Removal Action UAO

Removal - UAO (.Doc/.Docx, 41 pp, 99 K)

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Document Overview

The model Unilateral Administrative Order (UAO) for Removal Actions provides an up-to-date national model for use in both time critical and non-time critical removal situations, which will assist the Regions in drafting speedy, nationally-consistent CERCLA § 106(a) removal UAOs.

Supporting Documents

Issuance of Revised Model Administrative Settlement Agreement and Order on Consent and Unilateral Administrative Order for Removal Actions
Date: 09/30/2015
Memorandum transmits two revised model language documents for conducting removal actions under the Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA).

Guidance on Financial Assurance in Superfund Settlement Agreements and Unilateral Administrative Orders
Date: 04/06/2015
Memorandum transmits guidance, model language, and sample documents that address financial assurance (FA) requirements in cleanup settlement agreements and unilateral administrative orders (UAOs) under CERCLA.

Transmittal of Model Geospatial Data and Electronic Submission of Deliverables Language for Inclusion in CERCLA Statements of Work
Date: 09/29/2014
Transmittal memorandum and model geospatial data and electronic submission of deliverables language for inclusion in CERCLA documents.

Enforcement First for Removal Actions
Date: 08/04/2011
Memorandum addresses enforcement first policy for removal actions.

Issuance of Administrative Orders for Immediate Removal Actions
Date: 02/21/1984
Memorandum sets forth guidance on issuing administrative orders for immediate removal actions under CERCLA.

Guidance Memorandum on Use and Issuance of Administrative Orders under Section 106(a) of CERCLA
Date: 09/08/1983
Memorandum addresses the Agency's use of administrative orders under section 106(a) of CERCLA.

Revision History

Updated electronic notification requirements and financial assurance for standby trusts

  • ¶ 20 – Removed mailing address information to require request for conference or written comments or statements by email only.
  • ¶ 30.a(1) - Deleted “address, phone number” to require submission of deliverables to OSCs by email only.
  • ¶ 58 – Deleted mailing address to Cincinnati Finance Center to only require not of payment to OSCs and CFC.
  • Section XXIII – corrected typographical error in Section title.
  • ¶ 68 - Changed second sentence in standby trust paragraph to delete “the financial assurance provider is directed to do so by EPA pursuant to” and insert “EPA so requires in accordance with the terms and conditions of the financial assurance mechanism and”.

Typographical error

  • ¶39.a - Updated URLs to correct typographical error

Updated payment language and minor formatting through document

  • ¶1 – removed USC citation after “as amended,”
  • Amended the following definitions:
    • EPA – removed “and its successor departments, agencies, or instrumentalities.
    • Paragraph – grammar update
  • ¶32 – updated title and link to the 2002 version of the Integrated Health and Safety Program Operating Practices for OSWER Field Activities.
  • 39.a – Updated URL to “Air Toxics – Monitoring Methods”
  • ¶58 – Revised payment language to streamline payment instruction to only allow for payment via https://www.pay.gov and removed language regarding payment by mail.
  • ¶59 – Added “including these references” as end of sentence.
  • ¶60 – Removed reference to ¶59 at end of paragraph.
  • Updated Note following ¶86.b on locating information on general guidance on both record and non-record forms of title evidence acceptable to DOJ.

Update to potential maximum penalty paragraph

  • Modified ¶ 60 – to explain that the maximum amount may increase in the future pursuant to adjustments for inflation. Also indicates that the maximum penalty amount depends on when the court assesses any such penalty and would be the most recent maximum, as set forth in 40 CFR § 19.4. Deleted discussion of how EPA plans in the future to adjust its matrix of less-than-maximum amounts for settlement negotiations, given that it is irrelevant in this non-settlement context.

Language updates to property requirement and payment information instructions. General formatting updates.

  • Modified reference to CERCLA in various section to add “as amended” after statutory title.
  • Modified definition of RCRA to add “as amended.”
  • ¶ 57 – Updated and simplified payment instruction information.
  • ¶ 58 – Update payment instructions related to contact and address information.
  • ¶ 60 – Updated references and penalty amount information related to the Civil Monetary Penalty Inflation Adjustment Rule and maximum daily penalty under Section 106(b) of CERCLA.
  • Amend Attachment A-4 for ¶ 86(c)(5) and (d)(1) - To address an unintended inconsistency arising from the settling party’s obligations set forth in paragraphs (c)(1) and (d)(1) by the deadlines prescribed in paragraph (c)(5), deleting subparagraph (c)(5) and incorporating the deadlines into paragraph (d)(1).
  • Amend Attachment A-4 for ¶ 86(d)(1) - Changing the first sentence in subparagraph (d)(1) to read: “[SDs or Respondents, whichever term is used in the respective model] shall submit all draft Proprietary Controls and draft instruments addressing Prior Encumbrances to EPA for review and approval within [180] days after the Effective Date; or if an initial waiver request has been filed, within [135] days after EPA’s determination on the initial waiver request; or if a final waiver request has been filed, within [90] days after EPA’s determination on the final waiver request.”

Updated payment information

  • Updated ¶ 58 to reflect correct address and contact information for automated clearinghouse (ACH) payment.

Update URL

  • ¶30.b.2 - updated URL at end of paragraph.

Minor corrections/updates

  • ¶1 – updated paragraph citations to delegations.
  • ¶39 – Corrected typographic error.
  • ¶40 - Paragraph 40 is revised to add a final sentence requiring Respondents to send any access or use restriction agreements to EPA and the state, if applicable.
  • ¶52 – clarified bracketed final sentence to more accurately explain ARAR selection process.
  • ¶61 – Para 61 is updated to add a note at end of the paragraph regarding annual inflation adjustment for civil penalties.

Corrections and formatting

  • •Modified Sections VII (Opportunity to Confer) and VIII (Effective Date) (Paragraphs 19-21) to clarify the process and timing by which Respondents may request a conference and/or submit written comments on the Order.
  • Modified Paragraph 30.a (General Requirements for Deliverables) to add contact information for submissions to the State as new subparagraph (2).
  • Made minor formatting updates.

Conforming changes and formatting

  • The changes outlined below are the result of model documents issued 9/29/2016:
    • UAO updated with conforming changes in accordance with Issuance of Revised Model Remedial Design/Remedial Action Unilateral Administrative Order and New Statement of Work: ¶¶ 23 -24) – use objective criteria to review PRP contractor qualifications; ¶ 43 and App. A, Item 6 (and conforming change to Item 4) – delete requirement for owner respondent to reach access/use restriction agreement with transferee and move remainder of paragraph to new ¶ 43; ¶ 43 - delete requirement to cooperate with implementing ICs selected in a future decision document (and move remainder of old ¶ 43 into new ¶ 43); ¶ 46.b -- change requirement to retain records claimed to be privileged or protected from until dispute resolved in respondents’ favor to until EPA or a court determines that records are privileged or protected; and ¶ 47 – clarify CBI claim process.
  • UAO updated with conforming changes in accordance with Issuance of Revised Model Consent Order and New Model Unilateral Order for Remedial Investigation/Feasibility Study and Updated Financial Assurance and Insurance Language for All CERCLA Response Action Settlements and Unilateral Administrative Orders: ¶¶ 68-75 – update financial assurance section user note and clarify financial test and corporate guarantee mechanisms; ¶ 61 – increase civil penalty amount per Civil Monetary Penalty Inflation Adjustment Rule; and ¶ 67 – update insurance to include minimum coverage amounts and to require identifying information with submittals.

Technical, typographical, editorial corrections and URL updates

  • Updated existing Agency URLs throughout the document – pp. 3, 5, 12-13, 15-16, 23, 26, 33, 34
  • Formatting changes made throughout document to headers: added bold and removed underlining.
  • Removed redundant regional designation from cover page.
  • Paragraph 17.g. – typographical correction: changed “has being” to “has been.”
  • Paragraph 22 – editorial clarification: changed “notification” to “notice of intent to comply” in line 8 of the paragraph.
  • Paragraph 39.a. – removed outdated URL for information on NELAP laboratory accreditation.
  • Paragraph 53 – editorial correction: changed citation from 42 U.S.C. § 6921 to 42 U.S.C. § 9621(e).

Update URL

  • Updated URL of Superfund Interest Rate Web page in “Interest” definition of model.

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