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                   •   issuing an administrative order to compel compliance; and
                   •   initiating a judicial action asking a court to compel
                       compliance.

                During the review of information request responses, it sometimes
                becomes apparent that the recipient simply did not understand
                what was being requested, or the recipient did not fully appreciate
                the Agency's authority to obtain information or the recipient's
                responsibilities in this regard. A follow-up letter may be
                appropriate for clarifying the requests or being more explicit in
                describing the Agency's enforcement authorities.  Model follow-up
                letters that have proven to be effective are available in the regions.

                Alternative means of seeking responses to  information requests are
                routinely employed in the regions.  In some situations, it may be
 jT*/  -         appropriate to place a telephone call to the recipient in order to
'^"'.;           determine the basis for a lack of response (e.g., more time is
.   ••*"'           needed, clarification is required). A telephone call should be
                followed up in writing to document the nature and content of the
                call.  In other situations, a personal visit to a  recipient to discuss
                the information  request has been effective  in  obtaining requested
                information.  Consider using  a less time-consuming approach than
                the previous two methods by developing a  "speedy type memo",
                such as a generic pre-formatted "post-it"-type memo that is filled in
                and mailed to the recipient for a response along with the original
                information request.  This could serve as a  simple follow-up method
                for seeking clarification of the response or requesting additional
                information.  When using any of these methods, the resource
                requirements and time involved for follow-up actions must be
                weighed against the potential gain to the Agency  and other PRPs.

                Administrative subpoenas, penalties,  and administrative and judicial
                actions to compel compliance with information requests are
                discussed in Sections 4.2 and 4.3 of this manual.  Due to the
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                       time-intensive nature of these actions, they are usually reserved for
                       the follow-up phase of the PRP search.
3.4
Conduct
Interviews
Interviews complement the collection of relevant site records and
aid in the development of site-specific information that may not be
recorded in government and PRP documents. They are another tool
for collecting or clarifying information on PRPs, other parties who
may have information, site history, disposal operations, locations of
disposal, or other issues relevant to the PRP search. Interviews also
may help identify the existence of relevant documents such as
business and hauler licenses, landfill permits, zoning  permits, and
building permits.
                       The PRP search team should ascertain what the state bar rules are
                       for providing notice to the attorney representing a business entity
                       before current employees, and in some cases former employees,
                       are  interviewed. The rules of professional conduct for attorneys
                       vary from state to state, so it is important to determine what rules
                       apply in each case. These rules often consider employees to be part
                       of the corporation or business, with the result that the corporate
                       attorney may have a right to be notified of the interview and to be
                       present for it. These considerations may apply even if the EPA
                       attorney is  not present, as CIs, paralegals, contractors, or private
                       investigators can be said to be working "at the direction of the  EPA
                       attorney." Violations of these rules could subject the supervising
                       attorney to a  range of sanctions.
3.4.1
Interview
Considerations
Interviews are generally performed to identify additional PRPs or
gather evidence for liability determinations. If site documents do
not exist, interviews may be the only method available to obtain
the information needed to complete the search.  Interview
questions, therefore, should generally focus on whether the
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interviewee may have participated in the activity being investigated
or may have witnessed the activity.

If site documents do exist, interviews may help clarify the content
of the documents or identify additional leads. The interviewer may
also attempt to determine how the documents were prepared, how
to gain access to documents not already in the Agency's
possession, and how to authenticate documents, if necessary.
Interview questions should focus on whether the interviewee:

   •  has knowledge of how the documents were compiled and
      who compiled them;
   •  is in possession of the documents; or
   •  may have additional information.

Factors to consider when deciding whether to conduct interviews
include:

   •  nature and volume of information already obtained;
   •  nature and volume of information potentially to be gained
      from interviews;
   •  time required to plan, coordinate, and conduct interviews;
   •  timing considerations (how interviews fit into scheduled site
      activities);
   •  capabilities and availability of interviewer;
   •  location and availability of interviewees;
   •  sources of interviewees;
   •  documentation or admissibility requirements; and
   •  canons of ethics and disciplinary rules.
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Nature and Volume Considerations
If the nature and volume of information already obtained is
sufficient to meet the PRP search objectives, conducting interviews
may not be necessary.  Although interviews generally provide
useful information, the nature and  volume of information potentially
to  be gained from an interviewee should be weighed against the
time and effort necessary to plan, coordinate, and conduct the
interview.

Timing Considerations

EPA encourages conducting interviews early in the information-
gathering process whenever possible (e.g., concurrently with the
"file review and record collection" search task).  Early interviews
may enhance the PRP search team's understanding of a site's
nature and history, and thereby enable it to plan the remedial
investigation and focus the remainder of the PRP search more
effectively. Moreover, the passage of time may reduce the
availability and cloud the memories of owners/operators and  their
employees, who are likely to be among the best sources of site
information. Site-specific factors may dictate that not all interviews
can be conducted as early as might be desirable, however, and
some interviews  may be so valuable that delaying completion of the
PRP search report is justified until they can be conducted.  In all
cases, however, interviews are intended to complement information
request letters, not to replace them.

Capabilities of the Interviewer

When deciding to conduct interviews, the capabilities and
availability of qualified Agency personnel are an important
consideration.  Interviews should be planned far enough in advance
to  allow the interviewer to become familiar with the site, PRP
search strategy, and pertinent questions.
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Participants in the PRP search pilot program reported that much of
the success of early interviews can be attributed to the personal
contact between the interviewer and the persons being interviewed.
 PRP search personnel noted that interviews are often a more
effective  information-gathering tool than 104(e) letters.
Interviews  may have several advantages over written contacts:

    •   An interviewer can follow up immediately on important
       statements, rather than send another letter.
    •   People generally give broader and more valuable answers
       when  being interviewed in person.

    •   Eye-to-eye contact may allow the interviewer to better
       judge  whether an interviewee is forthcoming and truthful.
    •   Interviews with persons who are cooperative but elderly, ill,
       or illiterate often generate useful information that a 104(e)
       letter  would not.

It is helpful to have access to civil investigators early in the PRP
search process to assist with interviews. Individuals who will not
consent to  be interviewed should be sent a 104(e) letter or
subpoena if the potential testimony is determined to be relevant.

Location and Availability of Interviewees

Another important consideration when evaluating use of interviews
is the location and availability of potential interviewees. Ideally, all
interviewees  would live in close proximity to one another and
relatively close to the  regional office.  Interviewees, however, are
often scattered across the country, located in another country, or
unwilling  to be interviewed. The PRP search team should balance
the value of each potential interview against its cost in time and
money and then prioritize the interviews.  The age and potential
disabilities of an  interviewee should be taken into account when
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                        balancing the value of an interview against available resources.  As
                        discussed above, sometimes an interviewer can obtain information
                        that would not be provided in a 104(e) response.  If resources are
                        not sufficient to conduct face-to-face interviews, interviews can be
                        conducted by telephone.

                        Documentation and Admissibility Requirements

                        When considering the use of interviews as an information-gathering
                        tool,  it is important to determine the intended use of the interviews.
                        An Agency employee's notes from an interview have less
                        evidentiary value than a 104(e) response signed by a PRP, and may
                        not be admissible at trial. Concerns about the evidentiary value of
                        information obtained  in an interview may determine who should
                        perform the interview, when the interview should be conducted, or
                        whether the interview should be conducted.  If the Agency desires
                        to produce evidence that will be admissible in court, then a route
                        other than interviews typically should be pursued.7
3.4.2
Who Performs the
Interview
Interviews should be performed by EPA staff members who have
experience or specialized training in how to conduct interviews.
They are usually performed by CIs, but in some instances case
attorneys, paralegals, and RPMs have performed or participated in
interviews.
                        Interviews are best conducted by personnel who have been trained
                        in interviewing techniques and who are familiar with issues
                        regarding CERCLA liability.  It is also important that the interviewer
                        be cognizant of any ethical rules or state bar rules restricting contact
                        with represented parties. Even  though the interviewer may
                               There are caveats to this statement. In general, recorded or signed statements
                       gained from interviews can be useful in litigation, even though not admissible at trial as
                       evidence. (See Federal Rules of Evidence 801 through 817, Chapter 3 References, p. 200, for
                       more information on use of recordings and signed statements.)
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not be an attorney, the ethical and bar rules may be applicable
because the interview or contact may be imputed to the attorney.
In order to interview represented parties, contact should be made
with their attorneys, generally with the assistance of the case
attorney.  In any case, the PRP search and/or case team should
consult before interviews are conducted in order to determine the
most effective procedure.
Signed Statements

Interviews are conducted pursuant to the authority of Section
104(e).  Face-to-face, in-person interviews conducted by CIs or
other EPA staff can be a  good source of information that cannot be
matched by written questions and answers due to the free-flowing
nature of an interview.8  An interview can be used to gather initial
information or to follow up and substantiate information already
gathered.  Preparation for the interview is key to obtaining the
most useful information from the person being interviewed.
Interviews can  be recorded on tape (with the consent of the
interviewee) or can be reduced to writing in the  form of a
statement. If a written statement is to be used, the form is usually
a summary of the most important information learned during the
course of the interview, but the statement can take a different
form, suitable to the situation, the facts revealed, or the preference
of the interviewee. Having the interviewee sign  the statement
provides a  written record of the recollection of the interviewee at
the time of the interview. Such a record could be used  later to help
the interviewee  recall events that due to the passage of time may
fade from his or her memory.
        Interviews cannot be compelled; if a potential interviewee does not wish to
provide information orally, check with the case attorney who can advise as to the next step if
the information is needed from that person. A Section 104(e) information request or an
administrative subpoena may be appropriate.
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                       Should the person who signed the statement later change his or
                       her mind about the events recounted in the statement, the signed
                       statements cannot later be used to sustain an allegation of perjury.
                       This is because federal law provides that to commit perjury, a
                       declarant must "have taken an oath before a competent tribunal,
                       officer, or person in any case in which a law of the United States
                       authorizes an oath to be administered."  18 U.S.C. § 1621.  EPA
                       personnel are not persons authorized by a court to administer
                       oaths.  Nonetheless, signed statements have intrinsic value and
                       anyone can ask a  person to sign a statement.

                       It is possible that the interviewee may voluntarily agree to, or
                       suggest, attesting to his statement through the use of an affidavit,
                       signed in front of a notary public. Although EPA personnel  are not
                       authorized to administer oaths, notary publics are, and EPA staff
                       can prepare an affidavit for signature by the interviewee and notary
                       public that begins, "I (          ), being duly sworn on oath,
                       depose and state as follows:" and ends, "subscribed and sworn to
                       before me, the	day of	(month),	(year).
                       Notary public	(name).  My commission expires
                       	(date). [With the notary seal]."  An interviewee has no
                       obligation to sign an oath  in front of a notary public, and any
                       decision to do so must be completely voluntary, without the receipt
                       of promises or threats of any kind.
3.4.3
Identifying
Interviewees
Interviewees are typically persons who may be able to identify or
locate PRP and site documents.  After a thorough review of
collected site information, the PRP search team should develop a
list of potential interviewees by name and address.  Once the list is
developed, the PRP search manager should prioritize the
interviewees based on factors such as age or condition, plans to
move out of the area, or one of the factors  listed above in
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subsection 3.4.1 of this manual. The PRP search manager should
also review the prioritized list of interviewees in light of resources
available (time, staff, and money) to conduct the interviews.
Potential interviewees include:
Site Operators and Employees (Present and Past)
   •   plant manager
   •   plant engineer
   •   supervisors
   •   equipment operators
   •   gate and scale operators
   •   plant workers
   •   contractors
   •   companies
   •   transporters (truck drivers)
   •   RCRA Subtitle D waste disposal haulers
On-site Visitors
   •   vendors
   •   inspectors
   •   recyclers
   •   customers
Federal Government Officials
   •   federal courts
   •   bankruptcy courts
   •   national law enforcement agencies
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   •   Securities and Exchange Commission
   •   Department of Veterans Affairs
   •   Occupational Safety and Health Administration
   •   U.S. Postal  Service
State Government Officials
   •   environmental agencies
   •   bureau of vital statistics
   •   registry of motor vehicles
   •   secretary of state
   •   attorney general
   •   professional licensing board
   •   probate/superior courts
   •   department of public health
Local Witnesses
   •   police officers
   •   firefighters
   •   city/county clerks and assesors
   •   neighbors
   •   building inspectors
   •   local government
   •   meter readers (water, gas,electric)
   •   county health department
   •   local library
   •   historical societies
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3.4.4
Conducting
Interviews
Before conducting interviews, the interviewer should become
familiar with the site and the information needed by:

   •   reviewing EPA background information on the site;

   •   obtaining names of state or  local government agencies and
       officials involved with the site; and
   •   generating a list of site-specific questions.

Preparing for and conducting the interview may involve:

   •   preparing a general outline of discussion points;
   •   determining whether the interviewee is represented by an
       attorney;
   •   knowing the elements of liability and the Agency's case;
   •   understanding the industry in question, thereby establishing
       the interviewer's credibility;
   •   using visual aids to aid the memory of interviewees;
   •   preparing specific questions  beforehand  to ensure that all
       topics consistent with the PRP search strategy are covered;
   •   having two persons present  at the interview, if possible,  one
       serving as the note taker, the other as the primary
       interviewer;

   •   considering whether an EPA attorney should attend the
       interview if the interviewee's attorney is going to attend;
       and
   •   determining the interviewee's association with the site and
       the basis of her knowledge (e.g., first-hand information,
       rumors).
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Government Officials

Interviewing federal, state, or local government officials can be
very productive because these officials, especially state and local
officials, often have an intimate knowledge of the site. Contact
with government officials is generally made by telephone or, if
necessary, by letter or in person.  It is generally preferable for
interviews of government officials to be conducted by CIs instead of
contractors as CIs are government employees also and often have
more experience conducting interviews.  Telephone calls will suffice
in most cases. If a contractor is conducting the interview, the
contractor should identify himself as an EPA contractor conducting
background research on the site or have a letter of introduction
from EPA if the interview is being  done in person.  Government
officials should be asked about:

    •   the availability of relevant  documents in the government's
       files;
    •   whether and how copies can be obtained;
    •   activities on the site before, during, and after the site's
       suspected use for waste disposal;
    •   PRPs associated with the site;
    •   site enforcement history, including any notices  of violation
       (NOVs);
    •   administrative or legal actions involving the site and the
       PRPs,  and the location of relevant documents;
    •   relevant state or local regulatory requirements  and the
       location of pertinent documents such as landfill permits,
       building permits, and zoning ordinances;
    •   any news media articles about the site; and
    •   other people or organizations knowledgeable about the site.
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Former government employees are also a potential source of
information.  Attempt to work out an acceptable arrangement with
officials or attorneys for the relevant agency, even if the scope of
the interview is limited.  After obtaining the approval of the former
employee's agency, the former employee should be contacted to
request an interview, just as with other private parties. As always,
contractors performing  interviews should be required to obtain
approval from the PRP search team before  contacting interviewees.

Interview Facts and Tips

Although the CI and other regional staff conducting interviews
should take advantage of training in interview techniques available
from a variety of sources, the following list contains basic tips to
keep in mind when conducting interviews:

    •   Attempt to obtain information from  more than one source.
    •   Obtain factual information regarding the background of the
       interviewee.
    •   Investigators do not have authority to grant anonymity to
       interviewees.9
    •   Consider hiring a private investigator who is skilled in
       interview techniques to conduct interviews.
    •   Obtain the cooperation of the interviewee; the interview
       may be a  precursor to a deposition.
    •   Never lie to  or deceive the interviewee.
       9
        Although there is no specific official who always has authority to grant
anonymity, investigators have sometimes relayed requests for anonymity to their superiors.
Decisions to grant such requests, however, are entirely ad hoc and depend on the specific
facts of each case. Once the interviewee has been so informed, he may choose to
discontinue the interview pending disposition of the request.
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•  Obtain background information about records.  This is
   important for determining the credibility of the interviewee
   and the reliability of records.  Find out who prepared the
   records and, how, why, when, and from what source they
   were prepared.
•  Verify the accuracy of information from other sources (e.g.,
   use one interview to support another).  Use documents to
   confirm information whenever possible.
•  Attempt to pin down numbers (e.g., "How many drums were
   there? More than 10? More than 50?").
•  Conduct interviews in a businesslike manner with
   professional demeanor.
•  Use language that is understandable to the interviewee;
   avoid acronyms and technical or legal jargon.
•  Do not assume that you know what the interviewee is
   saying; clarify when in doubt.
•  When arranging the interview environment, consider
   individual or cultural "zones of comfort" regarding seating
   and privacy.
•  Ask the same question a variety of ways.
•  Paraphrase and  repeat to the interviewee to  ensure a
   mutual understanding of what is being said.
•  Let the interviewee get through his story once before
   challenging or asking detailed questions.
•  Attempt to resolve inconsistencies in the interviewee's
   responses before leaving the interview.
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                          •  Conclude the interview by summarizing important
                             information, asking if the interviewee can think of anything
                             else that was not covered, establishing a way to keep in
                             touch (e.g., providing a business card), and attempting to
                             obtain any documents identified during the interview.

                          •  Early  interviews can sometimes advance the PRP search
                             process more quickly than sending 104(e) letters to the
                             same individuals.  For example, an early interview of an
                             owner/operator helped the PRP search team in one region
                             better understand the business practices leading to
                             contamination of the site. The general manager was able to
                             show  PRP search personnel how business records were kept
                             at a treatment and storage facility and  how to read those
                             records.  The region was then able to identify other PRPs
                             and use its enhanced understanding of how the site had
                             operated to write more specific 104(e) letters to those PRPs.

                       It is suggested that the interviewer indicate in her interview notes
                       what can be substantiated and what is speculation.
3.4.5                  Interviews are generally documented in one of three ways:
Interview
_         ...            •  written summaries;
Documentation
                          •  recorded interviews; or
                          •  sworn statements (affidavits) confirmed by a notary,
                             including a statement to the effect that the declarant/affiant
                             swears under penalty of perjury that the foregoing is true
                             and correct.

                       Signed statements become "sworn statements" if notarized.
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A written summary of an interview is a document written by the
interviewer that summarizes the facts presented by the
interviewee. Although the summary should be written in the third
person, it may be helpful to include direct quotes from the
interviewee within the text,  especially when the quotes may be
viewed as particularly incriminating, descriptive, or inflammatory.
Setting aside such language  in quotes allows the information to  be
conveyed to the reader without bringing the interviewer's neutrality
into question.

The written summary should begin with a heading that includes  the
interviewee's name, title, address, telephone number, and other
identifying information; the  date and time the interview was
conducted; and the identity of others present, including  the
interviewer.  If records were provided during the interview,
describe the records in  the written summary and state where  they
were obtained.  If visual aids were used during the interview,  note
when and where they were used and attach copies to the report, if
possible. The written summary should be prepared as soon as
possible after the  interview.

A recorded interview can  only be obtained with the permission of
the interviewee.  When recording an interview, the interviewer
should begin by recording an introduction that includes the
interviewer's name, the date and time  of the interview, the
location, and the interviewee's name.  The interviewer should ask
the interviewee if he understands that  the interview is being
recorded, and verify that it is being done with his  permission.  Ask
the interviewee to spell his name, provide his address, and state his
date of birth. The interviewer also may ask the interviewee for  his
social security or driver's license number, but cannot compel the
interviewee to provide them.  The interviewer can proceed with  the
questions after concluding this introduction.
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After the interview is over, verify with the interviewee that he
understood that the conversation was being recorded and that it
was done with his permission.  The interviewer should provide a
closing that includes her name, the name of the interviewee, and
the date and time the interview ended.  A transcription of the
recorded interview serves as the written record of the conversation.
After the transcription is completed, the original tape should  be
secured in a safe location and the location of the original tape and
identity of the transcriber referenced in  the transcript.

In some instances, the interviewee cannot appear in person and the
interview takes place by telephone and is tape-recorded.  If the
interviewee agrees to the telephone conversation being taped, the
telephone conversation can be taped on a recorder containing a
beep tone warning.  Before taped interviews are  conducted over
the telephone, state laws pertaining to recording telephone
conversations should be thoroughly reviewed.

Signed statements are summaries of an interview that are
written  in the first person and signed by the interviewee.  The
interviewer should conduct the interview and take notes as usual.
The written summary of the interview should be in the first person,
however, as if the interviewee were writing the notes of the
interview herself.  The interviewer may choose to summarize the
statement immediately after the interview, or  return with the
statement on another occasion.  In either case, the interviewee  will
read the summary and confirm that it represents the information
that she conveyed in the interview. The interviewee will be
apprised of and given the opportunity to make changes to the
summary before signature. She will then sign  the statement.

Although a written summary or recorded interview is useful and  in
most instances adequate for the purpose of gathering information,
a signed statement  can have a higher degree of credibility.  By
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                       signing, the interviewee confirms the information contained in the
                       statement.  This does not prevent an interviewee from changing his
                       or her mind later, but a signed statement may be used to refresh
                       the  recollection of the interviewee at a later date. Signed
                       statements under oath may subject the signatory to perjury if the
                       interviewee changes his or her mind.  Great care must be taken
                       therefore to ensure that any affidavit is taken voluntarily and the
                       interviewee has an opportunity to review and edit any statement
                       before signing  the affidavit.

                       The same database used to organize and track files and  other
                       records  may be used to store  information concerning completed
                       interviews.  All interview documentation should be assigned an
                       index number for easy retrieval.
3.5
Perform Title
Search
A title search is a review of public records for information about
past and current ownership of real property.  These records may be
located at county, township, or parish clerks' and recorders' offices.
 (Tax information is found at the  assessor's office.)  For PRP search
purposes, the objectives of a title search include:

Primary Objectives

    •  identifying former and current owners and operators;
    •  identifying owners and operators at the time of each
      disposal;
    •  identifying potential interviewees;
    •  providing an accurate legal description of affected property;
    •  identifying any subdivision or replatting of affected property;
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                          •  identifying current encumbrances to property, including
                             easements, covenants, restrictions, and any other matters
                             that currently affect or may affect the title or remediation
                             plans; and
                          •  establishing a historical chain of title, which provides
                             historical ownership and may include historical addresses for
                             former owners and current parcel  numbers and addresses.

                       Other Objectives

                          •  obtaining the deed for evidence;
                          •  determining real estate tax amounts paid  or unpaid;
                          •  identifying abutting properties and their owners;
                          •  supplying  title search documentation;
                          •  assisting in determining site  use;

                          •  identifying outstanding liens  against the property (e.g.,
                             unreleased mortgages, judgments); providing real property
                             parcel information that can be used to evaluate, select, and
                             implement components of the remedy (e.g., engineering
                             and  proprietary institutional controls) and determine the
                             various ownership interests that may be affected by them;
                             and
                          •  identifying oil, gas, and mineral rights.
                       Scoping a Title Search
3.5.1
_  .                    A title search seeks to identify 1) current owners and matters that
Determine
                       currently affect the property (e.g., easements, mortgages, taxes),
Ownership
                       and 2) former owners and leaseholders, if leases were recorded.
Interests
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The latter is commonly referred to as a "historical chain of title"
search.  For purposes of identifying PRPs, it is important that the
title search cover the period during which contamination is
suspected to have occurred up to the present.  Guidelines such as
going back 50 years or to the end of World War II or the first
industrial use of the property can sometimes be useful, but in most
cases determining the relevant period for a search is a highly site-
specific exercise.

Title searches  can be very expensive, especially if a site is
comprised of many parcels or if there is a long and complex title
history.  Therefore title search activities should be tailored to each
site's specific needs.  For example, if ownership information and
legal descriptions are needed solely for purposes of recording deed
restrictions or a lien, or for gaining access during a removal action,
current title information may suffice.  When a search is undertaken
to identify PRPs, however, these findings  usually need  to be
supplemented by information  about former owners and
leaseholders.

Title research  may be conducted by an EPA employee (often a civil
investigator), a contractor, a title company, or some combination of
the foregoing.  Regardless of who performs the title search, the
researcher will need to obtain information about the site location
(including the  county, parish,  or township), a legal description and
address,  parcel information, and the period the title search will
cover.  The "Performance Work Statement for Enforcement Support
Services" (Appendix A) addresses title searches as Task 1.9.  This
statement may provide useful guidance whether or not contractors
are used.

It is  important to  bear in mind that a title search consists solely of
the gathering of title documentation, not  legal analysis. Some
contractors and title companies will provide title "opinions" for title
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insurance and other purposes, but any title search Statement of
Work should make it clear that such tasks are outside the scope of
the title search.

A Superfund site, as described in a removal assessment report or
screening inspection report, may be comprised of multiple parcels
with one or more owners. Identifying the parcels that make up the
site is an important step in the title search process. "Parcel" is the
term typically used to refer to a  legally described piece of real
property. The legal description establishes the boundaries of the
parcel.  The property may be described in terms of metes and
bounds  or by section, lot number (in recorded plats), parcel
number, or merely a deed reference.

The "assessor parcel number" refers to the parcel number
established for the property by the local taxing authority for
purposes of assessing taxes. The legal document showing the sale
of the property from one party to another, generally called a deed,
will usually include the legal description and perhaps the tax
assessor's parcel number and the physical address of the property.
In most cases, parcels are assessed separately even if they have
the same owner, so a business or company may own a large tract
of land consisting of several parcels for tax assessment purposes.
This may be so even if the business or company received title to
the land by a single deed.

In some jurisdictions, the parcel number may be referred to on the
deed or even form  part of the legal description of the property.  In
other jurisdictions, the parcel number is usually not found on the
filed deed copy. In such cases, the parcel number, book and page
number of the filed deed, and/or a copy of the parcel  map can often
be obtained from the assessor's  office if the title searcher can
provide  the address, legal description, or owner's name.  Once the
book and page number of the deed are known, a copy of the
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current owner's deed can be obtained from the recorder's office.
Most county recorders and assessors will not go back in the records
any farther than the current owner as they consider that a title
search.

Additional title searches may be necessary if contamination has
been found migrating off site.  A title search also may be conducted
for parcels adjacent to the site if, for example, EPA will need to
obtain access from owners or ultimately implement institutional
controls on properties that abut the site.  In addition, a title search
of adjacent parcels may disclose names of people familiar with past
or present site activities who can be contacted and interviewed. It
also may provide information about other activities in the area that
may have contributed to contamination at the site.

In some cases, a professional survey may be necessary.  If a
property's legal description were unclear, for example, a survey
might serve to clarify its boundaries. A survey also may be
required to identify the portion of a site or other property the use of
which is to be restricted by institutional controls if this portion is not
coextensive with the boundaries as defined in title documents.
In this case, a survey might  be needed to establish the location of
physical contamination in relation to those boundaries as it may be
necessary to consider the entire extent of such contamination and
impose the controls on many or all the parcels within the
contaminated area,  not  solely on the parcel where the facility that
caused the contamination is  located.

The PRP search manager, in  consultation with the case attorney,
should establish  site-specific title search requirements.
Site-specific determinations should include:

   •   the time period the title search is to cover;
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   •   the area the title search is to cover (identified by site parcel
       legal descriptions, county tax assessor parcel numbers or
       street addresses, or section, range, and township numbers);

   •   whether certified copies of title documents and deeds are
       required;

   •   the format of the title search results summary; and

   •   what documents and information should be included in the
       title search report (e.g., current and historical parcel maps,
       liens and encumbrances, types of deeds and leases, legal
       descriptions).

Documentation

Title search documentation may include:

   •   warranty deeds

   •   quitclaim deeds

   •   grant deeds

   •   indentures

   •   deeds of trust

   •   trustees' deeds

   •   land patents

   •   executors' (or administrators' or personal  representatives')
       deeds

   •   sheriffs' deeds

   •   tax deeds

   •   mortgages

   •   easements
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   •   liens (e.g., tax, mechanics, Ms pendens, declaration of
       takings)
   •   declarations of restrictive and maintenance covenants
   •   leases
   •   mineral leases
   •   oil and gas leases
   •   parcel maps
   •   plat and subdivision maps
   •   tax statements/appraisals
   •   UCC Article 9 statements
   •   financing statements
   •   real estate contracts
   •   bills of sale
   •   powers of attorney
   •   assignments
   •   affidavits
   •   wills
   •   bankruptcy proceedings
   •   judgments

It is useful to request that the title search provide both signature
and recordation dates of documents as documents are not always
recorded in a timely manner and recordation dates may affect the
priority of liens and encumbrances. It is also useful to obtain both
current and historical parcel maps and to note any changes in
parcel numbers or dimensions that have occurred.
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                       Note that leases are not always recorded, but may still be found by
                       researching tax records for the property.  Lessees may have
                       personal property at facilities on which they pay taxes.  Personal
                       property includes structures, portable buildings, or any other
                       physical property that the county has the ability to tax,  but does
                       not include the land itself.

                       The title search may also discover information about the business
                       form of past and present owners (e.g., partnership, corporation).
                       Documents relating to the business form, however, are  likely to be
                       found in the office  of the Secretary of State or other repository of
                       business records, not in the office where land title records are
                       found. (See subsections 3.6.1 through 3.6.9 and 3.6.11 of this
                       manual for further discussion of business forms and records.)
3.5.2
Develop a Title
"Tree" or
Chronology
The next major step in the title search process is to develop a title
"tree" or chronology that organizes the documents obtained through
the title search.  It should include a reference list of all recorded
documents, including their location by book and page number.
Recorded documents may include any of those listed above.
Generally, the title "tree" or chronology provides a brief description
of each transaction, including whether it affected all or only a
portion of the site. This summary of site ownership history may
include:
                              the terms of the transaction (e.g., a five-year recorded
                              lease);
                              whether the transaction transferred all or only some of the
                              rights to the land (e.g., in mining areas it is important to
                              know whether the mineral rights were transferred with the
                              surface rights, and what, if any, rights were retained by the
                              transferor);
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    •   explanations and implications of specific real property,
       contract, or other specialized terms such as quitclaim deed,
       conditional sales contract, and partial release of deed of
       trust and mortgage; and
    •   charts and maps, if considered useful (e.g., at multi-parcel
       sites, maps can be a particularly useful tool for organizing
       site, contamination, ownership/title, and related
       information).

Upon  receipt of the title search, the PRP search manager should
review title search work products to determine whether the correct
property or properties (i.e., the various parcels that may make up a
site) were researched.  Making this determination is often difficult
and uncertain due to the technical terminology used  in property
descriptions and the sometimes extensive subdivision and merger
that properties  undergo. The best  practice, whether the title search
is performed by contractors or in house, is to use CIS mapping
software to plot the legal descriptions obtained from the title
documents against a current county parcel map that identifies the
parcels of interest to EPA.  This plot can be compared with the
parcel map to ensure that the legal descriptions match the property
of interest.

The PRP search manager also should review title search work
products to determine whether:

    •   the correct property or properties (i.e., the various parcels
       that may make  up a site) were researched;
    •   the correct documents were provided;
    •   any deeds or other title documents are missing, incomplete,
       or unreadable;
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                          •  the property descriptions in the documents relate to site
                             property;
                          •  the chain of title is continuous (i.e., no gaps appear in the
                             chain); and
                          •  leases and deeds were reviewed for restrictive language
                             concerning ground water or land use.

                       A title search is  complete when the ownership history is complete
                       (i.e., it contains no gaps between owners or provides an
                       explanation of any gaps).  A title search report should always end
                       with a statement such as, "As of [date] there had been no further
                       conveyances."
3.5.3
Additional Uses
for Title
Documents
As noted above, deeds and leases may contain language restricting
ground water, surface water, or other land uses. Title documents
may also contain information about installation of sanitary sewers,
storm drains, historical features, and other easements that may
become important later in the investigation.  Careful examination of
grantor/grantee information in these documents may also help
explain relationships within privately held companies, such as
changes in officer positions over time.
3.5.4
Updating Title
Information
Response actions often involve the use of institutional controls and,
in turn, often require that environmental covenants or similar "deed
restrictions" be recorded against the property that comprises the
site. When institutional controls are being contemplated, the title
search can  be brought up to date to  identify current encumbrances
that might affect environmental covenants.  It also may be useful
to consult U.S. Army Corps of Engineers historical records on rivers
and creeks  as Corps projects can effect changes in property
boundaries  that are often not documented in local property records.
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                       It is important to bear in mind that institutional controls cannot be
                       placed on property without the written consent of the property
                       owner, whether the owner is a PRP or not.
3.6
Business Status
and Financial
Research

3.6.1
Introduction
 CERCLA Section 107(a) identifies four classes of "persons"
 who may be liable for costs incurred by the United States, a
 state, or an Indian tribe, and who may be liable to perform
 future response actions at a site.  (See discussion in Section
 1.2 of this manual.)
 Individuals and a variety of commercial and governmental
 entities may qualify as a person because of their own acts
 and omissions or because  of the acts or omissions of others.
 (See  CERCLA Section 101(21) for the definition of "person.")

 The PRP search should determine, for each PRP identified,
 whether the person still exists, if the person is still viable,
 and the exact name  used by the  person today.
 In many cases, records gathered, such as manifests or trip
 tickets, may identify a PRP as the PRP was known years ago.
 During the time that has elapsed since the records were
 created, the name of the entity may have changed and a
 different business may be  operating under the same name.
 Therefore, it is crucial to trace each person from the time of
 liability to the present so that EPA can correctly identify who
 is liable to perform or pay  for the cleanup.
 For individuals, a portion of this research is completed by
 performing skip tracing and asset searches.  (Skip tracing is
 the process of locating someone who has gone  missing
 whether deliberately or not.)
Liability may extend beyond the assets and the earnings of
 the person, depending on the type of person (e.g., sole
 proprietor, partnership, corporation) and as provided by the
 laws of the state in which the entity operates.
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                              Liability of a person may continue long after the original
                              person or business has ceased to exist. As a result, more
                              than one existing person may be liable.
3.6.2
Forms of
Business
Organization
The following is a general introduction to the forms in which a
business may be organized.  It includes a definition of each form, a
brief description of the formalities required to begin the form, and a
simplified description of who is liable for the acts, omissions, and
debts of a business organized in that form.  Formation and liability
of a business or commercial entity are governed primarily by the
law of the state in which the entity operates or is headquartered.
Identifying the specific business entity (or form) is necessary in
order to accurately identify the PRP, as well as collaterally liable
parties.
                       [Note: This section presents a general overview of the formation
                       and liability of businesses and may not be applicable to every case.
                       It is recommended that you consult with the appropriate attorney
                       in your region when assessing the potential liability of PRPs
                       associated with a particular site.]
3.6.3
Person
In order to understand the significance of various business forms as
they relate to the CERCLA liability scheme, it is helpful to review
the definition of "person" in the statute. CERCLA Section 101(22)
defines a "person" as "an individual, firm, corporation, association,
partnership, consortium, joint venture, commercial entity, United
States Government, state, municipality, commission, political
subdivision of a state, or any interstate body."
                       As defined, each person can perform commercial acts, such as
                       opening bank accounts, buying or leasing property, selling
                       merchandise, borrowing money,  and providing services. As a
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                       consequence of these commercial acts, persons can be liable, under
                       both civil and criminal statutes, for the consequences of their acts
                       or failure to act.  For instance, a partnership can be held liable for
                       damages caused  by an employee of the partnership, performing an
                       act within the scope of his employment, who injures another
                       person.  In civil actions, courts may require a partnership to  pay
                       damages or perform other remedies; in criminal actions, the
                       individual partners may be fined or imprisoned.
3.6.4
Business
Organization
The organization of a business, both in terms of the formalities of
creating a business and the structure or form of the business, is
governed primarily by state law.  Almost all states have adopted  all
or parts of several  model laws, such as the Uniform Commercial
Code (UCC), the Model Business Corporation Act, and the Uniform
Partnership Act.  Each state, however, has the authority to codify
its own requirements for those who wish to start a business.
The three most common business organizations are sole
proprietorships, partnerships, corporations.
3.6.5
Sole
Proprietorships
Definition:  Businesses owned and operated by an individual (or a
married couple). The business is regarded as an extension of the
person, with no legal or commercial distinction.

Taxation: The profits and losses of the sole proprietorship are
reported directly on the individual's tax return and are normally
recorded on  a  Schedule C, which is attached to the individual
income tax return, Form 1040.

Ownership  and Liability: All the assets of the business are owned
by the individual, the individual controls the activities and direction
of the business, and the individual is liable for all the debts and
obligations of the business. Accordingly, any asset owned solely by
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                       the individual could be reached to satisfy any debt of the sole
                       proprietorship.  For assets owned  by the individual jointly with
                       another individual(s), it may be necessary to research the laws of
                       the state where the asset is located or the individual resides.  This
                       is especially true for non-business assets owned jointly with a
                       spouse.

                       Registration: A sole proprietorship is not generally required to
                       formally register to establish a business but may be regulated  by a
                       variety of state and local agencies, often for reasons related to
                       health and safety, professional standards, or tax revenue.
                       Accordingly, a sole proprietor may need to file appropriate
                       documents in order to use a fictitious business name or to obtain a
                       business license.
3.6.6
Partnerships:
General
Partnerships and
Limited
Partnerships
Definition: Partnerships are associations of two or more persons to
carry on a business for profit as co-owners. Partners can be
people, other partnerships, corporations, trusts, or any other
person as defined under state law.  There are generally two types
of partnership, general and limited.

Taxation: Even though the partnership itself is not required to pay
income tax, the partnership is required to file a return of
partnership income (Federal Form 1065).  Attached to the
partnership return is Form K-l, which allocates all income or loss of
the partnership among the partners.  Each partner then reports its
portion of the profit or loss on its own income tax return.
                       Ownership and Liability: Partnership property is owned by the
                       partnership, and may not be used to directly satisfy the personal
                       debts or obligations of the partners. Under specific circumstances,
                       however, a creditor may move to dissolve the partnership or sell
                       the debtor partner's interest to resolve the personal debts of the
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                       partner.  Although debts of a partner may not directly attach to the
                       assets of a partnership, the debts of the partnership may attach
                       directly to the assets of general partners.
3.6.6.A
Elements
Specific to a
General
Partnership
Unless there is an appropriate filing in the state where the business
activity occurs to create some type of person such as a limited
partnership or corporation, any group of two or more persons
(other than a married couple) that is  formed for a common
business purpose normally falls into the category of a general
partnership. In a general partnership all partners are general
partners (i.e., they participate in the  management and operation of
the business).  Each general partner may bind or legally obligate
the partnership.  Each general partner is entitled  to full information
and disclosure about partnership matters and business. Each
general partner has a fiduciary relationship to the others; that is,
each owes the others his best efforts  to make the partnership as
successful as possible. Typically, a general partnership is formed
by a written agreement that may or may not be recorded with the
county or the state in which the partnership does business.  A
general partnership may also be formed  by oral agreement.
                       Ownership and Liability: Each partner is personally liable for all
                       debts and obligations of the partnership.  Accordingly, the assets of
                       each general partner may potentially be reached by a creditor.
                       Assets of the partnership, however, belong to the partnership, and
                       may not be used to satisfy the personal debts of partners.

                       Registration: A general partnership usually does not require any
                       formal registration to establish the business, but may be regulated
                       by a variety of state and local agencies, often for purposes related
                       to health and safety, professional standards, or tax revenue.

                       Accordingly, a partnership may need to file appropriate documents
                       in order to acquire a business name or obtain a business license.
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3.6.6.B
Elements
Specific to a
Limited
Partnership
Definition: A limited partnership is a business association of at
least two legal persons, one or more of whom are general or
managing partners, and the rest of whom are limited partners.
Limited partners invest capital in the partnership, but do  not
participate in its management.  They are investors, much like
shareholders in a corporation, entitled to distributions of  profits, but
without any authority to direct or run the business (no control).
Limited partners may sell their interest without dissolving the
partnership and without the consent of the other partners.  Their
withdrawal or death does not dissolve the partnership. A statement
or agreement of limited partnership must be in  writing and filed,
either with the county in which the partnership  has its principal
office or with the secretary of state's office, or both. Failure to file
the appropriate papers and abide by the appropriate  state
regulations for the state in  which  the business activity takes place,
may affect the limitation of liability that generally protects the
limited partners.  As in general partnerships,  general partners have
a fiduciary responsibility to the limited partners to  put forth their
best efforts toward the success of the partnership.
                       Ownership and Liability: A general partner has unlimited liability
                       for the debts and obligations of the limited partnership. A limited
                       partner's liability is normally limited to the amount of his
                       investment.

                       Registration: A statement or certificate of limited partnership
                       must be filed with the secretary of state or equivalent and, when
                       required by specific states, with the county in which the partnership
                       has its principal place of business.  The statement or certificate
                       generally identifies the partnership  name, partnership address,
                       general partners, agent for service  of process, and term or duration
                       of partnership.  Partnership interests or percentages may also be
                       identified.
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3.6.7
Corporations
Most states have adopted the Model Business Corporation Act or
the Revised Model Business Corporation Act, which lend uniformity
to requirements for incorporation.  Nearly every state, however,
has adopted different requirements for documents that need to be
filed, the jurisdiction for filing those documents, the amount of
disclosure required, and regulations governing the sale of stock,
among other items.  These differences  make it necessary to
become familiar with the requirements of each state.
                       Definition: The Corpus Juris Secundum (18 C.J.S. § 2) explains
                       that a corporation is an artificial entity created by the law of its
                       state of incorporation.  A corporation is made up of a body of
                       individuals (shareholders) "united as a single separate entity under
                       a common name" with a perpetual existence.  For legal purposes, a
                       corporation's status under the law is that of an individual, even
                       though one corporation may be an affiliate of another corporation
                       or corporations, such as a parent or subsidiary.

                       Although an artificial person, a corporation "is entitled to rights
                       under the law, and must enforce its  own rights and privileges."

                       The "essential attribute of a corporation is the capacity to exist and
                       to act, within the powers granted, as a legal entity" separate and
                       distinct from  its shareholders.

                        The characteristics of a corporation generally include:

                           •  the capacity of perpetual existence;
                           •  the power to sue or be sued  in the corporation's name;
                           •  the ability to purchase, own,  and sell property and real
                             estate;
                           •  the ability to engage in specified business as set forth in its
                             articles of incorporation; and
                           •  any other characteristics and powers as provided by statute.
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                       "The law of the state of incorporation," however, "determines the
                       status, nature and functions of a corporation."

                       Taxation: Unless the corporation is a Chapter S corporation, it files
                       its own tax return and is responsible for paying the income tax on
                       its earnings.  Any divestiture of assets from the corporation to the
                       shareholders is identified as a dividend and this dividend is taxed
                       on the shareholders' tax returns.  (See p. 158 for a discussion of
                       Chapter S corporations.)

                       Ownership and Liability:  Shareholders own stock in the
                       corporation.  The corporation in turn owns the assets of the
                       corporation.  Shareholders, officers, and directors are generally not
                       liable for the debts of the corporation. Shareholders are at risk to
                       the extent of their investment in the corporation.

                       Regulation: Corporations must be incorporated under state law
                       and must comply with regulations applicable in that state in order
                       to maintain their standing  as legal persons. Corporations must also
                       register in the states in which they conduct business. In some
                       states, a corporation that has had its corporate charter revoked no
                       longer operates as a corporate person and may instead  be
                       operating as some other type of entity (e.g., partnership, sole
                       proprietorship). In addition, corporations seeking to sell stock or
                       other securities to the general public are regulated  by the Securities
                       and Exchange Commission (SEC), and must provide substantial
                       disclosure to the public, as noted in subsection 3.6.11.C of this
                       manual.
3.6.7.A
Elements Unique
to Corporations
Continuity. A corporation is established in perpetuity, and
can continue to operate even in the event of death,
disability, or withdrawal by shareholders, directors, or
officers.
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                              Transferability of equity interest. Equity interest in a
                              corporation is evidenced by shares of stock, which can
                              generally be freely sold or transferred, subject to applicable
                              regulations.
                              Constitutional rights similar to, but more restricted
                              than, those of a  natural person.  Constitutional rights
                              granted to corporations include protection from
                              unreasonable search and  seizure, freedom of speech,  and
                              the right to trial by jury.  Constitutional rights not granted to
                              corporations include the privilege against self-incrimination
                              and privacy rights.
                              Separate existence as a legal person. A corporation
                              exists as a person at law, separate and distinct from its
                              shareholders, directors, officers, and employees.
                              Claims of creditors.  When a corporation is dissolved or
                              winds up  its affairs, assets of the corporation must be used
                              to satisfy creditors first.  Creditors must be notified and
                              given an opportunity to present a claim for payment.  After
                              all  creditors are paid, then stockholders are  entitled to a pro
                              rata distribution of remaining assets, if any.
3.6.7.B                Public vs. Private Corporations

Classification of                      ,..,.,      u        i • 4- ^      4-1
                       In a  public corporation, stocks or shares are listed on a stock
Corporations         exchange such as the New York Stock Exchange, the American
                       Stock Exchange, or the NASDAQ, and are available for purchase or
                       sale  either directly from the corporation or via a stock brokerage
                       firm  such as Charles Schwab, Merrill Lynch, or Morgan Stanley.  In
                       order to offer securities for sale to the general public, a corporation
                       must provide a very high level of disclosure, including disclosure of
                       specified financial statements, matters that are material to the
                       economic existence or well-being of the business, the identity of
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the corporation's major shareholders, and the identity of entities
seeking to acquire major stock interests. Such disclosures are filed
with the SEC and  are required as long as the corporation remains
publicly traded.

In privately  held corporations, stock or shares are sold or issued
only to selected private parties, and are not offered or sold publicly.
 Shares are  often  held  by one person, a family, or those who
incorporate the business, and shareholders are often directors or
officers of the corporation as well.  Such a corporation is generally
known as a "close" or "closely held" corporation.

C vs. S Corporations

In C corporations, both the corporation and its shareholders are
subject to income tax.  The corporation is taxed on its net income,
and shareholders  must report any dividends received from the
corporation as well as gains (or losses) on the sale of stock.  There
are no limits to the number of shareholders in C corporations, and
C corporations may be either publicly or privately held.

An S corporation is a corporation that elects to be taxed like a
partnership, such that  the income of the corporation is allocated or
passed through to the  shareholders.  S corporations avoid the
double taxation of C corporations, since only the  shareholders
report taxable income  in  the form of dividends or distributions.  S
corporations are limited by law to 35 or fewer shareholders and are
normally privately held corporations.

Domestic vs. Foreign and Alien Corporations

A corporation is a domestic corporation in the state in  which it
incorporates. It is a foreign corporation in all other states in which
it qualifies to do business.  An alien corporation is a corporation
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                       qualified to do business in a state in this country, but incorporated
                       in a different country, such as Great Britain or the Netherlands.
                       Consult OGC and regional staff attorneys regarding the feasibility of
                       imposing CERCLA liability on foreign corporations, alien
                       corporations, or holding companies owned  or capitalized  by alien
                       corporations.

                       Profit vs. Non-Profit Corporations

                       Profit corporations are established as business enterprises whose
                       primary goal is to produce goods or services that may be sold for
                       more than it costs  to make or furnish them.  Even though a
                       for-profit corporation may not show a "profit," particularly on its tax
                       returns, it remains a for-profit corporation  by virtue of the form in
                       which it was incorporated. Non-profit corporations are established
                       to conduct a variety of enterprises, but are distinguished from
                       for-profit corporations in that dividends are never distributed to
                       stockholders.  In general,  non-profits do not even issue stock.
                       Non-profit corporations often manage condominiums or common
                       ownership associations, foundations, and other beneficial
                       enterprises.
3.6.7.C
Evolution of
Corporations
Name Changes

All corporations must be authorized by a state in order to conduct
business in that state, and are granted the exclusive right to use
their corporate names as part of that authorization.  As long as a
corporation abides by the appropriate state regulations, such as
filing annual reports and paying applicable state taxes and fees, it
maintains exclusive rights to this corporate name. The  practical
effect is that there is only one corporation at a time within a state
using precisely the same name (i.e., there may  be only one General
Electric Corporation in a state operating at any one time).
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Sometimes a corporation decides to change its name or merges
with another corporation and as a result of the merger assumes a
new corporate name.  Upon assuming the new corporate name, the
old corporate name may become available for use by another
business.  The corporate name may also become available if the
corporate charter is revoked, the corporation is dissolved, or the
corporate authorization lapses due to inactivity or failure to file an
annual report.

As a result of name changes, more than one corporation may at
different times conduct business under the same corporate name.
Also, because corporations must be authorized to conduct business
on a state-by-state basis, it is possible for distinct, unrelated
companies with the same corporate name to operate in different
states.  Once a corporation has been identified, it is necessary to
confirm its name and the state of incorporation where Superfund
liability arose.  Once the corporation is correctly identified, it is
necessary to determine its current status.

A corporation cannot  escape liability simply by changing its name.
If investigation reveals that ABC Corporation was incorporated in
1970 and sent hazardous substances to a Superfund site in 1975,  it
is still liable today even if it changed its name to  XYZ Corporation in
1995.

Mergers

A merger is a combination of two or more corporations into one
surviving corporation. As a general rule, the liabilities of the
combining corporations are inherited by the surviving corporation.

Accordingly, once evidence of a corporation's liability has been
established, all that is needed to link the liability  case to the
company that survived the merger is documentation from the state
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                       that confirms the merger.  Examples of such documentation may
                       include:

                           •   articles of incorporation and amendments;

                           •   resolutions of the board of directors;
                           •   merger agreements; and

                           •   proxy statements.

                       Asset Sales

                       A corporation may sell part of its business operations, facilities, or
                       other assets (e.g., real property, equipment) to another
                       corporation, but it cannot avoid CERCLA liability simply by divesting
                       itself of an asset. For example, a corporation may sell a facility
                       where hazardous substances were deposited, but doing so will not
                       relieve it of liability under CERCLA Section 107(a)(2) if it owned the
                       facility at the time of disposal.  Therefore the PRP search should
                       continue to investigate the selling corporation with particular
                       attention to the proceeds of the asset sale.  (See subsection
                       3.6.10.F of this manual for exceptions to this general  rule.)
                       Ownership of stock in a corporation may change over time.
_ _ _ _                Exchange of stock in and of itself does not change the corporate
O.D.7.D
                       person. Accordingly, if the only change in a corporation is the
Sale of Stock in a
                       ownership of its stock, then there is no change in the identity of the
Corporation          |jab|e pgrty

                       If the facts developed during a PRP search identify a situation
                       where either all or a majority of the stock of a liable corporation is
                       sold to a different "person," it may  be appropriate to conduct a
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                       more thorough investigation to confirm that the exchange of stock
                       was the only change that took place.  In some circumstances,
                       ownership of all or a majority of the stock of a corporation by one
                       person may signal the existence of additional PRPs. These issues
                       are discussed in subsection 3.6.10 of this manual.
3.6.8
Indemnification
Agreements
An indemnification agreement is a contract between two or more
parties in which one party agrees to be obligated to pay for or
reimburse another party upon the occurrence of specific events as
set forth in the contract. A PRP may seek to transfer its liability to
another party through such an indemnification agreement.  Since
the United States is  not typically a party to such agreements, it is
not bound by their terms and conditions.  Moreover, resolution of
disputes and alleged failures to perform arising from such contracts
requires recourse to a court of competent jurisdiction.  In some
instances, it  may turn out that the indemnifying party is incapable
of fulfilling its obligations due to a lack of financial resources.
                       When a PRP search identifies the existence of an indemnification
                       agreement, ORC and possibly DOJ should be consulted to
                       determine how best to proceed.  Generally, it is the responsibility of
                       the parties to the indemnification agreement to assure compliance
                       with the agreement. Although an indemnifying party may agree to
                       perform or pay for work, it is important that the United States
                       retain enforcement authority over the PRP who is being
                       indemnified.  Under appropriate circumstances, EPA may seek an
                       agreement from the indemnifying party not to contest its obligation
                       to indemnify the PRP.  If the indemnifying party agrees,  it  is
                       essential that its agreement not be obtained in a way that
                       inadvertently effects a waiver of the United  States' enforcement
                       authority  over the PRP who is being indemnified.
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3.6.9                  Trusts
Other Entities
                       Trusts are legal creations, often created to hold property so that
                       assets may be transferred to another person without expensive and
                       lengthy probate court proceedings, or to avoid inheritance taxes.
                       There are typically three parties identified in a trust agreement. The
                       grantor or trustor bequeaths or transfers property to the trust. The
                       trustee  is the manager or executive for the trust, with an obligation
                       to follow the trust documents in managing and distributing trust
                       assets.  The beneficiary or beneficiaries are  the persons who are to
                       receive  or inherit the property. One type of trust, often known as a
                       spendthrift trust, provides for the distribution of property or income
                       according to a fixed schedule or at the direction of a trustee to one
                       or more beneficiaries in order to  prevent the beneficiary from
                       squandering it all at once. Trusts may also  be established to
                       provide for the long-term care of an incompetent or disabled
                       individual, particularly when the beneficiary is younger than the
                       grantor. Trusts are created pursuant to state law, and the forms,
                       purposes, and limitations of trusts vary from state to state.
                       Because a trust may have legal standing as a "person" under state
                       law, it may be liable as a PRP under CERCLA. It is therefore
                       essential to understand the law of trusts of the state in which the
                       trust was created and of the state in which the assets of the trust
                       are located.

                       A trust is created by a trust document or instrument, which may or
                       may not be recorded, but must be in writing.  The document
                       identifies the parties and describes the property, which may be
                       personal or real property, that is to become the trust estate. The
                       document also lists the duties of the trustee, provides for successor
                       trustees, and enumerates the conditions under which trust assets
                       may be distributed to the beneficiaries. Some trusts are
                       irrevocable, which  means that the property  is transferred without
                       the possibility of the grantor changing her mind.  Other trusts are
                       revocable, which means that the grantor retains the right to revoke
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the trust and recover the trust property. In cases where a PRP
grantor continues to enjoy the use or benefit of the trust property,
EPA may conclude that the trust is a sham and take legal action to
void or set aside the transfer of the trust property.

Trusts are required to file federal income tax returns (Form 1041)
annually to report income, expenses, distributions of trust property,
and any tax liability.

Holding Companies

A holding company typically  does nothing more than own the stock
of corporations that actually  create goods or provide services.

Shell Corporations

A shell corporation is a corporation that exists on paper, but has no
real existence.  Often a shell corporation may be a holding
company or the shell may exist only to preserve a corporate name,
public image, or intangible right or property. The officers,
directors, and shareholders of a shell corporation may be difficult to
identify, and may not actually conduct any business.

Joint Ventures

In many respects, a joint venture  is indistinguishable from a
general partnership. It is an association of two or more entities,
generally with a finite or defined purpose.  An example of a joint
venture is an association of two construction companies who
"jointly"  bid  on and  construct a large building that would  be beyond
the capacity of either company separately.  Joint venture
agreements may  be, but do not have to be, written. The primary
difference between a joint venture and a partnership is that the
joint venture is generally formed for the duration of a project, and
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                       then disbanded, while the life of a partnership is governed by the
                       time specified in the partnership agreement or the desires of the
                       partners.

                       Municipalities

                       Counties, cities, and municipalities are creations and subdivisions of
                       state governments, established by charter or other act of the state
                       legislature. They are legal entities, much like corporations, but
                       have the power to  require investments by the public through taxes
                       in addition to offering voluntary investment  opportunities through
                       municipal bonds.

                       Limited Liability Companies

                       Many states have adopted  provisions under  either their Uniform
                       Commercial Code or Business Corporation Act to allow for the
                       creation of a business entity known as a  "limited liability company."
                        The member(s) or company enjoy(s) the limited liability protection
                       generally afforded  to shareholders of corporations.  Requirements
                       include public notice or registration of the entity as a limited liability
                       company and,  in some cases, use of the  term limited liability in the
                       company name.
3.6.10
Additional
Liability Theories
As a PRP search progresses, information gathered may suggest that
the investigation be expanded to include additional "persons." This
section supplements the discussion of CERCLA liability in Chapter 1
by outlining theories of extended potential liability under
CERCLA. This information is intended to assist regional  attorneys
and others participating in or performing the PRP search in
developing appropriate liability recommendations.  Because the
interpretation and validity of these liability theories may be viewed
or applied differently in each federal judicial district and  from state
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                       to state, it is strongly recommended that ORC and DCO be
                       consulted to ascertain the current applicable judicial interpretation
                       given the facts of each specific case.
3.6.10.A
Direct Liability of
a Person as an
Operator or as a
Person Who
Arranged for
Disposal or
Treatment of
Hazardous
Substances
Subject to the appropriate legal defenses and exemptions outlined
in subsections 1.2.5 and 1.2.6 of this manual, the owner of real
property constituting a Superfund site is a responsible party.
CERCLA, however, does not limit liability solely to the owner of the
real property. Instead, as discussed in subsection 1.2.4 of this
manual, liability may also be imposed  upon operators and on
"persons" who arranged for treatment or disposal of hazardous
substances (generators) and transporters.  As the PRP search
proceeds, many additional "persons" are often identified who
played more or less extensive roles in directing or managing the
activities of the business entities whose acts in turn created the
hazardous conditions found  at the Superfund site. Based on
case-specific information developed during the PRP search, the
Agency may establish that the actions and involvement of these
"persons" were so extensive that liability  should be imposed upon
them, notwithstanding such traditional shields against liability  as
the corporate shield or a person's status as a limited partner.
Federal courts have held that these actively involved persons may
be named PRPs based upon the definition of "person" in CERCLA
Sections 101(21) and 107(a) under a liability theory known as
direct liability.
3.6.10.B
Corporate
Officers,
Directors,
Shareholders, or
Employees
In addition to holding a corporation liable, the United States has
brought CERCLA actions against officers, directors, employees, or
shareholders of corporations.  In general, corporate officers,
directors, shareholders, and employees have limited individual
liability for unlawful or tortious acts of a corporation. Courts,
however, have applied by analogy the standard of direct CERCLA
liability established in United States v. Bestfoods (discussed in
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                        subparagraph 3.6.10.C of this manual) to corporate officers,
                        directors, shareholders, and employees. Courts have ruled that an
                        officer, director, or shareholder may be "directly liable," (i.e.,
                        personally liable) under CERCLA given either of the following fact
                        patterns:

                        •     A corporate officer, employee, shareholder, or director
                             participated personally in the activity leading to the release
                             of hazardous substances; or

                        •     A corporate officer, employee, shareholder, or director
                             exercised direct control over environmental management of
                             the facility, including  waste handling or disposal operations.

                        Direct liability is also imposed when the actions of an officer,
                        employee, shareholder, or director of a corporation exceed the
                        normal limits and accepted  behavior, practices, or duties of his
                        position.  Evidence that shows that an individual's activities
                        exceeded the scope of his normal duties and responsibilities with
                        respect to site operations, particularly in directing activities that
                        relate to the disposal of hazardous substances, is crucial to a
                        finding  of direct liability.  For example, a treasurer of a  corporation
                        is usually given  responsibility for the corporation's financial affairs,
                        as set forth in the articles of incorporation or the corporate bylaws.
                        If the treasurer  directs  corporate employees to drain liquid waste
                        containing trichloroethylene (TCE) into a disposal trench, he  may
                        be held directly  liable as an operator just as the corporation is
                        liable.  Direct liability may also apply to related or affiliated
                        corporations.
3.6.10.C
Liability of Parent
and Affiliated
Corporations
In United States v. Bestfoods, 524 U.S. 51 (1998), the U.S.
Supreme Court established a standard of direct liability under
CERCLA Section 107(a)(2) for parent corporations as operators of
facilities owned or operated  by subsidiary corporations.  In
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                       Bestfoods, the court held that a parent corporation that jointly
                       operates or exercises control over the environmental operations of
                       its subsidiary's facility may be held directly liable as an operator of
                       the facility under CERCLA Section  107(a)(2). The court also stated
                       that the question is not whether the parent operated the subsidiary,
                       but whether the parent directly operated the subsidiary's facility.
                       This may be demonstrated by showing that the parent corporation
                       managed, directed, or conducted operations specifically related to
                       the release or disposal of hazardous substances,  or made decisions
                       affecting compliance with environmental regulations at the facility.
                       The court also  stated that a parent's control over a subsidiary,
                       although not giving rise to direct liability, if extensive enough, may
                       establish indirect liability. (See the discussion below on piercing
                       the corporate veil.)

                       The court in Bestfoods also held that a parent corporation cannot
                       be held directly liable merely because  directors and officers hold
                       positions in both the parent and the subsidiary corporations.  To
                       impose direct liability in situations with common officers or
                       directors, it must also be shown that the officers  and directors were
                       acting in a manner (1) advantageous to the parent; and (2)
                       obviously contrary to the interests of the subsidiary. The direct
                       liability of a parent corporation arising from the actions of shared
                       officers or directors may only be imposed after an analysis of the
                       specific facts of each case using traditional corporate law tests or
                       principles. As a fundamental part of this analysis, the Court
                       emphasized the importance of corporate decisions that are not
                       made in the best interests of the subsidiary.
3.6.10.D
Elements of
Direct Liability
In Bestfoods, the court held that a parent corporation that jointly
operates or exercises control over the environmental operations of
its subsidiary's facility may be held directly liable as an operator of
the facility under CERCLA Section 107(a)(2). The court also stated
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that the question is not whether the parent operated the subsidiary,
but whether the parent directly operated the subsidiary's facility.
This may be demonstrated by showing that the parent corporation
managed, directed, or conducted operations specifically related to
the release or disposal of hazardous substances, or made decisions
affecting compliance with environmental regulations at the facility
(see United States v.
Kayser-Roth Corp.,272 F.3rd 89 (1st Cir. 2001)), Kayser's control
over its subsidiary's environmental operations at the facility
satisfied Bestfoods' requirements for direct operator liability by a
parent corporation ).

In a potential direct liability case, documentation should include
information reflecting specific actions taken and directions and
orders issued by a potentially liable person.  Documentation should
also show the extent and nature of the involvement of the director,
parent corporation, shareholder, or employee in the corporation,
paying particular attention to decisions or activities that resulted in
or contributed to the release of hazardous substances.  A
comparison of a person's job description and duties with the duties
and activities actually performed as demonstrated by documents
and testimony can be particularly helpful and telling.

Documentation relevant to supporting a direct  liability case
includes:

    •   corporate minutes;
    •   records of stock;
    •   corporate checks, signature cards, and bank statements;
    •   leases, rental agreements, purchase agreements, and  all
       other documents reflecting transactions between the
       corporation and a related or affiliated party;
    •   list of officers (shared officers?);
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                            •   list of directors (shared directors?);

                            •   shareholders (does one person or entity own a controlling
                               interest?);

                            •   affiliation schedules;

                            •   corporate financial statements;

                            •   statements of employees or other knowledgeable
                               individuals;

                            •   position descriptions;

                            •   employment agreements; and

                            •   travel records.
3.6.10.E
Piercing the
Corporate Veil
Piercing the corporate veil is a legal doctrine through which a
corporation's shareholders (and also officers, directors, or
employees), who generally are shielded from liability for the
corporation's activities, can be held personally liable for those
activities. This is in contrast to traditional corporate liability
schemes, in which shareholder liability is limited to the money a
shareholder has invested.
                        In Bestfoods, the Supreme Court left open the question (federal
                        courts are divided on this issue) whether state law or federal
                        common law should apply to veil-piercing claims in actions to
                        enforce indirect liability under CERCLA.10 Most courts (federal and
                        state) apply a multi-pronged test to determine if a shareholder is
                               10 Because the federal courts of appeals are divided on this issue, it is necessary to
                        determine what the controlling law is for the circuit in which a specific case may be litigated,
                        because state veil-piercing requirements are generally stricter than federal common law
                        requirements.
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liable for the wrongdoing of the corporation with which he is
affiliated. Factors often considered by courts include whether:

    •   control over the corporation by those sought to be held
       liable was so complete that the corporation had no separate
       mind, will, or existence of its own;
    •   control over the corporation by those to be held liable was
       exercised in such a manner as to commit fraud or an illegal
       act against the person seeking to disregard the corporate
       entity;  or
    •   injury or unjust loss resulted to the plaintiff from such
       control and wrongdoing.

Generally, the doctrine of piercing the corporate veil  is invoked to
prevent fraud  or achieve equity, particularly in the treatment of
creditors of the corporation. Accordingly, as a prerequisite to
piercing the corporate veil, courts generally require the corporate
entity to demonstrate that it is unable to pay its liabilities or debts,
whether these are Superfund cleanup costs, salaries, debts to
suppliers, or taxes.  (See Carter-Jones Lumber Co. v. LTV Steel
Co., 237 F.3d  745 (6th Cir. 2001), where the court found that a
shareholder's mere control of a corporation may be sufficient to
establish indirect liability and joint liability as an arranger.)

In order to pierce the corporate veil successfully, the party seeking
to pierce the veil has the burden of showing why the veil should be
pierced and  what injustice, fraud, inequity,  or other detriment will
occur if the veil is not pierced (e.g., the taxpayers will be required
to pay for the  costs of a CERCLA cleanup instead of the wrongdoers
who are trying to hide behind a corporate shield).  The type and
amount of evidence needed to pierce a corporate  veil so as to
impose CERCLA liability on corporate officers, directors,
shareholders, or employees is not the same in all  federal or state
courts.  The law governing the standards to  be applied varies;
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sometimes it is state-specific and sometimes it may be federal
common law.  It is very important, therefore, to consult ORC and,
when appropriate, DCO as soon as information is obtained
suggesting that piercing the corporate veil might be warranted or
required.

Corporate acts or omissions that support piercing the corporate veil
include:

    •   failure to observe corporate formalities, including failure to;

       •  properly incorporate (articles of incorporation) or file
          appropriate documents with the state,
       •  hold meetings of the board of directors,
       •  hold meetings of stockholders,
       •  issue or account for stock, and
       •  approve or ratify major actions of officers,

    •   failure to treat corporate property as the corporation's
       property;
    •   failure to properly capitalize the corporation;
    •   commingling of assets (e.g., combining corporate funds
       with personal funds); and
    •   related-party transactions that are not at arm's length or do
       not involve reasonably adequate consideration.

The creditor must show  that the corporation  is a sham by
accumulating as much evidence as possible to support the
indicators listed above.  Documentation that  may be important
includes:
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                           •   corporate minutes (including evidence that such minutes
                              were not kept);
                           •   records of stock;
                           •   corporate checks, signature cards, and bank statements;
                           •   leases, rental agreements, purchase agreements, and all
                              other documents reflecting transactions between the
                              corporation and a related or affiliated party;
                           •   lists of officers (shared officers?);
                           •   lists of directors (shared directors?);
                           •   shareholders (does one person or entity own a controlling
                              interest?);
                           •   affiliation schedules;

                           •   corporation financial statements; and
                           •   statements of employees or other knowledgeable
                              individuals.
3 6 10 F              As a 9eneral rule' a Person who purchases some or even all of the
_                      assets of a business from another person during the course of an
Successor
                       arm's-length transaction is not liable for the debts or other
                       obligations of the seller. There are exceptions to this rule,
                       however, depending on the facts and circumstances of the sale and
                       on relevant case law in the judicial circuit in which jurisdiction lies.
                       Circumstances under which liability may pass to the purchaser of
                       business assets include:

                           •  The buyer expressly or impliedly agrees to assume the
                             seller's liabilities. Because EPA was not a  party to this
                             transaction or contract, it is essential to seek advice from
                             regional counsel to  determine whether EPA may
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       independently move against the buyer to enforce such an
       agreement or if it is necessary to proceed against the seller
       to enforce this portion of the contract.
   •   The transaction (asset sale) is entered into fraudulently in
       order to escape liability.
   •   The transaction amounts to a de facto merger or
       consolidation.  As discussed in subsection 3.6.7 of this
       manual, when there is a formal merger between two or
       more corporations,11 liabilities of the merging corporations
       are automatically assumed by the surviving corporation. A
       de facto merger describes an  asset purchase agreement
       that, for all practical purposes, amounts to a merger.  Most
       states have standards that define a de facto merger.  These
       standards typically include the following elements:
       •   there is a  common relationship between the buyer and
          seller;
       •   the buyer acquires essentially all the assets of the seller;
          and
       •   the seller  is  dissolved soon after the sale.

   •   The buyer is a mere or "substantial" continuation of the
       seller.  Factors that some courts have relied upon in
       identifying "mere continuation" asset purchases include:
       •   retention of the same employees;
       •   retention of the same supervisory personnel;
       •   use of the same production facilities in the same
          location;
       •   production of the same product;
        Whether a merger has occurred can often be determined by reviewing 10-Ks
and other federal and state filings.
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       •   use of the same name;
       •   continuity of assets (i.e., the buyer uses the same
          machinery, sells to the same customers, buys from the
          same suppliers);
       •   continuity of general business operations;
       •   holding out as a successor to the former enterprise; and
       •   holding out as identical to the former enterprise (e.g.,
          using the same name, letterhead, business cards).

Documentation that may help determine whether the standards for
successor liability enumerated above have been satisfied includes:

   •   the asset  purchase agreement with all attachments,
       schedules, or exhibits;
   •   corporate resolutions;
   •   employment contracts;
   •   customer  lists;
   •   supplier lists;
   •   invoices and stationery;
   •   advertising;
   •   bulk transfer notices (notices mailed to creditors of the seller
       and published in newspapers of general circulation in the
       area where  the sale occurred);
   •   business escrow documents  reflecting the asset sale; and
   •   property appraisals.
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Key points to remember when reviewing and evaluating asset
purchase agreements include:

   •  The person selling the business assets is normally referred
      to as a predecessor. The court may require that EPA first
      look to the remaining assets of the predecessor to satisfy a
      liability before EPA is allowed to look to the assets of the
      successor. Accordingly, the PRP search must  identify the
      current operational status, viability, and ability to pay of the
      predecessor. Some states require, as a precondition to
      imposing successor liability, a demonstration that the
      predecessor is insolvent or defunct.
   •  Because  EPA is not normally a party to  indemnification
      agreements or an indemnification clause within asset
      purchase agreements, EPA generally is  not bound by the
      terms and conditions of indemnification agreements.
      Normally, only the parties to an indemnification agreement
      can enforce its terms. Accordingly, providing  EPA a copy of
      an indemnification agreement may not  relieve a party of
      CERCLA liability.
   •  In attempting to evaluate the potential  successor liability of
      a purchaser, the objective is to gather evidence of as many
      of the liability factors discussed above as possible as no one
      of them is decisive.  (If the issue went to trial, the court
      would determine  the outcome by the "preponderance of
      evidence."
   •  Successor liability is a continually evolving field of law, and
      federal courts are divided on whether state law or federal
      common law should apply to determine successor liability
      under CERCLA. (Sometimes it is beneficial to see if evidence
      exists that meets both criteria.) Consequently, it is critical
      to consult with ORC and DCO when making a liability
      determination based on successor liability.
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3.6.11
Financial
Research
Effective financial research starts with a knowledge of the
regulatory requirements and record-keeping policies for the location
where the transaction took place.  On-line databases and credit
reporting services are very useful aids to  understanding prior
events,  but the information obtained using these services may not
be sufficiently reliable to be used as evidence.  This is especially
true when researching the sale and acquisition of companies. The
various  sources of financial information about businesses are
discussed below.
3.6.11.A
Corporation and
Partnership
Filings Required
by States
Required business filings differ from state to state, both in terms of
what information  must be  provided and where documents must be
filed.  In many states, corporations and limited partnerships are
required to file documents with the secretary of state in order to
defend any action in a state court.  Accordingly, almost all
corporations and partnerships  have filed the requisite documents.

   •   For corporations, required filings include  the corporate
       registration, which  contains a list of officers and directors,
       articles of  incorporation, and  all amendments of the articles.
   •   For partnerships, required filings include  the partnership
       agreement, which contains a list of all partners and their
       interests in the partnership, and may include a list of
       partnership property.

   •   Documents evidencing corporate  name changes and
       mergers are also filed with state agencies.

When reviewing corporate filings, make sure that the available
information is consistent with the span of time of potential liability.
Some state offices archive older records.  In those offices, it is
typically necessary to make a specific  request to review older
filings.
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3.6.11.B
Court Filings
Federal and state courts are often good sources of information that
is useful for establishing corporate liability.  Sometimes financial
issues  relevant to a CERCLA investigation have been addressed
under a labor grievance or a property dispute.  A review of prior
legal actions and an examination of the evidence introduced in
those actions can be helpful.
3.6.11.C
Federal Sources
The SEC has large amounts of information relevant to purchases,
sales, mergers, and divestitures of publicly held companies. The
more current information is available on line.  In addition, publicly
available paper documents describe activities as far back as the
1930s.  Other federal agencies may have information such as
contracts and contract amendments that may help  establish
liability.
3.6.11.D
Corporate
Directories
Summary
Corporate directories provide summaries of useful financial
information for a variety of businesses. Older editions of these
directories often are helpful in tracking name changes and the
acquisition and sale of plants. These directories can also be used to
establish the state of incorporation, as well as the fate of inactive,
dissolved, or defunct corporations, or corporations that have
merged, been  acquired, or have otherwise disappeared. Useful
corporate directories include the Dun & Bradstreet Million Dollar
Directories, Directory of Obsolete  Securities, Standard & Poor's
Industrial Manuals, Moody's Manual of Investments, Moody's
Industrial Manual,  and Walker's Manual of Western Corporations.
Corporate directories can be found in the  business section of most
public libraries and are updated at least annually.  In addition,
industrial directories are compiled annually for most states, and
larger libraries may maintain a historical collection of such
directories, particularly for their state.
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3.6.11.E
Credit Reporting
and On-Line
Services
On-line services often provide corporate information for a limited
number of years or provide information that is not current.  Check
with the data provider to verify the period of time that the data
cover and whether full data or only limited portions are being
provided. These systems are very useful for gathering  information
quickly, but additional effort is often needed to fully understand or
verify the information.  Appendix _ provides a list of on-line
resources that may be useful to a PRP search team.
3.7
Develop Site
Preparing a site summary prior to preparation of the baseline PRP
search report serves two purposes:

   •   It focuses the PRP search team on any information gaps or
       incomplete baseline tasks prior to preparation of the
       baseline PRP search report.  If information gaps or
       incomplete tasks are identified, the PRP search team can
       take steps either to complete or re-do tasks or to defer
       decisions to a later date when more complete information is
       available.
   •   It consolidates and facilitates sharing of information.  A site
       summary assembles pertinent, non-confidential site
       chronology and property history information  in one place.
       This summary can be shared with PRPs if it does not contain
       confidential  or privileged information.  The summary can
       also be used by Agency and state decision makers as a
       quick reference to assist in making decisions.

At this point in the  PRP search process, site documents have been
organized consistent with the information management provisions
of the PRP search plan and reviewed for pertinent site data,
information that links a party to the site, sufficiency of evidence
establishing the liability of the PRP, financial viability, and potential
leads about other parties involved with the site.  This review should
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result in a history of activities and parties involved in the treatment
or disposal of hazardous substances at the site, and a compilation
of other factual site information.

Site History

Factual background information about the site as well as a history
of the facility should be presented here.  This history of the facility
as a hazardous substance site should  begin with the first industrial
use or disposal at the site and continue through to current
activities.  It should identify in detail the  kinds of activities
conducted at the facility and the owners/operators during each
period, including principal individuals.  It should also identify by
reference any data on substances at the  site (e.g., in drums,
containers) and, to the extent that the information is available,
include a discussion of the environmental risks that the site
presents.  This  will allow enforcement efforts to focus more closely
on site activities that are linked to EPA response actions.

Factual Site Information

Factual site information that should be contained in a site summary
includes:
    •   site location  and size;
    •   adjoining properties;
    •   brief description of site history to  include;
       •   site owner/operator(s),
       •   when operations began,
       •   type of operations at the site,  and
       •   types of substances manufactured, treated, stored, or
          disposed of,
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                           •   permits applied for or granted; and
                           •   warnings or notices of violations issued by regulatory
                              agencies.

                       All information contained in this subsection should be based on
                       factual records, and each piece of factual information cited should
                       reference where the source record can be found. Following the
                       brief description, a detailed description of site history should be
                       presented in chronological order.

                       The owner/operator discussion should identify the period of each
                       person's ownership or operation of the facility, and describe what
                       hazardous substances were disposed of and by whom during each
                       such period. The owner/operator section should also include a title
                       abstract or narrative provided by the title search company or title
                       researcher.  To aid the reader in reviewing title search results, a
                       title tree or graphs depicting the chain of title may be useful. Any
                       language in the title restricting the use of the property due to
                       wastes deposited at the  site or past  industrial practices should be
                       noted.
3.8
Compile
Waste-In
Information
In addition to developing evidence for CERCLA Section 106 and 107
actions, a PRP search should develop waste-in information for
waste-in lists and volumetric rankings wherever practicable.  A
waste-in list shows the volume and nature of the substances
contributed by each PRP at a facility; a volumetric  ranking is a
ranking by volume of the hazardous substances at a facility.
                       If EPA invokes special notice procedures under CERCLA Section
                       122(e)(l), the Agency is required to provide PRPs, to the extent
                       that such  information is  available, with waste-in lists, volumetric
                       rankings,  and a list of PRP names and addresses. Aside from the
                       statutory  provisions for development and release of such
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                       information, experience has demonstrated that waste-in lists and
                       volumetric rankings are a valuable tool in bringing about
                       settlements at Superfund sites. When presented with an estimate
                       of the nature and volume of hazardous substances contributed to a
                       site, PRPs are better able to coalesce into committees and
                       determine allocations among themselves, and often are more
                       willing to participate in settlement negotiations with EPA. While not
                       every site is a logical candidate for a waste-in list or volumetric
                       ranking, development of such lists and  rankings is generally
                       beneficial whenever practicable.

                       In the past, owner/operator transactional records were the only
                       waste-in information developed during the baseline phase of the
                       PRP search. The follow-up  phase focused on generator and
                       transporter liability and volumetric rankings. Since current Agency
                       policy calls for early settlement with small-volume waste
                       contributors, however, generator-specific waste-in information
                       should be developed during the baseline phase so that de minimis
                       and "de micromis" determinations can be made as soon as possible.
                       (See "Final Guidance on Preparing Waste-In Lists and Volumetric
                       Rankings for Release to Potentially Responsible Parties (PRPs)
                       Under CERCLA" (February 22, 1991) for detailed guidance on
                       waste-in lists and volumetric rankings, and "Streamlined Approach
                       for Settlements With De Minimis Waste Contributors Under CERCLA
                       Section 122(g)(l)(A)" (July 30, 1993) for detailed guidance on the
                       use of waste-in information in settlements with small-volume
                       contributors, Chapter 3 References, p. 201.)
3.8.1
Transactional
Databases
Sections 3.2 and 3.3 of this manual discuss the value of databases
for tracking correspondence and information requests.  Similarly,
large amounts of information on generator and transporter waste
types and volume gathered from previous baseline tasks can best
be managed with a transactional database. Transactional
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databases are used at recycling sites, landfills, and other such sites
with large numbers of generators.  Information contained in
transactional databases is generally derived from evidence
summary sheets and waste stream analyses.  Waste stream
analyses are discussed in Section 4.7 of this manual.

Evidence Summary Sheets - Generators

A separate evidence summary sheet generally is prepared for each
shipment or group of shipments of a hazardous substance sent by a
generator to a site for treatment or disposal.  The evidence
summary sheet for the generator should contain the following
information pertaining to the hazardous substance(s) at the site:

    •   relationship of substances to the threat;
    •   volume;
    •   identification  by name of the hazardous substances;
    •   EPA's determination of any RCRA hazardous wastes  codes;
       and
    •   substances found at the site that the generator is known to
       produce.

Information on hazardous substances presented in the evidence
summary sheets should be referenced to supporting documents in
the correspondence tracking databases, if developed, or in the site
file database. This information should be verified during the RI at
the site.

Evidence Summary Sheets - Transporters

Evidence summary sheets should be kept for all  transporters who
accepted hazardous  substances for transport and selected the
treatment or disposal facility to which the shipment was sent.  It is
useful to identify all transporters, not just those  who selected the
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                       site, since they can identify the generators.  Although the
                       transporters may not have selected the site, and consequently may
                       not be liable, the transporter's customer may be liable as a
                       generator.  By identifying all transporter volume, the database can
                       ensure that each transporter volume is linked to a generator,
                       thereby making  sure all generators are identified. A transporter
                       evidence summary sheet should include the volume and nature of
                       the hazardous substances and describe any evidence that the
                       transporter selected the treatment or disposal site. Again, all the
                       information on the evidence summary sheets should be referenced
                       to supporting documents in the correspondence tracking and site
                       file databases

                       As with the site file, correspondence, and information request
                       tracking databases, the information contained in the transactional
                       database should be screened for relevance to the PRP search. If a
                       contractor  is responsible for developing the database, the
                       contractor  must work with EPA to determine the document criteria.
                       The QA/QC process should screen for duplicative documents and
                       either eliminate  them or enter the documents into the database as
                       duplicates. The  QA/QC process should also be applied to document
                       codes and field definitions, which may include document location,
                       document number, document type, originator, author(s),
                       origination date, title, subject(s) or key words, addressee, number
                       of pages, document condition, method of obtaining the document
                       sources (e.g., PRP, EPA), recipients, and attachments.
3.8.2
Waste-In Lists
and Volumetric
Rankings
At some point during the baseline phase of the PRP search, the PRP
search team should assess the quality and completeness of the
waste-in information and determine whether waste-in lists and
volumetric rankings will be developed, and by whom.  CERCLA
gives EPA considerable discretion whether to develop a waste-in list
or volumetric ranking.  Whether the records at a site constitute
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sufficient evidence to produce waste-in lists and volumetric
rankings is a highly site-specific determination.  Regions should
develop an approach for assessing waste-in information that is
internally consistent and based on a common set of considerations.
Where waste-in lists and volumetric rankings are developed by EPA,
the following three rules should be followed when making
assumptions about waste-in information:

    •   Assumptions should be defensible. Established
       conversion standards  (converting to common units of
       measurement such as gallons or cubic yards) should be used
       and assumptions should be based on patterns established in
       the data in order to avoid charges that an assumption is
       arbitrary or capricious.
    •   State assumptions openly. When interpreting  illegible
       numbers on a manifest, or assuming a disposal destination
       from an unclear hauling ticket, it is preferable to let PRPs
       know where EPA made assumptions and to identify where
       ambiguity still exists.  Clearly stated assumptions contribute
       to the credibility of a waste-in list and give PRPs the
       opportunity to make their own corrections.  Assumptions
       should be reviewed by the case  attorney to ensure that they
       are legally supportable.
    •   Be consistent. PRPs involved at more than one site within
       a region will be aware of any discrepancies in the kinds of
       assumptions  made for waste-in  lists at these sites.  Disputes
       over inconsistent assumptions only slow down the
       settlement process.

Whom To Include  on Waste-in Lists

Generators are usually included on a waste-in list when evidence
indicates they contributed hazardous substances to a Superfund
site. Transporters should be included on waste-in lists when the
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transporter, not the generator, determined where the  hazardous
substances were to be taken for treatment or disposal. As a policy
matter, EPA implements CERCLA Sections 107(a), 101(20)(B), and
101(20)(C) by not including transporters on a waste-in list if they
did not select the site or facility to which hazardous substances
were delivered. Thus, while all transporters should be sent 104(e)
information request letters, only those transporters who appear to
have selected the site for hazardous substance disposal should be
sent notice letters.

Format and Content of Waste-in Information

Waste-in Lists
Waste-in lists contain the volume and nature of substances
contributed by each PRP identified at a facility.  At a minimum, the
lists should contain columns for the names and addresses of PRPs
as well as the types and volumes of hazardous substances.
Although EPA is under no statutory obligation to release information
beyond the waste-in list, regions should consider releasing
supplemental waste-in list information unless there are
countervailing  legal, policy, or strategy reasons not to do so.
Supplemental waste-in  information can include, but  is not limited
to:
   •   dates of shipments;
   •   names of transporters;
   •   types of evidence from which the waste-in lists were
       derived; and
   •   comments to clarify assumptions, ambiguities,  and
       double-counts.

When most PRPs at a site are generators, waste-in lists should be
organized by generator, with a column provided for listing the
transporter of each shipment in order to link the generator to the
site.  When there are multiple transporter PRPs, it may be advisable
to prepare separate waste-in lists for generators and transporters.
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Volumetric Rankings of Substances at a Facility
To the extent such information is available, CERCLA requires that
special notice recipients be provided with a volumetric ranking of
hazardous substances at the facility. This ranking lists hazardous
substances and their respective volumes in descending volumetric
order.  It can be developed from waste-in list information.

Volumetric Rankings of PRPs
Volumetric PRP rankings (sometimes referred to as generator
rankings) rank PRPs in descending order by volume and express
their contributions as a percentage of the total volume of hazardous
substances at the facility. Although CERCLA Section 122(e)(l)(B)
requires EPA to provide special notice recipients with "the volume
and nature of substances contributed by each potentially
responsible party identified at the facility," to the extent such
information is available, CERCLA does not require that this
information be aggregated into a volumetric PRP ranking. A
number of regions release information in this format, however,
because they feel it provides a logical starting point for
negotiations. Regions should bear in mind  and  convey to the PRPs
that waste-in information provided with special  notice  is intended
as an estimate of individual PRP contributions, and  is neither
definitive nor binding in any way.  It is intended solely as
information to facilitate settlement agreements  between PRPs and
the Agency.

When there is insufficient information to convert volumes into a
single unit of measurement, regions may provide a volumetric
ranking  using raw data from records in an unconverted form. PRPs
can then choose to clarify ambiguities concerning volumes or
substances in order to produce a better list upon which to
negotiate.
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Special Considerations

Commonly Contributed Volumes
When hazardous substances are contributed both by a generator
and a transporter that designated the treatment or disposal site,
regions are advised to:

   •  attribute the volumes to both parties when compiling
      waste-in information;
   •  not try to apportion responsibility for a hazardous substance
      shipment generated by one PRP and transported by another
      among the two PRPs in a volumetric ranking or waste-in list;
      and
   •  let the PRPs, or the independent neutral, allocate commonly
      contributed volumes during the site allocation process.

Because this approach may result in double-counting shipments,
regions should provide PRPs with an explanation of why shipments
have been double-counted and clearly identify, by means of a
comment field or other notation, which shipment volumes have
been attributed  to both generators and transporters.

Municipal Landfills
Like mining and area-wide ground water sites, landfills are
notoriously difficult sites  at which to compile accurate waste-in
information, both because of poor recordkeeping practices and
because of the mixture of different wastes disposed of at landfills.
In many instances, most of the wastes in a municipal landfill are
not hazardous substances and do not belong in a waste-in list or
volumetric ranking.
Non-exempt generators and transporters of municipal solid waste
or sewage sludge generally will not be notified as PRPs unless
evidence shows that:
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   •   the waste or sludge contains a hazardous substance; and
   •   the hazardous substance came from a commercial,
       industrial, or institutional process or activity.

Generators and transporters of commercial trash, however, are
generally notified as PRPs unless they can demonstrate that:

   •   none of the hazardous substances contained in the trash are
       derived from a commercial, institutional, or industrial
       process or activity; and
   •   the amount and  toxicity of the hazardous substances do not
       exceed the amount normally found in common household
       trash.

Removal Sites
Some removal sites are not good candidates for compiling waste-in
information because they require cleanup action sooner than the
time it would take to produce waste-in lists. Even after the work
has been started, however,  there may be a need to prepare the
waste-in list, especially if cost recovery litigation is likely. Even if a
waste-in list cannot be  prepared because of time constraints, it is
important to notice as many parties as possible to limit due process
issues that may be raised by PRPs.  At non-time-critical removal
sites, the creation of waste-in lists and volumetric rankings should
be seriously considered as there is more time available to prepare
them at these sites than at other removal  sites.  When adequate
transaction documentation exists and settlement seems possible,
regions should prepare  waste-in lists and rankings as described in
CERCLA Section 122(e)(l) for release to PRPs. Because removals
may proceed at an accelerated  rate, it is important to start the
waste-in preparation early, spend less time fine-tuning lists and
rankings, and release the information to PRPs as early as possible.
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                       For more general information on preparing waste-in lists and
                       volumetric rankings; specific considerations for solvent recycling
                       and transshipment sites, lead battery sites, and mining sites;  and
                       releasing waste-in information, consult "Final Guidance on
                       Preparing Waste-In Lists and Volumetric Rankings for Release to
                       Potentially Responsible Parties (PRPs) Under CERCLA" (February 22,
                       1991). (See Chapter 3 References, p. 201.)
3.9
Classify PRPs
The objective of this task is to classify identified parties into the
broad categories of owner, operator, transporter, or generator, and
then more specifically into other categories, such as de minimis,
"de micromis", insolvent or defunct, or orphan.
3.9.1
Identify PRPs
Throughout the PRP search process, information should be analyzed
with the following questions in mind:

    •   Is the information sufficient to establish PRP liability?
    •   What volume of waste was disposed of or treated at the
       site?
    •   Can the PRP(s) contribute toward cleanup efforts?
    •   Are there additional leads which should be pursued?
    •   Have past and present owners/operators been identified?
    •   Does the  information presented resolve liability inquiries?
    •   Is the waste-in information complete?
    •   Are recommended follow-up activities documented?

The PRP search team should routinely perform such analyses in
order to collectively identify any weaknesses in the existing PRP
search efforts, identify any next steps, and determine the timing of
these steps.
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These analyses are particularly important to ensure effective
collection of:

    •   information about owner/operator liability and financial
       viability;
    •   updated PRP names and addresses;
    •   information about the volume and nature of substances sent
       to the site;
    •   information on the contributing parties;

    •   information that helps determine whether a  person should
       receive a notice letter; and
    •   evidence of each PRP's liability.

A list of parties identified as PRPs should be developed with
complete names, addresses, and contacts. This list should contain:
    •   names of contact persons;
    •   addresses;
    •   telephone numbers, if available;
    •   name of legal contact, if the parties have representation;
    •   date of list preparation; and
    •   contact person for all correspondence.

It is very important that the addresses of PRPs or their contacts be
verified for accuracy.  Verification prior to preparation of the
baseline PRP search report reduces the need for additional or
subsequent re-mailings of general or special notice letters and
helps ensure that PRPs receive adequate notice and due process
rights. Failure to satisfy these procedural requirements may lead
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                         to significant problems later in the Superfund process.  PRP lists
                         can be included as an appendix to the site summary section of the
                         baseline PRP search report and are considered non-confidential.
                         PRP search reports are more fully discussed in Section 3.10 of this
                         manual.
3.9.2
Define PRP
Category
PRP classification initially involves grouping PRPs into one of the
following CERCLA categories:

    •   owners (past or present);
    •   operators (past or present);
    •   generators; or
    •   transporters.

Further classification of PRPs into sub-categories of the above
categories may be appropriate depending on site-specific needs and
the nature and volume of information available.  The following are
examples of sub-categories:
    •   ability to pay (ATP) parties;
    •   de minimis generators;
    •   "de micromis" generators;
    •   municipal solid waste (MSW) generators;
    •   residential homeowners;
    •   insolvent or defunct parties;12 and
                                 12
                                   During the baseline phase of the PRP search, it may not be possible to
                          conclusively determine if a party is insolvent or defunct due to the time-consuming nature
                          of this determination.  Preliminary determinations of a party's status as insolvent or defunct
                          should be attempted during this phase, however, with follow-up information requests or
                          other information gathering techniques used during the follow-up phase to make the final
                          determination. Insolvent and defunct determinations are discussed in Section 4.6 of this
                          manual.
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                          •   parties the quantity of whose waste contribution is
                              unknown.

                       It may be beneficial to classify non-PRPs into such categories as:

                          •   status unknown;

                          •   residential homeowner;
                          •   knowledgeable witness;
                          •   adjacent landowner.

                       If corporate information is available, the list should include the date
                       of incorporation, whether corporate PRPs currently exist, the fate of
                       inactive companies, current mailing addresses (including facility,
                       headquarters, and registered agent), and parent or successor
                       companies. Information about individuals and unincorporated
                       companies should include their current locations, their associations
                       with other PRPs, and their relationships to the  site.

                       In most instances, PRP classifications are pre-decisional and subject
                       to review during the PRP search, and consequently are considered
                       confidential.  Nonetheless, they can help the PRP search team and
                       other Agency staff in corresponding with PRPs, conducting financial
                       assessments, directing follow-up activities, and many other tasks.
3.10
Prepare
Baseline PRP
Search Report
The baseline PRP search report is a preliminary report that contains
available information on the owners/operators, generators, and
transporters.  This report provides a chronological summary of site
history and the facts pertaining to PRPs' liability. Information
supporting conclusions within the report is generally included in
appendices.  The baseline report is generally followed  by the
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                       interim-final PRP search report except in simple owner/operator
                       situations where the baseline report will usually suffice.  (See
                       Section 4.8 of this manual for further discussion of the interim-final
                       PRP search report.)
3.10.1
Report Format
and Content
Prompted by the Agency's emphasis on earlier information
exchange with PRPs and other stakeholders, more efficient
information gathering, and concern over whether PRP search
reports were subject to discovery production demands and FOIA
requests, several EPA regions have been using a revised format for
the report.  Traditionally, the PRP search report format consisted of
the following sections: introduction, site history, PRP identification,
and conclusions and recommendations. The problems that resulted
from this format included:
                          •  Time needed to prepare the entire baseline report delayed
                             receipt of factual site summary information that could be
                             used for early information sharing with other parties.
                          •  Disputes over releasability of the PRP search report were
                             common.

                          •  Reports could not be updated easily to reflect development
                             of additional or new information.

                          •  Interpretations and conclusions were not clearly
                             distinguished from established fact.

                       A revised PRP search report format (for both the baseline and
                       interim-final reports) consists of two sections treated as separate
                       deliverables, namely:


                          •  Site chronology and property history; and
                          •  PRP synopsis.
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3.10.1.A
Deliverable 1:
Site Chronology
and Property
History
The known facts about the site and its PRPs are summarized
without interpretation in the first section of the baseline report.
The site chronology and  property history and back-up information
are included in supplemental appendices.  This section contains no
conclusions, interpretations, or inferences  regarding liability.  A
separate site chronology and property history:

   •   highlights the source of information being used to establish
       facts;
   •   helps identify periods of time for which there is little or no
       conflicting information;

   •   facilitates updates during a phased  PRP search; and
   •   may be released to PRPs and other members of the public.

Suggested contents and  format of the site chronology and property
history section of the PRP search report are shown in Exhibit  1.
3.10.1.B
Deliverable 2:
PRP Synopsis
The remainder of the baseline report is contained in the PRP
synopsis section. This section of the PRP search report should be
stamped "Privileged Work Product — Deliberative/Attorney Work
Product - - Do Not  Release Under FOIA." The PRP synopsis should
include:
   •   PRPs identified during the research;
   •   PRP names, addresses, and telephone numbers;
   •   the basis for inclusion of each PRP;

   •   PRPs with potential defenses to or exemptions from liability
       (see subsections 1.2.5 and 1.2.6 of this manual);
   •   major reference sources;
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                          •  the identities of other parties associated with the site and
                             the nature of the association;
                          •  conclusions and recommendations; and
                          •  appendices.
                       A suggested outline for the PRP synopsis section of the PRP search
                       report is presented in Exhibit 1.
3.10.2
Report Review
and Distribution
A site chronology and property history created as an interim
deliverable segregated from the PRP synopsis section of the
baseline PRP search report allows EPA to review the information
contained  in it earlier in the PRP search process than if combined in
the traditional report format.  It is suggested that the  PRP search
manager and case attorney review the interim deliverable
simultaneously to save more time in the internal review and
approval process. Once approved, this information can be shared
with interested stakeholders and placed in the site repository.
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                   EXHIBIT 1:  SUGGESTED PRP
                     SEARCH REPORT FORMAT

DELIVERABLE 1: SITE CHRONOLOGY AND PROPERTY HISTORY
Introduction

•   project background - a brief "snapshot" of the site
•   project approach - who performed the  research and under whose direction
•   list of contacts - public agencies that were contacted to collect information
•   overview of report - the basic layout of the report.

DISCUSSION OF THE SITE
Site History - factual background information about the site,
including:

    site location and size
    adjoining  properties
    brief description of site history, including:
    site owners/operators
    when operations began
    type of operations
    types of substances manufactured, treated, stored, or disposed of
    whether the substances found on site are in drums, containers, etc.
    permits applied for or granted
    warnings or notices of violations issued by regulatory agencies.

Property History:

•   summarizes the review of all title documents
•   documents ownership of the property for the period of time relevant to the
    site
•   presents a title tree or chain of title (including corporate name changes of
    property owners, conveyances, quitclaims, deeds, and liens)
•   contains corresponding references to the  relevant documentation
•   includes brief summaries of the environmental threats posed by site activities
    and the potential cleanup activities.
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                   EXHIBIT 1:  SUGGESTED PRP
                SEARCH REPORT FORMAT (cont'd)

DELIVERABLE 2: PRP SYNOPSIS

Introduction
Discussion of the Site - Refer the reader to the first section of the report.
PRPs - Cite statutory provisions and relevant policy and guidance as basis for
inclusion as PRPs.

PRPs - Owners/Operators
   PRP name
   status (current owner, successor,  etc.)
   current address
   headquarters address, if applicable
   registered agent
   president
   current status
   corporate information
   narrative description of basis for inclusion
   references
   nature and volume of hazardous substances associated with PRP
   reference to appendices or attachments for additional information, rankings,
   or groupings
•  financial information, ability to pay issues

PRPs - Generators (same information as for owner/operators)
Provide information in both a PRP summary and a volumetric ranking list format,
to the extent this information is available. Depending on the complexity of the
site, the region may develop a list by PRP of information that describes the
chemical nature of the substances and links shipment/volumetric conclusions to
particular transporters and documents.  In these instances, there should also be
an assessment of whether the wastes were  RCRA hazardous wastes for ARAR
purposes.

PRPs - Transporters (same information as for owner/operators)
Provide information in both a PRP summary and a volumetric format similar to
the generator lists as described above.
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                    EXHIBIT  1:  SUGGESTED PRP
                SEARCH REPORT FORMAT (cont'd)

Special PRP Information
Include  any special information that may have a bearing on whether a party is
ultimately designated by EPA as a PRP. Examples include entities that have been or
are in bankruptcy, individuals who are deceased and a description of the status of
their estates, successor corporations, parent-subsidiary relationships, PRPs with
potential defenses to or exemptions from liability (see subsections 1.2.5 and 1.2.6 of
this manual), and defunct/insolvent PRPs.

Special Site Information
Highlight any unique or complex features associated with sites such as municipal
landfills, area-wide ground water or stream contamination sites, sites where the
source of contamination is not clear, and sites from which  wastes were sent to
satellite facilities.

Other Parties Associated with the Site
Identify parties who  may possess  additional  information about the site (e.g.,
witnesses, previous employees not yet located) and parties about whom information
is  currently not  available to characterize them as a  PRP.  Present all  relevant
information here, such as names, addresses, telephone numbers, basis for inclusion
of this party in this subsection, and references.

Conclusions and Recommendations
Summarize the  identified  PRPs and  parties associated  with the  site. Include
recommendations for additional actions and an estimate of the time and resources
needed to perform those actions. This type of information will allow the decision
makers to make an informed decision  when balancing the need for information with
available resources and timing constraints.

Appendices
Include interview summaries, evidence sheets, potential questions for additional
information request letters, and other documents referenced throughout the
report.
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Name
Checklist of PRP Search Tasks
PRP Search Enhancement Team
Members/Contacts
Information Requests - 104(e)
Question Categories
Potentially Responsible Party
Internet Information Sources
(PRPIIS)
Superfund Enforcement
Directory
Transmittal of Sample
Documents for More Effective
Communication in CERCLA
Section 104(e)(2) Information
Requests (June 30, 1995)
False Statements Act
Federal Debt Collection
Procedures Act
Releasing Information to
Potentially Responsible Parties
at CERCLA Sites (March 1,
1990)
EPA Regulations Governing
Business Confidentiality Claims
Federal Rules of
Evidence 801-817
Federal Perjury Statute
Performance Work Statement
for Enforcement Support
Services
CHAPTER 3
Section
3.0
3.2.1
3.3
3.3.1
3.3.1
3.3.1
3.3.1
3.3.1
3.3.1
3.3.3
3.4.1
3.4.2
3.5.1
REFERENCES
Location
Appendix B
Appendix E
http://www.epa.gov/compliance/resources7p
ublications/cleanup/superfund/104e/index.ht
ml
Appendix F
http://www.epa.gov/compliance/cleanup/
superfund/sfed/index.html
http://www.epa.gOv/compliance/resources/p
olicies/cleanup/superfund/sampledoc-cercla-
mem.pdf
http://www4.law.cornell.edu/uscode/18/100
l.html
http://www.uscode.house.gov/download/pls/
28C176.txt
http://www.epa.gov/compliance/
resources/policies/cleanup/superfund/
release-prp-rpt.pdf
40 C.F.R. § 2.201-2.215
http://www.access.gpo.gov/nara/cfr/
waisidx_01/40cfr2_0 l.html
http://www.law.cornell.edu/rules/fre/rules.ht
m
18 U.S.C. § 1621
http://www.law.cornell.edu/uscode/html/usc
odel8/usc_sec_18_00001621— -OOO-.html
Appendix A

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                               CHAPTER 3 REFERENCES
            Name               Section                   Location
Final Guidance on Preparing         3.8     http://www.epa.gov/compliance/
Waste-In Lists and Volumetric               resources/policies/cleanup/superfund/guide-
Rankings for Release to                     volumet-rpt.pdf
Potentially Responsible Parties
(PRPs) Under CERCLA
(February 22, 1991)

Streamlined Approach for           3.8     http://www.epa.gov/compliance/
Settlements With De Minimis                 resources/policies/cleanup/superfund/app-
Waste Contributors Under                   deminimis-rpt.pdf
CERCLA Section 122(g)(l)(A)
(July 30, 1993)
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                                                 J
4.0    Follow-up PRP Search	202

       4.1  Issue Follow-up Information Request Letters	203

       4.2  Compel Compliance with CERCLA Section 104(e)	205

       4.3  Issue Administrative Subpoenas	208

       4.4  Perpetuate Testimony Using Rule 27	211

       4.5  Perform Ability To Pay Determinations	213
            4.5.1  General Policy on Superfund Ability To Pay Determinations	214
            4.5.2 ATP Information Sources	216
            4.5.3 Performing Property Appraisals	222

       4.6  Perform Insolvent and Defunct Determinations	225
            4.6.1  Definition	225
            4.6.2 Insolvent and Defunct Determinations	226

       4.7  Perform Waste Stream Analyses	231
            4.7.1  Industrial Surveys	231
            4.7.2 Process Chemistry Analysis	231
            4.7.3 Waste Stream Inventory	232
            4.7.4 Mine Sites	232

       4.8  Interim-Final Report Preparation and Review	233
            4.8.1  Interim-Final Report Followup	234

       4.9  Pursue Litigation and Cost Recovery	234

References	241
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4.0    Follow-up PRP Search
                       The PRP search team should analyze the information collected
                       during the initial phase of the PRP search to determine whether:

                          •  all reasonable leads on PRPs were pursued;
                          •  PRP contributions to the site have been determined; and
                          •  each PRP's liability and financial viability have been
                             established.

                       A review of the information also should consider the reasons for
                       pursuing or not pursuing leads. Once the review is complete, the
                       PRP search team should decide whether additional follow-up
                       activities are necessary.

                       Follow-up tasks are often needed to complete the PRP search,
                       although all follow-up tasks may not be necessary for each search.
                       For instance, follow-up activities may be conducted for sites where
                       the PRP  search was considered complete but new information
                       requires performance of additional search tasks. The PRP search
                       team must exercise professional judgment to determine which, if
                       any, follow-up tasks are appropriate, beneficial, and necessary for a
                       particular site.

                       Follow-up tasks can help insure a thorough, high-quality PRP
                       search.  These tasks vary from site to site, but generally fall into
                       the following categories:

                          •  information sources, including information request letters,
                             administrative subpoenas, and Rule 27 testimony. (See the
                             discussion of Rule 27 in  Section 4.4 of this manual.);

                          •  waste stream analysis, including industrial surveys, process
                             chemistry analysis, and  waste stream inventory;
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                             miscellaneous tasks, including financial assessments;
                             corporate research; compelling compliance with CERCLA
                             Section  104(e) information requests; and orphan share,
                             insolvent, and defunct determinations;

                             insurance analysis; and

                             other expert analysis, such as independent cost allocation
                             analysis or mining experts for waste stream analysis.
4.1
Issue Follow-up
Information
Request Letters
As stated in subsection 3.3.5 of this manual, the PRP search team
may issue follow-up requests during the baseline phase.
Alternatively, the team may elect to defer such requests until the
follow-up phase. There are many reasons why the team might
want to defer issuance of such requests (e.g., time and resource
considerations, site-specific circumstances).
                       Follow-up request letters may be necessary if a PRP complied only
                       partially with the initial information request or if the team needs to
                       clarify the response. In addition, the team may need to issue such
                       letters in cases where PRPs have "nominated" other parties,
                       claiming that they are also liable.  Finally, follow-up letters may be
                       issued to obtain financial information needed to finalize insolvent
                       and defunct determinations or analyze ability to pay.

                       Specialized 104(e) Questions

                       The Agency may need to ask more specialized questions in the
                       follow-up information request letters to fill information gaps.
                       CERCLA Section 104(e) questions organized by subject matter are
                       available at http://www.epa.gov/compliance/resources/publications
                       /cleanup/superfund/104e/index.html.  (See Chapter 4 References,
                       p. 241.)
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Specialized questions are listed for the following categories:
   •   Arrangers and Generators
   •   Arrangers and Generators Recycling
   •   Transporters
   •   Financial: General Questions
   •   Financial: Lender Liability
   •   Financial: Other Entities
   •   Financial: Trusts
   •   Financial: Estates
   •   Financial: Successor Liability
   •   Financial: Parent Corporations
   •   Financial: Piercing the Corporate Veil
   •   Financial: General ATP
   •   Financial: Individual Ability to Pay Questions
   •   Financial: Individual Ability to Pay Form
   •   Financial: Form to Request ATP guidances, models, and tools
       from headquarters
   •   Financial: Dissolution
   •   Financial: Insurance
   •   Owner/Operator: General Questions
   •   Owner/Operator: General Manufacturing
   •   Owner/Operator: Chemical and Manufacturing Plants
   •   Owner/Operator: Grain  Fumigants
   •   Owner/Operator: Polychlorinated Biphenyls Sites
   •   Owner/Operator: Solvents
   •   Owner/Operator: Landfills
   •   Owner/Operator: Mining
   •   Owner/Operator: Used Oil Facilities: Tar Oil
   •   Owner/Operator: Used Oil Facilities: Waste Oil
   •   Owner/Operator: Lead Battery Facilities
   •   Owner/Operator: Dry Cleaners
   •   Owner/Operator: Auto Shops
   •   Owner/Operator: Innocent Landowners
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4.2
Compel
Compliance
with CERCLA
Section 104(e)
If a recipient of a CERCLA Section 104(e) information request letter
fails to respond within the specified time or provides incomplete
answers, a reminder letter should be sent to the unresponsive
recipient.  (See subsection 3.3.5 of this manual for discussion of
information request follow-up actions.) In addition to warning the
recipient of the risk of incurring penalties or civil judicial or
administrative enforcement actions, the reminder letter provides
him with an opportunity to contact EPA if he has questions or needs
clarification.  The reminder letter also satisfies the notice and
opportunity for consultation requirement of CERCLA Section
104(e)(5)(A)  if enforcement by administrative order is
contemplated. If there is no response or if the response to a
request is still unsatisfactory after the reminder deadline has
passed, EPA may compel compliance with the request through
either administrative or judicial action. The PRP search manager
should coordinate with the case attorney on the enforcement
strategy. The case attorney usually takes the lead on compelling
compliance.

EPA can implement the following enforcement strategies:

    •   issue an administrative order to compel compliance with the
       request for responsive written  information; or

    •   initiate a judicial action seeking a court order compelling the
       recipients to provide the requested information or
       documents; and

    •   seek civil non-compliance penalties in an administrative
       order or a judicial action.

Administrative Order to Compel Compliance

Under CERCLA Section 104(e)(5)(A), the Agency can issue an
administrative order to compel compliance with the information
request.  Administrative orders are issued by EPA and require
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notice and an opportunity for consultation. The order should
indicate the date on which it becomes effective and also advise the
respondent that penalties may be assessed by a court against any
party who unreasonably fails to comply with the order.  If the
recipient continues to ignore the request for information, the
Agency will have to prepare a referral package to DOJ requesting
enforcement of its administrative order.  This  process, although
potentially time-consuming, may allow EPA to obtain the needed
information.  Refer to Model Administrative Order for CERCLA
Information Requests (September 30,  1994).  (See Chapter 4
References, p. 241.)

Judicial  Action to Compel Compliance/Referrals to DOJ

CERCLA Section 104(e)(5)(B) authorizes the federal government to
initiate a civil lawsuit to compel a person to respond to the Agency's
information  request. A court will provide necessary relief as  long as
EPA's demand for information is not arbitrary  and capricious, an
abuse of discretion, or otherwise not in accordance with law.1 A PRP
that unreasonably fails to respond to a proper demand for
information  potentially faces substantial monetary penalties
($37,500 per day effective January 12, 2009).2 These civil  penalties
are based on strict liability. EPA does not have to  prove that the
PRPs intended to violate the law by not responding in a  timely
manner.

The PRP search manager should work closely with  the case attorney
to determine the best strategy to pursue in view of all the factors
surrounding partial or non-compliance  with a Section 104(e)
information  request. The region should be prepared to present the
facts of the case when seeking DOJ action to compel compliance.
       1 See CERCLA Section 104(e)(5)(B)(ii), 42 U.S.C. §9694(e)(5)(B)(ii). See also United
Statesv. Tarkowski, 248 F.3d 596 (7th Cir. 2001), denying EPA access as arbitrary and capricious.

       2 The CERCLA Section 109(a)( 1) penalty is periodically increased pursuant to the Civil
Monetary Penalty Inflation Rule, DecemberSl, 1996. See Chapter 4 References, p.241.
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The basis for the enforcement action (e.g., type of information
sought, why the information is important, timing considerations)
should be clearly stated in the referral in order to streamline the
process within DCO. In addition, the referral should contain
evidence or findings that:

   •   EPA has a reasonable basis to believe that there may be a
       release or threat of a release of a hazardous substance,
       pollutant, or contaminant at a given  site or vessel;

   •   the  information request was issued for the purpose of
       determining the need for a response or choosing or taking
       any response action under CERCLA Title I, or otherwise
       enforcing CERCLA Title I, with respect to the site or vessel;

   •   the  respondent was  requested to provide information
       relating to one or more of the three categories of
       information identified in CERCLA Section 104(e)(2)(A)-(C);
       and

   •   the  respondent did  not comply with the request in a timely
       manner.

   •   any significant factor, such as more costs incurred, more
       time required,  or threats increased as a result of non-
       compliance  with this action.

The case team should calculate  the penalty  by determining the
maximum allowable penalty and adjusting it for litigation risk
factors. Typically the  penalty will at least seek to recover any
economic gain created by the violation.  In addition, the referral
should include proof of service and should address possible
defenses, such as good faith effort to comply.  (See "Final Model
Litigation Report and Complaint for CERCLA Section 104(e)
Initiative" (January 1990), Chapter 4 References, p. 241, for more
detailed information.)
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4.3
Issue
Administrative
Subpoenas
An administrative subpoena is an information gathering tool that
can be used by the PRP search team. CERCLA Section 122(e)(3)(B)
authorizes EPA to issue administrative subpoenas, which require
live testimony of witnesses (subpoena ad testificandum) or the
production of documents (subpoena duces tecum) deemed
necessary for performing a non-binding preliminary allocation of
responsibility (NEAR) or "for otherwise implementing" CERCLA
Section 122, e.g.,  reaching ability to pay or de minimis  settlements
under Section 122(g).  This means  that in order to issue a
subpoena for testimony by a live witness, EPA must show that the
expected testimony is related to pursuit of an NEAR or other
settlement activities. The purpose  of the testimony should be
clearly set forth in the supporting documents.  The PRP search
team should  discuss a possible subpoena with the case  attorney
and consult "Recommendations Concerning the Use and Issuance of
Administrative Subpoenas under CERCLA Section 122" (August 30,
1991) as well as "Guidance on Use  and Enforcement of CERCLA
Information Requests and Administrative Subpoenas" (August 25,
1988). (See Chapter 4 References, p. 241.)
                      Administrative subpoenas may be judicially challenged.  Therefore,
                      it is important to document the rationale for invoking the authority
                      provided in CERCLA Section 122(e)(3)(B).  In particular, it is
                      important to show how the subpoena's issuance either furthers the
                      NEAR process or satisfies the criterion of "otherwise implementing
                      CERCLA Section 122." Accordingly, the subpoena should describe or
                      identify as specifically as possible the information sought from the
                      recipient.  If documents are requested, a list of the specific
                      documents or areas of inquiry is recommended.  In addition, the
                      subpoena should inform the recipient that he or she might claim
                      certain information as CBI.
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Generally, the procedural rights of a witness differ depending upon
the Agency's intent to adjudicate or investigate.  When the Agency
issues an administrative subpoena pursuant to CERCLA Section 122
(e)(3)(B), its purpose is to investigate or gather information. A
witness served with an administrative subpoena does not have the
following  procedural rights:

    •   right of legal counsel to  cross-examine;

    •   right of legal counsel for the witness to "speak on the
       witness record;" and

    •   right to receive aid in developing testimony or other forms
       of "coaching" from legal counsel during questioning.

No  legal mandate prohibits the  use of an administrative subpoena
as an initial information gathering tool, but the Agency prefers
using CERCLA Section 104(e) information requests  before  issuing
administrative subpoenas.3 Information request letters are less
intimidating and generally more conducive to expeditious and
favorable settlements than administrative subpoenas,  but
administrative subpoenas are useful for preserving testimony.

Witnesses who have received an administrative subpoena  are
entitled to receive the same fees and mileage reimbursement that
are paid in U.S. courts. Travel  expenses are paid at the same rates
applicable to federal employees for items such as common carrier,
hotel, subsistence, and mileage. It is the region's responsibility to
budget for these expenses within the travel budget allocated to it.
       3 Regional consultation with headquarters is not required prior to issuing administrative
subpoenas as long as the subpoena does not deviate significantly from the model subpoena issued by
the Agency in 1988. See Guidance on Use and Enforcement of CERCLA Information Requests and
Administrative Subpoenas (August 25, 1988), Chapter 4 References, p. 241. If the subpoena
deviates significantly from the model, consultation with EPA's Office of Enforcement and
Compliance Assurance is required.

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The PRP search team should work with the region's Financial
Management Division to determine the paperwork requirements
(e.g., procurement requests, government transportation requests,
travel vouchers) when planning to use administrative subpoenas.

Referrals to Enforce an Administrative Subpoena

EPA may seek enforcement of an administrative subpoena if the
recipient fails to appear to testify, fails to provide documentary
evidence, or refuses to answer all the questions asked.  CERCLA
Section 122(e)(3)(B) authorizes EPA to bring an enforcement action
if this should happen.  As  with any legal enforcement proceeding,
EPA must refer the case to DOJ, following the procedures set forth
in the August 25, 1988 guidance. The appropriate documents must
be prepared by the case attorney, who will seek the necessary
assistance from other PRP search team members.  A referral to
enforce an administrative  subpoena consists of a draft petition for
an order to show cause, a draft memorandum of points  and
authorities in support of the petition, and a draft order to
accompany the petition.  The memorandum of points and
authorities should briefly set out the facts of the case and address
any arguments or defenses that the respondent is likely to raise.

The referral  should also contain all necessary exhibits in support of
the petition, including an affidavit of service, a copy of the
subpoena, an affidavit supporting the facts alleged in the petition
from a person with knowledge of those facts, and any other
relevant material that serves as the administrative record
documenting the subpoena process.
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4.4
Perpetuate
Testimony
Using Rule 27
[The following discussion of Rule 27 is provided for
informational purposes only.  If you are considering
requesting a Rule 27 deposition, please consult your
regional and DOJ counsel prior to taking any action.]

Where Rule 27 May Be Appropriate

Rule 27 of the Federal  Rules of Civil Procedure (see Chapter 4
References, p. 241) establishes a procedure for taking the
deposition of a person  before a civil action is filed in federal court.
This method of obtaining testimony is used infrequently but can be
a useful tool in a situation where the government is not able to file
a case because it is not yet "ripe" for adjudication. The legal
concept of "ripeness" requires careful legal analysis.  Team
members should consult the case attorney as to whether and how
this concept applies to their particular case.  When an action cannot
be brought immediately there may be a risk of losing the testimony
of key witnesses due to death, departure from the country, or other
circumstances incident to the passage of time.  Rule 27 provides a
means to record this testimony and use it in court should the
witness not be able to testify.
                       Rule 27 can be a useful tool when conducting PRP searches. There
                       are likely to be few remaining witnesses to disposals that occurred
                       two or three decades ago.  Those who are still alive, such as former
                       truck drivers, may be quite old.  Although rarely used, Rule 27 can
                       provide the Agency with an important means of preserving  the
                       testimony of these witnesses in the event that they are later
                       "unavailable" under the legal definition of that term.

                       Use of Rule 27 Testimony

                       Procedurally, the taking of a Rule 27 deposition does not differ in
                       any way from a deposition conducted during discovery in a  civil
                       action ("discovery deposition").  The deponent has the right to
                       counsel, may be cross-examined, and testifies under oath subject
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to the penalties of perjury.  Furthermore, in terms of admissibility
in court, there is no difference between testimony from a Rule 27
deposition and a discovery deposition. An attorney who wants to
take a Rule 27 deposition, however, must get the court's
permission, whereas a discovery deposition  may be taken without
special permission.  Special permission involves "petitioning the
court" or filing the appropriate legal motions or briefs as necessary.
This is done by the DOJ attorney and the regional case attorney.
Although this can be a lengthy process, it is certainly worthwhile to
preserve testimony  in case an important witness dies or becomes
too ill to appear at the trial.  In addition, the testimony elicited from
Rule 27 depositions is admissible in a wider  number of
circumstances than  testimony in response to an administrative
subpoena issued pursuant to CERCLA Section 122(e)(3)(B).  As in
the case of a discovery deposition, the other PRPs need to be
notified that a deposition  will take place and given an opportunity
to attend.

Referral Procedure

Regional  attorneys desiring to take  a deposition pursuant to Rule
27 must prepare a summary referral package and forward it to
DOJ. A Rule 27 package  is less detailed than the standard litigation
report since the requested action is less complex than initiation of a
lawsuit.

There are two components of the package.  The first and most
important part is a background description of the Agency's actions
and the need for a Rule 27 deposition. In short, this should briefly
describe the Agency's actions at the site, including removals,
remedial  actions,  enforcement actions, PRP search efforts, and
other relevant activity necessary to familiarize DOJ with the case.

Next, there should be a detailed discussion that demonstrates that
there is a substantial likelihood that the government would be
successful in establishing  each element enumerated in Rule

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                       27(a)(l) and of receiving the court's approval for the deposition.
                       All documentary evidence, such as medical records and
                       correspondence with the witness, should accompany this
                       discussion.

                       The second part of the package is the  draft petition. Regional
                       counsel should draft the petition for approval by DOJ.

                       The completed package should be sent to the appropriate assistant
                       section chief at  DOJ for review.  The DOJ attorney will contact EPA's
                       case attorney to discuss the resolution of any issues that may be
                       identified.  DOJ  will file the petition with the court.  If the court
                       approves the petition, DOJ will provide notice to opposing counsel
                       and arrange to take the deposition at an appropriate location such
                       as the U.S.  attorney's office nearest to the deponent. If the court
                       denies the petition, Agency personnel  may be required to provide
                       additional evidence to substantiate the need for the proceeding.
4.5
Perform Ability
To Pay
Determinations
In cases where EPA is considering an ability to pay settlement, EPA
must consider competing interests.  On one hand, the Agency is
charged with ensuring that hazardous waste sites are cleaned up,
that Trust Fund expenditures are recovered, and that those
responsible for contamination pay an appropriate share of cleanup
costs.  On the other hand, many individuals and  businesses have
limited resources with which to satisfy the government's claims.
The latter consideration begins the ATP analysis, sometimes
referred to as a financial assessment. The purpose of an ATP
analysis is to develop the financial and economic information
necessary to assess the ability of a PRP to address an
environmental problem,  pay a penalty, or provide funds for cost
recovery.  This assessment enables EPA to formulate an
appropriate  negotiation and litigation strategy. ATP determinations
are usually made by staff with specialized expertise.
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4.5.1
General Policy on
Superfund Ability
To Pay
Determinations
EPA's "General Policy on Superfund Ability to Pay Determinations"
(September 30, 1997) (see Chapter 4 References, p. 241) and
model language for ATP settlements provide EPA with the means to
settle the liabilities of PRPs with ATP issues in a way that "will  not
put a company out of business" and avoids imposing undue
financial hardship on either businesses or individuals. CERCLA
Section 122(g), titled "De Minimis Settlements," was amended to
specifically authorize EPA to:  (1) negotiate settlements based  on a
PRP's ability to pay rather than on  its full liability at the site; (2)
require ATP applicants to promptly provide EPA with the information
needed to assess the PRP's ability, or inability, to pay; and (3)
consider alternative payment methods as may be appropriate  when
ATP PRPs are unable to pay the "total  settlement amount  at the
time of settlement." Users  of this manual should  not rely solely on
information presented herein, but should consult EPA's ATP policies
and provisions in their entirety.
                       ATP settlement is reserved for persons who demonstrate that
                       paying the amount sought by the government is likely to put them
                       out of business or jeopardize their viability. It is also available to
                       businesses and individuals who demonstrate that paying such an
                       amount is likely to create  an undue financial hardship. Undue
                       financial hardship means that satisfying the government's claim
                       would deprive the PRP of ordinary and necessary assets or render
                       the PRP unable to  pay for ordinary and necessary business or living
                       expenses.

                       As the court noted in  United States v.  Bay Area Battery,4 the
                       government must  be  afforded the flexibility to take ability to pay
                       into account in fashioning settlements under CERCLA. In particular,
                       it must consider the value of permitting businesses to continue
                       earning money and employing workers, and demonstrate
                       compassion for individual  circumstances.
                             ' United States v. Bay Area Battery, 895 F. Supp. 1524 (N.D. Fla. 1995).
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Conditions under Which EPA Will Consider a Claim of Undue
Financial Hardship

Although an ATP settlement is based largely on the financial
condition of the ATP candidate, other requirements have to be
satisfied as well. These requirements include the following:

   •  The PRP requests the ATP settlement.

   •  The PRP provides sufficient information to carry the burden
      of demonstrating that payment of the full amount sought by
      EPA is likely to create an undue financial hardship.

   •  The ATP analysis is based on the  best available information
      provided by the PRP.

   •  The ATP analysis considers the entire financial position of
      the PRP, including available insurance.

   •  The settlement does not release the PRP from other
      site-related  responsibilities (e.g., providing necessary
      information, site access).

   •  The settlement is entered into on an individual basis with
      each person as defined by CERCLA.

   •  The settlement amount is in addition to  expenditures that
      are recoverable from other sources.

   •  The settlement resolves all the PRP's liability at the site.

(See "Model Notice Approving Reduction in Settlement Amount
Based on Inability to Pay" (April 30, 2008) and "Model Notice
Denying Reduction in Settlement Amount Based on Inability to Pay"
(April 30, 2008), Chapter 4 References,  p. 241.)
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                       Evaluation of an entity's ability to pay generally consists of a
                       two-part analysis.  The first part of the analysis, called the "balance
                       sheet phase," looks at the assets, liabilities, and owner's equity of
                       the PRP, calculating the amount of money available from excess
                       cash, sale of assets that are not ordinary and necessary, borrowing
                       against assets,  and owner's equity. The second part of the
                       analysis, called  the "income and cash flow statement phase," looks
                       at the income and  expenses of the PRP and generally calculates
                       "available income" for a Superfund settlement over a five-year
                       period.  The number of years of available income, however, may be
                       changed when circumstances warrant.  (See "Interim Guidance on
                       the Ability to Pay and De  Minimis Revisions to CERCLA § 122(g) by
                       the Small Business Liability Relief and Brownfields Revitalization
                       Act" (May 17, 2004), Chapter 4 References, p. 242.)
4.5.2
ATP Information
Sources
EPA has developed computer models for analysis of financial issues
affecting enforcement actions. The models and information about
them are available at http://www.epa.gov/compliance/civil/
econmodels and http://www.indecon.com/iec_web/econmodels/
practice/models.  (See Chapter 4 References, p. 242) As the
models are updated  periodically, it is advisable to consult both web
sites to make sure you have the  latest versions. Information about
them is also available from EPA's Superfund, TRI, EPCRA, RMP & Oil
Information Center at (800) 424-9346. These models are
screening tools only  and their use does not constitute a thorough
analysis. The case team should consult the financial analyst who
will be reviewing the ATP candidate's financial information to ensure
that all relevant information is requested. Also be aware that your
region may have customized  one or more of the models to adapt
them to regional needs.
                       ABEL Model

                       ABEL is a computer program designed to evaluate the ability to pay
                       of firms held liable for environmental penalties or Superfund
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cleanups, and is intended to be used as a screening tool.  It
estimates the probability that a firm can pay a penalty, contribute
to the cleanup of a Superfund site, or invest in pollution control
equipment. ABEL is designed to accept tax data input directly from
tax returns submitted by C corporations, S corporations, and
partnerships (i.e., IRS forms 1120, 1120A,  1120S, and 1065,
respectively).  ABEL is convenient to use because virtually all
business entities are  required to file tax returns. In the absence of
tax return data, analysis of private corporations can be performed
using sources such s  financial statements, loan applications, and
Dun & Bradstreet reports. ABEL also presents a two-phase analysis
of a firm's financial health:

1.    The financial profile presents a summary of the firm's
      balance sheet, income statement, and cash flow; ABEL also
      computes five financial ratios to  provide a rudimentary
      measure of the company's financial health.

2.    The ATP analysis estimates future cash flow based on the
      company's past performance.

INDIPAY Model

INDIPAY is a computer program designed to evaluate the ability to
pay of entities for which the individual owner is  responsible for the
penalty  or contribution, such as sole proprietorships, partnerships,
and private individuals. The  model requires one to three years of
individual tax return data and the Individual Financial Data Request
Form (see Appendix G), which can be generated from within the
model.  INDIPAY provides two types of analysis:

1.    Phase 1  is a quick assessment of an individual's level of net
      income and complexity of personal finances. If an individual
      has low income and uncomplicated finances, a Phase 2
      analysis is unnecessary.
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2.     Phase 2 estimates whether the individual can pay a penalty,
       based on cash flow and ability to borrow additional funds,
       which is modified if the individual is retired.

These two scenarios are discrete, independent analyses. Their
results should not be combined to determine ability to pay;  instead,
the lower of the two results is usually relied on.

(See Appendices H, I, and J for additional  individual financial data
forms that may be useful in lieu of or in addition to the INDIPAY
Financial Data Request  Form or in special situations.)

MUNIPAY Model

The Municipal Ability to Pay Model (MUNIPAY) evaluates a
municipality's, town's, sewer authority's, or drinking water
authority's claim that it cannot afford compliance costs, cleanup
costs, or civil penalties.  MUNIPAY performs two different analyses,
a demographic comparison, which uses  U.S. Census data to
compare the municipality to state and national norms, and an
affordability calculation, which assesses the amount of currently
available funds and, if necessary, funds available through financing.

Other Sources of Information

Other potential sources of information for conducting financial
analyses include:

   •   THE NATIONAL ENFORCEMENT INVESTIGATIONS CENTER. NEIC
       staff  with  financial- analysis expertise are potential
       resources for conducting  financial analyses.

   •   DUN & BRADSTREET REPORTS.  Dun & Bradstreet (D&B)
       provides financial information about companies for a fee.
       D&B  reports are frequently used to evaluate credit
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worthiness as they include information on company
finances, payment history, and officers.  Information in the
reports is submitted to D&B by the companies themselves.
D&B company profiles allow comparison of the financial
condition of similar companies.

AUDITED STATEMENTS. Audited statements are financial
statements made  by an independent auditor.  Independent
auditors are accountants who follow consistent procedures
required by generally accepted accounting principles
(GAAPs) and generally accepted auditing standards (GAAS).
Information included  in audited statements is therefore
considered verifiable. Audited statements often  describe
related party transactions and contingencies  in footnotes.
These documents  are prepared for purposes other than ATP
analysis, however, and are verifiable in the context of
accounting purposes only.  If audited statements are not
available, a review or compilation should be used.

UNAUDITED STATEMENTS. Unaudited statements  are financial
statements usually prepared by someone with an accounting
background for the management of a company.  These
statements are useful in that they are flexible in providing
types of information such as environmental expenditures,
but they are not verifiable. For a company's  fiscal year,
financial or unaudited statements are usually provided when
an audit review or compilation is not available. For the most
recent year-to-date financial information, unaudited
statements are expected.

TAX RETURNS. Federal income tax returns are among the
most important documents for ATP analysis because they
typically contain standardized information that can be used
directly with the ABEL model.  Returns must be signed, and
include all supporting schedules.  The Agency should
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       request that each ATP candidate (business or individual)
       submit federal income tax returns for the past five years and
       a completed financial questionnaire.

   •   ANNUAL REPORTS.  Annual reports can be very useful
       indicators of the health of a corporation and can be used to
       bring to light inconsistencies in the financial picture the
       company is reporting to its shareholders and the information
       it provides to EPA via Section 104(e) responses.

   •   FORM 10-K. Federal securities laws require publicly traded
       companies to disclose information on an ongoing basis.
       Domestic issuers other than  small businesses must submit
       annual reports on Form 10-K to the Securities and Exchange
       Commission.  These reports  provide a comprehensive
       overview of companies' business and financial conditions,
       and include audited financial statements. The annual report
       on  Form 10-K is distinct from the annual report that
       companies send to their shareholders when they hold annual
       meetings to elect directors, although companies are required
       to provide copies of their 10-K reports at shareholder
       request. In addition, companies with a public float (equity
       market capitalization) of $75 million or more must disclose
       on  their 10-K forms whether they make their reports
       available free of charge on their web sites.  Form 10-K
       filings are available from the EDGAR database on the SEC
       web site (http://www.sec.gov.edgar.shtm!).5 (See Chapter
       4, References, p. 242.)

Forms that should be requested from different types of for-profit
PRPs and individuals include:

   •   Form 1120 or Form 1120A (short form) plus supporting
       schedules for regular (Subchapter C) corporations;
       ' "Form 10-K," http://www.sec.gov/answers/formlOk.htm.
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   •   Form 1120S plus supporting schedules for Subchapter S
       corporations (Subchapter S corporations may not have more
       than 75 shareholders and must meet other requirements to
       qualify for this tax treatment.);

   •   Form 1065 plus supporting schedules including  Schedule  K-l
       for each partner to a partnership and each  partner's Form
       1040;

   •   Form 1040 plus supporting schedules, which should include
       Schedule C (business income) for sole proprietorships (Sole
       proprietors should also submit an Individual Financial Data
       Request Form.); and

   •   Form 1040 plus supporting schedules for individuals
       (Individuals should also submit an Individual Financial Data
       Request Form.).

Other financial information resources include:

   •   U.S. SECURITIES AND EXCHANGE COMMISSION. The SEC
       requires all public companies (except foreign companies and
       those with less than $10 million in assets and 500
       shareholders) to file registration statements, periodic
       reports, and other forms electronically through  its Electronic
       Data Gathering, Analysis, and Retrieval  system (EDGAR).
       Documents submitted to the SEC in compliance with federal
       laws and SEC regulations typically contain a mixture of
       information from audited  statements, tax returns, and other
       sources.  This  information is available from the  SEC on line.
       (See Chapter 4 References, p.  242.)

   •   COURT RECORDS. These are a potential source of
       information, but locating them requires  someone familiar
       with courthouse Searches.  Many state and local court
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                             records are now available on line. Federal records can be
                             accessed through PACER. (See "Potentially Responsible
                             Party Internet Information Sources (PRPIIS)" in Appendix F.)

                             ON-LINE SOURCES FOR PRP INFORMATION. Information from
                             on-line databases may be useful in clarifying or verifying
                             information obtained from other sources,  uncovering hidden
                             assets, identifying related companies, and other purposes.
                             (See "Potentially Responsible party Internet Information
                             Sources (PRPIIS)" in Appendix F.)

                             INFORMATION REQUEST LETTER RESPONSES. Non-PRPs, such
                             as owners of nearby properties, often have valuable
                             information about a site and its operations. Information
                             request letters  may be issued to any individual who may
                             have information about a site.  The PRP search team should
                             consider issuing CERCLA Section 104(e) requests to any
                             party that might have information, whether or not the party
                             is likely to be named as a PRP.
4.5.3
Performing
Property
Appraisals
[Note: If the U.S. is obtaining an appraisal for purposes of
acquiring property, it must adhere to very strict appraisal
rules that are, in part, codified.]

The Agency may need to assess the monetary value of certain
contaminated real property to support remedial actions evaluated
or undertaken in accordance with the NCP. This may include
purchasing land and relocating residents as well  as imposing a
notice of lien under Section 107(i), (I), or (r) of CERCLA and
pursuing an in rem action against the property.  Property appraisals
may be  conducted both before and after remedial action. If EPA's
response action increases the fair market value of the property,
EPA may have a CERCLA Section 107(r) "windfall" lien for
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the increase in fair market value attributable to EPA's response
action up to the amount of EPA's unrecovered response costs.
Property appraisals may also be conducted during a PRP search to
determine the assets of a PRP. For more detail on windfall liens,
consult the "Interim Enforcement Discretion Policy Concerning
"Windfall Liens" Under Section 107(r) of CERCLA" (July 16, 2003).
(See Chapter 4 References, p. 242.)

Since professional real estate  appraisals may be expensive, each
appraisal should be specifically authorized by the EPA primary
contact when a contractor is conducting the PRP search.  Less
costly estimates of the "as is"  property value may be developed by
parties other than professional real estate appraisers. In either
case, the PRP search team should carefully evaluate whether and
what kind of property appraisal is needed  before committing funds
to conduct a property assessment.  The researcher should also
obtain the names of all  Agency and DCO personnel who may be
using the information obtained from the property appraisal.
Because appraisal assumptions affect the  usefulness of value
estimates, it is important for the researcher to be aware of the
assumptions involved in the search.

All the assumptions made when performing the appraisal should be
noted.  For example, the date on which remediation will be
completed and the property will reach its post-remediation value
can only be estimated.  "As is" and "as modified" property
valuations need clear and complete descriptions of the property
modifications as well as consideration of "highest and best use" of
modified property,  i.e.,  its most productive appropriate use.  In
addition, it should be noted whether there is a fee  simple title that
is free and clear of all debts, liens, and encumbrances.

Selecting and retaining  a real  estate appraiser is an important part
of the property appraisal process.  To obtain information on a
recommended real estate appraiser, the researcher may go to the
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local Chamber of Commerce, obtain member lists from appraiser
associations such as the Institute of Real Estate Appraisers, or use
the yellow pages. After researching the lists of property appraisers,
several of these firms should be contacted in order to address the
planned research, assess the appraiser's qualifications and
credentials, and ascertain if there are any potential conflicts of
interest.  If a contractor is involved in the selection process, it
should clear its choice with the Agency.  Finally, once the appraiser
is approved by EPA, a contract should be prepared that includes a
list of written assumptions for the appraiser and sets a ceiling on
costs unless first notified by the appraiser.

The need for a  property appraisal should be considered in the PRP
search planning process. Any scheduling requirements should  be
clearly explained to the appraiser prior to signing a contract. If the
schedule cannot be met "up front," another appraiser should be
selected. The existence of nearby, comparable property recently
subjected to value assessment should be considered prior to
performing the property appraisal.  Close contact and coordination
must be maintained among all parties involved (EPA, contractor,
appraiser) to define the  comparable search area and be aware of
scheduling and budgetary impacts.  Finally, the appraiser should
contact the EPA primary point of contact to determine  if site access
is required.  If access is required, EPA should contact the site owner
and request written consent. The Army Corps  of Engineers may be
available to perform property appraisals, pursuant to existing
interagency agreements.  Informal property values can often be
easily obtained at the county assessor's office.  This information is
often available  on line. A county assessor's office typically will have
properties' tax-assessed values as well  as their fair market values.
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4.6
Perform
Insolvent and
Defunct
Determinations
At sites where PRPs have agreed to perform cleanup (either
remedial action under a CD, or non-time-critical removal activity
under an AOC, EPA may have committed itself to compensate a
portion  of the shares of insolvent and defunct parties under the
"Interim Guidance on Orphan Share Compensation for Settlors of
Remedial Design/Remedial Action and Non-Time-Critical Removals"
(June 4, 1996).6  (See Chapter 4 References, p. 242.)
4.6.1
Definition
This interim guidance applies where:

    •   EPA initiates or is engaged in ongoing negotiations for RD,
       RA, or a non-time-critical removal at an NPL site;

    •   a PRP or group of PRPs agrees to conduct the RD/RA or RA
       pursuant to a CD or the non-time-critical removal pursuant
       to an AOC or CD; and

    •   an orphan share exists at the site.

The guidance does not apply at owner/operator-only sites or to
federal facilities.

Orphan Share Definition

The term "orphan  share" refers to the share of responsibility that is
specifically attributable to parties EPA has determined are:

    •   potentially  liable;
    •   insolvent or defunct;  and
                               6 Note that this guidance does not apply to CERCLA cost recovery settlements in which
                        the parties are not agreeing to perform RD/RA work or a non-time critical removal. In these
                        situations, reference the "Addendum to the Interim CERCLA Settlement Policy issued on December
                        5, 1984" (September 30, 1997) (see Chapter 4 References, p. 242), which provides the regions with
                        direction for addressing potential compromises of CERCLA cost recovery claims due to the
                        existence of a significant orphan share.

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                           •   unaffiliated with any party potentially liable for response
                              costs at the site.

                       The orphan share does not include liability attributable to:

                           •   unallowable waste;

                           •   the difference between a party's share and its ability to pay
                              (the "delta"); or

                           •   those parties such as "de micromis" contributors, MSW
                              contributors,  or certain lenders or residential homeowners
                              that EPA would  not ordinarily pursue for cleanup costs.
4.6.2
Insolvent and
Defunct
Determinations
A party is considered insolvent if EPA determines that the party has
no ability to pay.  A party is not considered insolvent if it has some,
even a limited, ability to pay. Available insurance counts as having
some ability to pay.

A party is considered defunct if it:

   •   has ceased to exist or ceased operations; and

   •   has fully distributed  its assets such that the party has no
       ability to pay.

For both insolvent and defunct determinations, EPA's investigation
must indicate that there is no successor or other affiliated party
that  is potentially liable.

Regions have the flexibility  to determine the appropriate level of
information gathering and analysis necessary to determine if a
party is insolvent or defunct.  In  many situations, there will be
information readily available demonstrating that a party is
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insolvent or defunct, e.g., a CERCLA Section 104(e) response.  In
most cases, however, some additional information gathering will be
necessary.

The "General  Policy on Superfund Ability to Pay Determinations"
(September 30, 1997) (see Chapter 4 References, p. 241) also may
be useful in making insolvent and defunct determinations. Although
ATP is a distinct determination, the analysis is similar to that
required to make an insolvent and defunct determination.

The standard  for determining a party's limited ability to pay is
whether a payment of the amount sought by the government is
likely to create an extreme financial hardship.  Under ATP analysis,
if EPA makes  a finding that satisfaction of an environmental claim
will prevent a PRP from paying for ordinary and necessary business
expenses or ordinary and necessary living expenses, the proposed
settlement  amount should be reduced. This standard of "extreme
financial hardship"  applies when determining ATP parties for
purposes of determining the orphan share at a site.

Specific Methods of Gathering and Analyzing Information

There are three levels of information gathering and analysis that
may be considered in making orphan share determinations:

   1.   An initial screening process that focuses on public
       information, e.g., Census Bureau information, D&B reports,
       SEC filings,  and limited financial submissions, e.g., five
       years of tax returns;

   2.   Computer models (e.g., ABEL, INDIPAY, MUNIPAY), if the
       initial screening process indicates further analysis is
       required; and

   3.   Services of regional or  contractor financial analysts.
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It is up to the region to determine the appropriate level of analysis
for making an orphan share determination.  Note that this applies
only to the orphan share determination; the ATP guidance still
requires the use of a financial analyst for an ATP settlement.

If you have reason to suspect that a party filed for bankruptcy, first
check with your regional bankruptcy coordinator, usually an
attorney  in the Office of Regional Counsel.  This may save time and
prevent duplicative effort.  If she does not have any record of
having received a bankruptcy notice, consider taking the following
steps:

   •  Call the party and ask if a bankruptcy petition has been
      filed. Alternatively, this information may be available from
      D&B or other type of credit reports. Calling the clerk of the
      nearest bankruptcy court may not be sufficient because the
      broad venue provision  in the Bankruptcy Code often
      provides debtors with a choice of bankruptcy courts. Once
      you have identified the court where the case was filed  and
      the bankruptcy docket number, you can obtain access  to the
      bankruptcy court files through PACER, a database available
      by subscription, and accessed from the bankruptcy court's
      web page.  You can also request copies of documents
      directly from the bankruptcy court clerk, but this could take
      time and involve pre-payment of a fee.  You can seek
      assistance from the Office of the United States Trustee for
      the court where the bankruptcy case is pending. If the case
      is closed, the records may be at a federal records center.
      Access to these records may be obtained through the clerk
      of the court.

   •  Check with regional information managers and bankruptcy
      coordinators for on-line systems that may provide access  to
      federal bankruptcy court records, filing dates, and other
      relevant information.
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Even if the party filed for bankruptcy, this does not necessarily
indicate that the debtor/PRP is insolvent for purposes of the orphan
share reform.  You will  need to know when the bankruptcy was filed
and if the debtor/PRP obtained a discharge of the CERCLA debt.

To determine if a party has financial difficulties outside bankruptcy:

   •   Check to see if the PRP has fallen behind  in payments to
       creditors and what the consequences of non-payment have
       been.  For example, a case team may want to determine
       whether creditors have moved to take control of accounts
       receivable or secured property, or whether a creditor has
       arranged to auction secured property.  Some of this
       information may be found in  D&B reports. Other
       investigative techniques may be required. Consult CIs and
       financial analysts to identify further steps to take.

   •   Check the UCC filings to determine if creditors have
       perfected liens against a party's property. UCC  filings are
       available on line and are filed with the secretary of state.

   •   Check to determine if a company is publicly traded or
       privately held.  If it is privately held, information about  it is
       usually less immediately available, and the importance of
       the Section  104(e) information request regarding  ownership
       and company viability is pivotal.

To determine if a corporation has ceased to exist or ceased
operations:

   •   Check with the secretary of state to determine whether a
       certificate of dissolution has been filed in  the case of a
       suspected defunct corporation.
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    •   Check to see when the last annual filing was made. If one
       has not been made recently, this may be an indication that
       the corporation is going out of business or has ceased to
       operate; however, it could also indicate it is simply late in
       filing, so look beyond this record.

    •   Check to see if a state has revoked a corporate license.
       States may revoke corporate licenses if corporations are not
       in good standing for non-payment of the annual fee or other
       reasons.

Some states permit lawsuits against corporations within a specified
period following their  dissolution.  It may be important to
investigate this possibility if a corporation's assets were never
distributed or their distribution has not been completed.

To determine if a  municipality or other government entity has
ceased to exist:

    •   Check whether the entity has lost its status as a subdivision,
       public agency,  or instrumentality of the state.

To determine if the PRP has additional resources:

    •   Ask the PRP to disclose its ability to recover expenses
       associated with the site in its response to CERCLA  Section
       104(e) requests or financial questionnaires.  A potential
       orphan PRP,  like  an ATP candidate, may be able to recover
       expenses from other sources. These sources may  include
       insurance recoveries, indemnification agreements,
       contribution actions, and  property value increases  resulting
       from cleanup activities. If these funds are significant and
       likely to  be recovered, the recovered expenses should be
       considered recoverable by the United States so that the
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                             party cannot be considered an orphan.  Refer to the
                             discussion in subsection 3.3.1 of this manual under the
                             heading "Need for PRP Financial Information,"
4.7
Perform Waste
Stream
Analyses
In some cases where documentation is very limited as to the nature
and volume of wastes disposed of at a site, a waste stream analysis
of the industrial activities conducted  at the site is performed and
the resulting information is entered into a transactional database.
This analysis encompasses data derived from industrial surveys,
process chemistry analyses, and waste stream inventory
documentation.
4.7.1
Industrial
Surveys
The primary focus of an industrial survey is to identify parties who
owned or operated the site and may have contributed hazardous
substances to the site. This is accomplished through surveying
local businesses, reviewing government records, and reviewing
various industrial manuals and directories.  This task is particularly
useful when little information is available on the site from
documents, interviews, and other sources as addressed previously
in this  manual, or when the site is in an area where neighboring
facilities may have contributed to the contamination. If the site is
located in a large metropolitan area, hundreds of industries could
be PRPs.
4.7.2
Process
Chemistry
Analysis
The objective of a process chemistry analysis is to identify the
nature and volume of wastes attributable to specific industries or
companies.  This determination is very important when little
documentation exists to indicate who disposed of the wastes at a
site. This task is usually conducted, however, only when the site
has a history of receiving  wastes from off-site generators.  A
thorough knowledge of industrial technology is essential for the
analysis, which should be performed by an  environmental scientist
or process chemistry engineer.
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                       Local industries are grouped according to products generated.
                       Wastes associated with the production of those products are
                       subsequently compared to contaminants found at the site.  Once
                       the person conducting the PRP search establishes a link between an
                       industry and wastes disposed  of at the site, additional data
                       gathering  efforts can be initiated to further define an identified
                       company's specific waste  generating and handling activities.
4.7.3
Waste Stream
Inventory
The primary objective of performing a waste stream inventory is to
compile an accurate list of wastes that were stored or disposed of
at a site. This is accomplished by reviewing all waste  stream
records, operating log books, and analytical reports.  This task may
be required to determine the types and quantities of waste
contributed by each PRP. Knowing  the types of waste disposed of
at a site is necessary to establish a relationship between the site
and the PRPs.  When a complete inventory of wastes is developed,
it can be used in conjunction with process descriptions and
industrial surveys to identify parties that may  have been  involved in
disposal activities at the site.  Before initiating a waste stream
inventory, the investigator must know the locations and types of
detected contamination.
                       In some cases, waste output models of a party's production facility
                       are used.  For example, if a facility manufactures 50 units in a
                       given year with a corresponding by-product of two gallons of
                       hazardous materials, then in the absence of other information it
                       may be assumed that two gallons  of by-product were generated in
                       a recordless year if manufacturing remained at 50 units.
4.7.4
Mine Sites
For mine, mill, and smelter sites, it is important to evaluate the
quantity of hazardous substances that might be released through
various media, including acid generation potential and wind
transport of dusts. Many mine sites have long histories and have
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                       been owned or operated by many parties.  Since technologies for
                       the extraction and processing of ores have improved, it may be
                       appropriate to allocate response costs on the basis of volume and
                       toxicity with earlier operations bearing a larger share.  Due to the
                       complexity of mining issues, a mining expert might need to be
                       retained.
4.8
Interim-Final
Report
Preparation and
Review
Some but not all regions prepare an interim-final report, which is
an expanded version of the baseline report that includes substantial
information on generators and transporters and focuses specifically
on establishing liability and financial viability. The format for the
interim-final report is the same as for the baseline report.  Section
3.10 of this manual contains a more complete discussion of the
suggested report format.
                       An interim-final PRP search report:

                          •  provides justification for notice to a party of potential
                             liability;

                          •  identifies owner/operators and persons who arranged for
                             treatment or disposal, such as generators and transporters;

                          •  serves to support litigation;

                          •  meets special notice requirements;

                          •  provides information to negotiate settlement terms or take
                             unilateral enforcement action;

                          •  lists parties who were considered possible PRPs during the
                             course of the search but were dropped from consideration
                             for notice;  and
                             documents why parties are no longer considered PRPs.
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                                                                          September 2009
                        In general, the interim-final PRP search report should be completed
                        in time for the issuance of SNLs and the release of information
                        under CERCLA Section 122(e),  which includes the PRP names and
                        addresses and the volume and  nature of the substances at the site.
4.8.1
Interim-Final
Report Followup
Information on new PRPs, as well as additional evidence on the
liability of existing PRPs, may be uncovered after the completion of
the interim-final report.  Therefore, unless there is a full
settlement, the search may not end with the completion of the
interim-final report, the issuance of general and special notice
letters, or the release of the contractors from a work assignment.
Keep this in mind when planning and  implementing a PRP search.
4.9
Pursue
Litigation and
Cost Recovery
CERCLA Section 106 and 107 Litigation7

In the case of a cost recovery referral, EPA sends a direct cost
referral package to DOJ for litigation. In selecting sites at which to
pursue cost recovery, EPA places a priority on sites at which more
than $200,000 were spent on the response action.  As DOJ
develops the case, regional staff will likely be called upon to
perform litigation support activities. These may include consulting
with case attorneys on technical issues, reviewing PRP liability
evidence, attending depositions, and testifying in court.  The RPM
or OSC often will budget for and manage  litigation support
contractors.  At a minimum, cost recovery litigation requirements
include:
                           •   ensuring that the PRP search includes (to the extent EPA
                               determines necessary) the entire universe of PRPs, PRP
                               7 If PRPs do not agree to perform work, whether it's the RD/RA, a removal, or RI/FS,
                        EPA's first and strong preference is to issue a UAO. If EPA fails to reach an agreement with the
                        PRPs to conduct the work, EPA should issue a CERCLA Section 106 UAO to all appropriate PRPs
                        ordering them to conduct the response action. If the PRPs fail to comply with the UAO, EPA may
                        initiate ajudicial action requesting injunctive relief and/or CERCLA Section 106 penalties for
                        noncompliance. EPA may also initiate a Fund-financed response action.

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                                             PRP Search Manual
                                                September 2009
       liability information that meets evidentiary standards, and
       thorough and accurate financial analyses;

   •   ensuring that the administrative record is complete;

   •   documenting costs and work performed which are attributed
       or allocated to the site, including both direct and indirect
       costs;

   •   perfecting liens;

   •   sending demand letters; and

   •   negotiating  with PRPs to try to obtain a settlement, thereby
       avoiding the need  for a referral and litigation.

Litigation is not the preferred route, but it is available if necessary
to get site remediation started or to recover the Agency's response
costs.  In either case, a thorough PRP search is essential to the
success of negotiation or  litigation.

Cost Recovery

There are five contexts in which the Agency traditionally recovers
its costs:

   1.  If the Agency funds a removal or RI/FS and the PRPs agree
       to perform the RD/RA, the Agency may recover its past
       costs as part of the RD/RA  settlement.

   2.  If the Agency funds a removal or the RI/FS and one group of
       PRPs agrees to perform the RD/RA while another group of
       viable PRPs does not agree to do so, the Agency may sue
       the non-settlors separately for unreimbursed response
       costs.
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                                             PRP Search Manual
                                                September 2009
   3.  If the Agency funds the RD/RA because there was no
       settlement, it may seek all costs in a cost recovery action.

   4.  Where the time between the completion of a removal,
       RI/FS, or RD and the initiation of on-site construction is
       likely to exceed three years, EPA may sue for past costs and
       seek a declaratory judgment on  liability.

   5.  Where there are multiple remedial operable units, EPA may
       pursue  cost recovery at the first operable unit and seek
       declaratory judgment on liability for its costs at subsequent
       operable units, assuming that the operable units share the
       same set of PRPs.

Bankruptcy, or the possibility of bankruptcy, can arise in any of
these contexts. It is always advisable to perfect Superfund liens
early to strengthen EPA's claims in the event the owner
subsequently files for bankruptcy. For more bankruptcy
information, regional attorneys should consult A Bankruptcy Primer
for the Regional Attorney (February 1994) and their regional
bankruptcy coordinators.

Statute of Limitations

CERCLA Section 113(g)(2) states that a cost recovery action must
be commenced:

   •   for a removal action, within three years after completion of
       a removal action, except that such cost recovery action
       must be brought within six years after a determination to
       grant a waiver  under CERCLA Section 104(c)(l)(C) of this
       title for continued response action; and

   •   for a remedial action, within six years after initiation of
       physical on-site construction of the RA, except that if the
       remedial action is initiated within three years after the
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       completion of the removal action, costs incurred in the
       removal action  may be recovered in the cost recovery
       action.

While CERCLA  outlines the general parameters for timing of a cost
recovery action, there  are a number of site-specific issues that may
be involved in  determining when the statute of limitations (SOL)
runs.  Further  consultation may be necessary to resolve these
issues.  For example, under CERCLA Section 113(g)(2)(B), removal
costs  may be pursued  as part of the cost recovery for remedial
action if the  remedial action is initiated within three years of
completion of the removal.

At sites where  there has been a series of remedial and removal
actions, close attention must be  paid to the SOL for each action.
(See CERCLA Section 121(f)(l)(F) (notification of state, including
tribes) and CERCLA Section  122(j)(l) (federal natural resource
trustee including DOJ/BIA for tribes) for additional information
related to  SOLs.)

Once  the Agency's costs have been documented and the PRPs are
sufficiently identified, EPA sends demand letters to the PRPs. The
demand letters notify the PRPs of their liability for EPA's cleanup
costs.  If negotiations result in a settlement, EPA and the PRPs may
enter into  an AOC or CD whereby the PRPs agree to reimburse EPA
for its costs. If total U.S. government response costs at the site
exceed $500,000 (excluding  interest), DOJ must concur on the
terms of the settlement.

If one or more PRPs fail to reimburse EPA for the costs itemized in
the demand  letter(s), EPA may forward  a referral to DOJ
recommending litigation for cost recovery.  Cost recovery actions
for removals should  be referred to DOJ as  soon as possible after
completion of the removal action, and ideally within one year after
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                                             PRP Search Manual
                                                September 2009
the completion date (unless the region plans to recover removal
costs at the same time as remedial costs under CERCLA Section
113(g)(2)(B) because it expects the RA to begin within three years
of completion of the removal action).  In all cases, removal cost
recovery actions should be referred to DOJ no later than six months
before the SOL will expire. Cost recovery actions for remedial
actions should be  referred to DOJ at the time of initiation of
physical on-site construction of the RA.

When the statute  of limitations deadline is near and the claim has
not been settled or filed, the case team may consider entering into
a tolling agreement with the PRPs. A tolling agreement is an
agreement by the parties to extend the statute of limitations either
for a specified period or until a specified event occurs.  The period
or the event is defined in the tolling agreement. A tolling
agreement must be signed by DOJ on behalf of the government and
must be signed  by the PRPs. The effect of the tolling agreement is
to provide additional time to work out a settlement in a case by the
mutual agreement of the parties.  Typically, the PRPs that enter
into a tolling agreement do not admit liability, retain all their
defenses to liability, do not agree to pay anything to the federal
government, and  do not compromise any of their existing legal
rights.  These extended negotiations do not always result in a
settlement, but  a  tolling agreement can be useful when it appears
that further discussion among the parties may be productive.

Cost Recovery for Removals

Completing a removal will generally trigger an action to recover the
costs of the removal. EPA will seek recovery of all costs if the
removal was Fund-lead, or oversight costs if it was performed by
the PRPs pursuant to a unilateral  administrative order (UAO). As a
general  rule, cost  recovery cases  involving post-SARA removals
(except  those with CERCLA Section 104(c)(l)(C) waivers) must be
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                                             PRP Search Manual
                                                September 2009
filed within three years of completion of the removal. If a remedial
action is initiated within three years after the completion of the
removal action, however, removal costs may be recovered in the
RA cost recovery action, but will not be in every instance. The facts
of a particular case frequently dictate when the "completion" of a
removal has occurred at a site, and when the statute of limitations
begins to run. In general, however, the date of demobilization of
cleanup personnel at a site, usually evidenced by a Pollution Report
or Removal Closeout Memorandum, may indicate that the removal
action has been completed.  In this instance, the actual date of
demobilization,  not the date of the Report or  Memorandum,
represents the date of completion. Due to the fact-intensive nature
of removal completion determinations, however, OSRE or OGC
should be  consulted whenever concern exists regarding the SOL for
cost recovery. This is because  an incorrect determination as to
when  removal completion occurred will very likely bar the Agency
from recovering its costs.
Cost Recovery for Sites in the Remedial Process

Cost recovery activities at sites in the remedial process are a
function of past expenditures for removals, RI/FS, or RD; the
outcome of RD/RA negotiations; and timing concerns related to the
SOL date triggered by "initiation of physical on-site construction" of
the RA.
"Initiation of physical on-site construction" represents the date
when cleanup personnel went on site and undertook some type of
physical activity, such as erecting a fence or installing utilities, that
initiated the remedial action.  Included among activities that do not
constitute physical on-site construction are actions of an
administrative nature, such as hiring contractors.  Similar to the
removal completion  determination, the facts of the case are
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                                             PRP Search Manual
                                                September 2009
important, such that OSRE or OGC must be consulted when concern
exists regarding the determination of physical on-site construction
for SOL purposes. The physical on-site construction determination
is critical, because a mistaken determination  will likely bar the
Agency from recovering its costs.
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                                                                  PRP Search Manual
                                                                    September 2009
               Name
CHAPTER 4 REFERENCES

       Section
Location
Information Requests - 104(e)            4.1
Question Categories


Model Administrative Order for            4.2
CERCLA Information Requests
(September 30, 1994)

Civil Monetary Penalty Inflation Rule       4.2
Final Model Litigation Report and          4.2
Complaint for CERCLA Section 104(e)
Initiative (January 1990)

Recommendations Concerning the Use     4.3
and Issuance of Administrative
Subpoenas under CERCLA Section 122
(August 30, 1991)

Guidance on Use and Enforcement of      4.3
CERCLA Information Requests and
Administrative Subpoenas
(August 25, 1988)

Federal Rules of Civil Procedure, Rule      4.4
27
General Policy on Superfund Ability to    4.5.1
Pay Determinations
(September 30, 1997)
Model Notice Approving Reduction in      4.5.1
Settlement Amount Based on Inability
to Pay (April 30, 2008)
Model Notice Denying Reduction in       4.5.1
Settlement Amount Based on Inability
to Pay (April 30, 2008)
                http://www.epa.gov/compliance/resou
                rces/publications/cleanup/superfund/1
                04e/index.html

                http://www.epa.gov/compliance/
                resources/policies/cleanup/superfund/
                modao-cerinf-mem.pdf

                40 C.F.R. Part 19
                http://ecfr.gpoaccess.gov

                http://intranet.epa.gov/oeca/osre/
                docs.html
                http://www.epa.gov/compliance/
                resources/policies/cleanup/superfund/
                subpoena-cercla-mem.pdf


                http://www.epa.gov/compliance/
                resources/policies/cleanup/superfund/
                cerc-infreq-mem.pdf


                28 U.S.C. App.
                http://www.uscourts.gov/rules/CV200
                8.pdf

                http://www.epa.gov/compliance/
                resources/policies/cleanup/superfund/
                genpol-atp-rpt.pdf
                http://www.epa.gov/compliance/resou
                rces/policies/cleanup/superfund/app-
                B-arc.pdf
                http://www.epa.gov/compliance/resou
                rces/policies/cleanup/superfund/app-
                D-arc.pdf
                                                       Chapter 4: Follow-up PRP Search
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                                                                  PRP Search Manual
                                                                     September 2009
               Name
CHAPTER 4 REFERENCES

       Section
Location
Interim Guidance on the Ability to Pay
and De Minimis Revisions to CERCLA §
122(g) by the Small Business Liability
Relief and Brownfields Revitalization
Act (May 17, 2004)
Enforcement Economic Models
Individual Ability To Pay Claim
(INDIPAY) Financial Data Request
Form
Ability To Pay Individual Request for
Information
Individual Ability To Pay Claim
Financial Data Request Form
Financial Disclosure Statement To Be
Completed by Individual Defendant
EDGAR

Potentially Responsible Party Internet
Information Sources (PRPIIS)

Interim  Enforcement Discretion Policy
Concerning "Windfall Liens" Under
Section  107(r) of CERCLA
(July 16, 2003)

Interim  Guidance on Orphan Share
Compensation for Settlors of Remedial
Design/Remedial Action and Non-
Time-Critical Removals (June 4, 1996)

Addendum to the Interim CERCLA
Settlement Policy Issued on
December 5, 1984
(September 30, 1997)
        4.5.1    http://www.epa.gov/compliance/resou
                rces/policies/cleanup/superfund/atp-
                demin-122g-04.pdf
        4.5.2    http://www.epa.gov/compliance/civil/
                econmodels; http://www.indecon.com
                /iec_web/econmodels/practice/models


        4.5.2    Appendix G


        4.5.2    Appendix H

        4.5.2    Appendix I

        4.5.2    Appendix J

        4.5.2    http://www.sec.gov/edgar.shtml

        4.5.2    Appendix F


        4.5.3    http://www.epa.gov/compliance/
                resources/policies/cleanup/superfund/
                interim-windfall-lien.pdf


         4.6     http://www.epa.gov/compliance/
                resources/policies/cleanup/superfund/
                orphan-share-rpt.pdf


        4.6.1    http://www.epa.gov/compliance/
                resources/policies/cleanup/superfund/
                adden-settle-mem.pdf
                                                       Chapter 4: Follow-up PRP Search
                                                                               242

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Appendix
                             Performance Work Statement for
                             Enforcement Support Services	A

                             Checklist of PRP Search Tasks	B

                             Checklist for Removal/Pre-Remedial Sites	C

                             Quick Reference Guide for Using
                             CERCLIS/WasteLAN	D

                             PRP Search Enhancement Team	E

                             Potentially Responsible Party Internet
                             Information Sources (PRPIIS)	F

                             Individual Ability to Pay Claim
                             Financial Data Request Form	G

                             Ability to Pay Individual Request for Information    H

                             Individual Ability to Pay Claim
                             Financial Data Request Form	[

                             Financial Disclosure Statement
                             To Be Completed By Individual Defendant	J

                             Acronyms and Abbreviations	K

                             Glossary	L

                             Chapter References	M

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   UNITED STATES ENVIRONMENTAL
       PROTECTION AGENCY
PERFORMANCE WORK STATEMENT

              for

ENFORCEMENT SUPPORT SERVICES
              [Date]

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                            TABLE OF CONTENTS

Acronyms	iv

Introduction and Background	  1
Purpose	  2
Scope	  2
Contractor Qualifications                                                           2
General Requirements	  3
Technical Requirements	  3

Task 1-Potentially Responsible Party (PRP) Searches                                 3
1.1     Overview	  3
1.2     Information Gathering/Records Collection Activities	  4
1.3     PRP Name and Address Verification	  7
1.4     Correspondence Tracking and Transaction Reports	  7
1.5     Analysis of PRP Search Information for Evidence of Liability	  8
1.6     Development of Waste-in Lists, Volumetric Ranking Reports,
       and Waste-in Transact!onal Reports from PRP Search Activities	  9
1.7     Corporate Research and Financial Assessments	10
1.8     Investigations	13
1.9     Title Searches	14
1.10   CERCLA Section 106 General/Special Notice and
       Section 104(e) Information Request Letter Support	16
1.11   PRP Search Reports	17

Task 2 - Expedited PRP Search Support                                             17

TaskS - Expedited General Enforcement Support	19
3.1     Service of Process and Other Documents	19
3.2     Filing of CERCLA Liens	20
3.3     Filing of Deed Restrictions	20
3.4     Freedom of Information Act Support	21

Task 4 -Negotiation Support                                                       21

Task 5 - Litigation Support	23
5.1     Referral Support	23
5.2     Evaluation  of Cost Information	24

Task 6 - Cost Recovery Support	24
6.1     Cost Documentation and Redaction	24
6.2     Closeout Memoranda Support	25
                                         11

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Task 7 - Community Involvement Support	26
7.1     Public Meeting Support	26
7.2     Fact Sheet Production	27
7.3     Public Notices	28
7.4     Mailing Lists	29
7.5     Community Involvement Plans	30
7.6     Congressional Briefing Books	30
7.7     General Community Involvement Administrative Support	31

Task 8 - Project Management, Planning and Support	31
8.1     Project Management, Planning and Support	31
8.2     Quality Assurance	33

Incentives/Disincentives for Activities Conducted Under This Contract	34

Attachment:  Government Quality Assurance Surveillance Plan	35
                                        in

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ACRONYMS
A
AA
ADR
AO
AOA
AOC
AR
ARAR
ARCS
ATP
ATSDR

B
BIA
BLM
BODR
BPA
BRAC
BUREC

C
CA
CAA
CAG
CB
CIC
CIP
CBI
CD
CERCLA
CERCLIS 3/
WasteLAN
CFR
CI
CO
COI
COR
CRC
CRT
CSA
CT
CWA
Assistant Administrator
Alternative Dispute Resolution
Administrative Order
Advice of Allowance
Administrative Order on Consent
Administrative Record
Applicable or Relevant and Appropriate Requirement
Alternative Remedial Contracting Strategy
Ability to Pay
Agency for Toxic Substances and Disease Registry
Bureau of Indian Affairs
Bureau of Land Management
Basis of Design Report
Blanket Purchase Agreement
Base Realignment and Closure
Bureau of Reclamation
Cooperative Agreement
Clean Air Act
Community Advisory Group
Case Budget
Community Involvement Coordinator
Community Involvement Plan
Confidential Business Information
Consent Decree
Comprehensive Environmental Response, Compensation, and Liability Act
Comprehensive Environmental Response, Compensation, and Liability
 Information System/Waste Local Area Network
Code of Federal Regulations
Civil Investigator
Contracting Officer
Conflict of Interest
Contracting Officer's Representative
Cost Recovery Coordinator
Community Relations Implementation
Chemical Safety Audit
Counter Terrorism
Clean Water Act
                                        IV

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D
DD
DNAPL
DOT
DOJ
DQO
Decision Document
Dense Non-Aqueous Phase Liquid
Department of the Interior
Department of Justice
Data Quality Objective
EA          Endangerment Assessment
EAB         Environmental Appeals Board
EE/CA       Engineering Evaluation/Cost Analysis
EPCRA      Emergency Planning and Community Right-to-Know Act of 1986
EPA         Environmental Protection Agency
EPM         Enforcement Proj ect Manager
ERCS        Emergency Response Cleanup Services
ERNS        Emergency Response Notification System
ESI          Expanded Site Inspection

E
FCOR        Final Closeout Report
FE          Federal Enforcement
FEMA       Federal Emergency Management Agency
FMD         Financial Management Division
FMO         Financial Management Office
FOIA        Freedom of Information Act
FR          Federal Register
FS           Feasibility Study
FSP          Field Sampling Plan
FY          Fiscal Year
FWS         Fish and Wildlife Service
G
GFO
GNL
Good Faith Offer
General Notice Letter
H
HASP
HRS

I
IAG
IEUBK
IFMS
IMC
Health and Safety Plan
Hazard Ranking System
Interagency Agreement
Integrated Exposure Uptake Bio-Kinetic
Integrated Financial Management System
Information Management Coordinator

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L
LDRs
LOE
LIRA

M
MOA
MOU
MPE
MSW
Land Disposal Restrictions
Level of Effort
Long-Term Response Action
Memorandum of Agreement
Memorandum of Understanding
Multi-Phase Extraction
Municipal Solid Waste
NEAR       Non-Binding Preliminary Allocation of Responsibility
NCP         National Contingency Plan (National Oil and Hazardous Substances Pollution
             Contingency Plan) (Abbreviated as National Contingency Plan in this document)
NEIC        National Enforcement Investigation Center
NMFS       National Marine Fisheries Service
NOAA       National Oceanic and Atmospheric Administration
NOD        Notice of Deletion
NOID        Notice of Intent to Delete
NOIPD       Notice of Intent for Partial Deletion
NOPD       Notice of Partial Deletion
NPL         National Priorities List
NRC         National Response Center
NRT-1       National Response Team Hazardous Material Emergency Planning Guide, 03/87
NRT-1A     National Response Team Criteria for Review of Hazardous Materials Emergency
             Plans, 05/98
NRRB       National Remedy Review Board
NTC         Non-Time-Critical

O
O&F         Operational and Functional
O&M        Operation and Maintenance
OC          Office of Compliance or Office of the Comptroller
OE          Office of Enforcement
OECA       Office of Enforcement and Compliance Assurance
OERR       Office of Emergency and Remedial Response
OGC         Office of General Counsel
OIRM       Office of Information Resources Management
OLS         Office of Litigation Support
OMB        Office of Management and Budget
OPA         Oil Pollution Act
OSC         On-Scene Coordinator
OSHA       Occupational Safety and Health Administration
OSRE       Office of Site Remediation Enforcement
OSWER     Office of Solid Waste and Emergency Response
                                         VI

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ou
OWPE

P
P&C
PCOR
FDD
PNRS
PO
POLREP
PPA
PPED
PRN
PRP
PWS

Q.
QA
QA/QC
QAO
QAPP
QAPP/FSP
QC

R
RA
RAC
RAGS
RAR
RCRA
RD
RD/RA
RSD
REM
RI
RI/FS
RO
ROD
RPM
RRT

S
SAIC
SAP
SARA
SCAP
Operable Unit
Office of Waste Programs Enforcement
Participate and Cooperate
Preliminary Closeout Report
Pre-Authorization Decision Document
Preliminary Natural Resource Survey
Project Officer
Pollution Report
Prospective Purchaser Agreement
Policy and Program Evaluation Division
Pre-Referral Negotiation
Potentially Responsible Party
Performance Work Statement
Quality Assurance
Quality Assurance/Quality Control
Quality Assurance Office
Quality Assurance Project Plan
Quality Assurance Project Plan/Field Sampling Plan
Quality Control
Remedial Action or Regional Administrator
Response Action Contract
Risk Assessment Guidance for Superfund
Remedial Action Report
Resource Conservation and Recovery Act
Remedial Design
Remedial Design/Remedial Action
Regional Support Division
Remedial Engineering Management
Remedial Investigation
Remedial Investigation/Feasibility Study
Regional Ombudsman
Record of Decision
Remedial Project Manager
Regional Response Team
Special-Agent-In-Charge
Sampling and Analysis Plan
Superfund Amendments and Reauthorization Act of 1986
Superfund Comprehensive Accomplishments Plan
                                        vn

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SCORPIOS
SDMS
SE
SEP
SIP
SMOA
SMP
SNAP
SNL
SPCC
SOL
SOW
SPIM
ssc
START

I
TAG
TBC
TOM
TRT
TSCA
TST

U
UAO
USAGE
use
USCG
USGS

V
VCP
VE
VOC

w
WasteLAN
Superfund Cost Recovery Package Imaging and Online System
Superfund Document Management System
State Enforcement
Supplemental Environmental Project
Site Inspection Prioritization
Superfund Memorandum of Agreement
Site Management Plan
Superfund National Assessment Program
Special Notice Letter
Spill Prevention Controls and Countermeasures
Statute of Limitations
Statement of Work
Superfund/Oil Program Implementation Manual
Superfund State Contract
Superfund Technical Assistance and Response Team
Technical Assistance Grant
To Be Considered
Contract Manager
Technical Review Team
Toxic Substances Control Act
Technical Support Team
Unilateral Administrative Order
United States Army Corps of Engineers
United States Code
United States Coast Guard
United States Geological Survey
Voluntary Cleanup Program
Value Engineering
Volatile Organic Compound
Waste Local Area Network
                                       Vlll

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                        PERFORMANCE WORK STATEMENT
                                              for
                        ENFORCEMENT SUPPORT SERVICES
INTRODUCTION AND BACKGROUND

     For enforcement support services performed pursuant to this Performance Work Statement (PWS),
the Contractor shall perform in accordance with all environmental statutes as appropriate [e.g.,
Comprehensive Environmental Response, Compensation and Liability Act (CERCLA), Emergency
Planning and Community Right-To-Know Act (EPCRA), Superfund Amendments Reauthorization Act
(SARA), Resource Conservation and Recovery Act (RCRA), Clean Air Act (CAA), Clean Water Act
(CWA) and Toxic Substances Control Act (TSCA), or successor statutes.

     Successful completion of enforcement activities at Superfund sites requires close coordination of
these activities in concert with other site events. The pace of enforcement activities is often dictated by
removal actions, mandatory notice to Potentially Responsible Parties (PRPs), public comment periods,
and statutes of limitation (SOLs).  Each of the enforcement support activities listed in this PWS is
interrelated with, and dependent upon, the others.  Site complexities such as divisibility of harm, multiple
operable units, and both cooperative and recalcitrant PRPs at the same site make it difficult to delineate
the end of one enforcement activity and the beginning of another. Enforcement should be considered an
ongoing process rather than a discrete event. Each activity has a direct bearing on the others, and
successful performance of each activity is essential to the successful completion  of all activities.
Therefore, in order to provide any of the activities below, the Contractor must be capable of providing
them all.

     Project planning and managerial support is an essential part of the PRP search planning process and
describes potential roles and responsibilities of parties involved and shall be included as  an ongoing part
of all tasks listed in this PWS. Project planning and support includes all  technical and managerial
activities required to plan and implement all work required under this Contract. Each time the
government issues a Task Order, the Contractor shall submit a Staffing Plan/Cost Estimate (SP/CE),
incorporating the proposed personnel that will be working on the project and an itemized estimate of the
cost to complete the work.

     For the purpose of this PWS, the words "The Contractor" shall mean that the firm  that is selected
for this procurement.  Any and all services or products shall  be delivered in compliance with all
applicable federal, state, and local laws, regulations, guidance and policies and will be adjusted to reflect
those applicable laws, regulations,  guidance, and policies which become effective after the effective date
of the Contract. A collection of federal environmental laws, regulations, and non-binding guidance
documents may be accessed at http://www.epa.gov/epahome/lawregs.htm.

     Contractors may access web  sites for individual states  and or/local jurisdictions at  their appropriate
web  sites for relevant laws, regulations, and policy documents.

     Analysis and/or recommendations provided to EPA under the Contract, by a Contractor, may be
used by the Agency; however, a Contractor shall not make any decisions or assist in the  development of

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policy documents for the Agency. The Contractor shall explain to outside parties, at the onset of
communications, that they are Agency Contractors.

PURPOSE

     The purpose of the Contract is to provide legal enforcement support services to the Agency for
activities described within this PWS.  The purpose of this PWS is to set forth the performance
requirements, performance standards, monitoring methods, acceptable quality limits, and
incentives/disincentives for work performed under the Contract.

SCOPE

     This Contract provides for legal enforcement support activities as defined in the PWS and further
identified in specific Task Orders.

     Enforcement activities under this PWS include PRP search activities at all site types.  These sites
include, but  are not limited to:  sites recently proposed to or finalized on the NPL; sites where PRP search
activities are ongoing; and, sites where the PRP search activities are necessary to meet current
enforcement needs, (e.g., information needed to support an orphan share determination).

     While  the PWS is structured by specific technical requirements, enforcement support activities may
overlap different technical requirements within this PWS. The Contractor shall submit all analyses,
options, recommendations, reports and any other work products in draft form for review by the EPA
Contract Officer's Representative (COR) prior to use or distribution.  The government will make all final
regulatory, policy, and interpretative decisions resulting from Contractor-provided advice and assistance
under this PWS, as well as all final  decisions regarding compliance determinations, or the existence or
violations of, an order, law, regulation, etc.

     This PWS contains Performance Requirements, Performance Standards, the Acceptable Quality
Level (AQL) for work performed, the Monitoring Methods to be utilized by the government, and
Incentives/Disincentives for Contractor performance. The government reserves the right to modify the
Performance Standards during the life of this Contract in order to ensure that the right outcomes are being
realized and that the Performance Standards are appropriate. Any changes will be accomplished via a
bilateral Contract modification.  The government reserves the unilateral right to change its monitoring
methods  specified herein consistent with the inspection rights already provided to the government under
the Inspection of Services clause, and may reduce the level of surveillance as a reward, if the Contractor
consistently  meets the Performance Standards. Technical Requirements under the Contract include the
tasks described in detail below.

CONTRACTOR QUALIFICATIONS
•  Staff with basic knowledge of the Superfund/CERCLA process.
•  Staff skilled in research techniques, including internet searches and public records
•  Staff skilled in database management for mailing lists, volumetric rankings,  desk-top publishing,
   graphics for presentations, and fact sheets.

•  Staff skilled in producing material for the public that communicates complex technical environmental
   information in language understandable to the lay reader.

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• Staff experienced with meeting planning and logistics.
• Staff skilled in developing communication strategies and planning public involvement activities.
• Office located in Denver metropolitan area.

GENERAL REQUIREMENTS
• Furnish all personnel, services, materials, and equipment to perform the enforcement support activities
  described in the PWS and as specified in Task Orders by CORs.
• Maintain technical and financial records as specified in the Contract and by the COR.
• Receive Task Orders via individual site-specific Task Orders.
• Track and bill costs site-specifically to facilitate cost recovery efforts.

TECHNICAL REQUIREMENTS
• Expertise in conducting Potentially Responsible Party (PRP) Searches at various types/complexity of
  sites, including mining sites, multiple generator sites, etc.
• Develop Staffing Plans/Cost Estimates with 10 days of Task Order acceptance, or within 48 hours for
  expedited enforcement support activities
• Capability to start work on the assigned task, when necessary, under expedited conditions
• Expedited General Enforcement Support Activities
• Negotiation Support
• Litigation Support
• Cost Recovery Support
• Community Involvement Support
• Project Management and Planning
             TASK1 POTENTIALLY RESPONSIBLE PARTY (PRP) SEARCHES

1.1   OVERVIEW

      The purpose of a PRP search is to gather evidentiary information on PRPs that may be liable for
actions conducted under CERCLA. From the notification of a release through the remedial action,
identification of, and communications with, the PRPs are essential in determining the strategy for a
cleanup.  When appropriate, and as identified in a Task Order, the Contractor shall conduct PRP search
activities with the PRPs and/or the PRPs' contractor where the PRPs and EPA are jointly performing PRP
search activities.

      All Staffing Plans/Cost Estimates for PRP search activities described in this PWS shall be written so
as to provide enforcement support and perform  all PRP search activities in accordance with the three
program guidance documents listed below.

Potentially Responsible Party (PRP) Search Manual,  September 2003, supersedes the PRP Search
Manual, August 27, 1987 (9834.3-1 A) and the PRP Search Supplemental guidance for Sites in the
Superfund Remedial Program, June 29, 1989 (9834.3-2a) published by the U.S. Environmental Protection

Agency's former Office of Waste Programs Enforcement.  The PRP Search Manual can be accessed on-
line at: http://www.epa.gov/compliance/resources/publications/cleanup/superfund/prpmanual/index.html.

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Guidance on Preparing and Releasing Waste-in Lists and Volumetric Rankings to 1991 PRPs
Under CERCLA. can be found in the PRP Search Manual, September 2003, Chapter 3, Section 3.8. A
direct reference to that particular policy can be found at:
http://www.epa.gov/compliance/resources/policies/cleanup/superfund/guide-volumet-rpt.pdf.

Elements of Liability Under Section 104,106, and 107 of CERCLA, U.S. Department of Justice,
(Current edition)

      In planning and implementing PRP Search support activities, the Contractor shall ensure
consistency with EPA-developed plans guiding site enforcement activities which may be in existence,
such as a Site Management Plan, PRP Search Plan, etc.

      Any deliverable submitted under this Contract shall be of acceptable quality, which means that, the
deliverable:

      • demonstrates a good command and usage of the English language (e.g., discussion of facts flow
        in a coherent and organized manner);
      • demonstrates use of proper grammar (noun and verb tense correspond, etc.);  and,
      • is free of incomplete sentences and misspelled words.

      All deliverables, unless directed differently in the individual Task Order, shall be printed double-
sided.  Sensitive information is properly labeled.

      The government may order all or parts of a PRP Search and/or corresponding section(s) of a PRP
Search. Thus, the Contractor may be required to perform any (or all) of the Baseline Tasks and
Specialized Tasks described in the September 2003  PRP Search Manual (chapter 3, Section 3.10 for
baseline tasks), which lead to the production of a PRP Search Report. These tasks are consolidated and
summarized below:

1.2   INFORMATION GATHERING/RECORDS COLLECTION ACTIVITIES

      In accordance with the September 2003  PRP Search Manual, preliminary information gathering
tasks of a PRP Search generally include interviewing government officials and private parties, records
collection activities, conducting industrial surveys, and developing site histories. The information
obtained  during this phase will be used to produce a written history of the site.  The Contractor may be
tasked with performing some or all of the following activities.

Performance Requirements:
The Contractor shall identify Agency, state and local government officials and interview them in order to
obtain information on: (1) the existence of relevant documents such as site records, permits, and clean-up
orders, hauler's licenses, business licenses, landfill permits, zoning permits, building permits, zoning
ordinances, and compliance history; and, (2) the names of individuals who may be knowledgeable about
the site (e.g., current and former site employees who may have information regarding site operations). If

directed to do so  by EPA,  the Contractor shall interview private individuals regarding site history and
operations.

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The Contractor shall search for and obtain copies of federal, Agency, state and local government
documents, and documents located at the site that provide relevant information on the activities that have
taken place at the site. The Contractor shall review relevant business records in order to document
potential liability in accordance with CERCLA Section 107(a), to document PRPs' volumetric
contribution, and the PRPs' ability to pay.

The Contractor shall have the capability to photocopy documents, sometimes at remote locations. The
Contractor shall assess and provide a written recommendation as to whether site records to be reviewed
are contaminated by hazardous wastes. The Contractor shall have the capability to handle contaminated
documents, and to safely transport and/or store such records should the situation arise.  The Contractor
shall undertake all appropriate measures to protect the health and well-being of its employees in these
situations, including training in the proper handling of contaminated records.

The Contractor shall conduct industrial surveys, and incorporate relevant information into the PRP Search
Report, or as otherwise directed.

Based on information obtained during the PRP Search activities, the Contractor shall prepare and deliver
to the government a written "Site History", including operational and compliance histories, which shall be
incorporated into the PRP Search Report.

The Contractor shall report relevant findings to the government as required under the site-specific Task
Order and incorporate the information into the PRP Search Report, or as otherwise directed.

The Contractor shall save and manage the copies of relevant documents obtained under this subtask in
accordance with the information management requirements detailed in this PWS and the EPA site-
specific Task Order.

Performance Standards:
The information gathered demonstrates that the Contractor has conducted interviews in accordance with
proper interview standards set forth in applicable Federal and State rules of evidence and relevant
interpretive case law concerning collection, chain of custody,  credibility, and admissibility.  Interviews
shall be documented in a Memorandum of Interviews, summarizing  information and/or documents
acquired.

Each document shall be assigned a unique tracking number, and specific information about the document
is recorded, including the document's date, record type, author, recipient,  and subject. Information
gathered may include: licenses, permits, inspection reports, contamination or environmental  studies,
sampling data, and memoranda and correspondence between site owners/operators and government
officials which would document a PRP's compliance history.

Relevant documents are copied and incorporated into reports in a manner  consistent with Agency
guidance on reproduction and document record collection activities in PRP Search Reports set forth in the
September 2003 PRP Search Manual.  Records collected shall be organized in a manner compatible with
the Region's Superfund filing structure and, at a minimum,  identify each document by its source, location,
provider, and legal status (i.e., original, certified copy, true copy, etc.). Documents shall be indexed in

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conformance with Regional and national standards, as outlined in EPA Superfund Standard Operating
Procedures.

The Contractor shall take all appropriate actions to ensure and protect the health and well being of its
employees, and in the safe handling and transport/storage of contaminated records.

The Contractor shall research records such as industrial directories, Chamber(s) of Commerce records,
business school libraries, insurance company maps, city directories, aerial photograph collections, urban
archives, and the Internet, where deemed necessary.

The report shall conform to the format and content standards for a "Site History" as outlined in the
September 2003 PRP Search Manual.

Supporting documents cited in the report (e.g., government documents, title search documents, and
interview summaries) shall be correctly identified in accordance with the information management
requirements of the site-specific Task Order.

All work shall be performed and draft final reports shall be delivered in accordance with the deadlines
outlined in the Task Order.  Costs shall be within the amount of the approved budget ceiling.

Acceptable Quality Level (AOL):
The Contractor has contacted and interviewed government officials and other individuals (with prior
authorization from the COR) that have information relevant to the site and/or have had direct involvement
with the site and  knowledge of site operations. The Contractor has included this information in a draft
PRP Search Report, or as otherwise specified by the EPA COR.

The Contractor has identified and obtained, or made copies of, all relevant records for the site and has
incorporated relevant information into a draft PRP Search Report, or as otherwise directed by the EPA
COR. The PRP Search Report adheres to the performance standards listed above.

EPA-approved site-specific Health and Safety Plans are prepared prior to the handling, transport, storage,
and/or review of contaminated records.

All errors and corrections noted by the COR on the draft deliverables have been addressed and corrected.

Monitoring Method:
EPA will review the documentation and the Memoranda of Interviews in order to determine whether there
are other sources of information that need to be researched.

When necessary, EPA shall review and approve the site-specific Health and Safety Plan prior to the
Contractor handling contaminated records.  EPA will review the list of records acquired in order to
determine whether all appropriate records have been collected.

The EPA COR and Site Attorney will review the Contractor's draft and final reports for use and
incorporation of verified facts, and will note progress during the reporting period on the monthly
progress reports.

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1.3   PRP NAME AND ADDRESS VERIFICATION

      The Contractor shall assist the Agency in gathering accurate contact information for PRPs that will
facilitate in mailings, settlement negotiations, and cost recovery actions.

Performance Requirements:
The Contractor shall maintain a current, up-to-date list of PRPs' names, addresses, and other contact
information (e.g., address, phone number, attorney's name, address, and phone number) which will enable
EPA to serve enforcement-related correspondences. The Contractor shall verify the accuracy of the
PRPs' addresses prior to the mailing of any correspondence and shall notify the EPA COR of any
correspondence that is returned undeliverable.

Performance Standards:
The contact list identifies the name, address, and other contact information for all PRPs and the current
CEO/manager, or provides a brief notation explaining why the information is unavailable. For all
corporate PRPs, the list identifies the corporate address, registered agent, officers, mergers, name
changes, dissolutions, and date of in corporation.  The work is performed in accordance with the schedule
outlined in the Task Order. Costs are within the approved budget ceiling.

Acceptable Quality Level (AQL):
No more than 5% of enforcement correspondence is returned as undeliverable due to a bad address.

Monitoring Method:
Through self-inspection, the Contractor shall sample up to 10% of the addresses to ensure the accuracy of
the information. The EPA COR may perform a random sampling of up to 10% of the PRP Name and
Address verification and check for accuracy.  The EPA COR will note any unacceptable performance on
the Contractor's monthly Performance Evaluation Sheet.

1.4  CORRESPONDENCE TRACKING AND TRANSACTIONAL REPORTS

     The Contractor shall assist the Agency in the development of databases that track contact with PRPs
and transactional data related to individual PRPs.

Performance Requirements:
When required, the Contractor shall maintain a Correspondence Tracking System (CTS) that contains data
extracted from information provided by PRPs in response to inquiries by EPA.

When required, the Contractor shall prepare and deliver to the government a Transactional Report which
shall consist of information extracted from written documents such as, but not limited to, waste manifests,
invoices and/or witness testimony to establish time frames, wastes or material contaminated, individual
and/or facilities involved,  and volumetric values.

Performance Standards:
The CTS can produce reports that contain PRP  contact information with verified addresses, dates of
mailings, receipt dates of responses, depositions, interview summaries, etc.

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The Transactional Report contains and summarizes, by generator:  document types, manifest number or
other identifying number, shipment dates, waste types, volumes, volume conversions, and transporter
name(s).  The report contains 100% accurate information. The report is submitted in accordance with the
Task Order requirements and deadlines.  Costs are within the amount of the approved budget ceiling.

Acceptable Quality Level (AQL):
Challenges made by PRPs regarding the volume attributed to them do not result in changes to the waste
allocation for that PRP due to duplication of entries, transposed numbers, wrong information, etc.

Monitoring Method:
The Contractor, through self-inspection, shall review all of the information submitted on the Transactional
Report to ensure that the report contains no grammatical or typographical errors.  The EPA COR may
perform a random sampling of up to 25% of the information to ensure that the standards have been met.

1.5  ANALYSIS OF PRP SEARCH INFORMATION FOR EVIDENCE OF LIABILITY

     The Contractor shall collect and summarize information in support of enforcement actions to be
taken by the Agency.

Performance Requirements:
The Contractor shall analyze and organize the information obtained during PRP Search activities in
accordance with the rules of evidence, CERCLA elements of liability, and applicable case law. The
Contractor shall provide a written summary  of the information gathered during the PRP search in the form
of evidence summary sheets and shall analyze the information for evidentiary value, strength, and
admissibility.

The Contractor shall make written recommendations as to the classification of each "person" [as defined
in CERCLA section 101(e)(21)] identified during the research into appropriate PRP categories for EPA
consideration an approval based on CERCLA Section 107(a).

Performance Standards:
Deliverables demonstrate that the Contractor performed in accordance with proper investigative
standards, given applicable federal and state rules of evidence and relevant interpretive case law
concerning collection, chains-of-custody, credibility, and admissibility. Deliverables are  submitted in
accordance with Contract and Task Order requirements and deadlines.  Costs are within the amount of the
approved budget ceiling.

Acceptable Quality Level (AQL):
The draft and final deliverables adhere to the format and content standards as defined in the PWS.

MONITORING METHOD:
The EPA COR and Site Attorney will review the draft and final reports, and shall rate the Contractor's
performance on the monthly Performance Evaluation Sheet.

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1.6   DEVELOPMENT OF WASTE-IN LISTS, VOLUMETRIC RANKING REPORTS, AND
      WASTE-IN TRANSACTIONAL REPORTS FROM PRP SEARCH ACTIVITIES

      As required, the Contractor shall provide technical support to EPA in the areas of chemical
processes, chemical fate, waste modeling, and the development of transact!onal databases to support EPA
during the PRP search and in the analysis and development of waste-in information.

Performance Requirements:
The Contractor shall develop and submit for the EPA COR's approval, a set of site-specific Protocols to
be applied in the review of supporting documents and allocation of waste volume to PRPs.

The Contractor shall develop, operate, and maintain an electronic database which contains information
needed to produce Waste-in Lists, Volumetric Ranking Reports, and Waste-in Transactional Reports.

The Contractor shall prepare and deliver to the government an accurate inventory of wastes that were
generated at, transported to,  stored, or disposed of at a site in the form of a computer-generated listing of
the volume and nature of hazardous substances contributed by each PRP identified at a site, noting any
weaknesses in  data.

The database shall be functional and compatible with EPA software. If requested, the Contractor shall
install the database (with edit capability) on the EPA COR's computer or designated laptop computer, and
provide training on its use.

Performance Standards:
Protocols are adhered to in all cases where possible. If a particular transaction presents an exception to
the protocols, the Contractor brings it to the attention of the EPA COR and Site Attorney for a
determination on how to proceed. The protocols incorporate standard unit conversion factors.

The Waste-in List accurately represents the supporting documentation in the file. The report identifies the
specific sources of information (e.g., waste stream records, government records, interview reports, etc.)
used to attribute volumes of waste to each PRP. The record number assigned to it under the site
information management system identifies each document source. All double counts are identified (i.e.,
waste shipments attributed to both generators and transporters).

The report summarizes analyses performed to estimate volumes of hazardous waste attributable to PRPs
including chemical processes, chemical fate, and waste modeling.  The report presents stoichiometric
calculations, analysis of material balances, and interpretation of process engineering data about
manufacturing processes employed by PRP generators.

The Waste-in List states all clarifying assumptions made during compilation in accordance with the
"Generally Accepted Waste-in List and Volumetric Ranking Assumptions," in the September 2003 PRP
Search Manual. The Waste-in List document summarizes analyses performed to estimate volumes of
hazardous waste attributable to PRPs, including stoichiometric calculations, analysis of material balances,
and interpretation of process-engineering data about manufacturing processes employed by PRP
generators.

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The Volumetric Ranking conforms to the Contractor proposed, government-approved report format.  The
Volumetric Ranking Report created for release to PRPs satisfies 100% of the information-release
requirements of CERCLA Section 122(e)(l)(C).

The database is functional and compatible with EPA software.  If requested, the Contractor has installed
the waste-in database on the EPA COR's computer or designated laptop computer, and provides training
on its use, if needed.  The database is completed within the proscribed schedule detailed in the Task
Order.  Costs are within the amount of the approved budget ceiling.

Acceptable Quality Level (AQL):
Less than 5% of the data input into the database is incorrect. Challenges to the Waste-in List are
defensible, i.e., challenges made by PRPs regarding the volume attributed to them do not result in changes
to the waste allocation for that PRP due to duplication of entries, transposed numbers, wrong PRP, etc.

Monitoring Method:
The government may review the Contractor's self-inspection records and may independently verify the
accuracy of waste-in data entries against a random sampling of transact!onal source documents from
which the volumes were derived.

The EPA COR may perform a random sampling of up to 10% of the information to ensure that the
standards have been met. The EPA COR will review the draft and final reports and the Contractor's
monthly progress reports.

1.7  CORPORATE RESEARCH AND FINANCIAL ASSESSMENTS

Financial Assessments. The Contractor will be required to provide support to the Agency, when
necessary, in building a case involving parent corporation, subsidiary  liability, and ability-to-pay
analyses. The  estimated twelve-month caseload is six different cases  during any given 12-month period
of the Contract. Of these six cases, EPA expects that 4 of the cases will be simple or routine cases, 1  case
will be of intermediate complexity, and 1 case will be complex.  One or more of the  complex cases may
require Contractor support at pretrial depositions or at trial.

Property Appraisals. The Contractor shall arrange for appraisals of  real and personal property, as
requested.  The estimated 12-month caseload is 1-2 appraisals.

Property Surveys. The Contractor shall arrange for property surveys, as requested. The  estimated 12-
month caseload is 1.

Performance Requirements:
The Contractor shall perform corporate research and conduct or arrange for a financial analysis when
required and, as directed, submit a report to the government assessing each PRP's ability to pay for
clean-up  activities at a site.  [PRPs include individuals, partnerships, corporations ("profit" and "non-
profit"), trusts, municipalities, and other legal entities.]

The Contractor may be asked to perform one or more of the tasks described below in support of EPA
enforcement activities involving a particular Superfund site. The degree of detail required in any given
financial  analysis will depend on the circumstances surrounding the case, and may require only a Ben &


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Abel analysis, or a more thorough analysis of a PRP's involvement with multiple partnerships,
corporations, trusts, etc. The following tasks describe the type of activities that may be assigned.

Financial Analysis of Individuals: The Contractor shall analyze the ability of individual PRPs (including
sole proprietors or business partners) to contribute to financing response costs at a Superfund site. The
Contractor will use individual tax returns, individual financial statements and other financial information
provided by the PRP to EPA, as well as available public documents, to provide EPA with advice
regarding the PRP's ability to contribute to response costs at the site.

Financial Analysis of Business PRPs:  The Contractor shall analyze the ability of business PRPs to
contribute to financing response costs at a Superfund site.  The Contractor shall use Federal tax returns,
business financial statements, and other financial information provided by the PRP to EPA.  In addition,
the Contractor shall use available public documents and other sources of business information, as
applicable to the business PRPs, to provide EPA with advice regarding the PRP's ability to contribute to
response costs at the site.

Financial Analysis of Government Organizations: The Contractor shall analyze the ability of PRPs who
are government organizations, such as municipalities, counties, state agencies or universities, to contribute
to financing response costs at a Superfund site.  The Contractor shall use financial statements and other
financial information provided by the PRP to EPA, as well as available public documents, and shall apply
principals of government finance to provide  EPA with advice regarding the PRP's ability to contribute to
response costs at the site.

Financial Analysis of Non-profit Organizations:  The Contractor shall analyze the ability of PRPs who are
non-profit organizations, either government  or non-governmental organizations,  such as educational
institutions,  hospitals, and service organizations, to contribute to financing response costs at a Superfund
site. The Contractor shall use financial statements and other financial information provided by the PRP to
EPA, as well as available public documents, and shall apply accounting principals applicable to non-profit
organizations to provide EPA with advice regarding the PRP's ability to contribute to response costs at
the site.

Review and Analyze Financial Assurance Documents: The Contractor shall review and analyze financial
assurance  documents provided to EPA by PRPs to fulfill financial responsibility obligations under
Superfund settlements. The Contractor will  advise EPA whether the economic assumptions used to
calculate the present value of the cost estimates are acceptable or unrealistic and whether the financial
assurance  documents satisfy EPA's criteria for acceptability of such financial assurance documents, based
on the requirements established by the EPA  enforcement attorneys working on the case and EPA
CERCLA financial assurance guidance.

The Contractor may be asked to assist EPA in reviewing the following types of financial assurance
documents:  trust agreements, surety bonds,  letters of credit, and corporate guarantees or self-guarantees,
using an EPA financial test method or other  method of financial assurance as requested by EPA.

Financial Analysis of Complex Corporate Organizations:  The Contractor shall research and analyze the
history and organizational structure of complex corporate organizations. The Contractor will use
corporate Federal tax returns, other available financial statements and other information provided by the
PRP to EPA. In addition, the Contractor will use  available public documents and other sources of


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business information.  The Contractor will assist EPA in understanding the relationships among existing
corporations and their potential liability for Superfund response costs.  The analyses may focus on a
variety of issues such as an analysis of the operation and control of a PRP by another person, the ability of
a person to undercapitalize a PRP, an evaluation of the fair market value of related-party transactions, the
ability of a PRP to limit or reduce its earnings for the benefit of a different person, and the ability of a
PRP to transfer an investment or other asset to an entity that may not be subject to CERCLA authority.

Assist with Settlement Negotiations with Superfund PRPs: The Contractor shall assist EPA enforcement
teams (including DOJ enforcement attorneys) with negotiations with PRPs regarding financial issues in
Superfund enforcement cases. This assistance may include assistance in drafting information requests and
interrogatories, reviewing draft settlement documents, participating in conference calls and meetings with
PRPs, and providing advice to EPA and DOJ attorneys during depositions.

Provide Expert Witnesses in Administrative Hearings or Judicial  Cases: If required, the Contractor shall
provide financial analysts qualified to testify as expert witnesses in mediation, administrative hearings, or
judicial trials in Superfund enforcement cases.  The financial analysts shall assist EPA and DOJ
enforcement attorneys to prepare for administrative and civil litigation of financial issues, including
preparing expert reports and affidavits, reviewing documents provided by defense counsel and drafting
questions for examining defense witnesses.

Review Compliance with Superfund Settlements and Orders:  If required, the Contractor shall assist EPA
enforcement staff in reviewing compliance with Superfund settlements and orders involving financial
issues (including financial assurance issues).  Such compliance reviews may
include assisting EPA to calculate the economic benefit derived by liable parties from non-compliance
with CERCLA requirements.

Develop and Test Financial Analysis Tools: The Contractor may be asked to work with the Office of Site
Remediation Enforcement (OSRE) and Regional case teams to develop and test the usefulness of financial
analysis tools (such as spreadsheets and databases) in the context of providing financial analysis expert
support for Superfund cases.

The Contractor shall submit all work products for review and approval to the COR.  The appropriate EPA
enforcement case staff person and the COR will review all deliverables in draft form and provide
revisions and/or comments to the Contractor. The Contractor shall prepare the final deliverables
incorporating EPA's comments. EPA will make all final determinations and decisions after a critical and
close review of the Contractor's work product.  All work products resulting from the performance of this
contract are the property of EPA. The Contractor shall not publish or otherwise release, distribute, or
disclose any work product generated under this contract without obtaining EPA's express written
approval.

Provide Property Appraisals: The Contractor shall provide property appraisals by a licensed individual
that is certified and  qualified to perform property appraisals for contaminated properties.

Provide Property Surveys: The  Contractor shall provide property surveys by a licensed, certified
surveyor.
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Reports:
In most cases the Contractor will be asked to provide written reports of the analysis conducted and the
Contractor's advice to EPA. The Contractor shall use all available relevant information, including
documentation received from the PRP.  The Contractor shall document all aspects of any analyses
performed under the contract, in order to maintain a clear and complete record that reflects the process by
which the Contractor reaches its conclusions.

The Financial Reports shall generally: (a) summarize the substance of the financial issues being
addressed; (b) list documents received from EPA or from a third party (such as a PRP) which were
reviewed and formed a basis for the financial analysis; (c) describe the methods of financial analysis used
to arrive at recommendations; (d) identify relevant EPA guidance documents and how they were applied
in the analysis and recommendations; (e) explain policy or action alternatives, if any; and, (f) otherwise
make clear the methods and considerations upon which recommendations are based.

Performance Standards:
The financial assessment report includes the name, address, and phone number of the entity analyzed,
identification of its officers, dates and place of incorporation, corporate status, and Registered Agent,
where applicable.  If required, the Contractor has provided a financial assessment of each PRP's ability -
to-pay based upon standard Accounting and Finance measures of income, solvency, and asset valuation.
The financial assessment report cites all sources of financial information used in the assessments. The
report discusses all limitations regarding the information used in the assessments and any assumptions
made.  The report provides a risk assessment and analysis of EPA's risk in accepting payments from the
PRPs.

If an appraisal on contaminated property is required, the individual selected to perform such appraisal has
knowledge of CERCLA and has experience in the unique considerations necessary for evaluation of
contaminated properties.

Property surveys have been conducted by licensed surveyors and reports shall include Plat maps and a
narrative legal description of the property. Qualifications of the surveyor are noted in the report.

All schedules and deadlines stated in the Task Order are met.  Costs are within the amount of the
approved budget ceiling.

Acceptable Quality Level (AOL):
The draft and final reports adhere to the format and content standards as defined in the PWS.  The
deliverables provide the analysis and products defined in the Task Order. Work  is completed in
accordance with the  defined schedules and deadlines in the Task Order, and costs are within the approved
budget ceiling.

Monitoring Method:
The EPA COR will review the Contractor's draft and final reports and the monthly progress reports.

1.8   INVESTIGATIONS

     During the course of PRP searches, it is routinely necessary to obtain and  develop information from
parties not known at the outset of the search.


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Performance Requirements:
The Contractor shall identify and pursue investigative leads, including locating individuals who may be
knowledgeable about the site operations and waste-handling practices (e.g., current and former site
employees), as well as PRPs (individuals and businesses) and their assets.

The Contractor shall prepare and submit a list of individuals and former employees that may have
knowledge relating to the site operations to EPA prior to conducting interviews with them. When
directed, the Contractor shall make all reasonable attempts to locate and contact former employees for
interviewing. The Contractor shall submit a list of interview questions to the EPA COR for approval
prior to conducting the interviews. As required by the individual Task Order, the Contractor shall
conduct recorded interviews and transcribe the recording of the interview, and/or provide audio/audio-
visual recordings.  The Contractor shall prepare a report summarizing each of the interviews conducted,
noting any discrepancies in information and what actions were taken to resolve or substantiate the
discrepancies. The Contractor, when appropriate,  shall  have the means to secure the services of a licensed
private investigator.

When required, the Contractor shall provide testimony regarding PRP search activities conducted by the
Contractor in support of EPA's CERCLA 104(e) enforcement actions.

Performance Standards:
The list of potential individuals and former employees to be interviewed contains names, current or last
known addresses and phone numbers, and indicates the relevant knowledge the individual is expected to
provide, as well as the questions to be asked of the individual.

The deliverable demonstrates that the Contractor conducted the investigations in accordance with: (a)
proper investigative standards set forth in applicable federal and state rules of evidence and relevant
interpretive case law concerning collection, chains-of-custody, credibility, and admissibility; and, (b) the
scope, application, and specific provisions of CERCLA Section  104(e) relating to the investigative
jurisdiction of EPA. The report contains a detailed summary of the information obtained (including all
opinions, comments, and statements of the interviewee, whether or not erroneous).

The work is performed in accordance with the  schedule and deadlines specified in the Task Order. Costs
are within the approved budget ceiling.

Acceptable Quality Level (AOL):
The final report adheres to the above standards.

All errors or corrections noted by the EPA COR on the draft report have been addressed and corrected in
the final report.

Monitoring Method:
The EPA COR will review the draft and final reports and the Contractor's monthly  progress reports.

1.9   TITLE SEARCHES

      The purpose of this task is to provide the government with information about owners, lessees,  and
operators at a site that will assist in the issuance of CERCLA Section 106 Notice Letters.


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Performance Requirements:
The Contractor shall conduct a title search in order to identify past and present site owners, as well as
owners of properties adjacent to the site which fall within the jurisdiction of EPA, and deliver to the
government a Title Search Report summarizing the ownership history of the property(ies) involved. The
Contractor shall conduct lessee/operator searches. If requested, the Contractor shall provide a preliminary
title report establishing current ownership within the time frame identified in the Task Order.
The Contractor shall analyze the contents of the documents located for information which will aid in
identifying and issuing notice letters to owners and operators, as defined in CERCLA Section 107(a).

When required, the Contractor shall prepare and provide site parcel overlays on aerial photography, using
such means as GIS software and drafting software.

Performance Standards:
The Title Search Report summarizes the ownership history of the property, identifying current and past
owners of the site property, as well as properties located adjacent to the site, as required. The report
indicates that the Contractor has reviewed title documents relevant to the site which establish an
ownership or possessory interest in the property.

The report presents the site's location on county parcel maps and available aerial  photographs, as
required, and cites the legal description of the property, including the metes and bounds description. The
Contractor has reviewed the metes and bounds description to assure the property falls within the site
boundaries.

The report contains a chronological list, title tree and/or organizational chart (presented graphically), and
copies of all relevant recorded documents including:  the site property(ies) legal description(s); warranty,
grant or quitclaim deeds; mortgages or liens; deeds of trust; easements; covenants; leases; trustee's deeds;
administrator's and executor's deeds; financing statements; judgments; real estate contracts; subdivision
plats; and, other title instruments relating to the site.

The report summarizes research conducted, including document sources researched, information obtained,
follow-up actions required and/or recommended, and "dead-end" leads. The report outlines the title
history of each parcel.
For mine sites, the report summarizes the history of patented and unpatented mining claims, including an
alphabetical list and copies of relevant documents including: (1) Bureau of Land Management
Documents (master title plats, use plats, historical indexes, mining claim indexes, serial register pages,
case files, survey plats, individual control documents, such as patents, public land orders, secretarial
orders, and survey notes);  (2) Minerals Management Service Documents;  (3) Uniform Commercial Code
Filings; and,  (4) County Records (deeds, assignments,  mortgages, assessment work for unpatented
mining claims, land valuation and appraisal data, ownership plats, tract or abstract indexes,
grantor/grantee indexes, mortgagor/mortgagee indexes, and miscellaneous indexes that may contain
information on leases, judgments,  liens, encumbrances, royalty  agreements, UCC filings, and zoning).

The work is performed in accordance with the schedule and deadlines specified in the Task Order.  Costs
are within the approved budget ceiling.

Acceptable Quality Level (AOL):
The legal description is accurate. Accurate shall mean  that the legal description is free from errors and is


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defensible.  The Contractor has reviewed the information, and has included this information in a draft
Title Search Report, or as otherwise directed by the EPA COR.  The draft and final Title Search Reports
adhere to the above performance standards.

Monitoring Method:
The EPA COR will review the Contractor's draft and final reports for use and incorporation of verified
facts, and the Contractor's monthly progress reports.

1.10  CERCLA SECTION 106 GENERAL/SPECIAL NOTICE AND SECTION 104(e)
      INFORMATION REQUEST LETTER SUPPORT

      The purpose of this task is to provide formal notification to PRPs of their potential liability for a
site and to request information from persons with knowledge about site operations and hazardous
substance management practices at the site, as well as to the ability of a PRP to pay for or conduct
cleanup of the site.

Performance Requirements:
The Contractor shall provide administrative and technical support in the preparation and mailing of
CERCLA Section 104(e) Information Request letters and/or General/Special Notice letters, as defined in
CERCLA Section 122.  Support may include the preparation of routine administrative -type letters (non-
decision making) based on a model or template provided by the Agency.

The Contractor shall collect and compile the PRPs' responses to Information Request letters and provide
to the government a written summary and analysis of the responses in the PRP Search Report.

As directed, the Contractor shall compile, review,  and prepare background summaries supporting
enforcement referrals to the Department of Justice.

The Contractor shall develop, maintain, and operate a data base to track the mailing of correspondence to
each PRP and receipt of their responses to the 104(e) Information Request letters and Notice letters. PRP
information and lists shall be maintained in a format which allows easy electronic transfer to EPA's
CERCLIS data base.

Performance Standards:
The CERCLA Section 104(e) Information Request letters and Notice Letters contain accurate information
with no typographical errors, and the 104(e) responses are accurately summarized. Mailings are
completed within the schedule and deadlines designated by the Task Order.

The correspondence tracking database is kept updated with new information as it becomes available. The
Contractor is able to produce correspondence tracking reports on individual PRPs if requested by the EPA
COR. The  Contractor has conducted research to try to locate the current address for any correspondence
returned as  undeliverable, and has notified the EPA COR of all dead ends.

The work is performed in accordance with the schedule and deadlines specified in the Task Order.  Costs
are within the amount of the approved budget ceiling.
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Acceptable Quality Level (AQL):
Prepared letters are free of grammatical and spelling errors and look professional.
No more than 5% of mailed correspondence is returned as undeliverable due to a bad address.

Monitoring Method:
The EPA COR will review the Contractor's monthly progress reports.

1.11  PRP SEARCH REPORT

      The Contractor shall organize the information collected during the course of the tasked PRP search
activities described above into a PRP Search Report that conforms to the standards described in the
September 2003 PRP Search Manual.

Performance Requirements:
The Contractor shall deliver to the government a PRP Search Report which contains comprehensive
evidentiary information on PRPs gathered while performing subtasks 1.2 through 1.10 above.

Performance Standards:
The PRP Search Report conforms to the format and content standards outlined in EPA's PRP Search
Manual issued in September of 2003. Supporting documents cited in the report are identified correctly in
accordance with the information management requirements of the PWS.
The report demonstrates that the Contractor conducted the PRP search in accordance with proper
investigative standards, given applicable Federal and State rules of evidence and relevant interpretive case
law concerning collection, chains-of-custody, credibility, and admissibility. The PRP Search Report is
delivered within the schedule and deadline specified in the Task Order and is under the approved budget
ceiling.

Acceptable Quality Level (AOL):
All due dates/schedules and deadlines specified in the TO have been met. The draft and final reports
adhere to the format and content defined in the PWS. No more than 10% of government review
comments on the draft deliverable address substantive legal deficiencies.  All work has been submitted
within the specified deadlines stated in the Task Order and costs are within the approved budget ceiling.

MONITORING METHOD:
The EPA COR and Site Attorney will review the draft and final reports and the Contractor's monthly
progress reports.
                        TASK 2 EXPEDITED PRP SEARCH SUPPORT

     Occasionally, EPA requires PRP search support on an expedited basis. Such work may include any
of the tasks described under Task 1, but most likely will be limited to, records collection, title searches,
interviews, corporate and financial research and assessment of PRPs, the filing of liens, service of
documents on PRPs, and other abbreviated PRP search work activities.  These assignments are usually of
short duration and of lesser monetary value, and require a quick turnaround.
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Performance Requirements:
The Contractor shall be capable of providing all PRP search activities described under Task 1 above in an
expedited manner, when required. Expedited PRP search support may include, but is not limited to:
records collection, title searches, interviews, financial research and the collection and analysis of financial
information relating to ability-to-pay assessments of individual and corporations, corporate research and
file evidence  summary, and notice letter preparation.

Within two (2) days after receiving oral or written notification from the Contract Manager, the Contractor
shall initiate the requested expedited PRP search support activity.  However, the Contractor shall not
proceed until  it has provided the EPA COR with an expedited staffing plan, a statement that it can meet
the deadlines  set forth in the Task Order or has provided a proposed deadline for completion of the work,
and an estimate of the cost the Contractor feels will be required to complete the activity. EPA will follow
up its direction with written requests/approvals.  Occasionally, the Contractor may be asked to initiate the
expedited PRP Search Support activity with less than the 2-day notification.

The Contractor shall identify available personnel with Level C health and safety training and necessary
equipment, in accordance with OSHA requirements found in 29 CFR 1910.120, in order to respond on a
contingency basis.

The Contractor shall have in place streamlined procedures for health and safety planning, conflict of
interest certification, and quality assurance.

The Contractor shall have in place administrative and accounting procedures for expedited assignments,
which shall be the same for any other Task Order.  However, the Contractor shall expedite the application
of those procedures in order to ensure the performance is consistent with the established deadlines.

Performance Standards:
The applicable standards for performing expedited PRP Search work are found in Task 1, Sections 1.1
through 1.11  above.

Written deliverables are  provided in accordance with the schedule and  deadlines stated in the Task Order.
 Costs are within the amount of the approved budget ceiling.

Acceptable Quality Level (AOL):
Performance  standards for PRP Search work detailed in  Sections 1.1 through 1.11 above are met.

No more than 25% of government review comments on the draft deliverable address substantive legal
deficiencies.  All corrections and errors have been addressed in the final deliverable.

All work is performed and deliverables submitted in within the deadlines stated in the Task Order and
costs are within the approved budget ceiling.

Monitoring Method:
The EPA COR  and Site Attorney will review the draft and final deliverables and the Contractor's monthly
progress reports.
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                TASKS EXPEDITED GENERAL ENFORCEMENT SUPPORT

      The Contractor shall provide technical and administrative assistance to EPA in arranging for the
service of Information Request Letters, General/Special Notice letters and other documents, and the filing
of liens and deed restrictions in an expedited manner. While specific subtasks required under Task 3 are
detailed below, each subtask has common requirements.

General Performance Requirements:
Within two days (48 hours) after receiving oral or written notification from the Contracting Officer, the
Contractor shall initiate the requested expedited PRP search support activity. However, the Contractor
shall not proceed until it has provided the EPA COR with an expedited staffing plan, a statement that it
can meet the deadlines set forth in the Task Order or has provided a proposed deadline for completion of
the work, and an estimate of the cost the Contractor feels will be required to complete the activity. EPA
will follow up its direction with written requests/approvals. In an emergency situation, it is possible that
the Contractor may be asked to initiate the expedited Enforcement Support activity,  based upon oral
notification from the Contracting Officer, within less than the 48-hour timeframe.

The Contractor shall submit a Letter Report,  including appropriate supporting documentation,
that evidences that the task has been completed.

General Performance Standards:
The Contractor has in place administrative and accounting procedures for expedited assignments, which
shall be the same for any other Task Order. The Contractor has expedited the application of those
procedures in order to ensure the performance is consistent with the deadlines established in the Task
Order.

Acceptable Quality Level (AOL):
The Letter Report contains documentation/representations evidencing that the task has been completed.

The work is performed in accordance with the schedule and deadlines outlined by the Task Order, and
costs are within the approved budget ceiling.

Monitoring Methods:
The EPA COR will review the Letter Report to verify that the task was completed and the Contractor's
monthly progress report.

More specifically, when ordered, the Contractor shall perform the following general expedited
enforcement support activities.

3.1    SERVICE OF PROCESS AND OTHER DOCUMENTS

Performance Requirements:
The Contractor shall assist in arranging for the legally-correct service of various enforcement-related
documents, including information requests, notice letters, demand letters, subpoenas, orders,  summons,
and complaints on various parties. The Contractor shall locate interested parties and properly serve or
deliver to them, or arrange for the service/delivery by the local Sheriffs office or a process server.
Service of documents shall be  conducted in accordance with Federal Rules of Civil Procedure, local court


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rules, and other EPA procedures. If requested, the Contractor shall provide for overnight or same day
delivery service.

The Contractor shall be prepared to complete and submit an affidavit, or certificate of service or other
document to serve as evidence of service, or obtain such documents from the individual serving the
documents, and provide it in a Letter Report to the EPA COR.

Performance Standards:
The Contractor's efforts have met the general performance standards mentioned above.

The Letter Report contains an affidavit, or certificate of service, or other document to serve as evidence of
service, in accordance with Federal Rules of Civil procedure and local court rules.

The work is performed in accordance with the schedule and deadlines stated in the Task Order, and costs
are within the approved budget ceiling.

Monitoring Methods:
The EPA COR will  review the Letter Report to verify that the documents were properly served and are
documented.  The EPA COR will review the Contractor's monthly progress report.

3.2   FILING OF CERCLA LIENS

Performance Requirements:
When requested, the Contractor shall assist the government in preparing Notices of Federal Liens and in
developing lien filing records. This effort shall include assisting EPA in determining the  correct legal
description of the property EPA proposes to lien, and filing the lien for recording in the appropriate
jurisdiction in compliance with the particular rules of that jurisdiction.
The Contractor shall furnish EPA with a Letter Report that includes evidence that the lien has been
recorded, including  a copy (a certified copy,  if requested) of the recorded lien. The Contractor shall also
assist EPA in the removal of liens, when needed.

Performance Standards:
The Contractor's efforts have met the general performance standards mentioned above.
The Letter Report contains evidence that the lien has been filed and recorded, including a copy (a certified
copy, if requested) of the recorded lien.

The work is performed in accordance with the schedule and deadlines stated in the Task Order, and costs
are within the approved budget ceiling.

Monitoring Methods:
The EPA COR will  review the Letter Report and the Contractor's monthly progress reports.

3.3  FILING OF DEED RESTRICTIONS

Performance Requirements:
The Contractor shall assist EPA in the preparation and filing of deed restrictions pursuant to CERCLA


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and State laws, including determining the correct legal description of the subject property, filing of the
deed restriction for recording, and may be required to monitor PRP compliance with the deed restriction.

The Contractor shall submit a Letter Report confirming the filing of the deed restrictions, including a
copy of the recorded deed restriction.

Performance Standards:
The Contractor's efforts meet the general performance standards mentioned above. The Letter Report
contains evidence that the deed restriction has been filed and recorded in the appropriate jurisdiction,
including a copy (a certified copy, if requested) of the recorded deed restriction.

The work is performed in accordance with the schedule designated by the EPA COR, or as outlined in the
EPA-approved work plan, and costs are within the amount of the approved budget ceiling.

Monitoring Methods:
The EPA COR will review the Letter Report and the Contractor's monthly progress reports.

3.4   FREEDOM OF INFORMATION ACT SUPPORT

Performance Requirements:
The Contractor shall support the agency in managing the FOIA process by conducting activities such as
retrieval of records, preparation of routine, non-judgmental correspondence, duplication/copying of
records (microfiche, microfilm, optical disk or other  photo or electronic reproduction), and verification  of
document filing.  The Task Order will identify the nature of correspondence to prepare.

The Contractor shall NOT:  1) interpret the FOIA request letter; 2) determine where to look for responsive
records, except with respect to those files under the Contractor's control; 3) decide what records are
releasable; 4) prepare any correspondence except as directed by EPA; or, 5) sign correspondence.

Performance Standards:
Documents and other information requested are retrieved and provided to the EPA COR within the
schedule and deadlines specified in the Task Order, and costs are within the approved budget ceiling.

Acceptable Quality Limit (AQL):
All work efforts conform to the Performance Standard.

Monitoring Method:
The EPA COR will monitor the Contractor's prompt retrieval and delivery of the requested documents
and will review the Contractor's monthly progress reports.
                             TASK 4  NEGOTIATION SUPPORT

     The Contractor may be asked to provide technical assistance to the Agency by providing data, for
use by program personnel, that will facilitate negotiations relating to: removals (emergency, time critical,
and non-time critical); a Remedial Investigation/Feasibility Study (RI/FS); a Remedial Design/Remedial
Action (RD/RA); Long Term Remedial Action (LTRA); Operation and Maintenance (O&M); cost


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recovery; and, claims defense.  The Contractor may be asked to provide case support for liability and
viability analyses and cost documentation support. The Contractor will be required to provide technical
support to EPA during the development of EPA/DOJ's negotiating strategy and during EPA's
negotiations with PRPs.  This may include the identification and procurement of expert witnesses and/or
expert's opinions in subjects relating to scientific, engineering, financial, and valuation specialties relating
to any tasks described in this PWS.

Performance Requirements:
As necessary, the Contractor shall be capable of performing the following negotiation support activities:
  •  summarizing draft orders, including collecting and analyzing information;
  •  reviewing and assisting in drafting technical support documents, which may include statements of
     work to be performed by the PRP, work plans, or data submitted by PRPs;
  •  evaluating PRP offers and work plans to conduct the proposed response action;
  •  evaluating technical and financial capabilities of the PRP, the PRP's proposed consultant, and any
     subcontractor(s) to adequately implement the proposed remedy or remedies;
  •  reviewing and evaluating financial information to determine completeness of costs and gathering
     work-performed documentation;
  •  reviewing settlements, including mixed funding, and de minimis/de micromis settlements;
  •  publishing public meeting notices, and preparing responses to comments;
  •  collecting and developing information for the Agency's use in evaluating and preparing Preliminary
     Non-Binding Allocations of Responsibility (NBARs);
  •  reviewing settlements involving cost recovery;
  •  coordinating natural resources damages aspects of settlements;

  •  verifying the compliance of a PRP's work plan with the requirements and schedules in pertinent
     legal documents such as orders and decrees; and,
  •  other negotiation support activities that may be needed.

     As required, the Contractor  shall identify qualified experts that possess the special qualifications
needed by the Agency to support  a particular enforcement action and provide the EPA COR with a letter
report that contains verified and accurate information on all of the final candidates. The Contractor shall
provide a matrix showing a basis  for selection of a final candidate. The Contractor shall secure the
services of the individual(s) selected by EPA.

Performance Standards:
The Contractor has reviewed relevant documents and adhered to applicable Agency guidance in the
drafting of documents, publication requirements, evaluation and preparation of NBARs, and evaluation of
PRPs' proposals, staffing plans, and cost recovery settlements.

Experts are identified, located, and secured within the schedule  and deadlines  specified in the Task Order
or as designated by the court. The expert(s) hold the necessary  credentials in the  area specified.  Costs are
within the approved budget ceiling.

Acceptable Quality Level (AOL):
Draft and final deliverables adhere to the format and content standards  as defined in the PWS and/or Task
Order.
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All of the identified expert witnesses are fully qualified, hold the necessary credentials, and are available
and willing to provide testimony within the required time frame.

Any missing cost documentation has been identified and obtained, or if unobtainable, noted in the Letter
Report.

Monitoring Method:
The EPA COR will review the Contractor's draft and final deliverables and the monthly progress reports.
                              TASK 5  LITIGATION SUPPORT

     The purpose of this task is to obtain non-personal professional and other services and products that
help attorneys acquire, screen, analyze, and organize evidentiary and other documents that assist in the
preparation of litigation reports to establish the prima facie case and serve as the recommended basis for
the EPA/DOJ-prepared complaint. Under this task, the Contractor will need to be capable of performing
all of the activities listed below.

5.1 REFERRAL SUPPORT

Performance Requirements:
The Contractor will assist in the development of referrals pursuant to CERCLA Sections 103, 104, 106,
107, 109, and 122. The Contractor shall assist in the assembly of all documents which support the
referral, including EPA-PRP contacts, sampling data, records collected during the PRP search, and
various legal instruments.

The Contractor will assist in the assembly of all documents which support the complaint and all discovery
requests. Data collection, management, review, and assessment will continue until the prima facie case is
determined by the Agency to be complete and PRP searches have been completed.

The Contractor shall utilize a document indexing system which will manage and track all evidence
collected and is compatible with the Regional Records Center's indexing system.

Performance Standards:
The Contractor has contacted and obtained, or made copies of, all relevant records and organized them in
the manner instructed by the EPA COR. The Contractor has reviewed the information, and has included
this information in a Letter Report or as otherwise  directed by the EPA COR.

Acceptable Quality Level (AQL):
The Contractor is able to identify, collect, organize, and index documents required to support the referral
within the schedule and deadlines stated in the Task Order.  Costs are within the approved budget ceiling.
Monitoring Methods:
The EPA COR may review the document index to  verify that relevant documents are included.  The EPA
COR will review the Contractor's monthly progress reports.
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5.2   EVALUATION OF COST INFORMATION

Performance Requirements:
In preparation of litigation referrals and during ensuing discovery/litigation, the Contractor shall assist
EPA in the compilation of cost packages which document costs expended for a particular site.  The
Contractor shall conduct audits of information in the cost packages to identify and correct errors (i.e.,
costs incorrectly charged to a site, missing documentation, etc.), assist EPA in reconciling the cost
updates from EPA's current cost documentation packages, and assist in the collection of work-performed
documents.  The Contractor shall document all discrepancies in the cost package in a Letter Report.

Performance Standards:
All relevant  supporting documentation is located and included in the cost package.  The Letter Report
outlines all mathematical errors and discrepancies identified in the cost package.  The work is performed
in accordance with the schedule and deadlines stated in the Task Order, and costs are within the approved
budget ceiling.

Monitoring Methods:
The EPA COR will review the Letter Report and the Contractor's monthly progress reports. The COR
may review a random sampling of the cost package to verify accuracy of the Contractor's work.
                           TASK 6  COST RECOVERY SUPPORT

6.1  COST DOCUMENTATION AND REDACTION

     The Contractor will be required to provide technical support to EPA, in conformance with EPA
guidance for collecting and securing evidence, in order to aid in cost recovery efforts.

Performance Requirements:
The Contractor shall perform a review and audit of the cost package(s) and provide their findings in a
Letter Report to the EPA COR.  The Contractor shall produce a documentary audit trail to establish proof
of costs incurred using existing systems and other documentation and guidance.

The Contractor shall maintain an organized cost package or cost document file that includes cost
summaries for each cost element claimed, together with  organized supporting documentation. More
specifically, the Contractor shall:

   • Review all cost documentation and/or accounting  procedures;
   • Collect and summarize all available Superfund work-performed documents in support of the costs
     included in the cost package, including documentation that describes the site specific response
     actions (e.g., contractual, cooperative, and interagency agreements); and,
   • Compare work-performed documents against the financial documents in the cost package to ensure
     that all documented costs are supported.

In addition, the Contractor shall provide the following assistance to EPA, when requested:

   • Provide technical support for data analysis of government-furnished documentation;

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   •  Provide assistance in developing proof to support allocation of non-site-specific charges on a site-
      specific basis;
   •  Review and analyze audits or technical reports;
   •  Provide support in defense of claims for reimbursement under CERCLA, in support of preparation
      by EPA for civil and administrative settlements, including pre-trial and auxiliary services, leading
      to formal negotiations/meetings with private parties, and trial; and,
   •  Scan, OCR, index, input data into a database, and copy cost recovery documents, as requested.

Performance Standards:
The Contractor is knowledgeable with regard to cost packages and their four elements (evidence that:
work was tasked; work was performed; costs were incurred; and, costs were paid). The Contractor has
accumulated and verified all costs incurred in connection with a site or  sites by reconciling all supporting
documentation with Agency data. The Contractor has identified to the Agency deficiencies in the cost
package and/or potential sources of challenges.

The Contractor has performed the above-mentioned requirements in accordance with EPA guidance
documents, including, Superfund Cost Recovery Referrals, September 6, 1983, OSWER Directive No.
9832.0; Superfund Cost Recovery Strategy, July 29, 1988; OSWER Directive No. 9832.13; and
Superfund Removal Procedures (Revision No. 3), February 1988, OSWER Directive No. 9360.0-3B
(versions may be updated).

The work is performed in accordance with the schedule and deadlines specified in the Task Order, and
costs are within the amount of the approved budget ceiling.

Acceptable Quality Level (AOL):
The Contractor's efforts adhere to the above Performance Standards.

The cost package contains no mathematical errors and all relevant documents that evidence work
performed and costs incurred are included in the cost package.

The work is performed in accordance with the schedule specified in the Task Order, and costs are within
the amount of the approved budget ceiling.

Monitoring Methods:
The EPA COR will review the Contractor's Letter Report and the Contractor's monthly progress reports.
The EPA COR may review random documents to verify the accuracy of the documentation against the
cost summary, and that work-performed documents are present to support the documented costs.

6.2   CLOSEOUT MEMORANDA SUPPORT

      A Closeout Memorandum is EPA's cost recovery decision document (CRDD), which summarizes
the Agency's decision not to pursue further the recovery of certain costs incurred at a site. EPA will
prepare the Closeout Memorandum with technical assistance from the Contractor, where appropriate.
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Performance Requirements:
The Contractor shall provide technical and administrative assistance to the Agency in the review of

pertinent EPA files and collection of documents necessary to substantiate and support a Closeout
Memorandum.

Performance Standards:
The Contractor has reviewed Agency files and provided copies of relevant documents that will support
the recommendations in the Closeout Memorandum.

Work was performed and submitted within the schedules and deadlines stated in the Task Order, and costs
are within the approved budget ceiling.

Acceptable Quality Level (AQL):
The Contractor meets all performance standards.

Monitoring Methods:
The EPA COR will review the Contractor's monthly progress reports.
                      Task?  COMMUNITY INVOLVEMENT SUPPORT

      The Contractor shall assist the agency in community involvement activities, including, but not
necessarily limited to:  making logistical arrangements for public meetings; development and
dissemination of presentation materials; assistance with meeting registration; and, note taking and/or
production of recorded documentation of the meeting.

7.1   PUBLIC MEETING SUPPORT

      Under this task the Contractor will prepare for and provide support to EPA for public informational
meetings, work shops, site tours, and conferences.

Performance Requirements:
Logistical Support for Meetings: EPA community involvement coordinators (CICs) through the
Contracting Officer Representative (COR) will provide Contractor with the following information:  date
of meeting, meeting  location, court reporter/translator/speaker/security  needs. Contractor will handle all
arrangements and  report results to EPA.  When required, the Contractor shall:
   •  Reserve and pay for meeting rooms;
   •  Assist with meeting registration and notes;
   •  Arrange and pay for audio-video equipment;
   •  Arrange and pay for court reporters and transcripts. (Assume two transcripts of 100 pages each.
      Draft transcript to be provided EPA within 15 work days of the meeting. Final transcript to be
      provided within 5 work days of receipt of EPA's revisions.);
   •  Arrange and pay for translators with audio equipment;
   •  Arrange and pay for expert speakers;
                                              26

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    •  Arrange and pay for security; and,
    •  Arrange for transportation and other support for si
site tours.
Presentation Materials: The Contractor shall develop visual materials (slides, PowerPoint presentations,
signs, posters and/or other audio-visual materials). EPA's CIC, through the COR, will provide the
Contractor with information to be placed on slides, posters, and other audio-visual materials

Performance Standards:
Arrangements for meeting locations are convenient to the public and equipment/translators/ security are
available when and where needed.  Transcripts/meeting notes are delivered within the proscribed time
frame. PowerPoint presentations, posters, and other audio-visual materials are of high quality and easily
understood.

Work is performed within the schedules and deadlines stated in the Task Order, and costs are within the
amount of the approved budget ceiling.

Acceptable Quality Level (AOL):
The Contractor meets all performance standards.

Monitoring Methods:
The EPA COR will review the Contractor's deliverables, as well as the monthly progress reports.

7.2   FACT SHEET PRODUCTION

      Under this task the Contractor will provide the lay out for fact sheets, produce graphics, maps, and
pictures, and provide translation of fact sheets.

Performance Requirements:
Preparation of Fact Sheets: The Contractor shall prepare fact sheets, flyers, brochures, press packets, and
other materials as needed, for the public regarding Superfund activities.  Written materials may include
information regarding the Superfund process, site history, upcoming site activities and opportunities for
public involvement, and information regarding the results of studies, as well  as plans for remediation at a
particular site. The site CIC, through the COR, will furnish the text for the fact sheets.  The Contractor
shall provide graphics at the direction of EPA. EPA shall approve the Contractor's drafts of fact sheets
and other public materials before distribution to the public. Fact sheets shall be produced using EPA's
approved format. Final fact sheets shall be provided to EPA in Microsoft Publisher. The Contractor shall
arrange to have fact sheets reproduced.

Translation of Fact Sheets: The Contractor shall provide translations of fact  sheets, flyers and other
public materials  (predominately Spanish translations), as requested.  When EPA requests only translation
services, the site CIC, through the COR, will provide the Contractor with a hard copy, electronic copy, or
computer diskette of the fact sheet to be translated. The Contractor shall produce a translated version of
the fact sheet and provide EPA with electronic copy.

Generate Maps, Graphics, and Pictures for Publications:  The Contractor shall generate maps, graphics,
and pictures for publications as requested by EPA
                                                27

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Performance Standards:
Fact Sheets, flyers, brochures, press packets, and other written materials are of high quality, easily
understood by the target audience and are accurate.  Graphics are colorful, relevant, dynamic, and
enhance the overall message presented.  Written materials conform to EPA's preferred format, and are
provided in Microsoft Publisher. Translations are accurate in fact and grammatically correct. All maps,
graphics and pictures for publications are of high quality and relevant to the subject being discussed.

Work is performed within the schedules and deadlines stated in the Task Order, and costs are within the
amount of the approved budget ceiling.

Acceptable Quality Level (AOL):
The Contractor meets all performance standards.

Monitoring Methods:
The EPA COR will review the Contractor's deliverables for quality and acceptability, as well as the
monthly progress reports.

7.3   PUBLIC NOTICES

      Under this task the Contractor assist EPA in the production of public notices, place them in news
papers as display ads, and provide EPA with proof of publication.

Performance Requirements:
Prepare Public Notices:  The Contractor shall prepare the public notice layout and graphics and submit the
draft notice to EPA for  review and approval before publication.  The site CIC, through the COR, will
provide the text for the  notices and sample layout. EPA staff will identify the newspapers in which the
notices are to be placed and the date  on which the notice must be published.  The Contractor will be
responsible for sizing the public notice to fit the display ad space.  If the Contractor must make extensive
layout and/or graphic changes to the  public notice, the Contractor shall notify EPA prior to proceeding
with placement of the public notice for publication.

Arrange for Publication of Public Notices: The Contractor shall proofread notices prior to publication,
arrange with the newspaper for publication and payment of the notices as display ads, and assure that
notices are placed in the newspapers on the appropriate date. The Contractor shall submit copies of the
public notices to EPA, with proof of publication, for inclusion in the Administrative Record and
information repositories as soon as received from newspaper.

On rare occasions there is a potential for short notice (as little as 48 hours) requiring a quick response to
the need to place a public notice.

Performance Standards:
Public notices conform to Agency standards, are of high quality, well written, concise, and accurately
transmit the information being relayed. Public notices are placed in the specified newspapers and are

published on the date(s) specified by EPA. Letter reports transmitting the Public Notice and Proof of
publication are timely submitted to the COR.


                                               28

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Work is performed within the schedules and deadlines stated in the Task Order, and costs are within the
amount of the approved budget ceiling.

Acceptable Quality Level (AOL):
The Contractor meets all performance standards.

Monitoring Methods:
The EPA COR will review the Contractor's deliverable(s) for quality and acceptability, as well as the
monthly progress reports.

7.4   MAILINGS

     Under this task the Contractor will produce and maintain mailing list data bases and provide mailing
labels, and prepare large mailings.

Performance Requirements:
Develop, Update, and Maintain Mailing Lists:
The Contractor shall develop, update, and maintain the database for site contact/mailing lists. The site
CIC, through the COR, generally will furnish names, addresses, and phone numbers for mailing lists;
however, there may be occasions where EPA will ask the Contractor to locate appropriate addresses and
phone numbers.  Mailing lists are to be prepared in accordance with Regional format and content
requirements.

Provide Printouts of the Mailing List and/or Mailing Labels: The Contractor shall provide, as requested,
printouts of, or CDs containing, the mailing list and/or mailing labels within 3 work days of the request

Prepare Large Mailings:  The Contractor shall arrange for labeling, folding, stuffing envelopes and
bundling, as required by  the Post Office.

Performance Standards:
Mailing lists are  accurate and up-to-date. No more than 5% of any mailing is returned as undeliverable
because of a bad address.

Work is performed within the schedules and deadlines stated in the Task Order, and costs are within the
amount of the approved budget ceiling.

Acceptable Quality Level (AOL):
The Contractor meets all performance standards.

Monitoring Methods:
The EPA COR will review the Contractor's deliverable(s) for quality and acceptability, as well as the
monthly progress reports.
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7.5  COMMUNITY INVOLVEMENT PLANS

     The Contractor will assist EPA in developing site Community Involvement Plans (CIP).

Performance Requirements:
Arrange for Community Interviews:  The Contractor shall be prepared to arrange for community
interviews as requested by the CIC, through the COR and contact interviewees either via telephone or
email to request an interview.  Upon agreement on an interview time, the Contractor shall follow up with
a confirmation letter to the interviewee.

Perform Demographic and Site-History Research:  The Contractor shall have the capability to perform
demographic and site history research. As requested by CIC for the site, through the COR, the Contractor
shall research US Census  data and other relevant information to identify demographics of the area near
the site and provide a written demographic description of the site. The Contractor shall conduct research
and provide a written description of the community's history.

Identification of Media Contacts:  The Contractor shall identify local media outlets and provide contact
information as needed.

Performance Standards:
Proscribed procedures  are followed when contacting individuals for interviews. Reports detailing site
history, community history,  and demographic information are accurate,  clearly written, and produced in a
timely manner.  Media identification and contact information is timely and accurate.

All due dates/schedules stated in the TO, and costs are within the amount of the approved budget ceiling.

Acceptable Quality Level (AQL):
The Contractor meets all performance standards.

Monitoring Methods:
The EPA COR will review the Contractor's deliverable(s) for quality and acceptability, as well as the
monthly progress reports.

7.6  CONGRESSIONAL BRIEFING BOOKS

     Under this task, the Contractor shall assist the Community Involvement Program in the preparation
of Congressional Briefing Books.

Performance Requirements:
As required, EPA staff will generate the text for the fact sheets, graphics, maps, and the cover.  The
Contractor will produce fact sheet format, graphics, charts, maps and covers for each Congressional
Briefing Book.  The Contractor will provide draft materials.  EPA will review and provide comments on
the draft. Based upon EPA's comments, the Contractor will produce the final fact sheets, maps, graphics,
and cover. Separate booklets will be produced for Superfund activity in Montana, Colorado, South
Dakota, North Dakota  and Utah. The Contractor will be responsible for reproducing and binding the
briefing books, and also shall provide the information in electronic form on a CD. Briefing books will be
produced every two years, following Congressional elections.


                                               30

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Performance Standards:
Congressional Briefing Books are of high quality, accurate, well written, free from spelling and
grammatical errors and generally appear professionally done.

Work is performed within the schedules and deadlines stated in the Task Order, and costs are within the
amount of the approved budget ceiling.
Acceptable Quality Level (AQL):
The Contractor meets all performance standards.

Monitoring Methods:
The EPA COR will review the Contractor's deliverable(s) for quality and acceptability, as well as the
monthly progress reports.

7.7  GENERAL COMMUNITY INVOLVEMENT ADMINISTRATIVE SUPPORT

Performance Requirements:
The Contractor shall provide general community involvement administrative support to EPA, such as
photocopying, acquiring newspaper subscriptions, and other tasks of this nature, to be determined as
needed.

Performance Standards:
Photocopying quantities are within the limits set by the contract. Newspaper subscriptions are obtained in
a timely manner.

Work is performed within the schedules/deadlines stated in the Task Order, and costs are within the
amount of the approved budget ceiling.

Acceptable Quality Level (AQL):
The Contractor meets all performance standards.

Monitoring Method:
The EPA COR will review the Contractor's monthly progress reports.
              TASKS PROJECT MANAGEMENT, PLANNING AND SUPPORT

8.1   PROJECT MANAGEMENT, PLANNING, AND SUPPORT

      The purpose of this task is to plan for the execution and overall management of Task Order issued
under the Contract. The technical and managerial activities required to plan and implement the tasks and
their associated costs are detailed in this PWS. Activities required for general project management that
will occur throughout the duration of the project are included in this task.

Performance Requirements:
The Contractor may be required to perform some or all of the following activities as part of the project
planning and support of individual Task Orders:

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  •   Coordination of, and attendance at, scoping meetings;
  •   Preparation of meeting minutes;
  •   Preparation of Staffing Plans and Cost Estimates;
  •   Preparation of periodic status reports;
  •   Preparation of Monthly Progress Reports and Financial Reports;
  •   Attendance at site team meetings when requested;
  •   Attendance at meetings with PRPs in support of negotiations; and,
  •   Closeout of completed Task Orders and preparation of the Closeout Memo to the Project Officer
      and COR.

Conference with EPA Enforcement Teams:
The Contractor will be expected to confer frequently with the EPA and DOJ enforcement case teams with
whom they are working on enforcement cases about the issues that arise during the tasks the Contractor is
assigned to work on.  In addition, the Contractor is expected  to explain the economic principals they are
applying and the methods of analysis they are using in these  assigned cases to the EPA and DOJ
enforcement teams with whom they are working.

Notification to Task Order Project Officer (TOPO) of Deliverables:  So that the TOPO can accurately
track the timeliness of deliverable submittals, the Contractor shall provide the Project Officer with a copy
of the transmittal letter to the COR or, lacking a transmittal letter, the contractor shall in some other
written manner notify the TOPO when a deliverable has been submitted to a COR.

Task Order Closeout:
The Contractor will perform close out activities for each individual work.  The Contractor shall reconcile
all charges to the Task Order and provide an Acknowledgement of Completion that accurately reflects the
amount of costs incurred and hours spent on the Task Order.
The EPA Contracting Officer will notify the Contractor of project completion and request closeout of the
Task Order. Upon closeout request, the Contractor shall:

  •   Provide an index of all WA documents to the COR for  a duplication check;
  •   Return EPA documents to EPA or other document repositories, as appropriate;
  •   Provide electronic copies  of specified documents to the COR, if requested;
  •   Duplicate, distribute, and  store files, if appropriate;
  •   Archive files to meet Federal Records Center requirements, if requested;
  •   Use microfiche, microfilm, CD-ROM or other EPA-approved data storage technology, as
     appropriate;
  •   Prepare and submit an Acknowledgement of Completion within 30 work days of request for
     closeout of the Task Order.

Performance Standards:
If requested, the Contractor will expend their best efforts to coordinate and arrange for a  scoping meeting
within the time frame designated in the Task Order. If requested, the Contractor shall prepare minutes of
the scoping meeting that accurately document the scope of service and any deliverable/schedule changes,
and submit them to the COR for review and approval.
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If needed, the Contractor shall meet with and brief the EPA Enforcement team of any issues that could
affect the outcome of the Region's enforcement efforts at a site.

The Contractor shall meet the schedules and deadlines set forth in the Task Order for submitting the
Staffing Plan/Cost Estimate and any interim periodic status reports/deliverables.

Monthly Progress Reports and Financial Reports accurately reflect the work performed and documents
costs that were incurred during the reporting period.

Closeout of the Task Order is completed within 30 days of notification, and copies of the
Acknowledgement of Completion Closeout Memo are delivered to the COR and Project Officer.

Acceptable Quality Level (AOL):
The Contractor has met the performance standards for this Task.  All work is completed within the
schedule and deadlines stated in the Task Order, and costs are within the approved budget ceiling.

Monitoring Methods:
The EPA COR will review the Contractor's Staffing Plan/Cost Estimate, meeting minutes, status reports,
Acknowledgement of Completion, and the Contractor's monthly progress reports.

8.2   QUALITY ASSURANCE

Performance Requirements:
Deliverable/Document Quality: The Contractor shall implement a quality assurance program adequate to
ensure that  documents, deliverables, and work are of a quality suitable for their intended purpose.
Documents (both for program and project purposes) shall be complete, accurate, and delivered on time.

"Complete" means all work products, documents, or other deliverables which are required by statute,
regulation, guidance, or terms of the Task Order, are submitted by the Contractor, or that an exception has
been granted by the EPA COR, upon satisfactory showing of good cause.

"Accurate" means the content of all work products, documents, or other deliverables submitted have been
determined by the Contractor to be true, to the best of the Contractor's knowledge and belief, or to be true
and correct original or photocopies of relevant documents whose  contents cannot be verified by the
Contractor, but which are nevertheless important to the Agency.

"Delivered  on time" means all work products, documents, or other deliverables are placed in the custody
or control of the designated EPA COR on or before the deadline(s) stated in the Task Order, unless an
extension is granted by the COR after a satisfactory showing of good cause by the Contractor.

Quality Assurance Program: The Contractor shall include its quality assurance program as part of the
proposal.

Superfund Site-specific Account Charging: The Contractor shall create a database that is capable of
maintaining separate billing records for each site that the Contractor works on. Superfund sites will be
identified by the site name and Superfund Site Identification/Operable Unit numbers identified in the
work tasking document.  Monthly Financial Reports will identify charges by name and Superfund Site ID


                                              33

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and OU numbers. Monthly Invoices shall be prepared and submitted in accordance with relevant
attachments to the Contract. In addition, the Contractor will provide an Excel Spreadsheet (Site-Specific
Charging Sheet) which lists monthly site-specific charges by Superfund site names and Superfund site
account numbers with the monthly invoice.

Performance Standards:
Quality assurance is applied to all aspects of each Task Order.  The Contractor utilizes methods that
ensure that work is performed in a manner that minimizes the need for internal revision and rework by
using resources and personnel that are at an appropriate level of experience and ability.  Internal review is
performed before delivery of documents and deliverables to EPA, by personnel that are experienced in the
type of activity but not otherwise involved in the specific project, as well as personnel (other than the
document authors) who are familiar with the specific aspects of the project that are the subject of the
document.

Costs are tracked and billed site-specifically. Documentation to  support all costs incurred by the
Contractor  are submitted with the monthly invoice.

Acceptable Quality Limit (AQL):
The quality assurance program provides for both auditing and corrective action.  The program describes
how all deliverables generated will be assessed for accuracy, precision, and completeness. All work
efforts conform to the Performance Standards.  The quality assurance program plan is submitted with the
Contractor's proposal.

Monitoring Methods:
The EPA Contracting Officer will review the quality assurance program plan submitted with the
Contractor's proposal. The EPA COR will review the Contractor's Staffing Plan/Cost Estimate, assess
deliverables for accuracy, precision, and completeness, and review the Contractor's monthly progress
reports.
                             INCENTIVES/DISINCENTIVES FOR
                    ACTIVITIES CONDUCTED UNDER THIS CONTRACT

     Where the contractor's work fails to meet one or more of the performance standards, the
government will require the contractor to correct the deficiency(ies) at no additional cost to the
government, and the contractor may be subject to a reduction of up to 20% of the costs incurred for that
task. When the defect(s) cannot be corrected by re-performance, the government may reduce the costs
payable for that task by up to 50%, to reflect the reduced value of the services performed. Performance
issues will be noted within the contractor's monthly and annual performance ratings.

     If the contractor's performance on the majority of the Task Orders under this contract, meets or
exceeds the performance criteria by an average rating score of 4 (Excellent) or higher, then  the contractor
shall be awarded additional work under this contract for an additional 5-year option period.
                                               34

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                                   GOVERNMENT QUALITY ASSURANCE SURVEILLANCE PLAN
                                                             Performance Measures
            SOW Performance Standards
   Proposed Monitoring Methods    |  Percentage Deduction* |  AQL Deviation
Task 1 - Potentially Responsible Party (PRP) Searches
1.1 Overview

In planning and implementing PRP Search support activities, the
Contractor shall ensure consistency with EPA-developed plans
guiding site enforcement activities which may be in existence,
such as a Site Management Plan, PRP Search Plan, etc.

Any deliverable submitted under this Contract shall be of accept-
able quality, which means that, the deliverable:
•  demonstrates a good command and usage of the English lan-
   guage (e.g., discussion of facts flow in a coherent and organ-
   ized manner);
•  demonstrates use of proper grammar (noun and verb tense cor-
   respond, etc.); and,
•  is free of incomplete sentences and misspelled words.
•  is printed double-sided, unless directed otherwise; and,
•  is properly labeled for sensitive information.	
The EPA COR shall review all deliverables
for conformance with the performance stan-
dards and note any deficiencies.
The Contractor shall redo un-
acceptable work at its own
expense, with possible reduc-
tion of costs up to 20%; up to
50% reduction if mistakes
cannot be corrected.
No deviations are
permitted.
1.2 Information Gathering/Records Collection Activities

Gathered information demonstrates that interviews have been
conducted in accordance standards set forth in applicable Federal
and State rules of evidence and relevant interpretive case law
concerning collection, chain of custody, credibility, and admissi-
bility. Interviews are documented in a Memorandum of Inter-
views, summarizing information and/or documents acquired.

Documents are assigned unique tracking numbers, and specific
information about the document is recorded, including the docu-
ment's date, record type, author, recipient, and subject.

Relevant documents are copied and incorporated into reports in a
manner consistent with Agency guidance.  Records are organized
in a manner compatible with the Region's Superfund filing
structure and, at a minimum, identify each document by its
source, location, provider, and legal status.  Documents shall be
indexed in conformance with Regional and national standards.
The EPA COR will review the documentation
and the Memoranda of Interviews in order to
determine whether there are other sources of
information that need to be researched.

When necessary, EPA shall review and ap-
prove the site-specific Health and Safety Plan
prior to the Contractor handling contaminated
records.

EPA will review the list of records acquired
in order to determine whether all appropriate
records have been collected.
The Contractor shall redo un-
acceptable work at its own
expense, with possible reduc-
tion of costs up to 20%; up to
50% reduction if mistakes
cannot be corrected.
No deviations are
permitted.
                                                                        35

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             SOW Performance Standards
   Proposed Monitoring Methods	Percentage Deduction*   AQL Deviation *
The Contractor has taken appropriate actions to ensure and protect
the health and well being of its employees, and in the safe han-
dling and transport/storage of contaminated records.

The Contractor has researched records such as industrial directo-
ries, Chamber(s) of Commerce records, business school libraries,
insurance company maps, city directories, aerial photograph col-
lections, urban archives, and the Internet, where deemed neces-
sary.

The report conforms to the format and content standards for a
"Site History" as outlined in the September 2003 PRP Search
Manual.

Supporting documents cited in the report are correctly identified
in accordance with the information management requirements of
the site-specific  Task Order.

All work was performed and deliverables submitted in accordance
with the deadlines outlined in the Task Order.  Costs are within
the amount of the approved budget ceiling.	
The EPA COR and Site Attorney will review
the Contractor's draft and final reports for use
and incorporation of verified facts, and will
note progress during the reporting period on
the monthly progress reports.
1.3 PRP Name and Address Verification

The contact list identifies the name, address, and other contact in-
formation for all PRPs and the current CEO/manager, or provides
a brief notation explaining why the information is unavailable.

For corporate PRPs, the list identifies the corporate address, regis-
tered agent, officers, mergers, name changes, dissolutions, and
date of in corporation.

The work is performed in accordance with the schedule outlined
in the Task Order. Costs are within the approved budget ceiling.
Through serf-inspection, the Contractor shall
sample up to 10% of the addresses to ensure
the accuracy of the information.

The EPA COR may perform a random sam-
pling of up to 10% of the PRP Name and Ad-
dress verification and check for accuracy.

The EPA COR will note any unacceptable
performance on the Contractor's monthly Per-
formance Evaluation Sheet.
The Contractor shall redo un-
acceptable work at its own
expense, with possible reduc-
tion of costs up to 20%; up to
50% reduction if mistakes
cannot be corrected.
Exceptions for docu-
ments returned unde-
livered due to PRP's
non-acceptance.
1.4 Correspondence Tracking and Transactional Reports

The CTS can produce reports that contain PRP contact informa-
tion with verified addresses, dates of mailings, receipt dates of re-
sponses, depositions, interview summaries, etc.

The Transactional Report contains and summarizes, by generator:
document types, manifest number or other identifying number,
shipment dates, waste types, volumes, volume conversions, and
transporter name(s).	
The Contractor, through self-inspection, shall
review all of the information submitted on the
Transactional Report to ensure that the report
contains no grammatical or typographical
errors.
                                                                         36
The Contractor shall redo un-
acceptable work at its own
expense, with possible reduc-
tion of costs up to 20%; up to
50% reduction if mistakes
cannot be corrected.
Exceptions for new
documentation or in-
formation submitted
by the PRP in nego-
tiations.

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             SOW Performance Standards
   Proposed Monitoring Methods
Percentage Deduction"
 AQL Deviation *
The report contains 100% accurate information.

Challenges made by PRPs regarding the volume attributed to
them do not result in changes to the waste allocation for that PRP
due to duplication of entries, transposed numbers, wrong informa-
tion, etc.

The report is submitted in accordance with the Task Order re-
quirements and deadlines. Costs are within the amount of the ap-
proved budget ceiling.	
The EPA COR may perform a random sam-
pling of up to 25% of the information to en-
sure that the standards have been met.
1.5 Analysis of PRP Search Information for Evidence of
   Liability

Deliverables demonstrate that the Contractor performed in accor-
dance with proper investigative standards, concerning collection,
chains-of-custody, credibility, and admissibility.

The draft and final deliverables adhere to the format and content
standards as defined in the PWS.

Deliverables are submitted in accordance with Contract and Task
Order requirements and deadlines.  Costs are within the amount
of the approved budget ceiling.	
The EPA COR and Site Attorney will review
the draft and final reports, and shall rate the
Contractor's performance on the monthly Per-
formance Evaluation Sheets.
The Contractor shall redo un-
acceptable work at its own
expense, with possible reduc-
tion of costs up to 20%; up to
50% reduction if mistakes
cannot be corrected.
No deviations are
permitted
1.6 Development of Waste-In Lists, Volumetric Ranking
    Reports, and Waste-In Transactional Reports from PRP
   rv-i.-rli Aj-fii.-ifi.rii
   kjv
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             SOW Performance Standards
   Proposed Monitoring Methods
Percentage Deduction"
 AQL Deviation *
The report presents stoichiometric calculations, analysis of mate-
rial balances, and interpretation of process engineering data about
manufacturing processes employed by PRP generators.

The Waste-in List document states all clarifying assumptions
made during compilation.

The Waste-in List document summarizes analyses performed to
estimate volumes of hazardous waste attributable to PRPs.

The Volumetric Ranking conforms to the Contractor-proposed,
government-approved report format.

The database is functional and compatible with EPA software,
and if requested, has been installed on the EPA COR's computer
or designated laptop computer.

The database is completed within the proscribed schedule detailed
in the Task Order. Costs are within the amount of the approved
budget ceiling. Less than  5% of the data input into the database is
incorrect.

Challenges to the Waste-in List are defensible, i.e., challenges
made by PRPs regarding the volume attributed to them do not re-
sult in changes to the waste allocation for that PRP due to dupli-
cation of entries, transposed numbers, wrong PRP, etc.	
1.7 Corporate Research and Financial Assessments

Financial assessment reports include the name, address, and
phone number of the entity analyzed, identification of its officers,
dates and place of incorporation, corporate status, and Registered
Agent, where applicable. If required, the Contractor has provided
a financial assessment of each PRP's ability-to-pay based upon
standard Accounting and Finance measures of income, solvency,
and asset valuation.

The report cites all sources of financial information used in the
assessment.and discusses all limitations regarding the information
used in the assessment and any assumptions made.

The report provides a risk assessment and analysis of EPA's risk
in accepting payments from the PRPs.
The EPA COR will review the Contractor's
draft and final reports and the monthly pro-
gress reports.
The Contractor shall redo un-
acceptable work at its own
expense, with possible reduc-
tion of costs up to 20%; up to
50% reduction if mistakes
cannot be corrected.
Exceptions for new
and/or updated docu-
mentation submitted
by the PRP in nego-
tiations.
                                                                         38

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             SOW Performance Standards
   Proposed Monitoring Methods
Percentage Deduction"
 AQL Deviation *
If an appraisal on contaminated property is required, the individ-
ual selected to perform such appraisal has knowledge of
CERCLA and has experience in the unique considerations neces-
sary for evaluation of contaminated properties.

Property surveys have been conducted by licensed surveyors and
reports shall include Plat maps and a narrative legal description of
the property.  Qualifications of the surveyor are noted in the re-
port.

All schedules and deadlines stated in the Task Order are met.
Costs are within the amount of the approved budget ceiling.	
1.8 Investigations

The list of potential individuals and former employees to be inter-
viewed contains names, current or last known addresses and
phone numbers, and indicates the relevant knowledge the individ-
ual is expected to provide, as well as the questions to be asked of
the individual.

The deliverable demonstrates that the Contractor conducted the
investigations in accordance with proper investigative standards,
and the scope, application, and specific provisions of CERCLA
Section 104(e) relating to the investigative jurisdiction of EPA.
The report contains a detailed summary of the information ob-
tained (including all opinions, comments, and statements of the
interviewee, whether or not erroneous).

The work is performed in accordance with the schedule and dead-
lines specified in the Task Order. Costs are within the approved
budget ceiling.	
The EPA COR will review the draft and final
reports and the Contractor's monthly progress
reports.
The Contractor shall redo un-
acceptable work at its own
expense, with possible reduc-
tion of costs up to 20%; up to
50% reduction if mistakes
cannot be corrected.
No deviations are
permitted.
1.9 Title Searches

The purpose of this task is to provide the government with infor-
mation about owners, lessees, and operators at a site that will as-
sist in the issuance of CERCLA Section 106 Notice Letters.

The Title Search Report summarizes the ownership history of the
property, identifying current and past owners of the site property,
as well as properties located adjacent to the site, as required.

The report presents the site's location on county parcel maps and
available aerial photographs, as required, and cites the legal	
The EPA COR will review the Contractor's
draft and final reports for use and incorpora-
tion of verified facts, and the Contractor's
monthly progress reports.
The Contractor shall redo un-
acceptable work at its own
expense, with possible reduc-
tion of costs up to 20%; up to
50% reduction if mistakes
cannot be corrected.
No deviations are
permitted.
                                                                          39

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             SOW Performance Standards
Proposed Monitoring Methods
Percentage Deduction"
                                                                                                                                       AQL Deviation *
description of the property, including the metes and bounds de-
scription.  The Contractor has reviewed the metes and bounds de-
scription to assure the property falls within the site boundaries.

The report contains a chronological list, title tree and/or organiza-
tional chart (presented graphically), and copies of all relevant re-
corded documents including: the site property(ies) legal descrip-
tion^); warranty, grant or quitclaim deeds; mortgages or liens;
deeds of trust; easements; covenants; leases; trustee's deeds; ad-
ministrator's and executor's deeds; financing statements; judg-
ments; real estate contracts; subdivision plats; and, other title in-
struments relating to the site.

The report summarizes research conducted, including document
sources researched, information obtained, follow-up actions re-
quired and/or recommended, and "dead-end" leads. The report
outlines the title history of each parcel.

For mine sites, the report summarizes the history of patented and
unpatented mining claims, including an alphabetical list and cop-
ies of relevant documents that may contain information on leases,
judgments, liens, encumbrances, royalty agreements, UCC filings,
and zoning).

The work is performed in accordance with the schedule and dead-
lines specified in the Task Order. Costs are within the approved
budget ceiling.

The legal description is accurate. Accurate shall mean that the le-
gal description is free from errors and is defensible.	
1.10 CERCLA Section 106 General/Special Notice and Section
     104(e) Information Request Letter Support

The CERCLA Section 104(e) Information Request letters and
Notice Letters contain accurate information with no typographical
errors, and the 104(e) responses are accurately summarized.

Mailings are completed within the schedule and deadlines desig-
nated by the Task Order.

The correspondence tracking database is kept updated with new
information as it becomes available.
                                                              The EPA COR will review the final letters
                                                              and the Contractor's monthly progress re-
                                                              ports.
                                        The Contractor shall redo un-
                                        acceptable work at its own
                                        expense, with possible reduc-
                                        tion of costs up to 20%; up to
                                        50% reduction if mistakes
                                        cannot be corrected.
                             No deviations are
                             permitted.
                                                                          40

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             SOW Performance Standards
   Proposed Monitoring Methods
Percentage Deduction"
 AQL Deviation *
 The Contractor is able to produce correspondence tracking reports
 on individual PRPs if requested by the EPA COR.  The Contrac-
 tor has researched current address for any correspondence re-
 turned as undeliverable, notifying the EPA COR of dead ends.

 Prepared letters are free of grammatical and spelling errors and
 look professional.

 No more than 5% of mailed correspondence is returned as unde-
 liverable due to a bad address.

 The work is performed in accordance with the schedule and dead-
 lines specified in the Task Order. Costs are within the amount of
 the approved budget ceiling.	
 1.11 PRP Search Report

 The PRP Search Report conforms to the format and content stan-
 dards outlined in EPA's PRP Search Manual.  Supporting docu-
 ments cited in the report are identified correctly in accordance
 with the information management requirements of the PWS.

 The report demonstrates that the Contractor conducted the PRP
 search in accordance with proper investigative standards.

 The PRP Search Report is delivered within the schedule and
 deadline specified in the Task Order and is under the approved
 budget ceiling.

 No more than 10% of government review comments on the draft
 deliverable address substantive legal deficiencies.

 All work has been submitted within the specified deadlines stated
 in the  Task Order and costs are within the approved budget ceil-
 ing.	
The EPA COR and Site Attorney will review
the draft and final reports for compliance with
the Performance Standards and the Contrac-
tor's monthly progress reports.
The Contractor shall redo un-
acceptable work at its own
expense, with possible reduc-
tion of costs up to 20%; up to
50% reduction if mistakes
cannot be corrected.
No deviations are
permitted.
 Task 2 - Expedited Potentially Responsible Party (PRP)
	Searches	
 All Performance Standards for this Task are identical to those
 designated for the standard PRP Search activities stated in Task 1
 above.
Proposed Monitoring Methods are identical to
those designated for the standard PRP Search
activities stated in Task 1 above.
Percentage Deduction values
are identical to those desig-
nated for the standard PRP
Search activities stated in
Task 1 above.
AQL Deviations are
identical to those des-
ignated for the stan-
dard PRP Search ac-
tivities stated in Task
1 above.
                                                                          41

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             SOW Performance Standards
   Proposed Monitoring Methods	Percentage Deduction*    AQL Deviation *
Task 3 - Expedited General Enforcement Support
3.1 Service of Process and Other Documents

The Contractor has located the subject parties and has arranged
for proper served the documents in accordance with Federal Rules
of Civil Procedure, local court rules, and other EPA procedures.
If requested, the Contractor shall provide for overnight or same
day delivery service.

The Contractor has completed and submitted an affidavit, or cer-
tificate of service or other document to serve as evidence of ser-
vice, or has obtained such documents from the individual serving
the documents.

The Letter Report contains an affidavit, or certificate  of service,
or other document to serve as evidence of service, in accordance
with Federal Rules of Civil procedure and local court rules.

The work is performed in accordance with the schedule and dead-
lines stated in the Task Order, and costs are within the approved
budget ceiling.	
The EPA COR and site attorney will review
the Letter Report to verify that the documents
were properly served and are documented.
The COR will review the Contractor's
monthly progress report.
The Contractor shall redo un-
acceptable work at its own
expense, with possible reduc-
tion of costs up to 20%; up to
50% reduction if mistakes
cannot be corrected.
No deviations are
permitted.
3.2 Filing of CERCLA Liens

The Contractor has determined the correct legal description of the
property EPA proposes to lien, and has filed the lien for recording
in the appropriate jurisdiction in compliance with the particular
rules of that jurisdiction.

The Letter Report contains evidence that the lien has been filed
and recorded, including a copy (a certified copy, if requested) of
the recorded lien.

The work is performed in accordance with the schedule and dead-
lines stated in the Task Order, and costs are within the approved
budget ceiling.	
The EPA COR and site attorney will review
the Letter Report and the Contractor's
monthly progress reports.
The Contractor shall redo un-
acceptable work at its own
expense, with possible reduc-
tion of costs up to 20%; up to
50% reduction if mistakes
cannot be corrected.
No deviations are
permitted.
3.3 Filing of Deed Restrictions

The Contractor has prepared and filled deed restrictions pursuant
to CERCLA and State laws, including determining the correct le-
gal description of the subject property, filing of the deed restric-
tion for recording,. If required, the Contractor has/is monitoring
PRP compliance with the deed restriction.
The EPA COR and site attorney will review
the Letter Report and the Contractor's
monthly progress reports.
The Contractor shall redo un-
acceptable work at its own
expense, with possible reduc-
tion of costs up to 20%; up to
50% reduction if mistakes
cannot be corrected.
No deviations are
permitted.
                                                                          42

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SOW Performance Standards
The Letter Report contains evidence that the deed restriction has
been filed and recorded in the appropriate jurisdiction, including a
copy (a certified copy, if requested) of the recorded deed restric-
tion.
The work is performed in accordance with the schedule desig-
nated by the EPA COR, or as outlined in the EPA-approved work
plan, and costs are within the amount of the approved budget ceil-
ing
3.4 Freedom of Information Act Support
Documents and other information requested are retrieved and pro-
vided to the EPA COR within the schedule and deadlines speci-
fied in the Task Order, and costs are within the approved budget
ceiling.
Proposed Monitoring Methods

The EPA COR and site attorney will monitor
the Contractor's prompt retrieval and delivery
of the requested documents and will review
the Contractor's monthly progress reports.
Percentage Deduction*

The Contractor shall redo un-
acceptable work at its own
expense, with possible reduc-
tion of costs up to 20%; up to
50% reduction if mistakes
cannot be corrected.
AQL Deviation**

No deviations are
permitted.
Task 4 - Negotiation Support
The Contractor has reviewed relevant documents and adhered to
applicable Agency guidance in the drafting of documents, publi-
cation requirements, evaluation and preparation of NBARs, and
evaluation of PRPs' proposals, staffing plans, and cost recovery
settlements.
All of the identified expert witnesses are fully qualified, hold the
necessary credentials, and are available and willing to provide tes-
timony within the required time frame.
Missing cost documentation has been identified and obtained, or
if unobtainable, noted in the Letter Report.
Costs are within the approved budget ceiling.
The EPA COR and site attorney will evaluate
the quality of the expert witnesses obtained
by the Contractor. They will review the Con-
tractor's draft and final deliverables and the
monthly progress reports.
The Contractor shall obtain
the services of different expert
witnesses, if deemed unac-
ceptable and will redo unac-
ceptable work at its own ex-
pense, with possible reduction
of costs up to 20%; up to 50%
reduction if mistakes cannot
be corrected.
No deviations are
permitted.
Task 5 - Litigation Support
5.1 Referral Support
The Contractor has contacted and obtained, or made copies of, all
relevant records and organized them in the manner instructed by
the EPA COR.
The Contractor has reviewed the information, and has included
this information in a Letter Report or as otherwise directed by the
EPA COR.
The EPA COR and site attorney will review
the document index to verify that relevant
documents are included. The EPA COR will
review the Contractor's monthly progress re-
ports.
The Contractor shall redo un-
acceptable work at its own
expense, with possible reduc-
tion of costs up to 20%; up to
50% reduction if mistakes
cannot be corrected.
No deviations are
permitted.
43

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SOW Performance Standards Proposed Monitoring Methods Percentage Deduction* AQL Deviation**
Work was within the schedule and deadlines stated in the Task
Order. Costs are within the approved budget ceiling.
5.2 Evaluation of Cost Information
All relevant supporting documentation is located and included in
the cost package. The Letter Report outlines all mathematical er-
rors and discrepancies identified in the cost package.

The work is performed in accordance with the schedule and dead-
lines stated in the Task Order, and costs are within the approved
budget ceiling.



The EPA COR and site attorney will review
the Letter Report and the Contractor's
monthly progress reports.

The COR may review a random sampling of
the cost package to verify accuracy of the
Contractor's work.



The Contractor shall redo un-
acceptable work at its own
expense, with possible reduc-
tion of costs up to 20%; up to
50% reduction if mistakes
cannot be corrected.




No deviations are
permitted.





TASK 6 Cost Recovery Support
6.1 Cost Documentation and Redaction
The Contractor has performed a review and audit of the cost
package(s) and provided the findings in a Letter Report. The
Contractor has produced a documentary audit trail to establish
proof of costs incurred using existing systems and other docu-
mentation and guidance.

The Contractor has developed and maintained an organized cost
package or cost document file that includes cost summaries for
each cost element claimed, together with organized supporting
documentation.
The Contractor has accumulated and verified all costs incurred in
connection with a site or sites by reconciling all supporting
documentation with Agency data. The Contractor has identified
to the Agency deficiencies in the cost package and/or potential
sources of challenges.
The cost package contains no mathematical errors and all relevant
documents that evidence work performed and costs incurred are
included in the cost package.
The work is performed in accordance with the schedule and dead-
lines specified in the Task Order, and costs are within the amount
of the approved budget ceiling.
6.2 Closeout Memoranda Support
The Contractor has reviewed Agency files and provided copies of
relevant documents that will support the recommendations in the
Closeout Memorandum.

The EPA COR will review the Contractor's
Letter Report and the Contractor's monthly
progress reports. The EPA COR may review
random documents to verify the accuracy of
the documentation against the cost summary,
and that work-performed documents are pre-
sent to support the documented costs.















The EPA COR and site attorney will review
all deliverables and the Contractor's monthly
progress reports.

The Contractor shall redo un-
acceptable work at its own
expense, with possible reduc-
tion of costs up to 20%; up to
50% reduction if mistakes
cannot be corrected.
















The Contractor shall redo un-
acceptable work at its own
expense, with possible

No deviations are
permitted.




















No deviations are
permitted.

44

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             SOW Performance Standards
   Proposed Monitoring Methods
Percentage Deduction"
 AQL Deviation *
Work was performed and submitted within the schedules and
deadlines stated in the Task Order, and costs are within the ap-
proved budget ceiling.	
                                            reduction of costs up to 20%;
                                            up to 50% reduction if mis-
                                            takes cannot be corrected.
TASK 7  Community Involvement Support
7.1 Public Meeting Support

Arrangements for meeting locations are convenient to the public
and equipment/translators/ security are available when and where
needed.

Transcripts/meeting notes are delivered within the proscribed time
frame.

PowerPoint presentations, posters, and other audio-visual materi-
als are of high quality and easily understood.

Work is performed within the schedules and deadlines stated in
the Task Order, and costs are within the amount of the approved
budget ceiling.	
The EPA COR will review the Contractor's
arrangements for conformance to the per-
formance standards and any deliverables, as
well as the monthly progress reports.
7.2 Fact Sheet Production

Fact Sheets, flyers, brochures, press packets, and other written
materials are of high quality, easily understood by the target audi-
ence and are accurate.  Graphics are colorful, relevant, dynamic,
and enhance the overall message presented.

Written materials conform to EPA's preferred format, and are
provided in Microsoft Publisher.

Translations are accurate in fact and grammatically correct.  All
maps, graphics and pictures for publications are of high quality
and relevant to the subject being discussed.

Work is performed within the schedules and deadlines stated in
the Task Order, and costs are within the amount of the approved
budget ceiling.	
The EPA COR will review the Contractor's
deliverables for quality and acceptability, and
will review the Contractor's monthly progress
reports
The Contractor shall redo un-
acceptable work at its own
expense, with possible reduc-
tion of costs up to 20%; up to
50% reduction if mistakes
cannot be corrected.
No deviations are
permitted.
7.3 Public Notices

Public notices conform to Agency standards, are of high quality,
well written, concise, and accurately transmit the information be-
ing relayed. Public notices are placed in the specified newspapers
and are published on the date(s) specified by EPA.
The EPA COR will review the Contractor's
deliverable(s) for timeliness, quality, and ac-
ceptability, and will review the Contractor's
the monthly progress reports
The Contractor shall redo un-
acceptable work at its own
expense, with possible reduc-
tion of costs up to 20%; up to.
No deviations are
permitted.
                                                                          45

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             SOW Performance Standards
   Proposed Monitoring Methods
Percentage Deduction"
 AQL Deviation *
Letter reports transmitting the Public Notice and Proof of publica-
tion are timely submitted to the COR.

Work is performed within the schedules and deadlines stated in
the Task Order, and costs are within the amount of the approved
budget ceiling.	
                                            50% reduction if mistakes
                                            cannot be corrected
7.4 Mailings

Mailing lists are accurate and up-to-date. No more than 5% of
any mailing is returned as undeliverable because of a bad address.

Work is performed within the schedules and deadlines stated in
the Task Order, and costs are within the amount of the approved
budget ceiling.	
The EPA COR will review the Contractor's
deliverable(s) for quality and acceptability,
and will review the Contractor's monthly
progress reports.
The Contractor shall redo un-
acceptable work at its own
expense, with possible reduc-
tion of costs up to 20%; up to
50% reduction if mistakes
cannot be corrected.
No deviations are
permitted.
7.5 Community Involvement Plans

Proscribed procedures are followed when contacting individuals
for interviews. Reports detailing site history, community history,
and demographic information are accurate, clearly written, and
produced in a timely manner. Media identification and contact in-
formation is timely and accurate.

All due dates/schedules stated in the TO, and costs are within the
amount of the approved budget ceiling.	
The EPA COR will review all deliverable(s)
for quality and acceptability, and the Contrac-
tor's monthly progress reports.
The Contractor shall redo un-
acceptable work at its own
expense, with possible reduc-
tion of costs up to 20%; up to
50% reduction if mistakes
cannot be corrected.
No deviations are
permitted.
7.6 Congressional Briefing Books

Congressional Briefing Books are of high quality, accurate, well
written, free from spelling and grammatical errors and generally
appear professionally done

Work is performed within the schedules and deadlines stated in
the Task Order, and costs are within the amount of the approved
budget ceiling.	
The EPA COR will review the Contractor's
deliverable(s) for quality and acceptability,
and will review the monthly progress reports.
The Contractor shall redo un-
acceptable work at its own
expense, with possible reduc-
tion of costs up to 20%; up to
50% reduction if mistakes
cannot be corrected.
No deviations are
permitted.
7.7 General Community Involvement Administrative
     Support

Photocopying quantities are within the limits set by the contract.
Newspaper subscriptions are obtained in a timely manner

Work is performed with the schedules/deadlines stated in the
Task Order, and costs are within the amount of the approved
budget ceiling.
The EPA COR will review the Contractor's
monthly progress reports.
The Contractor shall redo un-
acceptable work at its own
expense, with possible reduc-
tion of costs up to 20%; up to
50% reduction if mistakes
cannot be corrected.
No deviations are
permitted.
                                                                          46

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            SOW Performance Standards
   Proposed Monitoring Methods
Percentage Deduction"
 AQL Deviation *
TASK 8  Project Management, Planning and Support
8.1 Project Management, Planning, and Support

The Contractor used their best efforts to coordinate and arrange
for a scoping meeting within the time frame designated in the
Task Order.

The Contractor prepared minutes of the scoping meeting that ac-
curately document the scope of service and any deliver-
able/schedule changes, and submitted them to the COR for review
and approval.

The Contractor met with and briefed the EPA Enforcement team
of any issues that could affect the outcome of the Region's en-
forcement efforts at a site.

The Contractor met the schedules and deadlines set forth in the
Task Order for submitting the Staffing Plan/Cost Estimate and
any interim periodic status reports/deliverables.

Monthly Progress Reports and Financial Reports accurately re-
flect the work performed and documents costs that were incurred
during the reporting period.

Closeout of the Task Order was completed within 30 days of noti-
fication, and copies of the Acknowledgement of Completion and
Closeout Memo were delivered to the COR and Project Officer.
The EPA COR will review the Contractor's
Staffing Plan/Cost Estimate, meeting minutes,
status reports, Acknowledgement of Comple-
tion, and the Contractor's monthly progress
reports.
The Contractor shall redo un-
acceptable work at its own
expense, with possible reduc-
tion of costs up to 20%; up to
50% reduction if mistakes
cannot be corrected.
No deviations are
permitted.
8.2 Quality Assurance

Quality assurance is applied to all aspects of each Task Order.
The Contractor utilizes methods that ensure that work is per-
formed in a manner that minimizes the need for internal revision
and rework.

Internal review is performed before delivery of documents and
deliverables to EPA.

Costs are tracked and billed site-specifically. Documentation to
support all costs incurred by the Contractor are submitted with the
monthly invoice.
The EPA Contracting Officer will review the
quality assurance program plan submitted
with the Contractor's proposal. The EPA
COR will review the Contractor's Staffing
Plans/Cost Estimates, assess deliverables for
accuracy, precision, and completeness, and
review the Contractor's monthly progress re-
ports.
The Contractor shall redo un-
acceptable work at its own
expense, with possible reduc-
tion of costs up to 20%; up to
50% reduction if mistakes
cannot be corrected.
No deviations are
permitted.
*   Amount that can be reduced from monthly invoice charges.
**  Acceptable Quality Level - The maximum allowable degree of deviation from the standard for the task which will be permitted by the government before perform-
    ance is deemed to be unsatisfactory.
                                                                         47

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                                             CHECKLIST OF
                                         PRP SEARCH TASKS
NOTE: This checklist is intended as a tool, listing tasks which may be assigned or performed during PRP
searches, depending on site enforcement strategy and needs.  The list which follows does not imply that all
tasks must or should be performed, and the sequence in which tasks are performed should be governed by site
strategy rather than the order listed below.
Region:
                            Site Name:

                            Location:
                  TASK
1.  Q  Agency Record Collection and
        File Review
                                                    TASK SELECTION CRITERIA / CONDITIONS
                                          Gather and organize the information; review records to extract PRP
                                          information and leads
Files are:
Q Federal
Q State
Q Local
a Other
File Location




# of Pages




        Use this space to describe anything unique about the records and their condition including
        business confidential, contamination, travel involved, access, other sources besides hard copy, etc.
2.  Q  Title Searches    Note: Guidelines such as going back 50 years or to the end of World War II or the
                                  first industrial use of the property can sometimes be useful, but in most cases
                                  determining the relevant period for a search is a highly site-specific exercise.
F.
            Simple Title Search


            Complex Title Search
A.  Q


B.  Q


C.  Q  Unknown Title Search


D.  Q  Title Search for Recorded
        Instruments


E.  Q  Certified Copies
            Chain of Title
    G.  Q  Property History Narrative
Site involves less than five parcels and the site does not have a long
history of industrial use.

Site involves more than five parcels and/or has a long history of
industrial use.

A site property description will need to be developed by EPA, or EPA's
enforcement contractor along with an estimate of the title search cost.

Includes deeds,  leases, mortgages, liens, plate maps, contracts.
Necessary to support site history and PRP list. If litigation is expected,
certified copies (see next task) are usually required for admissibility.

Includes deeds,  leases, mortgages, liens, death records, wills, lawsuits
and contracts. Obtain certified copies if litigation is expected and case
attorney requires certified copies for court admissibility.

A chronological list of title instruments for quick reference to title
transactions overtime.

Requested for more complex sites when a detailed narrative
description of property history would assist case development.

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Checklist for Tasking
Continued -
                  TASK
3.  Q  Interviews with Government
        Officials
4.  Q  Records Compilation
            TASK SELECTION CRITERIA / CONDITIONS
 Interviews required of persons known or suspected to possess unique
 information about the site. Interviews generally conducted by phone
 unless travel is specifically requested. This task is used in most PRP
 searches.

 Records are located  and manually organized to permit easy access
 and use. A file system and index are usually established.  Depending
 on the number of records, records may be computerized.
5.  Q  Compliance History



6.  Q  PRP Status/PRP History



7.  Q  PRP Name and Address Update



8. Q   CERCLA104 (e) Letters




9.  Q  Financial Status




            Develop financial information for:

    A.  Q  Individual PRPs

    B.  Q  Partnership

    C.  Q  Corporation

    D.  Q  Exempt Organizations

    E.  a  Other

    F.  Q  CERCLA104(e)/RCRA3007(c)
            Letters



10. Q  History of Site Operations
 This task provides a narrative description of site compliance status for
 a specified period of interest focusing on activities and parties involved
 with hazardous wastes.

 PRPs for which a current address is not available are researched to
 determine their fate. Names, addresses, and registered agents are
 provided for the PRPs and any successor companies.

 Current name and address information is obtained for identified
 PRPs.  Includes name, address, registered agent, mergers,  and
 name changes.

 EPA identifies PRPs and collects evidence by sending section
 104(e) information request letters. The information gathered from
 104(e) letters is critical to site history, status, chemical use, disposal,
 volume, and other information to determine liability.

 Solicit financial information through CERCLA 104(e)  authority
 regarding the financial condition of the PRPs. This task can provide
 PRP information  such as financial status, officers, and current
 business operations.

(Identify public vs.  private companies, etc.)

 Attach list of names and addresses

 Attach list of names and addresses

 Attach list of names and addresses

 Attach list of names and addresses

 Attach list of names and addresses

 This task includes formulating potential questions for PRPs based on
 gaps observed in available information, preparing letters with PRP
 names and addresses, and reviewing responses for information
 relevant to PRPs.

 Note: This task may be more appropriately performed after issuance
 of information request 104(e) letters and the review of PRP files.  A
 narrative description of site operations through a specified period  of
 interest is presented in a report. This history focuses on activities and
 parties involved with hazardous wastes.  Particularly  useful if many
 operators or various types of operations were involved at the site.
                                                    -2-

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Checklist for Tasking
Continued -
                  TASK
11. O  Report Preparation
12. O  Aerial Photographs and
        Sanborn Maps


13. Q  CERCLA Subpoena Authority
14. Q  Field Survey
15. Q  Industrial Survey
16. Q  PRP File Review
          TASK SELECTION CRITERIA / CONDITIONS
PRP reports should include sections on the site background, project
approach, contracts and sources, site  history, PRPs, and
conclusions/recommendations.

Aerial photographs and Sanborn maps can provide detailed site
information without accessing the site. They can also be used to
compare site characteristics over a period  of time.

Authority to serve administrative subpoenas to obtain evidence from
PRPs and others. The subpoena is useful in situations when the PRP
may not respond to the information request under 104(e) e.g.,
obtaining financial and account records from financial institutions.

This task is used to gather additional evidence through  field activities
such as general field inspection, document review, personal
interviews, and drum label recording.  Usually conducted only when
there is no other information available  about a site.

This task identifies PRPs through a survey of local businesses and a
review of various industrial manuals and directories. This is an
indirect method of identifying PRPs and may be difficult to prove if no
other information is available. May serve as a starting point of more
detailed research into disposal practices of local industries.

PRP documents, such as operator records, are reviewed to extract
PRP information and leads. This task should be completed after a
review of agency files.
    Use this space to describe anything unique about the records and their condition including business
    confidential, contamination, travel involved, access, other sources besides hard copy, etc.
17. Q  Private Citizen/PRP Interview
18. Q  EPA Investigations
19. Q  CERCLIS
Interviews with persons known or suspected to possess unique
information about the site.  Interviews can be conducted via telephone,
or in person at the discretion of the investigator and/or enforcement
specialist. Detailed interviews, when needed, can be documented by
a transcript.

Investigations can be useful in locating individuals, developing
information regarding closely held financial assets, and interviewing
parties with knowledge of the site activities.  If a potential for danger
exists, contact appropriate law enforcement personnel, such as EPA
CID special agents, building security, or local police.

CERCLIS is an EPA database which generally contains PRP
information such as: name, addresses, types of letters sent (notice,
demand and  information request) and the dates sent, orders issued,
and kind of PRP (owner, operator, generator, or transporter).
                                                    -3-

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Checklist for Tasking
Continued -
                 TASK
20. Q  Waste Stream Inventory



21. Q  Process Chemistry Analysis



22. Q  Database(s)

    A.  G  Correspondence




    B.  Q  Inventory




    C.  Q  Transactional


23. Q  Financial Assessment


24. Q  Generator Ranking
25. Q  Property Appraisal/Property
        Survey
          TASK SELECTION CRITERIA / CONDITIONS
Compile an accurate inventory of wastes that were disposed of at the
site by reviewing operating logbooks, analytical reports, and waste
stream records.

The process chemistry analysis task is generally performed after an
industrial survey and a waste stream inventory. This task attempts to
link industries with wastes at a site.
A database is created to keep track of PRPs sent letters (Notice or
Information), whether they responded, and other information as
specified by EPA. Computerized databases should be considered for
cases with a large number of PRPs.

Information management system developed to organize and permit
quick retrieval of documents by keyword, author, date, subject, or
other predetermined strategy. Useful for searches with a large
number of documents or if documents must be easily accessed.

Site transaction databases are used to rank PRPs based on quantified
site usage information. (See also Generator Ranking)

This task provides a more detailed analysis of a PRP's financial
situation than the financial status task.

This is usually a work product(printout) from a transactional database
project (see #22 above).  The ranking  orders generators by waste
volume or other comparable unit.

Appraisal of site property owned by a PRP which may have value.
Appraisal may focus on contaminated  state or post-remedial state.
    Please identify person completing this checklist:

        Name:                                       Title:
        Region/Other:
         Phone Number:
        Mailing Address:
                                                   -4-

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                                CHECKLIST  FOR
                    REMOVAL/PRE-REMEDIAL SITES
Completion of this form is not mandatory, nor is it directed solely towards a specific type of
responder. The first on-site responder may begin the checklist which may include contributions
from any of the following: EPA site assessment manager (SAM), on-scene coordinator (OSC), civil
investigator (Cl), remedial project manager (RPM), EPA contractor, state staff, or state contractor.
This form should be filled out for future use by EPA or state staff in preservation of evidence
related to the identification of potentially responsible parties. This form may be filled out at any
point during the site discovery, assessment/investigation, or response phase.

It may not be  possible to provide information for each of the items on this form but, providing
information on as many of the items as possible will improve the overall efficiency of the site
remediation and enforcement processes. When you have completed it to the extent feasible,
please distribute copies of this form to the appropriate EPA and state personnel (e.g., civil
investigators, EPA or state attorney, OSC, RPM, etc.), and place the original  in the site file.

1. Potential Site referred:
Region:
Site Name:
Location:
2. Referred by:
Department/Agency
Q State
G National Response Center
Q Other:
Contact Name



Phone*



3.      Basic site information was requested to be submitted to the regional office from the above referral
       contact:
                     a     Yes           a      No

4.      Identification of person completing this checklist:

Organization:	       Name:	

Title:	      Phone #:	

Mailing Address:	

5.      The OSC (or other First Responder) determines the urgency of the situation at the site, assessing
       the factual information referred against the criteria set forth in the National Contingency Plan.

6.      Site Team formed, OSC, Attorney, Enforcement Specialist, Civil Investigator, Site Assessment
       Manager, Remedial Project Manager,  EPA contractor, State staff, etc.

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7.
8.
9.
10.
Site Team reviews information to ascertain responsible corporate officers, registered agents, and
principal environmental and/or health and safety contacts.  Some examples of information to be
reviewed and their source is:

        Q      U.S. EPA media files (NPDES permits, RCRA information, EPCRA releases, CAA
               permits)
        Q      State media files
        Q      Local health department files
        Q      Historical society information/historical photos
        Q      Newspaper archives
        Q      Local university archives
        Q      Sanborn fire insurance maps
        Q      Other	

Obtain access agreement(s) with last known owner(s) of site property:

        QYes  QNo           Date obtained:	
Identification of the property to be visited:
               Q
               a
               Q
               a
               Copy of deed
               Address:	
               Plat #:   	
               Cross Street Location:
Identification of possible contacts that may be a source of information in the future, including
complete names, titles, addresses, and telephone numbers. Include all people you encounter on the
site, and anyone volunteering information about the site: [*Owners/operators, prior
owners/operators, generators, transporters, local authorities, state and other federal agencies, local
libraries, other]
Association With Site
and Number of Years*









Contact Name









Address









Phone No.









                                                -2-

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11.      Interviews were conducted with the following contacts:
Interviewee









Association With
Site and Number of
Years









Date Interview
Conducted









Interviewer









Transcript
Available
Yes/No









12.
Information about records located onsite:
Type of Records *









Location of Records









Condition of
Records**









Name of Person in
Possession of Records









Types of records, to include but not limited to: log books, driver's tickets, utility bills, payroll records,
letterheads, or other specific correspondence or records.

"Please identify if: contaminated, damaged, poor quality, good quality, other
                                                -j-

-------
13.     Are there file cabinets on site?
Number of File Cabinets

Location of File
Cabinets

Condition of Cabinets/Files

14.
15.
16.

17.
Were photographs taken? [Note: photographs should conform to accepted photographic record
protocol. Refer to TA T, site assessment, and criminal investigators for EPA photographic protocol]

              Q Yes  Q No

Photographs were taken of:     	
Were drums found at the Site?   Q Yes  Q No

                                    Number of Drums:	

                                    Number With Labels:

Was sampling done?    Q Yes  Q No

Neighbors near the site:
Name









Association With Site
and Number of Years









Address









Phone
No.









Interviewed and
Date Yes/No









                                              -4-

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18.     Additional potential sources for gathering site information:

               Q      Neighboring Businesses

               O      County Recorder:
                              G      Deed Information
                              Q      Past Tax Information
                              G      Sidwell Maps

               G      Financial Information
                              Q      Financial Institutions
                              G      Accountant Information
                              O      Commerce Clearing House (CCH) Publications (Capital
                                     Transactions)

               G      PRP Information on EPA Databases
                              Q      CERCLIS
                              G      IDEA
                              Q      FINDS
                              a      ERNS

               G      Electronic Database Review
                              Q      Choice Point
                              G      Dun & Bradstreet
                              O      Lexis/Nexis (or Westlaw)
                              G      Corporate Information
                              G      Prior lawsuits, bankruptcy filings, SEC filings
                              G      Internet sources

19.     OSC plans for:

               G      Removal action
               G      Removal scoping
               G      Public participation
               G      Establish administrative record

20.     Based on information gathered to date, appropriate enforcement activities should be taken:

               G      Issue information request
               Q      State an opportunity, in the information request, for the PRPs to provide
                      information on additional PRPs
               G      Initiate title search
               Q      Review relevant site records
               G      Initiate PRP search report
               G      Oral/written general notice letters issued to known PRPs

21.     OSC prepares Action Memorandum

               G      Develop negotiation strategy
               G      Prepare draft administrative order on consent (AOC)
               G      Negotiate AOC or issue unilateral administrative order (UAO)

       [Note: when issuing UAOs, the enforcement team should follow guidance on Administrative Reforms
       - the UAO should be issued equitably to the largest manageable number of parties and the team
       should document the reasons why the  UA O is not issued to all PRPs, if appropriate]
                                               -5-

-------
22.    Site cleanup:

            Q     PRP-lead
            Q     Fund-lead


23.    Cost recovery phase:

             Complete enforcement investigations:

                   Q     Followup on earlier PRP search
                   Q     Update title search if necessary

            Cost recovery activities:

                   Q     Itemized cost summary
                   Q     Send demand letters
                   Q     Cost recovery referral
                   Q     Close-out memorandum (where appropriate, if case is not referred to DOJ)

                              Q     Cost documentation package
                              Q     Work performed documents


Please use the following space to provide additional noteworthy information regarding
this checklist and the site:
PLEASE ATTACH ALL RELEVANT INFORMATION THAT HAS BEEN REFERENCED IN
THIS CHECKLIST AND DISTRIBUTE TO THE APPROPRIATE REGIONAL CIVIL
INVESTIGATOR, SITE FILE, AND OTHER EPA OR STATE PERSONNEL AS
APPROPRIATE.
                                       -6-

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                                                                               Quick Reference Guide
 Party Information
This Quick Reference Guide will provide information on how to access, view, and enter information into the Party
Information screens in the Enforcement module of WasteLAN.  The Party Information screen contains relevant data
pertaining to a Party at a site.  There are eight tabs in the Party Information section which contain general party
information, the sites at which each party is involved, their involvement, contacts, and other pertinent information.
 u
   ser Access Roles for Party Information Screen

Read Only: Headquarters Manager, Read Only, Community Involvement Coordinator, Headquarters Staff, Headquarters
Budget/SCAP Coordinator.
Delete/Edit Rights: Regional Manager, Site Manager, Administrative Support/Data Entry, Superuser/All, Remedial Project
Manager, Regional Attorney, Site Assessment Manager, On-Scene Coordinator, Civil Investigator, Cost Recovery Specialist/
Data Entry, Office of Regional Council (ORC) Data Entry Staff, IMC/IMC Staff/Budget Coordinator, Regional Manager
Reviewer, Cost Recovery Coordinator, Brownfields Coordinator.


Accessing and Viewing the Party Information Screens

1.  To access the Party Information screens from the Views menu, select Enforcement, Party Search/Information, and then
   Party Search. The Party Search/ Information screen is displayed.

2.  You can also access the Party Information screen by highlighting (click once) a party in either the 'Parties in Search
   Results' or 'Parties Associated With Current Site' boxes on the Party Search screen and clicking the Info button, or by
   clicking the Add Party button on any Parties tab within the Enforcement module.

   NOTE: For more information on searching for a party on the Party Search/Information screen, please see the Party
   Search/Information Screen Quick Reference Guide.
i  arty Information Tabs

The Party Information screens contain data pertaining to a party at a site, including the party name, address, the sites at which
they're involved, their involvement, and contacts. There are eight tabs in the Party Information section: Summary, Party
Details, Associated Sites, Involvement, Substance, Enforcement History, Contacts, and Comments.
  Last Required Update: March 2003 (Version 3.13)

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                                                                                  Quick Reference Guide
 Party Information
Summary Tab

The Summary tab gives you an overview of
the Party Information section.  The Party
Information screen defaults to the Summary
tab when accessed by clicking on the Info
button on the Party Search/Information
screen. These fields are uneditable.
Information on the Summary tab includes
Party Name, Address, Party Type and Sites
and Actions associated with the party. To
enter information, double-click on the field
and you will be brought to the tab that
contains the data entry screen for that field.
For example, if you click on the  Party Name
field, you will be brought to the Party Details
tab.
> Parly Information
 Party Name:  |SEASHELLS IHC

 Summary I Party Details I Associated Sites I Involvement I Substance
     Originating Region:  01

Enf. History I Contacts I Comments I

Harnei
Facility Hame:
Address:
City, ST, Zip:
Country:
Type:
Sites:
Contacts:
Actions:
Contacts and Actions are displayed only tor sites within your region.
ISEASHELLS IHC
1
[512 MAIH ST.
pHOEMix | AZ [34242
| Bradstreet if. \
{•••••••••••O]
I d
I d
I d
Some fields look like a dropdown list. These
are all the fields where it is possible to select
multiple values on the data entry screen. On this screen, the dropdowns display all sites with which the party is associated,
the contacts related to the party, the Actions associated with the party, and the party type.

You will always have to return to the Summary tab to save the information you entered on each of the other tabs.
I  arty Details Tab


The Party Details tab is where you will add the basic information about the party.  The Party Search/Information screen
defaults to the Party Details tab when accessed by clicking the Add Party button on the Party Search/Information screen.
All fields on this tab are editable unless the party has been sent a General or Special Notice letter or is associated with an
Enforcement action.

1.   To access the Party Details, click on the Party Details tab or double-click on the Name, Facility Name, Address, City,
    ST, Zip, Country, Bradstreet #, or Type fields on the Summary tab.

2.   Type in information in the appropriate field for the Party Name, Alias, Address, City, State, Zip Code, Phone Number,
    Fax Number, Facility Name, Internet Address, Country, Date and State in which the party was incorporated, if
    appropriate, and Dunn & Bradstreet number.  The system only requires that you enter the Party Name. A 1999 OSRE
    memo, however, requires additional information be entered for the party, for example the Party Address. Entering the
    address will increase the usability of the data; help reduce the number of duplicate parties in the system; eliminate data
    quality issues; and  allow you to create and print mailing labels. If a user selects a country from the Country dropdown
    box and picks something other than "United States", the "Phone", "Fax", and "Zip  Code" will be replaced with "Int'l
    Phone", "Int'l Fax", and "Postal Code." The "State" field will be deactivated and the new International fields will lack
    the formatting of the US codes.
 Last Required Update: March 2003 (Version 3.13)

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                                                                                              Quick Reference Guide
 Party  Information
3.  Identify the party type using the drag and drop box. Multiple values are allowed.
                     > Party Information
                       Party Name:  |                                                 Originating Region: |  01

                      Summary  j Party Details j Associated Sites   Involvement   Substance  Enf. History   Contacts  Comments
   Fields to enter party
   address information
Name:
Alias:
Address:

   Use these fields to
   indicate the party typ.-''
                        City, ST:
                        ZIP Code:

                       Party Types:


                        Federal Agency
Phone:

Fax:

Facility:

Internet:

Country:

Inc. Date:
Inc. State:
Dun S
Dradstreet ft
                             Selected Party Types:
                                                                                                      Cancel
                     %. Party Information
                       Party Name:
                      Summary  Party Details  Associated Sites
Use this
dropdown box
to identify the
country for the
party you are
entering. Ifthe
Country field is
blank, or is
populated with
"United States",
the Phone, Fax,
and Zip Code
fields will
appear.
                                                                                                               When the Country is
                                                                                                               selected and set to
                                                                                                               something other than
                                                                                                               Blank or "United
                                                                                                               States", the Phone,
                                                                                                               Fax, and Zip Code
                                                                                                               fields are replaced by
                                                                                                               "Intl Phone", "Intl
                                                                                                               Fax", and "Postal
                                                                                                               Code."  The "State"
                                                                                                               field will be
                                                                                                               deactivated.
  Last Required Update: March 2003 (Version 3.13)

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                                                                                      Quick Reference Guide
 Party Information
Associated Sites Tab

The Associated Sites tab displays the sites at which the PRP is involved.  This tab is used to associate a party to a number of
sites or a site other than your "global" site without going back to the Site List. If you are associating parties with the
"global" site, you don't need to go to this tab. Just go back to the Summary tab to save your data and associate the party to
the site.

1.   To access the Associated Sites tab, double-click on the Sites field on the Summary tab, or click on the Associated Sites
    tab.

2.   To see if a site has already been associated with the party, click in the Find field at the top of the 'Sites Party is Already
    Associated With' box.  The closest alphabetical match will be displayed.

3.   To search for a site with which you wish to associate the party, click in the Find field at the top of the 'All Sites in
    Current Region' field.  The closest alphabetical match will be displayed.

4.   To associate the party, highlight (click once) the desired site in the 'Associate Party with Additional Sites' field and click
    the Associate button. The Involvement tab is displayed.
                   VPaity Information
        Sites party
        is already
        associated
        with
   Other sites in the
   Region
                    Party Name: f)UPONT
                                                    Originating Region:  01
                    Summary Party Details Associated Sites Involvement Substance Enf. History  Contacts
                    Sites Party is Already Associated With:
                                                Region  State  Spill ID
There are 1 site available.
                    Associate Party with Additional Sites:
                     #1 OLD SANITARY LANDFILL TILLMAH ROAD

                     #1 RAUUE UNDER LAKE MONROE

                       FELGER ROAD DUMP
There are 7595 sites available.
                                                                             Find
                                                                             fields
                                                                                                \Click Associate
                                                                                                  to associate the
                                                                                                  party with the
                                                                                                  site you selected.
  Last Required Update: March 2003 (Version 3.13)

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                                                                                       Quick Reference Guide
 Party Information
    e Involvement Tab
The Involvement tab allows the user to enter information on how the party is involved with the site.

1.   To access the Involvement Tab, double-click on the Sites dropdown list on the Summary tab, click the Associate button
    on the Associated Sites tab, or click on the Involvement tab.

2.   You are required to choose at least one Involvement Type. To select the Involvement Type, click in the appropriate box.
    A check mark will be displayed.  If you choose "Other Involvement Type," the system requires you to select an "Other
    Involvement Type" from the drag and drop box on the right.  To do this, highlight (click once) the desired "Other
    Involvement Type" on the left side of the screen and click the right arrow button or drag and drop the value into the
    Selected Types box.  If you try to save your changes without indicating an "Other Involvement Type," a message will
    appear reminding you to select this field.
                        Party Information
   Check one of
   the
   Involvement
   Types
                        Party Name: [SEASHELLS INC

                        Summary  Party Details I Associated Sites Involvement
                                                          Substance
                                                Originating Region: | 01

                                          Enf. History Contacts Comments
                                   site: IMEHDEHHALL MERCURY SITE
-Involvement Type	
 ^-eSher    W Transporter!  F 104E
 [~~ Operator  \~ Generator   [~~ Other
         Type the
         beginning and
         ending
         involvement
         dates in these
         fields
          Select an
          identification •
          source from
          the dropdown
          list
 F Hon-Settlor F Noticed/Enf Action
 F Hot PRP Determination Made
-Inuoluement Dates	
 BegimMrigT lQQjlDO/0000  Ending: (00/00
Identification Source:
Identified Date:    |00.<00.<00(IO
Involvement Comments:
                                                       Other Inuolu Types:
                                                                         Selected Types:
Adjacent Property ^
Attorney - federal
Attorney - municir. T |  i
                                                       Financial Viability:
                                                                         Selected Viability:
                               Basis of Liability:
                                                Selected Basis:
                                Current Owner  *
                                De micromis party
                                De minimis p
Other Involvement
Type drag and
drop field
                                        Financial
                                        Viability
                                        drag and
                                        drop box

                                        Basis of
                                        Liability
                                        drag and
                                        drop box
    Below the Involvement Types are three check boxes: Non-Settlor, Noticed/Enforcement Action and Not PRP
    Determination Made.  The Noticed/ Enforcement Action box indicates that the party has been sent a general or special
    notice letter or has been associated with an enforcement instrument or litigation action.  If you associate the party with a
    General or Special Notice Letter, Litigation action, or Enforcement Instrument, WasteLAN will automatically check the
    Noticed/Enforcement Action box.

    NOTE: Users cannot uncheck the Noticed/Enf Action box after it has been system generated or has been saved. Parties
    where the Noticed/Enf Action box has been checked are snapshot to the national database and the other regions.
 Last Required Update: March 2003 (Version 3.13)

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                                                                                 Quick Reference Guide
 Party Information
4.   The Not PRP Determination Made checkbox indicates that determination has been made that the party is not a PRP.
    Similar to the Noticed/Enf Action checkbox, the Not PRP Determination Made checkbox can be manually entered or
    system generated. WasteLAN will automatically check in the Not PRP Determination Made box if you check "Other"as
    the only Involvement and select "Prospective Purchaser" as the only Other Involvement Type.  If the checkbox is system
    generated, a message will pop up alerting you that the box has been checked. You can uncheck the Not PRP
    Determination Made box at anytime.

    NOTE: Once a party has been snapshot it will always be available in the National database even if you later decide a
    party should not have received a notice letter or you make a determination that a party is not a PRP and check the Not
    PRP Determination Made checkbox.

5.   The Involvement tab also contains data fields to indicate the Basis of Liability and the Financial Viability of the party.
    These fields are drag and drop fields so that several selections may be made.  To select a value in any of these drag and
    drop boxes, highlight the desired item in the 'Financial Viability' box or the 'Basis of Liability' box and click the right
    arrow button or drag and drop it from the left box to the right box.
r/,
e Substance Tab
The Substance tab allows you to associate the party with the wastes at a site.

1.   To access the Substance tab click on the Substance tab.

2.   To add a substance,  click the Add button. You can enter a waste by selecting a Waste ID or Waste Name from the
    dropdown lists, or typing the substance name in the Substance Name field. If you select a Waste ID the system will
    display the Waste Name and vice versa.
                        Party Name:  fARTY NAME
                                                                   Originating Region:  01
       Select a
       WastelD or
       Waste Name
       from the
       appropriate
       dropdown list
                    Summary I Party Details I Associated Sites  Involvement  Substance Enf. History I Contacts

                                 site: ^HVIROCHEM CORP.
                                     Waste Name
                                                                                           Click this
                                                                                           button to
                                                                                           add a
                                                                                          ^substance
 Last Required Update: March 2003 (Version 3.13)

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                                                                                  Quick Reference Guide
 Party Information
U
sing the Enforcement History Tab
The purpose of the Enforcement History tab is to enter confidential information on your enforcement experiences with a
party.

1.  To access the Enf History tab click on this tab.

2.  The information on the top of the tab is automatically filled based on your User information.  The arrow keys on the
   bottom right of the screen allow you to scroll through multiple entries. The History Records field shows how many
   entries there are for the party. The enforcement history is shared with all regions.

3.  To enter comments on your experiences with the party, click in the Confidential Enforcement History field and begin
   typing.

4.  To add a new record, click the Add button and enter the appropriate information. To delete an existing record, click the
   Delete button.
    WasteLAN
    User
    information
      Enter
      Enforcement
      History
      Information in
      this free form
      text field
                          Party Name: f>ARTV NAME                                   Originating Region: | 01

                         Summary Party Details  Associated Sites  Inuoluement Substance  Enf. History  Contacts Comments
                        WasteLAN User -
                         Name:  [Joan Powers
                        Internet:  |
Phone: [)
Fax:   ITT
                          Confidential Enforcement History (Agency Use Only):    Created Date: |  07/20/2000
                          History Recon
                                                         This information is shared nationally.
                                                                                  I
                                                                                   Add
                                    Use scroll
                                    bars to
                                    scroll
                                ^.through
                                    records
 Last Required Update: March 2003 (Version 3.13)

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                                                                                Quick Reference Guide
 Party  Information
Contacts Tab

On the Contacts tab, you can enter information about people related to a party, for example, the party's attorney. The tab is
the same as the Name List screen in WasteLAN. However, the only roles you will see are those related to a party. You must
select a role for the contact by choosing one from the dropdown list.

1.  To access the Contacts tab, double-click in the Contacts field on the Summary tab, or select the Contacts tab.

2.  Enter the contact's name and address information and select a role. To see all the contacts for the party, use the arrows at
   the bottom of the screen.

3.  To add a new contract click the Add button and enter the appropriate information. To delete an existing contact, click the
   delete button.
                     ' vParly Information
                      Party Name:  fflRTY NAME                              Originating Region: |~01

                      Summary | Party Details ] Associated Sites j Involvement ] Substance Enf. History Contacts | Comments

                                Site: ^NVIROCHEM CORP.



Last Name:
Title:
Company:
Address:

City, ST, ZIP:
Phone #1:
Fax:
Role:








1 _TJ 1 -
[ ) - Phone #2: |t ) -
( ) - Internet: |
3
                                               NJ_
                                       Use the scroll bars
                                       to scroll through the
                                       Contacts
Click the Add or
Delete buttons to
add or delete a
Contact
 Last Required Update: March 2003 (Version 3.13)

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                                                                            Quick Reference Guide
 Party Information
(Comments Tab

The Comments tab allows you to enter comments about the party. The comments are not site specific and can only be
viewed in your region.  If you wish to make comments about a party that are specific to a site, you can do that on the
Involvement tab.

1.  To access the Comments tab click on the Comments tab.

2.  To enter comments about the party click in the Party Comments field and begin typing.
I                               Party Name: pARTY HAME                      Originating Region: | 01

                              Summaiy Party Details Associated Sites I Inuolvement I Substance Enf. History 1 Contacts Comments
                               Party Comments (This information is not shared nationally):
          Enter Comments here
Exiting the Party Information Screens

To exit the Party Information screens and save the site association and the information on the party, you must go back to
the Summary tab. Clicking the OK button will bring up a message asking if you want to save your changes.  Click Yes to
save your changes and exit the Party Information screens.
 Last Required Update: March 2003 (Version 3.13)

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PRP SEARCH ENHANCEMENT TEAM
      September 28, 2009
Reaion

Region 1
Region 2
Region 3
Region 4
Region 5
Region 6
Region 7
Region 8
Region 9
Region 10
Headquarters
Headquarters
Headquarters
Headquarters
Headquarters
Team Member

James Israel
(p) (617) 918-1270
Carol Berns
(p) (212) 637-3177
(f) (21 2) 637-31 04
Carlyn Prisk
(p) (21 5) 81 4-2625
(f) (21 5) 81 4-3005
Herb Miller
(p) (404) 562-8860
(f) (404) 562-8842
Blake Sterling (Alt.)
(p) (404) 562-8852
Gladys Watts
(p) (312) 886-7591
Fouad Dababneh (Alt.)
(p) (31 2) 353-3944
Courtney Kudla
(p) (21 4) 665-8008
Robert Werner (Alt.)
(p) (21 4) 665-6724
Cheryle Micinski
(p) (913) 551-7274
(f) (91 3) 551-7925
Norma Tharp (Alt.)
(p) (913) 551-7076
Mike Rudy
(p) (303) 31 2-6332
Monika O'Sullivan
(p) (41 5) 972-31 11
(f) (41 5) 947-3520
Susan Haas
(p) (206) 553-21 20
Grechen Schmidt (Alt.)
(p) (206) 553-2587
Nancy Deck, Team Leader
(p) (202) 564-6039
(f) (202) 564-0074
Monica Gardner, Manager
Advisor
(p) (202) 564-6053
Clarence Featherson
(p) (202) 564-4234
(f) (202) 501-0269
Eric French
(p) (202) 564-0051
(f) (202)564-0074
Stephen Keim
(p) (202) 564-6073
(f) (202)564-0074
Address

U.S. EPA, Region 1
One Congress Street, Suite 1100 (HBS)
Boston, MA 02 11 4-2023
Office of Regional Counsel
290 Broadway, 17th Floor
New York, NY 10007-1866
Office of Enforcement and Cost Recovery
1650 Arch Street (3HS62)
Philadelphia, PA 19103
Superfund Enforcement and Information
Management Branch
Waste Management Division
61 Forsyth Street, S.W.
Atlanta, GA 30303
Remedial Enforcement Services Section
77 West Jackson Blvd. (SR-6J)
Chicago, IL 60604
Cost Recovery Section
Superfund Division (SF-TE)
1445 Ross Avenue (Fountain Place)
Dallas, TX 75202-2733
USEPA Region 7
Regional Counsel
901 North 5th Street
Kansas City, KS66101
Office of Enforcement, Compliance, and
Environmental Justice
(8ENF-RC)
999 18th Street, Suite #303
Denver, CO 80202-2466
Case Development and Cost Recovery
Superfund Division
75 Hawthorne Street
San Francisco, CA 94105
1200 6th Avenue
(M/SECL-110)
Seattle, WA 981 01
Office of Site Remediation Enforcement
1200 Pennsylvania Avenue, N.W. (2273-A)
Washington, DC 20460
Office of Site Remediation Enforcement
1200 Pennsylvania Avenue, N.W. (2273-A)
Washington, DC 20460
Office of Site Remediation Enforcement
1200 Pennsylvania Avenue, N.W. (2272-A)
Washington, DC 20460
Office of Site Remediation Enforcement
1200 Pennsylvania Avenue, N.W. (2273-A)
Washington, DC 20460
Office of Site Remediation Enforcement
1200 Pennsylvania Avenue, N.W. (2273-A)
Washington, DC 20460

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              Potentially Responsible Party Internet Information Sources
                                           (PRPIIS)


Table of Contents
Business Information	2
EPA Resources - Public	7
EPA Resources - Internal	9
Directories	 10
Financial Information	 13
Government Agencies	 14
Government Directories	 17
Investigative Tools	 18
Law, Legal Sites	20
Libraries and Public Information	22
Maps and Aerial Photos	24
Real Property	26
Technical Information	27
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           Potentially Responsible Party Internet Information Sources
                                  (PRPIIS)
Business Information
Annual
Reports and
SEC filings
Bankruptcy
Compliance
Information
Annual
Report
Service*

10K
Wizard*
U.S.
Securities
and
Exchange
Commission
American
Bankruptcy
Institute*
Public
Access to
Court
Electronic
Records
(PACER)*
Occu. Safety
and Health
Admin.
(OSHA)
http://www.annualreportservice.com/


http ://www. 1 OKWizard. com

http ://www. sec. sov/edsar/searchedsar/webusers.htm

http ://www.abiworld. org/

http://pacer.psc.uscourts.gov/
http://www.osha.sov/pls/imis/establishment.html

Free directory of online annual reports.

Search for company SEC filings.
Subscription required.
Company information, shareholder
information, and SEC filings including annual
reports.
Numerous online resources including
headlines, news, meeting information, court
opinions and other bankruptcy info.
Subscription is required.
Access to federal court documents.
Registration is required. Fees are generally
$.08 a page.
Search for information on OSHA inspections
and violations.
  Denotes a fee for service
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                 Potentially Responsible Party Internet Information Sources
                                                   (PRPIIS)
Company
Profiles and
Information
American
Business
Directory
                Corporate
                Information
                Dun and
                Bradstreet*
                Hoovers
                Online
http://library.dialog.com/bluesheets/html/bl0531 .htm
             http ://www. corporateinformation. com/
             http://www.dnb.com
             http ://www.hoovers. 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.
                                               Search for business and financial 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 fmancials and links to websites.
                                              Free snapshot reports and more
                                              comprehensive reports available for a fee.
Corporate
Affiliates
Dun and
Bradstreet*
http://www.dnb.com
                Lexis
                Corporate
                Affiliations*
             http://www.corporateaffiliations.com/
Financial information on many companies.
                                              Database of relationships between companies.
Corporate
Financial
Information
Hoovers
Online
http ://www.hoovers. com
                Motley Fool
             http://www.fool.com/
Financial information on many companies.
                                              A variety of financial information.
   Denotes  a fee for service
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          Potentially Responsible Party Internet Information Sources
                                 (PRPIIS)

Corporate
Records
International
Business
Mergent
Yahoo!
Finance
Government
Files
Online*
National
Association
of
Secretaries
of State
Search
Systems
Coordinated
Legal.com
British
Columbia
Assessment
Canadian
government
Canadian
Stock
Exchange
Corporate
Information
http://www.mergentonline.com

http://fmance.yahoo.com/
http ://www. governmentfilesonline. com/search/

http://nass.org/index. php?option=com content&task
=view&id=89&Itemid=l
http://www.searchsvstems.net/list.php?nid=ll

http://www.coordinatedlegal.com/SecretarvOfState.
html

http://www.bcassessment.bc.ca/

http://www.canada.gc.ca/main e.html

http ://www. sedar. com/

http ://www. corporateinformation. com/

A variety of tools available.
Financial news and information.
This site provides links to Secretary of State's
Offices. It offers a "free one day
membership" but otherwise charges a hefty
fee.
National SOS organization. Provides links to
every State.
Free link to public records by state, county, or
city.
Similar to NASS, provides a link to the
Secretary of State in each State as well as
information about the cost.
Property ownership in British Columbia.
Information on the Canadian government.
Access to most public securities documents
and information filed by public companies in
Canada.
Search for information about companies in 55
different countries.
Denotes a fee for service
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          Potentially Responsible Party Internet Information Sources
                                 (PRPIIS)

Manufacturing
information
News
Industry
Canada
Candian
Business
Kompass
Mergent
Online*
Ministry of
Mining
Oncorp
Direct
UK
Business
and Finance
Industry
guide
Business
Week
Journal of
Business
http : //stratesi s . i c . sc . ca/csi -
bin/sc mrksv/corpdir/dataOnline/search.csi?lans=e

http://www.ic.sc.ca/app/ccc/srch/cccBscSrch.do71an
s=ens&prtl=l.

http://www.kompass.com

http://www.mergentonline.com/

http://www.em.sov.bc.ca/Minins/Geolsurv/Publicati
ons/catalos/cat arpts.htm

http://www.oncorp.com/

http://www.news-review.co.uk/

http://www.thomasresister.com/

http ://www.businessweek. com

http ://www.bizi ournal s . com/

Search for information about Canadian
companies.
Similar to Hoovers.com for Canadian
companies.
Search for information about companies from
70 different countries.
Obtain information on international
companies, including annual reports.
Mining reports from the British Columbia
Ministry of Mining.
Search for information about Canadian
companies.
Information on British based companies.
Registration is required but free.
Search by product service, company name,
brand name or industry.
A weekly business news magazine that has an
online issue with the information more
frequently updated.
This is nation's largest publisher of
metropolitan business journals and updates
websites for 41 print business journals.
Denotes a fee for service
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          Potentially Responsible Party Internet Information Sources
                                 (PRPIIS)

Local
business
news
TheStreet
Wall Street
Journal
http://www.dbusiness.com/

http ://www.thestreet. com

http://www.wsi .com

Covers business news and information for 50
local markets nationally.
Investment news.
International market and economic news.
Denotes a fee for service
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           Potentially Responsible Party Internet Information Sources
                                  (PRPIIS)
EPA Resources - Public
Administrative Record on
the Web
Compliance and
Enforcement
Economic Models
Environmental Response
Team
Environmental Terms and
Acronyms
EPA Libraries
Finding Potentially
Responsible Parties
Hazardous Waste Clean Up
Information
Links to State
Environmental Agencies
National Enforcement
http://losserhead.epa.sov/arweb/public/advanced se
arch.jsp
http://www.epa.sov/compliance/

http://www.epa.sov/compliance/civil/econmodels/

http://www.ert.ors/

http://www.epa.sov/OCEPAterms/

http://www.epa.sov/natlibra/ols.htm

http://www.epa.sov/compliance/cleanup/super
fund/find. html
http://www.clu-in.ors/

http://www.epa.sov/epahome/state.htm

http://www.neti online, com/
EPA's Superfund Administrative Record
Database.
EPA's Compliance and Enforcement
website.
EPA's link to all financial computer models,
which evaluate a PRP's ability to pay clean
up costs.
EPA's Environmental Response Team's
website.
A glossary of environmental terms,
abbreviations and acronyms.
Provides the ability to search EPA libraries
for specific information and/or publications.
Search for parties that have received
General or Special Notice of liability at
Superfund Sites. This resources its
information from CERCLIS.
Provides information about innovative
treatment and site characterization
technologies to the hazardous waste
remediation community.
EPA's web link to state environmental
Agencies.
Listing of classes that are provided by EPA's
  Denotes a fee for service
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          Potentially Responsible Party Internet Information Sources
                                 (PRPIIS)
Training Institute (NETI)
National Locator
National Priority List
OSC website
PRP Search Manual
Superfund
Enforcement Directory
(SFED)
Superfund
Enforcement
Documents
Superfund Information
System (CERCLIS)
Where You Live Site

http ://cfpub . epa. gov/locator/index.cfm
http ://www. epa. sov/superfund/sites/npl/frli st. htm

http://www.epaosc.ors

http://www.epa.sov/compliance/cleanup/super
fund/prpmanual .html
http ://cfpub . epa. sov/compliance/sfed/
http ://cfpub .epa. sov/compliance/resources/pol
icies/cleanup/superfund/
http ://cfpub . epa. sov/supercpad/cursites/srchsit
es.cfm
http://www.epa.sov/epahome/wherevoulive.ht
m
enforcement training institute.
EPA's electronic phone book.
Provides information concerning sites that
are proposed, listed and/or deleted from the
National Priorities List.
EPA's web site for Removal Actions.
Link to EPA's PRP Search Manual.
EPA Superfund Enforcement Directory.
It can be searched by Region or by area
of expertise.
Link to Superfund guidance documents.
Publicly available access to EPA's
Superfund Information System.
Link to various web locations that
provide information concerning the
location of hazardous substances within
a community.
Denotes a fee for service
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                 Potentially Responsible Party Internet Information Sources
                                                  (PRPIIS)
 EPA Resources - Internal
Office of Site Remediation
Enforcement
http://intranet.epa.gov/oeca/osre/index.httnl
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
Remediation Enforcement.
Office of Superfund
Remediation and Technology
Innovation
http ://intranet. epa. gov/oerrinet/
Office of Superfund Remediation and
Technology Innovation main website.
CERCLA Enforcement
Project Manager Handbook
http://intranet.epa.gov/oeca/osre/documents/hbk-pdf/
The link provides an overview of the roles
and responsibilities of the remedial project
manager and the on-scene coordinator
(RPM/OSC) in identifying and
communicating with PRPs; coordinating with
communities, states, tribes, and natural
resource trustees; negotiating agreements for
site cleanup; initiating administrative 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. gov/oeca/osre/documents/internal.
html#104
Links to EPA Information request letters and
standard questions.
   Denotes a fee for service
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           Potentially Responsible Party Internet Information Sources
                                   (PRPIIS)
Directories
All-purpose
directories
Credit
Reports
Bigfoot
Freeality
Infobel
Search Systems
Starting Page
Superpages
Switchboard
Whowhere
Experian
http://www.bisfoot.com/

http://www.freealitv.com/fmdc.htm

http://www.infobel.com/teldir/

http://www.searchsvstems.net/

http://www.startingpase.com/html/lookup.html

http ://vp 1 0. superpases. com/

http ://www. switchboard, com

http ://www. whowhere. com

https://www.infolookup. experian.com/metronet*

Email, white pages, yellow pages
and reverse searches are available.
Search public records by category or
state or nationwide.
Find anyone anywhere in the world.
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
Personal and Business Directory.
White and yellow pages.
Credit Reports, business searches,
and personal searches.
  Denotes a fee for service
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          Potentially Responsible Party Internet Information Sources
                                 (PRPIIS)
Email
addresses
Search Tips
nvironmental
Enforcement Resources
Find people-
general
Find people
comprehen-
sive
Yahoo
Semaphore
Searchbug
Westlaw*
AutoTrak XP*
Dialog*
http://mv.email.address.is/

https://rain.alacop.sov/downloadfiles/files/cvbersch.htm

http://www.vahoo.com/search/people/email.html

http://www.semaphorecorp.com/default.html

http ://www. searchbus.com/peoplefmder/

http://www.westlaw.com

http ://atxp. choicepoint. com/
http://www.dialos.com

Searches Yahoo!, Switchboard,
W.E.D, InfoSpace, and Look4U, as
well as reverse email address search
and tips on finding email addresses.
Directory of EPA, law enforcement,
and other Sites.
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.
Search for legal information, as well
as parties to lawsuits. Your legal
office may have an account.
Search for business or personal
information with an address or
name. This service was previously
known as ChoicePoint.
Search for business information.
Denotes a fee for service
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          Potentially Responsible Party Internet Information Sources
                                 (PRPIIS)

Reverse
Directories
Public Data*
Anywho
Reverse address
directory
Reverse phone
directory
Search Engines
Toll free
numbers
Zip codes
A&T
USPS
http://www.publicdata.com

http : //www. anv who . com/rl . html

http://www.reverseaddressdirectory.com

http://www.reversephonedirectorv.com/

http://searchengine.com
http://www.tollfree.att.net/tf.html

http://www.usps.com/zip4/

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, phone.
Reverse address, phone.
Register and receive weekly updates
on search engine changes and new
search techniques.
Toll free number directory.
Find zip code for an address.
Denotes a fee for service
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           Potentially Responsible Party Internet Information Sources
                                  (PRPIIS)
Financial Information
Calculators
Financial
Models
Interest
rates;
industry
discount
rates
Investment
Information
Loan rates
Commerce Bank
EPA Enforcement
Models
Federal Reserve
MorningStar*
Bankrate.com
Bestrate.com
Quicken loans
Salary.com
http://www.commerceonline.com/fmancial cal
culators.cfm
http://www.epa.sov/compliance/civil/econmod
els/index. html

http://www.federalreserve.sov/releases

http://www.morninsstar.com/7psi d=hetabhome

http://www.bankrate.com/brm/default. asp

http ://www.bestrate. com/

http://www.quickenloans.com

http://www.salarv.com

A variety of financial calculators.
Download BEN, ABLE, INDIPAY,
MUNIPAY, and PROJECT.
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.
Current mortgage and other loan rates.
Current mortgage and other loan rates.
Salary comparisons by profession and location.
  Denotes a fee for service
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           Potentially Responsible Party Internet Information Sources
                                 (PRPIIS)
Government Agencies
Bureau of Economic Analysis
Bureau of Prisons
Census Bureau
Census Bureau (Pre-set profiles
of communities)
County Courthouses
Courts (district, appeals,
bankruptcy)
Department of Justice
(attorneys)
Department of Labor
Federal Election Commission
Federal Reserve Board
http://www.bea. sov/

http://bop.gov/
http ://www. factfmder . census . sov

http://censtats.census.gov/pub/Profiles.shttnl
http://www.senealosv.com/00000229.html7We
lcome=1085073621
http://www.uscourts.sov/links.html

http://www.usdoi .sov/usao/

http://www.bls.sov/

http://www.fec.sov/fmance/disclosure/norindse
a.shtml

http://www.federalreserve.sov/rnd.htm

Link to various economic indicators.
Link to the Bureau of Prisons. It includes the
ability to search for inmates who have been
located in federal prisons.
Link to United States census information.
Link to pre-established sets of census
information for communities in the United
States.
Link to county websites.
Link to federal court information.
Link to information on the United States
Attorney's Office.
Link to the Department of Labor. Provides
information concerning various economic
indicators.
Individual contributions.
Link to the Federal Reserve Board's economic
research information.
 Denotes a fee for service
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          Potentially Responsible Party Internet Information Sources
                                 (PRPIIS)
Financial Crimes
Network
Enforcement
Government Phone Numbers
Government Printing Office
Internal Revenue
Service
Money Service Business
National Archives
Occupational
Safety & Health
Administration
Index to site
Inspection
Information
Office of Patents*
Trademarks
Securities and Exchange
Commission (EDGAR)
US, State & Local Government
http://www.fmcen.gov

http ://www.info. sov/phone. htm

http://www.spoaccess.sov

http://www.irs.sov

http://www.msb.sov

http : //archives . sov/

http ://www. osha. sov

http ://www. osha. sov/oshstats/index.html

http://www.uspto.sov/main/trademarks.htm
http://www.sec.sov/edsar/searchedsar/companv
search.html

http://www.usa.sov/Topics/Reference Shelf. sht
ml
Main web link to the Department of Treasury's
Financial Crimes Enforcement Network.
Listing of federal state and local government
phone numbers.
Main link to the Government Printing Office.
Useful access portal to all U.S. government
publications.
Main access point for information provided by
the Internal Revenue Service.
Money Services Business link from the
Financial Crimes Enforcement Network.
Main link to the National Archives.
Main link to the Office of Safety and Health
Administration.
Link to OSHA inspection and accident
investigation information.
Main link to information concerning patents and
trademarks.
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.
Link to federal, state and local websites.
Denotes a fee for service
Page 15

-------
                Potentially Responsible Party Internet Information Sources
                                              (PRPIIS)
U.S. Bureau of Prisons
http://www.bop.gov/iloc2/LocateIntnate.isp
Locate PRP or witness who may be in a Federal
Prison
U.S. Marshals Service
http://www.usdoi.gov/marshals/
The U.S. Marshals Office can assist EPA by
serving notices and may accompany EPA staff
in questionable locations.
Find out whether an individual is a
fugitive/wanted by the U.S. Marshals using the
search tool.
   Denotes a fee for service
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           Potentially Responsible Party Internet Information Sources
                                  (PRPIIS)
Government Directories
Federal
Government
State and
local
government
FedStats
Louisiana State
University
Libraries
GovEngine.com
State and Local
Government on
the Net
USA.gov
http://www.fedstats.sov/

http://www.lib.lsu.edu/sov/fedsov.html

http ://www. sovensine. com/

http://www.statelocalsov.net/index.cfm

http ://www.firstsov. sov

Statistics from 100 government agencies.
Federal agency directory.
Federal, state and local government information.
Directory of state, county, city government
websites.
"Government made easy."
  Denotes a fee for service
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           Potentially Responsible Party Internet Information Sources
                                   (PRPIIS)
Investigative Tools
Bureau of Justice Statistics
Investigators Guide to
Sources of Information
(GAO)
National Criminal Justice
Reference Service
Personal
Property
Public
records
directory
Collect.com
EBay
Kelley Blue
Book
Kovels.com
Nada
Guides
Search
Systems*
http://www.oip.usdoi .sov/bi s/welcome.html

http://www.fas.ors/irp/sao/osi-97-2/soi ch4.htm

http://www.nci rs. sov

http://www.collect.com/

http://www.ebav.com/

http ://www.kbb . com/

http://www.kovels.com/

http://www.nadasuides.com/

http ://www. searchsvstems.net

Crime statistics and court statistic information;
no individual or company information.
Lists and describes investigator and law
enforcement databases; no links to databases;
can be found by using Google.
Federally funded resource offering justice and
substance abuse information.
Antiques, collectibles values. Registration
required.
Online auction.
Car values.
Antiques, collectibles values. Registration
required.
Car, boat, RV, motorcycle, mobile home
values.
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
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              Potentially Responsible Party Internet Information Sources
                                           (PRPIIS)
Regional Information
Sharing Systems*
http://www.iir.com/riss/
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 19

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           Potentially Responsible Party Internet Information Sources
                                  (PRPIIS)
Law, Legal Sites
Code of Federal
Regulations
Code of Federal
Regulations, Federal
Register, and more
Federal Acquisition
Regulation
Federal Register
Lawyers
Legal
research
pages
Martindale
locator
Find a
lawyer
Bar
associations
Westlaw
http://www.access.spo.sov/nara/cfr/cfr-table-
search.html

http://www.heinonline.ors/HOL/Welcome7collec
tion=fedres

http ://www. arnet. sov/far

http://www.spoaccess.sov/fr/index.html

http://www.martindale.com

http://www.fmdlaw.com

http://www.bestcase.com/statebar.htm

http://www.westlaw.com

Searchable CFR database from 1996.
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.
FAR regulations and GSA forms library.
Federal Register from 1994 with links to
libraries for FRs prior to 1994.
Find a lawyer.
Find a lawyer.
State bar association links.
Online legal research service for legal and law
related materials and services.
  Denotes a fee for service
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          Potentially Responsible Party Internet Information Sources
                                 (PRPIIS)

Legislation
pending in
Congress;
votes, bills,
laws
Lexis
Senate
House
Legislative information
Supreme Court Decisions
U.S. Code
U.S. House
Cornell
University
U.S. Courts
http://www.lexis.com

http ://www. senate, sov

http://www.house.sov

http://thomas.loc.sov

http://supct.law.cornell.edu/supct/index.html
http://uscode.house.sov

http://www.law.cornell.edu/uscode/
http ://www.uscourts. sov/courtlinks/

Comprehensive databases of law, business,
public records and news. Your legal office
may already have an account. *
U.S. Senate.
U.S. House of Representatives.
Bills, resolutions, congressional record,
committee reports, searchable by bill text.
Supreme Court decisions, briefs, links to briefs,
oral argument recordings 1990 - present.
U.S. House of Rep.; searchable code from
1988; link to Federal Register.
Searchable U.S. Code.
Links to all U.S. Courts. Documents are
available using PACER.
Denotes a fee for service
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           Potentially Responsible Party Internet Information Sources
                                  (PRPIIS)
Libraries and Public Information
Almanacs
Environmental News
Environmental
Research Foundation
Library of Congress
Linda Hall Library
News-
papers
News
Choice
Newspaper
Link
http://www.infoplease.com/index.html

http : //www. earthvi si on . net/

http://www.rachel.org/home eng.htm

http://lcweb.loc.gov
http ://www.lindahall . org

http://www.newschoice.com

http://www.newspaperlinks.com

Miscellaneous information.
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.
Web site under repair as of 5/15/07.
Largest library in the work; services include
Ask a Librarian, photo duplication; see FAQs.
Library of science, engineering and
technology; document delivery services;
searchable catalog; reference and search
services.
Selected newspaper links in selected states.
Links to all major newspapers; search by state,
no logins.
  Denotes a fee for service
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          Potentially Responsible Party Internet Information Sources
                                 (PRPIIS)
National Archives
Non-Profit Entities
Public Records Search
U.S.
Geological
Survey
Earth
Sciences
Library
http://www.nara. sov

http ://www.suidestar. ors/

http ://www.brbpub .com/pubrecsites. asp

http ://library .usgs. gov/
Searchable databases of historical information.
Web link that provides information concerning
non-profit entities.
Public records databases by state; links to free
databases (similar to Search Systems before it
became a pay service).
The largest earth science library in the world.
Denotes a fee for service
Page 23

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           Potentially Responsible Party Internet Information Sources
                                  (PRPIIS)
Maps and Aerial Photos
Enviromapper
Freeality.com
Geography network
Google Earth
Google Maps
Mapquest
Microsoft Maps Live
NationalAtlas.gov
Terraserver.com
U.S. National
Geological Geologic Map
Survey Database.
http://www.epa.sov/enviro/emef/

http://www.freealitv.com/maps.htm

http://www.seosraphvnetwork.com/maps/index.ht
ml
http : //earth . soosl e . com/

http://maps.google.com/maps
http ://www.mapquest. com/

http://maps.live.com/
http : //nati onal atl as . gov/
http://terraserver.microsoft.com/
http://nsmdb.usss.sov/nsmdb/nsm catalos.ora.htm
1
U.S. EPA's interactive maps and aerial
photography to display facility-based
information from the Envirofacts Warehouse.
Directory of map-related sites.
Static, browser and GIS-access maps.
Satellite imagery, maps, terrain and 3D
buildings. Free service but requires a software
download.
Maps and directions. Limited aerial photos.
Maps and directions.
Similar to Google Earth. View 3d aerial photos,
maps, and more. Free service but requires a
software download.
Maps of North America.
Aerial photos - Search by address or longitude &
latitude.
National Geologic Map Database. Search USGS
maps.
  Denotes a fee for service
Page 24

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          Potentially Responsible Party Internet Information Sources
                                 (PRPIIS)

National Map
USGS
national map
viewer -
http://nationalmap.gov/
http://nmviewogc.cr.usgs.gov/viewer.htm
Information on the USGS National Map.
View the USGS National Map.
Denotes a fee for service
Page 25

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           Potentially Responsible Party Internet Information Sources
                                  (PRPIIS)
Real Property
ABC's of Real Estate
DataQuick*
HomeSeekers.com
Netronline.com
RealEstate.com
Rent-O-Meter
ZWillow
http ://www.realestateabc. com/

http ://www. dataquick.com/

http://www.homeseekers.com/

http://www.netronline.com/

http://dowjones.homepricecheck.com/
http ://www. rentometer. com

http://www.zillow.com/?kws=zwillow

Real estate and mortgage resources.
Real property ownership, appraisal information.
Residential property sales and value information.
Real estate information and public records
search.
Residential property sales and value information.
Residential rental comparison.
Real estate information and property values.
The information available varies by region
searched.
  Denotes a fee for service
Page 26

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           Potentially Responsible Party Internet Information Sources
                                  (PRPIIS)
Technical Information
Agency for
Toxic
Substances
and
Disease
Registry
(ATSDR)
CERCLA
Hazardous
Substances
Hazardous
Substances
Cleaner Solutions Database
Efunda (Engineering
Fundamentals)
Envirofacts Master
Chemical Integrator
Material
Safety Data
Sheets
(MSDS)
Product Name
Manufacturer
Military specification
lubricant products
http://www.atsdr.cdc.sov/cercla/

http://www.atsdr.cdc.sov/toxfaq.html

http://www.cleanersolutions.ors/?action=vendor search&pa
se=0& submit=Submit& sortbv=product& sortasc= 1

http://www.efunda.com/processes/processes home/process. c
fin
http ://www. epa. sov/enviro/html/emci/chemref/

http://www.setonresourcecenter.com/MSDS/search.html

http://www.setonresourcecenter.com/msds/docs/wcdOOOOO/
wcd00014.htm

http://www.mtpinc-
exporter.com/chemicals/chem mil spec. htm

Hazardous substance and toxicological
information.
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.
Search the EMCI Chemical References
Web Pages.
MSDS search by chemical, product
name.
MSDS search by manufacturer name.
Listing by specification number and
title of specification.
  Denotes a fee for service
Page 27

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          Potentially Responsible Party Internet Information Sources
                                 (PRPIIS)
National Library of
Medicine
Radiochemistry Society
Toxnet- Toxicology Data
Network
US Metric Association
http://sis.nlm.nih.gov/enviro.html

http://www.radiochemistry.org/periodictable/
http://toxnet.nlm.nih.gov/

http://lamar.colostate.edu/~hillger/evervdav.htm

Environmental health and toxicology
information. Also, access to TOXNET,
a collection of databases on hazardous
chemicals, toxic releases, and
environmental health.
Periodic table.
Data on toxicology, hazardous
chemicals, environmental health, toxic
releases.
Metric conversions.
Denotes a fee for service
Page 28

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                                ^DIVIDUAL AMLITYTOPAYCLAm
                                       Financial Data Request Form


This form requests information regarding your financial status. The data will be used to evaluate your ability to pay
for environmental cleanup or penalties. If you need more space for your answers, please attach additional sheets of
paper.  Note that further documentation may be requested of any of your responses.  Any other information you wish
to provide supporting your case is welcome, particularly if you feel your situation is not adequately described
through the information requested here.


                                               Certification

Under penalties of perjury, I declare that this statement of assets, liabilities, and other information is true, correct,
and complete to the best of my knowledge and belief. I further understand that I will be subject to  prosecution by the
U.S. Environmental Protection Agency to the fullest extent possible under the law should I provide any information
that is not true, correct, and complete to the best of my knowledge.
Signature:

Name:

Spouse's Name:

Names of Additional Household Members:
           Date:
Street Address:

City:

County:
State:
Zip:

-------
                            Household Members' Income
       income that household members earn andjirovide tax returns for last three years.
Name
Gender
jEmrjloyer
                              self
                                         srjouse_
 For income
\period, specify
I either Weekly,
I Monthly,
 Quarterly, or
 Yearly.
Gross (Pre-Tax) Income
Sales Commissions
Investment Income
Net Business Income
Rental Income
Pension Income
Alimony
Other (attach description)
 W
M  Q
Y

-------
Household Living Expenses
List household living expenses typical of last year, indicating if any are likely to change significantly in the current
year. If you own an operating business, exclude any business expenses; instead, attach any available financial
statements for your business.

Expense
Rent
Home maintenance
Transportation (inc. auto maint.)
Home heating oil, gas, etc.
Electricity
Water & sewer
Telephone
Food
Clothing, personal care
Medical (other than premiums)
Mortgage payments (principal and interest only)
Car payments
Credit card interest
Educational loan payments
Other debt payments
Home insurance
Life insurance
Auto insurance
Medical insurance
Property taxes
Federal income taxes (net of any refunds)
State & local income taxes (net of any refunds)
PICA
Other taxes
Childcare
Tuition
Legal or professional fees
Other (attach description)
Amount




























Period
W




























M




























0




























Y





























-------
Net Worth
Provide the following information to the best of your ability. Data should be as current as possible. Estimates are
acceptable; if you wish note such items with an "E". If you are the sole proprietor of a business, please list business
assets and liabilities to the extent that the information sought is not already provided in your tax returns, in addition
to personal assets and liabilities. Mark these entries with a "B" to identify them as business assets and liabilities.

Bank Accounts
Assets
Balance
Checking, NOW, Savings, Money Market, CDs etc.





Financial Investments (stocks, bonds, etc.)





Retirement Funds and Accounts





Market Value





Market Value
IRA, 401(k), Keogh, vested interest in company retirement fund, etc.





Life Insurance Policies (with cash value)





Cash Value
Whole life, universal life, etc.




Vehicles Used for Commuting




Market Value
Liabilities




Loan Balance
Cars, trucks, motorcycles, etc.: list up to two vehicles used for commuting purposes.


Vehicles (other than for commuting)


Market Value


Loan Balance
Cars, trucks, motorcycles, recreational vehicles, motor homes, boats, airplanes.





Primary Residence

Real Estate (other than primary residence)





Market Value

Market Value





Mortgage Balance

Mortgage Balance
Lands, buildings, land with buildings.



Comments



































-------



Personal Property



Market Value



Debt Balance




Household Goods and Furniture, Jewelry, Art, Antiques, Collections, Precious Metals, etc.; list only items with a
value greater than $500.





Credit Cards and Lines of Credit





Other Debts and/or Assets





Market Value





Balance Due





Debt Balance











Any other assets and any debts on those assets, plus any other debts owed to individuals, fixed obligations, taxes
owed, overdue alimony or child support, etc.





















-------
                                         Additional Information
For any question that you check off as applicable, provide additional information below or on separgtejyqges.
Reason to believe financial situation will change during the next year?
Currently selling or purchasing any real estate?
Property held by other person/entity on applicant's behalf?
Party in pending lawsuit (other than this enforcement action)?
Any belongings repossessed in last three years?
Is applicant a Trustee, Executor, or Administrator?
Participant or beneficiary of estate or profit-sharing plan?
Declared bankruptcy in last seven years?
Receive any type of federal aid or public assistance?	

-------
                                  Ability To Pay
                     Individual Request for Information

1.      Please complete and sign the following forms.
•             IRS Form 8821
•             INDIPAY Data Request Form

2.  Please provide the following:

       a. A substantive statement with supporting information which explains the specific
       reason(s) why you are claiming an inability to pay the proposed penalty. If supporting
       information is being provided as part of EPA's request (items 2.b. - 2.j.), please indicate.

       b. Federal Tax Returns True, complete and signed copies of your federal tax returns
       for the years	,	,	- the review period.

       c. Annual Financial Statements If you own a business, provide true and complete
       copies of annual financial statements, including but not limited to, an Income Statement
       and Balance Sheet.  If available, also provide Cash Flow and Expense Statements.  The
       fiscal years provided should coincide with the tax year returns requested above.

       If an outside CPA prepares the financial statements, please provide, in order of
       preference, audited, reviewed, or compiled financial statements, and include any attached
       notes. If an outside CPA does not prepare these statements,  then your internally
       generated annual financial statements for your business activities should be provided. In
       the event that final financial statements are not yet ready for a recently completed fiscal
       year, then provide a draft copy.

       d. Year To Date Financial Statement If more than three months have elapsed from the
       end of your business' most recently completed fiscal year, please provide year-to-date
       financial statements for your business through the end of the most recent prior month; at
       a minimum, provide the income statement and balance sheet. If no tax return has been
       completed for the most recent tax year, financial statements for that year should also be
       included.

       e. Litigation Provide a statement (with relevant details) as to whether you or your
       business currently is, or anticipates being a party to, any litigation which has not been
       noted in the most recent financial statement and which could impact your financial
       situation.

       f. Financial Settlements Provide a statement with relevant  details as to whether you or
       your business  currently is, or anticipates, receiving or paying a financial settlement which
       has not been noted elsewhere or in the most recent financial  statement.
ATPIndividualRequest.wpd

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                                  Ability To Pay
                     Individual Request for Information

       g. Company Control and Affiliations For the period under review, to the present,
       provide a statement to indicate whether you controlled, or are affiliated with, any other
       entity, domestic or foreign. For each entity named, provide the names of senior officers
       and board of directors, type of control or affiliation (e.g., provides
       administrative/financial/marketing services), and describe the percentage of ownership
       and means of control.

       h. Insurance  Provide a statement as to whether you or your business had any liability
       insurance in effect during the review period which provided or would provide coverage
       for this specific environmental issue. If 'Yes', provide a true and complete copy of each
       policy.

       i. Market Conditions If you or your business claims that market conditions are a factor
       in your inability to pay claim, provide supporting information to  substantiate any such
       claim(s).

       j. Other Assets Do you have a financial or beneficial interest in, or control of, any asset,
       domestic  or foreign, that has not been identified in your federal tax returns or other
       financial information to be presented to the EPA.? If 'yes', please identify each asset by
       type of asset, estimated value, and location.

       k. Additional Information The EPA encourages you to provide any additional
       information which substantiates your inability to pay claim.  This can include an
       explanation of economic events that are not reflected in the above questions and that may
       have a material impact on the your ability to pay.

       Also, please be aware that the EPA may request additional information as part of its
       review of this case material.
ATPIndividualRequest.wpd

-------
                   INDIVIDUAL ABILITY TO PAY CLAIM

Financial Data Request Form


This form requests information regarding your current financial status. The data will be used to
evaluate your ability to pay for environmental clean-up or penalties. If there is not enough space
for your answers, please use additional sheets of paper.  Note that we  may request  further
documentation of any of your  responses.   We welcome  any other information you wish to
provide supporting your case, particularly if you feel your  situation is not adequately described
through the information requested here.

Financial data should be entered for the last day of the month preceding this month.


                                    Certification

Under penalties of perjury, I declare that this statement of assets, liabilities, and other
information is true, correct, and complete to the best of my knowledge and belief.  I further
understand that I will be subject to prosecution by the Environmental Protection Agency to the
fullest extent possible under the law should I provide any information that is not true, correct,
and complete to the best of my knowledge.
                       Signature
Date







Name:
Spouse's Name;
Address:
County of Residence:














-------
PART I. BACKGROUND INFORMATION
1. MEMBERS OF HOUSEHOLD (List the head of the household and all persons
living with you)
Name







Age







Relationship to Head
of Household







Currently
Employed?







2. EMPLOYMENT (List all jobs held by persons in household)
Name






Employer






Length of
Employment






Annual
Salary







-------
3. INCOME (List all income earned by persons in household. If members of the
household other than you and your spouse earn income, please itemize on separate
page.)
Source
Wages/Salaries
Sales Commissions
Investment Income (interest,
dividends, capital gains, etc.)
Net Business Income
Rental Income
Retirement Income
(Pension, Social Security, etc.)
Child Support
Alimony
Other Income
(please itemize)
Gross (Pre-Tax)




















Period of Payment (check one)
Weekly









Monthly









Quarterly









Yearly










-------
                                    PART H, CURRENT LIVING EXPENSES
Please list personal living expenses which were typical during the last year and indicate if any of these values are likely to change
significantly in the current year. Please do not include business expenses. If you are the owner of an operating business, please
attach any available financial statements.

Expense
A. Living Expenses
1. Rent
2. Home maintenance
3, Auto fuel, inRintenance, other transp.
4.TTfilifiei
a. Fuel (gas, oil, wood, propane)
b. Electric
c. Water/sewer
d. Telephone
5, Food
6. Clothing, personal care
7, Medical costs
B. Debt Payments
1. Mortgage payments
2. Car payments
3. Credit card payments
4. Educational loan payments
C. Insurance
1, Household insurance
2. Life insurance
3. Automobile insurance
4. Medical insurance
D, Taxes
1 . Property taxes
2. Federal income taxes
3. State income taxes
4. FICA
E. Other Expenses
l.Childeare
2. Current School tuition/expenses
3. Legal or professional services

Amount































Period of Payment (check one)
Weekly































Monthly































Quarterly































Yearly
































For Ascncv Use Onlv
































-------
4. Other (itemize on separate page)
Total Current Expenses












                                  PAST III NET WORTH

Please provide the following information to the best of your ability. Data should be as current as
possible. Estimates are acceptable. Note estimated items with an "E",

If you are the sole proprietor of a business, list business assets and liabilities in addition to personal
assets and liabilities, and mark these business entiles with a "B",
1. BANK ACCOUNTS (Checking, NOW, Savings, Money Market, CDs, etc.)
Name of Bank or Financial Institution




Type of Account




For Agency Use Only - Total Current Balance in Bank Accounts
Current Balance





2.
INVESTMENTS (Stock, Bonds, Mutual Funds, Options, Futures, Real Estate
Investment Trusts (REITs), etc.}
Investment




Number of Shares or Units




For Agency Use Only - Total Current Market Value of Investments
Current Market Value





3, RETIREMENT FUNDS AND ACCOUNTS {IRA, 401(k), Keogh, vested interest in
company retirement fund, etc,}
Description of Account




For Agency Use Only - Total Estimated Market Value of Retirement Funds and
Accounts
Estimated Market Value





4. LIFE INSURANCE POLICIES (Whole Life, Universal Life, etc.)
Policy Holder

Issuing Company

Policy Value

Cash Value


-------






For Agency Use Only - Total Value of Life Insurance Policies



5a.

VEHICLES USED FOR COMMUTING PURPOSES (Cars, Trucks, Motorcycles,
etc. Only list up to two vehicles used for commuting purposes.)
Model


Year


For Agency Use Only - Total Estimated Market Value of Vehicles
Estimated Market Value



5b.

OTHER VEHICLES (Cars, Trucks, Motorcycles, Recreational Vehicles, Motor
Homes, Boats, Airplanes etc.)
Model



Year



For Agency Use Only - Total Estimated Market Value of Vehicles
Estimated Market Value




6. PERSONAL PROPERTY (Household Goods and Furniture, Jewelry, Art, Antiques,
Collections, Precious Metals, etc. Only list items with a value greater than $500.00)
Type of Property






For Agency Use Only - Total Estimated Market Value of Personal Property
Estimated Market Value







7a. REAL ESTATE — PRIMARY RESIDENCE (Home — List only one such residence.)
Location

Description of Property

For Agency Use Only - Total Estimated Market Value of Real Estate
Balance
Owed on
Mortgage


Estimated
Market
Value



-------
7b. OTHER REAL ESTATE (Land, Buildings, Land with Buildings)
Location



Description of Property



For Agency Use Only - Total Estimated Market Value of Real Estate
Estimated Market Value




8. OTHER ASSETS
Type of Asset





For Agency Use Only - Total Other Assets
Estimated Market Value






9. CREDIT CARDS AND LINES OF CREDIT
Credit Card/Line of Credit (Type)






Owed To






Monthly
Payment






For Agency Use Only - Total Balance Due on Credit Cards and Lines of Credit
Balance Due








-------
10. VEHICLE LOANS (Cars, Trucks, Motorcycles, Recreation Vehicles, Motor Homes,
Boats, Airplanes, etc.)
Vehicle (Model and Year)




Owed To




For Agency Use Only - Total Balance Due on Vehicle Loans
Balance Due





Monthly
Payment





Start
Date





End
Date





11. FURNITURE AND HOUSEHOLD GOODS LOANS:
List Item




Owed To




For Agency Use Only - Total Balance Due on Furniture and
Household Goods Loans
Balance Due





Monthly
Payment





Start
Date





End
Date





12. MORTGAGES AND REAL ESTATE LOANS
Type of Loan




Owed To




Property Secured
Against




For Agency Use Only - Total Balance Due on Mortgages and Real Estate
Loans
Balance
Due





Monthly
Payment





Start
Date





End
Date






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13, OTHER DEBT (Amounts due to individuals, fixed obligations, Taxes Owed,
Overdue Alimony, Child Support, etc.)
Type of Debt






Owed To






For Agency Use Only - Total Balance Due on Other Debt
Balance
Due







Monthly
Payment







Start
Date







End
Date








-------
                       PART IV. ADDITIONAL INFORMATION

Please respond to the following questions. For any question that you answer "Yes", please provide
additional information on separate pages or at the bottom of this page.
QUESTION
1.
2.
3.
4.
5.
6.
7.
Do you have any reason to believe that your financial situation
will change during the next year?
Are you currently selling or purchasing any real estate?
Is anyone (or any entity) holding real or personal property on
your behalf (e.g., a trust)?
Are you a party in any pending lawsuit?
Have any of your belongings been repossessed in the last three years?
Are you a Trustee, Executor, or Administrator?
Are you a participant or beneficiary of an estate or profit-sharing plan?
8. Have you been denied a loan or new credit card within the last six
months?
9.
10.
Have you declared bankruptcy in the last seven years?
Do you receive any type of federal aid or public assistance?
YES










NO










               Explanations for any of the above questions with a "Yes" answer.
      Question
       Number
                                   Explanation
         Explanations for any of the above questions with a "Yes" answer.-. (continued)


                   	Explanation	
Question
Number
                                         10

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                              FINANCIAL DISCLOSURE STATEMENT
                        TO BE COMPLETED BY INDIVIDUAL DEFENDANT
A.  GENERAL INSTRUCTIONS - READ CAREFULLY

The information requested in the following form is to be submitted concerning a current case in connection
with an asset investigation.  Prior to completing and submitting this form, you should discuss this matter and
this form thoroughly with your own attorney.

The purpose of this form is to determine what assets you may have or are in control of.  If you are married
or have a live-in companion, you must list assets held by your spouse or companion, as well as yourself, and
show whether each asset is owned individually or jointly. By completing and signing this financial disclosure
statement, you acknowledge that the information provided will affect action by the United States Department
of Justice and further understand that any false answers can lead to the termination or nullification of any plea
agreement ultimately reached and/or prosecution for false statements as provided under Title 18, United States
Code, Section 1001 (maximum prison sentence of five (5) years and/or a fine of not more than $250,000).

Each separate question must be answered completely. If the answer is "none" you must state "none." Do not
leave any question unanswered.

You must date and initial each page, and sign the last page and accompanying Release.  If there is insufficient
space on the form, please attach additional sheets as necessary, and date and initial each additional page.

    ACKNOWLEDGMENT* IJOUEgEESgNTJED BY COUNSEL

I	 am	am not (check one) represented by counsel hi the collection of this debt.  If I am
represented by retained or appointed counsel, I acknowledge having  reviewed the foregoing instructions
with my counsel. My counsel's name is	•
Date:      	             Name;
                                         Last                First                Middle


                            Signature	
  Authority for the solicitation of the requested Information Includes one or more of the following: 5 U.S.C. § 301,901 (see Note, Executive Order
6166, June 10,1§33); 38 U.S.C. § S01 -SWA; 26 U.S.C, § 1651,3201 -3208j 31 U.S.C. f 3701 -3731; 44 U.S.C. § 3101; 4 C.F.R. § 101 -101.8; 28 C.F.R.
§ 0.180, 0.171 and Appendix to Sybpart Y; 18 U.S.C. § 38B4(dM3).

  The principal purpose for gathering this information Is to evaluate your ability to pay the government's claim or judgment against you. Routine
uses of the information are established in the following U.S. Department of Justice Case File Systems published In Vol. 42 of the Federal Register,
Justice/CIV*001 at page S332; JustlcefTAX-OOl at page 1S347; JusticeAJSA-005 at pages 53406-53407; Justlce/USA-007 at pages 53406-53410;
Jusrtlce/CRIM-016 at pages 12774. Disclosure of the information is voluntary. If the requested Information IB not furnished, the United States may
seek disclosure through other means.

-------
FINANCIAL DISCLOSURE STATEMENT
A. PERSONAL IDENTIFYING DATA
FUIL
NAME:
(Uurt)
Circle appropriate title: Mr. Ms, Mrs, Dr.
2. STATE ALL OTHER NAMES BY WHICH YOU HAVE EVER BEEN
KNOWN.
b.
3. YOUR DATE OF BIRTH 4. YO
MONTH/DAY/YEAR NO. A
/ 119 No.
Stale
8. PRESENT HOME ADDRESS

UR DRIVER'S LICENSE
ND STATE OF ISSUANCE.




AMnu
SUtt Zip CM*
EDUCATION
11. PROVIDE YOUR EDUCATIONAL
BACKGROUND,
12, PROFESSIONAL LICENSES!


(Unt)
Jr. 11!
a.
c.
6,
5, YOUR SOCIAL
SECURITY NO.
/ / (

9, DATES OF RESIDENCE 10
/ /19
(o Present
Chock all th
Less Than 12 years
High School Diploma or equivalent
Vocational School
College (provide degree or no. of years
attended
Fort Graduate (provide degree of no. of yean
attended
Vocational School
Types
Expiration Da



(Middle)


YOUR HOME 7. YOUR CELLULAR
TELEPHONE TELEPHONE
NUMBER NUMBER
> ( 1 -

. YOUR EMAIL ADDRESS
a

at apply location of School






te:



B. EMPLOYMENT INFORMATION
13. FULL NAME OF PRESENT EMPLOYER:
14. OCCUPATIONS
15. DATES OF EMPLOYMENT: From:
16. BUSINESS ADDRESS: ^
/ 119

to Present
State Zip Tel, No.f

)
PREVIOUS EMPLOYER (List all prevtoui employers for p»rt five (5) yean.) Pleaie Include addreuia and dates of employment
17. COMPANY NAME!
OCCUPATION:
ADDRESS:
Dates Emuiovtds From! /

/19 to I 119

STATE ZIP Telephone No.( 	 J
OSAO (IWJ-Q4/OS)  Page-1
                                                                  Initials

-------
18, COMPANY NAME:
OCCUPATIONS
ADDRESS:

19, COMPANY NAME:
OCCUPATIONS
ADDRESS!

20. COMPANY NAME!
OCCUPATION:
ADDRESS:

Dates Employed; From: /

119 to / /I9

STATE ZIP Telephone No.( >

Date! Employed: From! /


J\9 to / /19

STATE ZIP Telephone No,{ )

Dates Employed: From: /


/I9 to / /I9

STATE ZIP Telephone No.f )


C. EARNINGS (SALARY, WAGES, COMMISSIONS, ETC.) AND BACKGROUND INFORMATION
21. YOUR GROSS SALARY FROM YOUR PRESENT EMPLOYER. $
MARK ONE; a. Weekly Q b. BI-WecUyQ c. Monthly Q
22. ARE YOU CURRENTLY AN ACTP
NATIONAL GUARD AND RESERVES?
a, IF YES, PLEASE GIVE THE NAME,
ENLISTMENT.
ft. MEMBER OF THE ARMED FORCES, INCLUDING

d, YOUR $
TAKE
HOME
PAY.
Yes
No
ADDRESS AND TELEPHONE NUMBER OF YOUR UNIT AND HOW MANY YEARS REMIN1NG IN YOUR
b. Unit


e.Term


23. DO YOU HAVE ANY OTHER EARNED INCOME FROM ANY OTHER SOURCE OR
BUSINESS?
Ye*
No
«. IF YES, PLEASE IDENTIFY EACH SOURCE AND STATE YOUR MONTHLY GROSS EARNINGS (SALARY, WAGES, COMMISSIONS. ETC.)
FROM EACH SOURCE,
b. Source







c. Income







U3A.O (IAU-04/Oe)  Page-2
                                                                         Initials

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24. GARNISHMENT: An yam or your spouse/companion's wages under garnishment at this time?


IF YES, PROVIDE SPECIFIC DETAILS.
YM
No








25, LIST EACH PREVIOUS HOME ADDRESS (Include ill permanent or temporary residences and dates of Occupancy for the last five (5) year:.)
a. Dates of residence: Addre

b. Date* of residence: Addre

c, Dates of residence: Addri

d. Dates of residence: Addre

u City
State Zip Code

is City
State Zip Code

as Glty
State Zip Code

u City
State Zip Code

16. RENTAL AGREEMENT. Do you or your spouse/companion rent the premiss on which you live? If YES
the following:
' Name of Landlord b. Address/telephone num
1 Landlord



her of e. Payment d. Rent Faym*
Schedule (weekly,
montfaly^nmiiHy)

	 $

picas* complete Yes
No
at c. Utilities f. Depositor
included in rent other funds held
by landlord
$
27. MARITAL STATUS (Mark one boi to show your current marital itahw and provide Information about your ipouse{s) below.).
a. Never Married: LJ b. Married LJ c. Separated :U
28, NAME OF SPOUSE/COMPANION
(Last)
«u SPOUSE/COMPANION'S DATE OF BIRTH
Month/Daj/Ye»r
1 119

e, SPOUSE/COMPANION'S OCCUPATION

d. Legally Separated LJ e. Divorced LJ

(Firit)
b. SPOUSE/COMPANION'S HOME
TELEPHONE NUMBER
( )
f. Widowed LJ

(Middle)
e. SPOUSE/COMPANION'S
CELLULAR TELEPHONE NUMBER
( )
d. BUSINESS TELEPHONE NUMBER
( )
29, SPOUSE/COMPANION'S EMPLOYER
B, NAME
b. ADDRESS
STATE ZIP
Telenhone No.

UiAO (IMT-04/06)  Page-3
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30. LIST NAME OF EACH FORMER SPOUSE AND DATES OF MARRIAGE(S) DATES OF MARMAGE
a. Name
b. Name
c, Name
d> Name
Proms / /19 »o / /19
From: 1 119 to I J19
From: / /19 to / 119
from: 1 119 to / /19

31, DEPENDENT CHILDREN/RELATIVES (Lilt type of reUtiomhip and date of birth of each person Us ted.)
a. Complete Nime(s)






b. Relationship







c. Date of Birth






d. Cellular telephone e. Do these relatives reside
number with you. (Circle one)
YES NO
YES NO
YES NO
YES NO
YES NO
YES NO

32, CHILD SUPPORT PAYMENTS RECEIVED - Do you or your spouse/ comp»n!on receive child support
payments? If yes, complete the following;
Name of dependent







Dependent*!
Date of Birth







Name of non-custodial parent







CHILD SUPPORT PAYMENTS MADE - Do you or your qxnuc/comptn
answer the following:
Name of dependent







Dependent's
Date of Birth







Name of Custodial Parent







on make child support payments? If yes,
Name of non-custodial parent







Name of Cuitodlal Parent







Ye$
No
List arrearage (if any)







Yes
No
List arrearage (If any)





I!
1
TJSAO  (IAN-04/06)  Page-4
                                                                         Initials

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33. Do you receive or expect to receive aid to families with dependent children, unemployment compensation or any other type of assistance from the United
States, your cnro stale, any other governmental agency or any other person? If yes, list the source and amount.
a. Source of Payment (name of
• ion, state, etc.)



b. Program



c. Payment Amount



d. Payment schedule



34. Name of each bank, credit union and any other financial institution or company with which you, your spouse/companion, or any other person or entity
associated with you have or have ever had any account at any time during the past flve (5) years.
a, Nime of Financial Institution and Address



b. Name(i) on Account



e. Account No. and Type



d. Current Balance in
Account



35, SAVINGS BONDS: Do you, your spouse/companion or your defendants own U.S. Savings Bonds?,
». Demoninatlon of Bond





b. Name{s) on Bond





c. Purchase Date





36. INDIVIDUAL RETIREMENT ACCOUNT. Do you or your spouse have any Individual Retirement Account ("IRA"),
Keogh Account, other retirement account or savings, or any Interest In any profit-sharing or pension plan?
If YES, please identify each account by name of financial institution, address, account number and name on account.
a. Name of Financial Institution and address





b. Name(i) on Account





c. Account No. And Type





37. SAFETY DEPOSIT BOXES: Do you, or your spouse, or any other person maintain or rent a safety deposit box fa your
name(i) or in any other name? If YES, give name and address of bsnks(s) and name(s) utilized to open or maintain the
safety deposit boi(es).
a. Nsme of Financial Institution sndAddren




b. Safety Deposit Box No.




c. Account No.




d. Value





Yes
No


d. Current Balance
In Account





Yea
No


d. Type of Account




OTAO (IAN-04/06)  P«ga-5
                                                                        Initials

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D. ASSETS AND LIABILITIES
38. Do you or your spouse/companion have any interest in any real estate anywhere In the world? (Thisinclud
currently being sold under contract) If YES, Identify each real estate interest as stated below.
t. Complete Address b
(Include State and County)




g. LEASEHOLD INTERESTS. If any real
estate holdings ire income producing
properties, identify teninti name and
address and current lease temu. Provide
income itatemens and/or tax returns Tor
the l»st two yean for each rental property,
Name on
Deed




Name on tea
Address:
City;
Zip:

e. Purchase Price
$
S
s

$e:


TERM;

d. Fair Market
Value
$
S
S






Ye*
n »n₯ real estate
No
e. Balance Due f. Monthly g, DateMlg,
on Mortgage Payment Paid Off
S S
S S
s s



State


Name on lease:
Address:
City:
Zip;



TERM;






State


Name on lease:
Address;
Cily:
Zip:


TERM:




State

39, Do you or your spouse/ companion or dependents own or'have possession of any automobiles, boats, aircraft*, oilier vehicles or mobile homes? If YES,
specify at stated below.
a, DeKriptton: Include Year, Make and Model
Automobile
Automobile (2nd)
Automobile (3rd)
Boat
Truck
Recreational Veehicles (eampert, Motor homes)
Utility Trailer
Any other vehicle* (Including ATVt, Jct-Sldt, snowmobiles)
Aircraft
Mobile Home
Motorcycle
b. Do you own the vehicle or property?
Yw











No











e. Purchase Price
$
$
S
$
$
$
$
$
$
S
$
d. Loan Balance
$
$
$
$
$
$
$
$
S
$
$
DSAO (1AM-04/06)  Page-6
                                                                       Initials

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140. Do you or your spouse/companion or dependents own or have possession of Any sporting goods? If YES, specify as slated below.
" 	 	 " 	
. , Description: Include Year, Mate and Model
Guns
Hunting Gear
Recreational Equipment (pool table, plnball machine)
Swimming Pool
Jacuzzi/Hoi Tub
Sinn*
Any other equipment
b. Do you own the property?
Yes







No







c. Purchue Price
S
$
S
S
S
$
S
d, Loan Balance
$
$
S
S
S
$
$
41. Do you or your spouse/companion or dependent! own or hive poitesilon of any miscellaneous assets? If YES, specify u staled below.
a, Description:
Animals
Seiwn Ttek*t»
Time Shares
E-Trade Account!
jdnen/Deposlt*/Advanc» Payments
Mineral Interest*
Other (describe)
b, Do you own tbe asset?
Yes







No







42, SECURITIES: Do you or youripoiue own any Securities (bonds, stocks, mutual funds, etc.)?
If YES, please furnlih toe following Information for each such awet.
a, Nameof Issuing Company







b. Number of
Unit* or
Shares







c. Purchue Price
S
$
$
S
$
S
$


d. Lain Balance
$
$

$
$
S
$
Ye*
No
c. Fair Market d- Amount of
Value Indebtedness







e. Are yon a member of any Investment or barter trading clubs? If yes, provide account itatementa for the last two years showing Yes
Investments «nd current club value.

No
DSAO  (IAN-04/OG)   Page-?
                                                                         Initimls

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43. GIFTS/TRANSFERS. Hive you or your spouse transferred, Mid, gifted, or in any other w»y disposed of any assets
or property with a cert or filr market value of $300 or more at any rtme In the past three (3) years?
If YES, please furnish the following tnfomutlon for each such *sset.
a. Description of Asset
b. Date of
Tramfer





c. Fair Market d. Amount
Value When Received
Transferred
f S
S $
S S
S $
44. RECEIVEABLES Do you or your spouse or your companion have my accounts receivable or nates owed to you? ff YES,
specify as stated below.

a. Account Name
b. Book Value

$
S
$

c. Liquidation d. Amount of
Value Indebtedness
S S
S S
S $ _
45. JUDGMENTS Do you or your spouse hive any judgment* owed to you? If YES, spec! fy is stated below.
Yes
No
e. Name and
Relationship of
Transferee to
• Defendant




Yes
Ko
e. Date, If Pledged



Yes.
No
». Amount of Judgment b. Full Name of Debtor




46. list all other forms of compensation which you or your spouse receive and which you have not already disclosed (Including Insurance annuity, disability
benefits, lottery winnings, pensions, etc.)
a. Identify Source of b. Schedule for Receipt (c,g., Weekly, Monthly)
Compensation
c. Amount
$
$
1
$
47. Doet anyone or any entity owe may money to you or yoar spouse not prevlauily dMoied? If yet, please state specific
Information listed below.
a. Name of Penan/Entity





b. Their Address





Yes
No
c. Date of Loin d. Amount Owed



I
I
OSAO (IAN-04/065  ?af*>8
                                                                         Initials

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48, Do you or your spouse hive any life insurance policy now in force with right to change beneficiary reserved?
    If YES, state specific information listed below.
                                                                                                                       Yei
   Company Name
b.  Policy
   Number
c. Amount of
  Policy
d.  Present Cash
   Surrender
   Value Plui
   Accumulated
   Dividends
e. Policy Loan
f, Date
  Made
g. Premium
  Date
h. Amount
  of
  Payments
  Made
49, Do you or your spouse hive any life Insurance policy assigned or pledged on my indebtedness?
                                                                                                                  Yes
                                                                                                                  No
If any of the policies listed In Item 49, above, are assigned or pledged on indebtedness, except with Insurance companies, give the following Information ibout
each poltcys                                                                                      .                        ^^^^^^^^
a. Policy Number
 b. Name and Address of Pledge or Assignee
                                                                                          c. Amount of Indebtedness
                                                                          Date, if
                                                                          Pledged
50. Do you or your spouse/companion or dependents own or h»ve any ownership Interest in any jtwelry, antiques, precious
m*Wi,art objects, itamp or eota collections or other asset! of any Mad wltta total value in excess of 5500? If YES, state
specific Information listed below.
                                                                                                                  Yes
                                                                                   No
a. Awe*
                                            b. Date
                                              Acquired
                                          c. Value at
                                            Acquisition
                                                                                                             d. Present Value
                                                                                                                 Yes
51, Do you or your spouse/companion or dependents own any furniture and fixtures, Including machinery or equipment?
    If YES, state specific information listed below.
                                                                                                                 No
          B.  Description
    b, Purchase Price
                                                        c. Current Value
                                                                             d. Amount of Indebtedness
                                                                e.  Date, if Pledged
1. Furniture and Fixtures (business)
2, Furniture (household/residence)
3, Machinery (specify type)
4. Equipment (specify type)
                            Total
DSAO (IAH-04/06)   Page-9
                                                                                                      Initials

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52. STATEMENT OF YOUR INCOME
a. Gross Income *
b. Salaries, Wages, Commissions
c. Dividends
d. Interest
e. Income (torn business or profession
f, Partnership Income
g. Capital Gains or Losses (from Schedule D,
Form 1040)
b, Annuities and pensions
I. Rents and royalties
j, Income from estates and trusts
k. Total Cross Income
1, Federal Income Tax Itemized Deductions
m. Contributions
n. Interest Paid
o. Taxes Paid
p. Cssuilty Losses (by fire, storm, etc,}
q, Bad Debts
r Depreciation
S. Total Deductions
t. Net Income (loss)
u. Nontaxable income
v. Total Net Income
Per Pay Period
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$'

S
$
J
J
This Year to Date
$
$
$
$
$
$
$
$
S
$
$
$
S
$
$
$
5

$
S
$
$
Last Year Total
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
S



5
$
53. Hare you any Inheritance, life Interest or remainder Interest, either vested or contingent, In any trust or estate, or are
you a beneficiary of any trust or estate? ITY1S, pleas* furnish a copy of the Instrument creating the trust or estateand Yes
also, give the following information.
a. Name of Trust or Estate




b. Present c. Value of
Value of Assets Interest
Ho
Your d. Annual Income

Received from this Source
$ $ s
$ $ $
$ $ *
$ $ $

U3AO (IAN-04/OS)  Paga-10
                                                                         Initials

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54. Are you the grantor or donor of any trust, or the trustee or fiduciary for any trust? If YES, please furnish a copy of
the Instrument creating Lhe trust and give present value of corpus of trust, and any other pertinent Information,
Trust



55, Have you an; oilier assets or any interest in assets, either actual or contingent, other than those previously identified
here? If YES, please describe each such asset Including present value.
a. Description




56. Are foreclosure proceedings pending on any real estate which you ORB or have an interest in?


Yes
No
b. Value of Trust



Yes
No
b. Presort Value




Yes
No
If YES, please give location of real estate, court caption and case number of foreclosure proceedings.
a. Court Caption;
Location;
b. Court Caption;
Local] DO:
Court Caption:
Location:
Case No,

Case No.

Case No.

Was the Government made a party to any such foreclosure suit? If YES, please describe.
Yes
No




57. Do yon have any bankruptcy or recdveranlp proceedings pending? Have you Bled any bankrutpcy proceeding in the
last 7 years? If YES, list court caption and case cumber of all pending cases.
a. Court Caption;
Location:
b. Court Caption:
Location:
c. Court Caption:
Location;
Yes
No
Caw No.
Date Closed (If applicable)
Case No.
Date Closed (if applicable)
Case No,
Date Closed (if applicable}
58. What is the prospect of an Increase ta value of your assets or your presort Income? (Please give a general statetntnt,)




DSAO  (1AN-04/06)  Page-11
                                                                         Initials

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 59. Are you a parly to any civil lawsuit now pending?  If YES, please describe each such Lawsuit by court name and case
    number.
                                       Yes
                                                                                                         No
 a, Court Caption:
   Location:
Case No.
 b. Court Captions.
   Location;
Case No.
 c. Court Caption;
   Location:
Case No,
60. Is anyone holding any money or other property of any Idad on your behalf or for you?
If YES, please identify each persoa by name and address and amount of money or other property beta)
a. Name





b. Address





Yes
No


l held for you.
c. Amount of Money/or Value of Property Being
Held For You.
$
$
$
$
$
61. Do you receive, or under any circumstances expect to receive, any benefits from m claim for compensation or
damages? If YES, please Identify In specific detail.
Yes
No





62, Did you fflc a federal Income tax return last year?


Yes
No


Please attach complete copies of each federal Income tax return yon (Bed for the last three (3) yean. Mark yes or no to
Indicate whether copies of your ta returns are attached as required.


63. Has the IKS audited any of your tax returns?
64. Are your federal taxes current?

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I 66. CREDIT CARDS;
credit?
Do you have any credit card, charge account or line of
Yes
No



   , yes, please identify each type of account or credit/charge card, the name and address of the Issutr, the credit limit,
  .Aount owed and the minimum monthly payment.
 ft. Type of Account or Card
              b. Name and Address of Issuer
                                                                                      c.  Credit Limit
d. Amount
  Owed
                                                                                                                          Monthly
                                                                                                                          Payments
 07.  OUTSTANDING LOANS; Do you h«e any outstanding loans payable to
     hanks, finance companies, etc?
                                                                           Yea
                                                                           No
  If yes, pleas* Identify each type of account, the name and address of the Issuer, the credit Emit, amount owed and the minimum monthly payment.
 B.  Type of Account
                                             b. Name and Address of Institution
                                                                                     c. Credit limit
                                                                        d. Amount
                                                                          Owed
                 e. Minimum
                   Monthly
                   Payments
 68. JUDGMENTS Do you or your sponie hive my Judgment* «|«laft yoB?  If YES, apedfy u ittted btlow.
                                                                                 Yes
                                                                                                                 No
   Amount of Judgment
b. Full Name of Creditor
 69.  OTHER ASSETS; Do you own or control any asset or thing of value, mcJudlng cash or any certificate of deposit or
     other Instrument or account, not previously disclosed with » value In excess of $300?
                                                                               Yes
                                                                                                              No
 If ves. dense Ideotlfr each such asset or thine of value and state the worth of each and tts present location.
                  a.  Asset
                                                         b. Current Value
                                                                                                         c. Location
USAO (tAN-04/06)  Page-13
                                                                                                    Initials

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70. PRESENT FINANCIAL NEEDS
In order to help determine your financial needs as well as those of your dependents, provide the following Information as to present monthly Income and
expenses.
EARNINGS/OTHER INCOME
a. Net salary
b. Overtime
c. Part-tlmojob
d. Commission
e. Net profit from business
f. Net rental Income
g. Pension
hi Social Security
I. Interest
j. Dividends
k. Alimony/Child support
1. Income of other dependents
m. Social Services
n. Food Stamps
o. Benefits from the U.S.
p. Disability Compensation
4. Military Pay
i. Income from relatives
t. Other (lottery winnings,
royalties, user fees, tax refunds,
etc.)














L TOTAL
Youri


































Spouse


































Total





























































MONTHLY EXPENSES
a. Home Rent or Mortgage
b. Utilities: Electric
Heating OILf GasAVood
Water/Sewer
Telephone
Cdl Phones
c. Groceries
d. Insurance:
Auto
Health
Life
Homeowners/ renters
e, Minimum Installment
payments
f. Transportation
g. Medical
h. Clothing
i. Alimony
j. Daycare/Babyrftticg
k. Cable TV/SateBto System
L Tuition (college/private)
m. Child Support
D. Entertainment
o, Personal Care/Hygiene
p. Dry Cleaning/Laundromat
q. Gift*
r. Newspaper/Magazines
a. Tobacco
t . Internet Access
u. Organhatioo/Heallh C!ub
v. Veterinary Fees
w. Charitable contributions
i. Other
y. Other
x. Other

































I
!
USAO (IAN-04/06) Page-14
                                                                          Initials

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•Explain folly here any unusual, recurring monthly expenses you have for yourself or any dependent.
71,  Criminal AclJvtty
How long were you engaged In the criminal activity to which you pled guilty?
Did you make any gains or profits from the criminal activity?  If no, why not?
Where did you deposit and/or spend the {legal gains and profits? list specifically what property you purchased (I.e., can, jewelry, guns).
Name the bani(s)( account name(s), and account numbers) where Dlegal gains and profits were deposited and from which they were spent.
Specifically, identify the location of other gains and profits which were made.
How much, did you viin gftiuMfng with your iflggM profits?
72.  Pursuant to the instructions to thb Financial Disclosure Statement, I have attached additional pages to complete this
    document*
Yes
                                                                                                    No
   If YES, there art     (Insert Dumber) of supplemental paga attached to tliU Itandal Disclosure Statement.
73.  Declaration Under Pgnaltigs of Perjury

      With knowledge of the maximum penalties for false statements provided by Title 18 U.S.C.  § 1001 |flve
(5) years imprisonment and/or a fine of not more than $250,000} and with the knowledge that this financial
disclosure statement is submitted by me to affect action by the United States Department of Justice, I certify
that the above responses  are all true and correct and represent that this is a complete statement of all my
income, assets and liabilities, real and personal, either held in my name or by any others, as well as
expenses as of this date.
Date:	Signature;	^__	
         USAO 0AN-04/06)  Page-15                                                        Initials

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74. AUTHORITY TO RELEASE INFORMATION
1 hereby authorize the United States Attorney's Office to speak to the following
regarding this debt, if this release is not provided, the United States Attorney will
questions nor provide any information to any other party in this matter.
i, FULL
NAME:
(Last) (First) (Middle)
individuals
not answer

Date Signature
75. AUTHORITY TO OBTAIN CREDIT REPORT
1 hereby authorize the United States Attorney's Office to obtain a credit report at any time,
I understand that my signature below allows the United States to use a credit report for identifying
information as well as for collection of any debt. This permission Is given to the United States
pursuant to 15 U.S.C. § 1681b. That statute provides authority for a credit reporting agency to
furnish my consumer report with my written permission.
NAME:
(Last) (First) (Middle)
Date Signature
76. SPOUSE/COMPANION AUTHORITY TO RELEASE INFORMATION
I certify that I am the spouse/companion of the debtor in this case. By signature below, I am granting the United
States the permission to obtain a copy of my cedit report to verify financial information and assist in the
collection of the debt of this case.
», FULL
NAME:
OuaiO
(FIrat) (Middle)
b. SIGNATURE, OF
SPOUSE/COMPANION

c, DATE OF BIRTH /


/

USAO{IAN-04/06) Pao»-i6                                                  Initials

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d, ADDRESS:

U SOCIAL SECURJTY NO. / /

STATE ZIP

f. TELEPHONE NUMBER { )

                   77. AUTHORITY TO RELEASE INFORMATION
       TO WHOM IT MAY CONCERN;

        In connection with the financial investigation being conducted by the UNITED STATES
ATTORNEY, I hereby authorize any authorized representative or agent of the UNITED STATES
ATTORNEY bearing this release, or copy thereof, within five years of its date, to obtain any
information in your files pertaining to my employment, military, credit or educational records,
including, but not limited to, academic achievement, attendance, athletic, personal history, and
disciplinary records, medical records, credit records, financial records, city, state, and federal tax
records, returns and supporting documentation; bank records or records of any financial institution
or entity; and records maintained by any city, county, state, or federal agency. 1 hereby direct you
to release such information upon request of the bearer.

      This release is executed with fuii knowledge and understanding that the information will be
used in connection with the consideration of my liability on a debt claimed by the UNITED STATES
and my financial ability to pay said debt and/or to determine what income and assets I may have
   ailable to contribute  toward  restitution, fines and forfeitures of any nature, and that  the
...formation will be disseminated only to those individuals or agencies directly involved in this
determination or to fulfill other obligations imposed bylaw, regulation or presidential directive or
executive order,

      I hereby release you, as the custodian of such records, and school, college, university or
other educational institution, financial institution, hospital, or other repository of medical records,
credit bureau, lending institution, consumer reporting agency, retail business establishment, or
public agency,  including its officers, employees, or related personnel, both individually and
collectively, from any and all liability for damages of whatever kind, which may at any time result
to me, my heirs, family or associates because of compliance with this authorization and request
to release information, or any attempt to comply  with it.  Should there be any question as to the
validity of this release, you may contact me as indicated below.
». FULL
  NAME!
                   (Lait)               (Flwt)                (Middle)
    Date                               Signature
    USAO (IAN44/06) Page-17                                            Initials

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               Acronyms and  Abbreviations
AA          Assistant Administrator
AAG        Assistant Attorney General
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
BFPP
BIA
BLM
BPA
BRAC
BUREC
Bona Fide Prospective Purchaser
Bureau of Indian Affairs
Bureau of Land Management
Blanket Purchase Agreement
Base Realignment and Closure
Bureau of Reclamation
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    Comprehensive Environmental Response, Compensation, and Liability
            Information System
CFR        Code of Federal Regulations
Cl          Civil Investigator
CIC         Community Involvement Coordinator
CLP        Contract Laboratory Program
CO         Contracting Officer
COI         Conflict of Interest
COR        Contracting Officer's Representative
CR         Community Relations
CR         Cost Recovery
CRC        Community Relations Coordinator
CRC        Cost Recovery Coordinator
CRP        Community Relations Plan
CWA        Clean Water Act

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DA
DAA
D&B
DCN
DD
DFO
DOD
DoD
DOE
DOI
DOJ
DOT
DPO
DQO
Deputy Administrator
Deputy Assistant Administrator
Dunn and Bradstreet
Document Control Number
Division Director
Designated Federal Official
Deputy Office Director
Department of Defense
Department of Energy
Department of Interior
Department of Justice
Department of Transportation
Deputy Project Officer
Data Quality Objective
EDGAR
EE/CA
EJ
EMSL
ENRD
EPA
EPAAR
EPCRA
EPIC
EPM
EPS
ERGS
ERNS
ERS
ERT
ESAT
ESD
ESD
ESI
Electronic Data Gathering, Analysis, and Retrieval
Engineering Evaluation/Cost Analysis
Environmental Justice
Environmental Monitoring and Systems Laboratory
Environment and Natural Resources Division (DOJ)
Environmental Protection Agency
EPA Acquisition Regulation (Manual)
Emergency Planning and Community Right-To-Know Act of 1986
Environmental Photographic and Investigation Center
Enforcement Project Manager
Environmental Protection Specialist
Emergency Response Cleanup Services
Emergency Response Notification System
Environmental Response Services
Environmental Response Team
Emergency Services Assistance Team
Environmental Services Division
Explanation of Significant Differences
Expanded Site Investigation
Enforcement Support Services
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

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I" continued
FTE         Full-Time Equivalent
FTP         File Transfer Protocol
FUDS       Formerly Used Defense Sites
FWPCA     Federal Water Pollution Control Act
FY          Fiscal Year
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
HAZWOPER
HQ
MRS
HSWA
Health and Safety Plan
Hazardous Waste Operations and Emergency Response
Headquarters
Hazard Ranking System
Hazardous and Solid Waste Amendments (RCRA)
IAG
IFMS
IG
IGCE
IMC
Interagency Agreement
Integrated Financial Management System
Inspector General
Independent Government Cost Estimate
Information Management Coordinator
LAN
LDR
LOE
LSI
LTRA
LUST
Local Area Network
Land Disposal Restrictions
Level of Effort
Listing Site Inspection
Long-Term Response Action
Leaking Underground Storage Tank
M
MARS
MCL
MCLG
MOA
MOU
MSCA
Management and Accounting Reporting System
Maximum Contaminant Level
Maximum Contaminant Level Goal
Memorandum of Agreement
Memorandum of Understanding
Multi-Site Cooperative Agreement

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IVI continued
MSDSs      Material Safety Data Sheets
MSW        Municipal Solid Waste
MUNIS      Municipalities
N
NAAG
NARPM
NEAR
NCLP
NCR
NEIC
NEJAC
NEPA
NESHAPS
NETI
NFRAP
NOAA
NOSC
NOV
NPDES
NPL
NRC
NRC
NRDs
NRT
NTCRs
NTIS
National Association of Attorneys General
National Association of Remedial Project Managers
Non-Binding (Preliminary) Allocation of Responsibility
National Contract Laboratory Program
National Contingency Plan
National Enforcement Investigation Center
National Environmental Justice Advisory Council
National Environmental Policy Act
National Emissions Standards for Hazardous Air Pollutants
National Enforcement Training Institute (OECA)
No Further Remedial Action Planned
National Oceanic and Atmospheric Administration
National Association of OSCs
Notice of Violation
National Pollution Discharge Elimination System
National Priorities List
National Response Center
Nuclear Regulatory Commission
Natural Resource Damages
National Response Team
Non-Time-Critical Removals
National Technical Information Service
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 (formerly known as OECM)
OECM       Office of Enforcement and Compliance Monitoring (now known as OECA)
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 OMB 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)

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   continued
OSRTI       Office of Superfund Remediation and Technology Innovation (formerly known as
            OERR)
OSW       Office of Solid Waste
OSWER     Office of Solid Waste and Emergency Response
OTIS        On-Line Targeting Information System
OU         Operable Unit
PA          Preliminary Assessment
PA/SI       Preliminary Assessment/Site Investigation
PCB        Polychlorinated Biphenyl
PCOR       Preliminary Close Out Report
PNRS       Preliminary Natural Resources Survey
PO          Project Officer
POLREP     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
PRSC       Post-Removal Site Control
QA         Quality Assurance
QA/QC      Quality Assurance/Quality Control
QAPP       Quality Assurance Project Plan
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 System
RD          Remedial Design
RD/RA      Remedial Design/Remedial Action
RDT        Regional Decision Team
Rl          Remedial Investigation
RI/FS       Remedial Investigation/Feasibility Study
RMP        Risk Management Program
ROD        Record of Decision
RODS       Record of Decision System
RP          Responsible Party
RPM        Remedial Project Manager

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   continued
RPO         Regional Project Officer
RQ
RRT
RSD
RSE
RSI
RTP
Reportable Quantity
Regional Response Team
Regional Support Division (OSRE)
Removal Site Evaluation
Removal Site Inspection
Research Triangle Park, North Carolina
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
SBA        Small Business Administration
SBREFA     Small Business Regulatory Enforcement Flexibility Act
SCA        State Cooperative Agreement
SCAP       Superfund Comprehensive Accomplishments Plan
SCORES     Superfund Cost Organization and Recovery Enhancement System
SDWA       Safe Drinking Water Act
SDMS       Superfund Document Management System
SEE        Senior Environmental Employee
SEP        Supplemental Environmental Project
SESS       Superfund Enforcement Support Service
SETS       Superfund Enforcement Tracking System
SF          Superfund
SI          Site Inspection
SMOA       State Memorandum of Agreement
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
TAG
TAT
TBC
TBD
TC
TCLP
TDD
TDD
TDM
TIO
Technical Assistance Grant
Technical Assistance Team
To Be Considered (Material)
To Be Determined
Time-Critical (Removal)
Toxicity Characteristic Leaching Procedure
Technical Directive Document
Telecommunications Device for the Deaf
Technical Direction Memorandum
Technology Innovation Office (OSWER) (now known as TIP)

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T  continued
TIP         Technology Innovation Program (OSWER) (formerly known as TIO)
TRI         Toxic Release Inventory
TSCA       Toxic Substances Control Act
TSDF       Treatment, Storage, and Disposal Facility
u
UAO
UCC
USAGE
U.S.C.
USCG
USDA
USFWS
USGS
UST
Unilateral Administrative Order
Uniform Commercial Code
U.S. Army Corps of Engineers
U.S. Code
U.S. Coast Guard
U.S. Department of Agriculture
U.S. Fish and Wildlife Service
U.S. Geological Survey
Underground Storage Tank
w
WA
WACR
WAF
WAM
WasteLAN
Work Assignment
Work Assignment Completion Report
Work Assignment Form
Work Assignment Manager
Waste Local Area Network

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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 RI/FSs,  but may be used for de minimis and cost recovery
settlements.
Administrative
Record (AR):
Administrative
Subpoena:
Alternative
Dispute
Resolution
(ADR):

Arbitrary and
Capricious:
Arbitration:
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.

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.

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.

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 130(j)(2),  a court ruling on a
challenge to a  response action decision will apply the arbitrary and
capricious standard of review.

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:       In general, the term refers to 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:          j\ 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.

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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:
Cleanup
Activities:
Comment Period:
Community
Relations
(Involvement):
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.

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.

Period provided for public to review and comment on a proposed EPA
action, rulemaking, or settlement.

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          Lead Agency staff who works to involve and inform the public about the
(Involvement)     Superfund process and cleanup actions.
Coordinator (CRC
orCIC):
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.

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Consent Decree
(CD):
Contribution:
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.

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:
Cooperative
Agreement (CA):
Cost Recovery:
A statutory provision that provides that any PRP who resolved its
liability to the United States in an administrative or judicially approved
settlement is not liable to other PRPs for claims of contribution
regarding matters addressed in the settlement.

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 O of the NCP, 40 CFR Part 35, outlines
specific response actions that may be conducted using CA funds.

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.
Covenant 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.

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Covenant Not to
Sue (cont'd):
Declaratory
Judgment:
Defendant:

Demand Letter:
De Micromis
Exemption:
De Minimis
Contributor:
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."

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.  If declaratory judgment on liability is granted, the United
States does not have to prove liability in any future action with the
defendant.

A person against whom a claim or charge is brought in a court of law.

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.

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.

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  122(g)(l)(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

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De Minimis
Landowner
(cont'd):
De Minimis
Settlement:
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.

An agreement, either administrative or judicial, authorized by CERCLA
section 122(g), between EPA and PRPs for a minor portion of response
costs.
De Novo:
Discovery:
Easement:
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
appellate jurisdiction.  Under CERCLA, for example, a judge 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.

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.

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:
Enforcement
Actions:
Environmental
Justice (EJ):
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.

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.

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.

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Explanation of
Significant
Differences
(BSD):
Extraordinary
Circumstances:
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 BSD is appended to the administrative record to inform
the public of any significant changes that are being made to the
selected remedy.

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:
Federal Register:
Force Majeure:
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.

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.

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 of force  majeure 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.}

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Full Release:
An agreement by EPA to release a PRP from any further liability for
response costs.  Under CERCLA section 122(j)(2), natural resource
trustees may grant full releases of liability for damages to natural
resources.
Fund (Hazardous   A fund set up under CERCLA to help pay for cleanup of hazardous
Substance         waste sites and for legal action to force cleanup actions on those
Superfund or      responsible for the sites.  The fund is financed primarily with a tax on
Superfund Trust   crude oil and specified commercially used chemicals.
Fund):
General Notice
Letter (GNL):
Generator:
 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.

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):
Hazard Ranking
System (HRS):
Indian Tribe:
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.

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 should have
compared to other sites on the list.  A site must score 28.5 or higher to
be placed on the NPL.

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.

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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:
Innocent
Landowner:
Joint and Several
Liability:
Judicial Review:
Formal written requests for information, authorized by CERCLA section
104(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.

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).

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.

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

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Judicial Review
(cont'd):
PRP submitted a "petition to review" to a federal court of appeals. The
jurisdiction of the court and the scope of its review are defined by
CERCLA section 113(h) and the Judicial  Review Act, 28 U.S.C. §§2341-
2351.
Lead Agency:
Mixed Funding:
Mixed Work:
Moratorium:
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.

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.

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.

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 RI/FS or RA.
EPA also will not seek to compel PRP action at the site during the
moratorium.
Municipal Solid
Waste:
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.

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National Oil and   The NCR is the major framework regulation for the federal hazardous
Hazardous        substances response program. The NCR sets forth procedures and
Substances        standards for how EPA, other federal agencies, states, and private
Pollution          parties respond under CERCLA to releases or threats of releases of
Contingency Plan  hazardous substances, and under Clean Water Act section 311, as
(NCP):            amended by the Oil Pollution Act of 1990, to discharges of oil.
Natural
Resources:
Land, fish, wildlife, air, water, ground water, drinking water supplies,
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.
Natural Resource
Damages:
Damages for injury or loss of natural resources as set forth in CERCLA
sections 107(1) and lll(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):

Preauthorization:
Premium:
Record of
Decision (ROD):
Any individual or entity including owners, operators, transporters, or
generators who may be liable under CERCLA section 107(a).
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.

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.

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.
Recalcitrant:
Recusal:
Remand:
A PRP that is persistently uninterested in or refuses to reach settlement
or that fails to comply with a settlement or order.

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.

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 Action:
Removal:
Reopeners:
Remedial
Investigation/
Feasibility Study
(RI/FS):
A remedial action is 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.

A removal is "the clean up 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 RI/FS.
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.

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.

Activities 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          Response actions performed at an NPL site by EPA or a PRP under a
Design/Remedial  consent decree (CD) approved and entered by a federal court. RD is
Action (RD/RA):   the engineered design of the remedy selected by the RI/FS; RA is the
                   construction and continuing operation and maintenance of the remedy.

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
122(e)(l) and triggers the start of the negotiation 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:
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..."
Waste LAN:
The acronym for Waste Local Area Network. For historical reasons,
EPA's regions use it when referring to CERCLIS.

-------
                                                                PRP Search Manual
                                                                   September 2009
                            Chapter 1 References
           Name
                              Section
               Location
Comprehensive Environmental      1.1
Response, Compensation, and
Liability Act of 1980, as
amended by the Superfund
Amendments and
Reauthorization Act of 1986
                                1.1.1
                                1.1.1
                                1.1.3
National Oil and Hazardous
Substances Pollution
Contingency Plan


Oil Pollution Act of 1990
Interim Guidance on the
Ability to Pay and De minimis
Revisions to CERCLA Section
122(g) by the Small Business
Liability Relief and Brownfields
Revitalization Act (May 17,
2004
Clean Air Act                     1.2.2
Clean Water Act                  1.2.2
Toxic Substances Control Act       1.2.2


Resource Conservation and        1.2.2
Recovery Act

CERCLA Hazardous               1.2.2
Substances
Comptroller Policy                1.2.3
Announcement 87-17,
Interest Rates for Debts
Recoverable Under the
Superfund Amendments and
Reauthorization Act of 1986
(September 30, 1986)
                                         42 U.S.C. §9601 etseq.
                                         http://www.epa.gov/emergencies/lawsreg
                                         s.htm#laws
40 C.F.R. Part 300
http://www.epa.gov/emergencies/lawsreg
s.htm#laws

33 U.S.C. §2701 etseq.
http://www.epa.gov/emergencies/lawsreg
s.htm#laws

http://www.epa.gov/compliance/resources
/policies/cleanup/superfund/atp-demin-
122g-04.pdf
                                         42 U.S.C. §7401 etseq.
                                         http://www.epa.gov/emergencies/lawsreg
                                         s.htm#laws

                                         33 U.S.C. § 1251 etseq.
                                         http://www.epa.gov/emergencies/lawsreg
                                         s.htm#laws

                                         15 U.S.C. §2601 etseq.
                                         http://www.epa.gov/agriculture/lsca.html

                                         42 U.S.C. §6901 etseq.
                                         http://www.epa.gov/epawaste/index.htm

                                         40 C.F.R. Part 302
                                         http://www.epa.gov/emergencies/lawsreg
                                         s.htm#laws

                                         http://www.epa.gov/ocfo/finstatement/
                                         superfund/int_rate.htm
                                       Chapter 1: Overview of CERCLA and PRP Searches

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                                                                 PRP Search Manual
                                                                    September 2009
                             Chapter 1 References
           Name
Section
Location
Small Business Liability Relief       1.2.5
and Brownfields Revitalization
Act of 2002

Standards and Practices for All      1.2.5
Appropriate Inquiries, 40
C.F.R. Part 312 (November 1,
2005)

Fact  Sheet on All Appropriate       1.2.5
Inquiries Final Rule (October
2005)

Internal Revenue Code of          1.2.6
1986

Contiguous Property Owner         1.2.6
Guidance Reference Sheet
(February 5, 2004)

Superfund Recycling Equity         1.2.6
Act (CERCLA Section 127)
Standards for the                  1.2.6
Management of Used Oil


Federal Insecticide, Fungicide,      1.2.6
and Rodenticide Act

Revised Settlement Policy and      1.2.7
Contribution Waiver Language
Regarding Exempt "De
micromis" and Non-Exempt
"De micromis" Parties
(November 6, 2002)

Interim Policy on CERCLA          1.2.7
Settlements Involving
Municipalities  or Municipal
Wastes (December 6, 1989)

Policy for Municipality and          1.2.7
Municipal Solid Waste CERCLA
Settlements at NPL Co-
Disposal Sites (February 5,
1998)
           Public Law 107-118 (H.R. 2869)
           http://www.epa.gov/brownfields/pdf/
           hr2869.pdf

           http://ecfr.gpoaccess.gov/cgiA/text/text-
           idx?c=ecfr&tpl=/ecfrbrowse/Title40/40cfr3
           12_main_02.tpl
           http://www.epa.gov/brownfields/aai/aaLfi
           nal_factsheet.pdf
           http://www.irs.gov/taxpros/article/0,,id=9
           8137,00.html

           http://www.epa.gov/compliance/resources
           /policies/cleanup/superfund/contig-prop-
           faq.pdf

           42 U.S.C. §9627
           http://www.epa.gov/emergencies/lawsreg
           s.htm#laws

           40 C.F.R. Part 279
           http://www.access.gpo.gov/nara/cfr/waisi
           dx_08/40cf r279_08.html

           7 U.S.C. § 136etseq.
           http://www.epa.gov/agriculture/lfra.html

           http://www.epa.gov/compliance/
           resources/policies/cleanup/superfund/
           wv-exmpt-dmicro-mem.pdf
           TBD
           http://www.epa.gov/compliance/
           resources/policies/cleanup/superfund/
           munic-solwst-mem.pdf
                                        Chapter 1: Overview of CERCLA and PRP Searches

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                                                                 PRP Search Manual
                                                                    September 2009
                             Chapter 1 References
           Name
Section
               Location
Interim Guidance on the
Municipal Solid Waste
Exemption Under CERCLA
Section 107(p) (August 20,
2003)

Policy Toward Owners of
Property Containing
Contaminated Aquifers
(May 24, 1995)

Bona Fide Prospective
Purchasers and the New
Amendments
(May 31, 2002)
Windfall Lien Administrative
Procedures (January 8,  2008)


Interim Enforcement
Discretion Policy Concerning
"Windfall  Liens" Under Section
107(r) of CERCLA (July  16,
2003)

Policy Towards Owners of
Residential Property at
Superfund Sites
(JulyS, 1991)

Interim Guiding Principles for
Good Samaritan Projects at
Orphan Mine Sites and
Transmittal of CERCLA
Administrative Tools for Good
Samaritans (June 6, 2007)
Sample General Notice Letter
(April  30, 2008)
  1.2.7
Revised Final Guidance on
Disseminating EPA's SBREFA
Information Sheet to
Businesses at the Time of
Enforcement Activity
(August 31, 1999)

Small Business Information
Sheet
(October 2007)	
  1.2.7
  1.2.7
  1.2.7
  1.2.7
  1.2.7
  1.2.7
  1.3.1
  1.3.1
  1.3.1
http://www.epa.gov/compliance/
resources/policies/cleanup/superfund/
interim-msw-exempt.pdf
http://www.epa.gov/compliance/
resources/policies/cleanup/superfund/
contamin-aqui-rpt.pdf
http://www.epa.gov/compliance/
resources/policies/cleanup/superfund/
bonf-pp-cercla-mem.pdf

http://www.epa.gov/compliance/resources
/policies/cleanup/superfund/wf-admin-
mem.pdf
http://www.epa.gov/compliance/
resources/policies/cleanup/superfund/
interim-windfall-lien.pdf
http://www.epa.gov/compliance/
resources/policies/cleanup/superfund/
policy-owner-rpt.pdf
http://www.epa.gov/compliance/
resources/policies/cleanup/superfund/
cercla-goodsam-principles-mem.pdf
http://www.epa.gov/compliance/resources
/policies/cleanup/superfund/gnl-mod-
08.pdf

http://www.epa.gov/compliance/
resources/policies/civil/sbrefa
http://www.epa.gov/compliance/resources
/publications/incentives/smallbusiness/sm
allbusresources.pdf	
                                        Chapter 1: Overview of CERCLA and PRP Searches

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                                                               PRP Search Manual
                                                                  September 2009
                            Chapter 1 References
           Name              Section                  Location
Orphan Share Policy               1.3.2     http://www.epa.gov/compliance/
(June 3, 1996)                            resources/policies/cleanup/superfund/
                                         orphan-share-rpt.pdf

Super-fund Removal               1.3.2     OSWER Directive 9360.3-06; NTIS Product
Procedures                               Code PB92963409
Removal Enforcement                      http://www.ntis/search/index.aspx
Guidance for On-Scene
Coordinators (April 1992)

Addendum to the Interim          1.3.3     http://www.epa.gov/compliance/
CERCLA Settlement Policy                   resources/policies/cleanup/superfund/
Issued on December  5, 1984                adden-settle-mem.pdf
(September 30,  1997)
                                       Chapter 1:  Overview of CERCLA and PRP Searches

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                                                                 PRP Search Manual
                                                                    September 2009
                             Chapter 2 References
            Name
Section
Location
Entry and Continued Access            2.0
Under CERCLA (June 5, 1987)


Applicable or Relevant and              2.0
Appropriate Requirements
(ARARs)

Superfund Program                    2.0
Implementation Manual (SPIM)
Fiscal Year 2009/2010

Performance Work Statement for       2.1.1
Enforcement Support Services

Environmental Programs              2.1.1
Assistance Act (June 12, 1984)

Title V of the Older Americans Act      2.1.1
(1965)


Revised Final Guidance on             2.1.2
Disseminating EPA's SBREFA
Information Sheet to Businesses
at the Time of Enforcement
Activity (August 31, 1999)

Small Business Information Sheet      2.1.2
(October 2007)
Confidentiality of Business             2.1.2
Information
Transmittal of Sample Documents      2.1.2
for More Effective Communication
in CERCLA Section 104(e)(2)
Information Requests (June 30,
1995)

Documentation of Reason(s) for        2.1.2
Not Issuing CERCLA §106 UAOs to
All Identified PRPs
(August 2, 1996)

Checklist of PRP Search Tasks           2.2
           http://www.epa.gov/compliance/resou
           rces/policies/cleanup/superfund/cont-
           access-mem.pdf
           http://www.epa.goV/superfund/poliy/r
           emedy/sfremedy/arars.htm


           http://www.epa.gov/superfund/action/
           process/spim09.htm
           Appendix A
           http://www.epa.gov/epahrist/see/
           brochure/law.htm

           42 U.S.C. §3056etseq.
           http://www.doleta.gov/seniors/
           other_docs/owp-106-501.pdf

           http://www.epa.gov/compliance/
           resources/policies/civil/sbrefa
           EPA Publication 300-F-07-003
           http://www.epa.gov/compliance/
           resources/publications/incentives/
           smallbusiness/smallbusresources.pdf

           40 C.F.R. Part 2, Subpart B
           http://ecfr.gpoaccess.gov
           http://www.epa.gov/compliance/
           resources/policies/cleanup/superfund/
           sampledoc-cercla-mem.pdf
           http://www.epa.gov/compliance/
           resources/policies/cleanup/superfund/
           reason-cer!06-rpt. pdf


           Appendix B
                                                Chapter 2: PRP Search Planning Overview

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                                                                 PRP Search Manual
                                                                    September 2009
                             Chapter 2 References
            Name
Section
Location
Checklist for Removal/Pre-            2.2.1
remedial Sites

Performance Work Statement for       2.2.1
Enforcement Support Services

Revised Policy on Discretionary         2.3
Information Release Under
CERCLA (March 31, 1993)

Privacy Policy (September 27,           2.3
2007)

Confidentiality of Business              2.3
Information

Freedom of Information Act             2.3
(Reference Guide)

Privacy Act                            2.3
Quick Reference Guide for Using       2.4.2
CERCLIS/WasteLAN
           Appendix C
           Appendix A


           http://www.epa.gov/compliance/resou
           rces/policies/cleanup/superfund/rev-
           discre-info-rel.pdf

           http://www.epa.gov/irmpoli8/ciopolicy
           72151.0.pdf

           40 C.F.R. Part 2, Subpart B
           http://ecfr.gpoaccess.gov

           5 U.S.C. § 552 etseq.
           http://www.epa.gov/foia/guide.html

           5 U.S.C. § 552 etseq.
           http://www4.law.cornell.edU/5/552a.ht
           ml

           Appendix D
                                                Chapter 2: PRP Search Planning Overview

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                                                                  PRP Search Manual
                                                                     September 2009
                              Chapter 3 References
            Name
Section
Location
Checklist of PRP Search Tasks

PRP Search Enhancement Team
Members/Contacts

Information Requests - 104(e)
Question Categories
Potentially Responsible Party
Internet Information Sources
(PRPIIS)

Superfund Enforcement
Directory
  3.0     Appendix B

 3.2.1    Appendix E
  3.3     http://www.epa.gov/compliance/resources7p
          ublications/cleanup/superfund/104e/index.ht
          ml

 3.3.1    Appendix F
 3.3.1    http://www.epa.gov/compliance/cleanup/
          superfund/sfed/index.html
Transmittal of Sample             3.3.1
Documents for More Effective
Communication in CERCLA
Section 104(e)(2) Information
Requests (June 30, 1995)

False Statements Act              3.3.1
Federal Debt Collection             3.3.1
Procedures Act

Releasing Information to           3.3.1
Potentially Responsible Parties
at CERCLA Sites (March 1,
1990)

EPA Regulations Governing         3.3.3
Business Confidentiality Claims

Federal Rules of                   3.4.1
Evidence 801-817

Federal Perjury Statute             3.4.2
Performance Work Statement       3.5.1
for Enforcement Support
Services
          http://www.epa.gOv/compliance/resources/p
          olicies/cleanup/superfund/sampledoc-cercla-
          mem.pdf
          http://www4.law.cornell.edu/uscode/18/100
          l.html

          http://www.uscode.house.gov/download/pls/
          28C176.txt

          http://www.epa.gov/compliance/
          resources/policies/cleanup/superfund/
          release-prp-rpt.pdf

          40 C.F.R. § 2.201-2.215
          http://www.access.gpo.gov/nara/cfr/
          wa isidx_0 l/40cf r2_01. html

          http://www.law.cornell.edU/rules/fre/rules.h
          tm

          18 U.S.C. § 1621
          http://www.law.cornell.edu/uscode/html/usc
          odel8/usc_sec_18_00001621—-OOO-.html

          Appendix A
                                                         Chapter 3: Baseline PRP Search

-------
                                                                  PRP Search Manual
                                                                     September 2009
                             Chapter 3 References
            Name               Section                   Location
Final Guidance on Preparing         3.8     http://www.epa.gov/compliance/
Waste-In Lists and Volumetric                resources/policies/cleanup/superfund/guide-
Rankings for Release to                     volumet-rpt.pdf
Potentially Responsible Parties
(PRPs) Under CERCLA
(February 22, 1991)
Streamlined Approach for           3.8     http://www.epa.gov/compliance/
Settlements With De Minimis                 resources/policies/cleanup/superfund/app-
Waste Contributors Under                   deminimis-rpt.pdf
CERCLA Section 122(g)(l)(A)
(July 30, 1993)
                                                        Chapter 3: Baseline PRP Search

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                                                                 PRP Search Manual
                                                                    September 2009
                             Chapter 4 References
              Name
Section
Location
Information Requests - 104(e)            4.1
Question Categories


Model Administrative Order for            4.2
CERCLA Information Requests
(September 30, 1994)

Civil Monetary Penalty Inflation  Rule       4.2
Final Model Litigation Report and          4.2
Complaint for CERCLA Section 104(e)
Initiative (January 1990)

Recommendations Concerning the Use     4.3
and Issuance of Administrative
Subpoenas under CERCLA Section 122
(August 30, 1991)

Guidance on Use and Enforcement of      4.3
CERCLA Information Requests and
Administrative Subpoenas
(August 25, 1988)

Federal Rules of Civil Procedure, Rule      4.4
27
General Policy on Superfund Ability to    4.5.1
Pay Determinations
(September 30, 1997)
Model Notice Approving Reduction in      4.5.1
Settlement Amount Based on Inability
to Pay (April 30, 2008)
Model Notice Denying Reduction in       4.5.1
Settlement Amount Based on Inability
to Pay (April 30, 2008)
Interim Guidance on the Ability to Pay    4.5.1
and De Minimis Revisions to CERCLA  §
122(g) by the Small Business Liability
Relief and Brownfields Revitalization
Act  (May 17, 2004)	
          http://www.epa.gov/compliance/reso
          urces/publications/cleanup/superfund/
          104e/index.html

          http://www.epa.gov/compliance/
          resources/policies/cleanup/superfund/
          modao-cerinf-mem. pdf

          40 C.F.R. Part 19
          http://ecfr.gpoaccess.gov

          http://intranet.epa.gov/oeca/osre/
          docs.html
          http://www.epa.gov/compliance/
          resources/policies/cleanup/superfund/
          subpoena-cercla-mem.pdf


          http://www.epa.gov/compliance/
          resources/policies/cleanup/superfund/
          cerc-infreq-mem.pdf


          28 U.S.C. App.
          http://www.uscourts.gov/rules/CV200
          8.pdf

          http://www.epa.gov/compliance/
          resources/policies/cleanup/superfund/
          genpol-atp-rpt.pdf
          http://www.epa.gov/compliance/reso
          urces/policies/cleanup/superfund/app-
          B-arc.pdf
          http://www.epa.gov/compliance/reso
          urces/policies/cleanup/superfund/app-
          D-arc.pdf
          http://www.epa.gov/compliance/reso
          urces/policies/cleanup/superfund/atp-
          demin-122g-04.pdf
                                                       Chapter 4: Follow-up PRP Search

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                                                                 PRP Search Manual
                                                                    September 2009
                            Chapter 4 References
              Name
Section
Location
Enforcement Economic Models
Individual Ability To Pay Claim
(INDIPAY) Financial Data Request
Form
Ability To Pay Individual Request for
Information
Individual Ability To Pay Claim
Financial Data Request Form
Financial Disclosure Statement To Be
Completed by Individual Defendant
EDGAR

Potentially Responsible Party Internet
Information Sources (PRPIIS)

Interim  Enforcement Discretion Policy
Concerning "Windfall Liens" Under
Section  107(r) of CERCLA
(July 16, 2003)

Interim  Guidance on Orphan Share
Compensation for Settlors of Remedial
Design/Remedial Action and Non-
Time-Critical Removals (June  4, 1996)

Addendum to the Interim CERCLA
Settlement Policy Issued on
December 5, 1984
(September 30, 1997)
 4.5.2    http://www.epa.gov/compliance/civil/
          econmodels; http://www.indecon.com
          /iec_web/econmodels/practice/models


 4.5.2    Appendix G


 4.5.2    Appendix H

 4.5.2    Appendix I

 4.5.2    Appendix J

 4.5.2    http://www.sec.gov/edgar.shtml

 4.5.2    Appendix F


 4.5.3    http://www.epa.gov/compliance/
          resources/policies/cleanup/superfund/
          interim-windfall-lien.pdf
  4.6     http://www.epa.gov/compliance/
          resources/policies/cleanup/superfund/
          orphan-share-rpt.pdf
 4.6.1    http://www.epa.gov/compliance/
          resources/policies/cleanup/superfund/
          adden-settle-mem.pdf
                                                       Chapter 4: Follow-up PRP Search

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