Enforcement Processes & Strategies

This category includes documents outlining EPA's general CERCLA enforcement processes and strategies and also includes documents that are not otherwise covered by a specific subject category.

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PFAS Enforcement Discretion and Settlement Policy Under CERCLA - (4/19/24) Memorandum provides direction about how the EPA will exercise its enforcement discretion under the Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA) in matters involving per- and polyfluoroalkyl substances (PFAS). https://www.epa.gov/enforcement/pfas-enforcement-discretion-and-settlement-policy-under-cercla (PDF 375K)

Incorporating Sustainability Principles in Cleanup Enforcement Actions Under the Comprehensive Environmental Response, Compensation, and Liability Act and the Resource Conservation and Recovery Act - (9/29/23) Memorandum reinforces EPA’s positions on sustainability by encouraging cleanup enforcement staff to collaborate with their program office counterparts to incorporate applicable principles in CERCLA and RCRA cleanup enforcement work and includes a compendium of case examples and a resource library. https://www.epa.gov/enforcement/incorporating-sustainability-principles-cercla-and-rcra-cleanup-enforcement-actions (PDF 315K)

Affirmation of the EPA’s Policy of Enforcement First for Remedial Investigation/Feasibility Studies (RI/FS) at Superfund Sites - (4/30/21) Memorandum provides clarification to address circumstances when the EPA Regions should consult with the Office of Site Remediation Enforcement (OSRE) prior to committing Fund dollars to pay for a remedial investigation/feasibility study (RI/FS) project expected to exceed $2 million. https://www.epa.gov/enforcement/affirming-epa-enforcement-first-policy-rifs-superfund-sites (PDF 314K)

Superfund Community Involvement Handbook 2020 - (3/1/20) Provides guidance to EPA staff on how EPA typically plans and implements community involvement activities at Superfund sites. Chapter 5 of the handbook addresses community involvement during Superfund enforcement activities. 2020 version updates 2016 handbook to update broken links, but no other content was changed. Additional information is available on the Superfund Community Involvement Tools and Resources website at https://www.epa.gov/superfund/superfund-community-involvement-tools-and-resources. https://semspub.epa.gov/work/HQ/100002505.pdf (PDF 3500K)

Environmental Protection Agency and State Cooperative Efforts at Superfund Sites - (8/23/19) Memorandum summarizes some of the way the U.S. Environmental Protection Agency (EPA) and the states engage in joint work planning and ways in which the EPA coordinates with the states for implementing certain response actions. https://www.epa.gov/enforcement/epa-and-state-cooperative-efforts-and-responsibilities-superfund-sites (PDF 377K)

Transmittal of Model Memorandum of Understanding Regarding the Oversight and Enforcement of Remaining Response Actions Under State Law at Post-Enforcement Superfund Sites - (8/1/19) Transmittal memorandum and model Memorandum of Understanding (MOU) addressing the “transfer” from EPA to a state or tribe, for oversight and enforcement of remaining response actions under state law, of a post-enforcement, non-NPL Superfund site. https://www.epa.gov/enforcement/oversight-and-enforcement-remaining-response-actions-under-state-law-memorandum (PDF 514K)

CWA/CERCLA Site Specific Sample Memorandum of Understanding - (11/21/17) The sample memorandum of understanding (MOU) was created to provide a template to facilitiate collaboration among EPA, states, and federally-recognized Indian tribes, as well as other federal agencies. Given that roles and responsibilities under the Clean Water Act (CWA) and the Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA) often are shared by these different entities, the close collaboration can be crucial when addressing contaminated sediments and their associated waters. https://www.epa.gov/enforcement/cwacercla-site-specific-sample-memorandum-understanding (PDF 536K)

Update to 2010 Revised Guidance on Compiling Administrative Records and Q&A on NCP - (11/14/16) Updates portions of the "Revised Guidance on Compiling Administrative Records for CERCLA Response Actions" (2010 Administrative Records Guidance) to ensure consistency with the 2013 NCP Amendment, and provides (in Attachment 1) recommended answers to questions that have arisen since the 2013 NCP Amendment and the launch of the SEMS-Pub application. http://semspub.epa.gov/src/document/11/197872 (PDF 2,002 K)

Consideration of Greener Cleanup Activities in the Superfund Cleanup Process - (8/2/16) Jointly issued memorandum recommends approaches for "greener cleanup activities" when evaluating remedial and removal activities and other activities designed to reduce or mitigate potential environmental impacts when implementing response actions under CERCLA. http://semspub.epa.gov/src/document/11/100000160 (PDF 3,595K)

Promoting Water, Superfund and Enforcement Collaboration on Contaminated Sediments - (2/12/15) Memorandum from the Assistant Administrators for Water, Enforcement, and Solid Waste and Emergency Response, encourages improvements in communication, coordination, and collaboration among the three program offices when addressing contaminated sediments. http://semspub.epa.gov/src/document/11/720523 (PDF 1098K)

Promoting Enforcement First for Remedial Investigation / Feasibility Studies at Superfund Sites - (3/20/12) Memorandum reaffirms EPA's commitment to having potentially responsible parties conduct RI/FS at Superfund sites whenever appropriate. https://www.epa.gov/enforcement/guidance-promoting-enforcement-first-rifs-superfund-sites (PDF 385 K)

Final Implementation of the National Strategy to Manage Post Construction Completion Activities at Superfund Sites - (2/16/12) Summarizes the results of the Post-Construction Completion (PCC) Strategy, which was implemented from 2005 to 2011. EPA closed out the PCC Strategy with this final report since the elements of the PCC Strategy have become EPA’s way of doing business for the Superfund program. http://semspub.epa.gov/src/document/HQ/174124

Enforcement First for Removal Actions - (8/4/11) Memorandum addresses enforcement first policy for removal actions. https://www.epa.gov/enforcement/guidance-enforcement-first-removal-actions (PDF 251K)

Options for Responding to Deficient Deliverables from PRPs - (6/30/11) Memorandum transmitting sample letters for Regions to use when addressing deficient deliverables with potentially responsible parties. https://www.epa.gov/enforcement/guidance-options-responding-deficient-deliverables-prps (PDF 386K)

Transmittal of Preliminary Potentially Responsible Party Search Completion Measure Definition for Incorporation into the Superfund Program Implementation Manual for FY2012 - (6/23/11) Guidance to regions on documenting preliminary PRP search completion activities https://www.epa.gov/enforcement/guidance-preliminary-prp-search-completion-measure-definition-and-superfund-program (PDF 338K)

PRP Search Documentation Summary Requirements for Decision Documents to Not Pursue Cost Recovery Where Unaddressed past Costs are Greater Than $200,000 - (3/8/11) Guidance establishing standard and mandatory PRP search documentation requirements in decision documents. https://www.epa.gov/enforcement/guidance-documenting-prp-search-decision-documents-and-unaddressed-cost-recoveries (PDF 353K)

Revised Guidance on Compiling Administrative Records for CERCLA Response Actions - (9/20/10) Memorandum sets forth the policy and procedures for compiling and maintaining administrative records in connection with Superfund response actions. https://www.epa.gov/enforcement/guidance-compiling-administrative-records-superfund-response-actions (PDF 748 K)

EPA's Continued Efforts to Enhance CERCLA Cost Recovery - (7/2/10) Memorandum highlights important cost recovery practices and encourages Regions to reevaluate their Superfund cost recovery programs. https://www.epa.gov/enforcement/guidance-efforts-enhance-cercla-cost-recovery (PDF 267 K)

Enforcement First to Ensure Effective Institutional Controls at Superfund Sites - (3/17/06) Memorandum on enforcement first policy and application to any actions needed to ensure the implementation and effectiveness of institutional controls. https://www.epa.gov/enforcement/guidance-enforcement-first-policy-superfund-institutional-controls (PDF 51 K)

National Strategy to Manage Post Construction Completion Activities at Superfund Sites - (10/12/05) The Post Construction Completion National Strategy assures that CERCLA remedies continue to protect human health and the environment over the long term. Final report issued 2/16/2012. http://semspub.epa.gov/src/document/HQ/174761 (PDF 240 K)

Enforcement First at Superfund Sites: Negotiation and Enforcement Strategies for Remedial Investigation/Feasibility Studies (RI/FS) - (8/9/05) Memorandum confirms EPA's commitment for PRPs to conduct RI/FS wherever appropriate and encourages Regions to conduct early and thorough PRP searches. https://www.epa.gov/enforcement/guidance-enforcement-first-superfund-sites-negotiation-and-enforcement-strategies-rifs (PDF 62 K)

Guidance for Preparing Superfund Ready for Reuse Determinations - (2/12/04) Transmittal memorandum and guidance for preparing Superfund ready for reuse determinations. OSWER Dir. 93654.0-33 https://www.epa.gov/enforcement/guidance-preparing-superfund-ready-reuse-determinations (PDF 165K)

Fact Sheet: Superfund Ready for Reuse Determination Guidance - (2/12/04) Fact sheet to accompany Superfund ready for reuse determination guidance, OSWER Dir. 9365.0-33-FS. http://semspub.epa.gov/src/document/HQ/175568 (PDF 218K)

Regional Determinations Regarding Which Sites Are Not 'Eligible Response Sites' under CERCLA Section 101(41)(C)(i), as added by SBLRBRA - (3/6/03) This memo provides guidance to the Regions on implementing authorities to determine whether a site should be excluded from being an "eligible response site" under Section 101(41)(C)(i), OSWER Dir. 9230.1-107, dated Mar. 6, 2003 https://www.epa.gov/enforcement/guidance-regional-determinations-regarding-eligible-response-sites (PDF 384 K)

Enforcement First for Remedial Action at Superfund Sites - (9/20/02) Request RAs to re-double their attention to ensure the continued implementation of the "enforcement first" policy at Superfund sites in their Regions. https://www.epa.gov/enforcement/guidance-enforcement-first-remedial-action-superfund-sites (PDF 115 K)

Use of CERCLA 106 to Address Endangerments That May Also be Addressed Under Other Environmental Statutes - (1/18/01) This memo discusses the use of CERCLA 106 to address imminent and substantial endangerments that may also be addressed by other crose-media situations. https://www.epa.gov/enforcement/guidance-using-cercla-section-106-address-cross-media-ise-situations (PDF 1500 K)

Applicability of Policy Against No Action Assurances to CERCLA - (6/16/00) Memorandum affirms the applicability of the Agency's general policies concerning "no action" assurances to sites subject to CERCLA. https://www.epa.gov/enforcement/guidance-applicability-policy-against-no-action-assurances-cercla (PDF 23 K)

Negotiation and Enforcement Strategies to Achieve Timely Settlement and Implementation of Remedial Design/Remedial Action at Superfund Sites - (6/17/99) Memorandum recommends strategies that can be used to encourage PRPs to enter into a settlement using the model remedial design/remedial action (RD/RA) consent decree and discusses the current model language unilateral administrative order (UAO). Also suggests practical alternatives to expedite Superfund settlements and the cleanup process. https://www.epa.gov/enforcement/guidance-strategies-achieve-timely-settlement-and-implementation-rdra-superfund-sites (PDF 50 K)

MOU EPA, Coast Guard, Dept. of Commerce, Dept. of the Interior, Dept. of Agriculture, Dept. of Defense, Dept. of Energy, and Dept. of Justice re: the exercise of authority under Section 106 of the CERCLA - (2/10/98) MOU regarding the exercise of authority under Section 106 of CERCLA. https://www.epa.gov/enforcement/agreement-exercise-superfund-section-106-authority-between-federal-partners (PDF 61KB)

Transmittal of Addendum to the Interim CERCLA Settlement Policy Issued on December 5, 1984 - (9/30/97) Transmittal memorandum and addendum to the "Interim CERCLA Settlement Policy" issued on December 5, 1984 that provides the Regions with direction for addressing potential compromises of CERCLA cost recovery claims due to the existence of a significant orphan share. https://www.epa.gov/enforcement/guidance-cercla-settlement-policy-interim (PDF 18 K)

CERCLA Coordination with Natural Resource Trustees - (7/31/97) Memorandum provides direction for ensuring that CERCLA requirements for coordination with Natural Resource Trustees are met. http://semspub.epa.gov/src/document/11/157963 (PDF 767 K)

Answers to Comments Submitted After the Superfund ROD is Signed - (10/11/95) Memorandum addresses the Agency's responsibility for responding to comments submitted after the Superfund Record of Decision (ROD) is signed and the comment period has closed. https://www.epa.gov/enforcement/guidance-responding-comments-after-rod-signed (PDF 98 K)

Processing Requests for Use of Enforcement Discretion - (3/3/95) Memorandum discussing EPA's general policy on no action assurances. https://www.epa.gov/enforcement/guidance-processing-requests-use-enforcement-discretion (PDF 795K)

Developing Allocations Among Potentially Responsible Parties for the Costs of Superfund Site Cleanups - (10/1/94) Serves to assist EPA and the parties paying these costs in examining settlement options that are fair and minimize transaction costs at Superfund sites https://www.epa.gov/enforcement/developing-allocations-among-potentially-responsible-parties-costs-superfund-site (PDF 900K)

Accelerating Potentially Responsible Party Remedial Design Starts: Implementing the 30-Day Study - (4/2/92) Memorandum implements a recommendation of the 30-day study concerning accelerating Remedial Design starts. OSWER No. 9835.4-2b. https://www.epa.gov/enforcement/guidance-accelerating-prp-remedial-design-starts (PDF 244KB)

Limiting Lead Transfers to Private Parties During Discrete Phases of the Remedial Process - (11/14/91) Memorandum addresses lead transfers to private parties during discrete phases of the remedial process. OSWER No. 9800.1-01. https://www.epa.gov/enforcement/guidance-limiting-lead-transfers-private-parties-during-discrete-phases-cleanup-process (PDF 17KB)

Recommendations Concerning the Use and Issuance of Administrative Subpoenas under CERCLA Section 122 - (8/30/91) Memo addresses CERCLA 122 which gives EPA authority to issue subpoenas administratively to require the attendance and testimony of witnesses and the production of documents. https://www.epa.gov/enforcement/guidance-use-and-enforcement-cercla-information-requests-and-administrative-subpoenas (PDF 179K)

Policy Towards Owners of Residential Property at Superfund Sites - (7/3/91) Policy addresses concerns raised by owners of residential property located on Superfund sites, and provide the Regions with a nationally consistent approach on this issue. OSWER Dir. No. 9834.6. https://www.epa.gov/enforcement/guidance-owners-residential-property-superfund-sites (PDF 466 KB)

Integrated Timeline for Superfund Site Management (SMR #5, 15) - (6/11/90) Displays the key steps and phases in moving sites from identification to remediation. (SMR #5, 15), OSWER No. 9851.3. https://www.epa.gov/enforcement/guidance-superfund-management-review-timeline-superfund-site-management (PDF 396 KB)

Superfund Enforcement Strategy and Implementation Plan - (11/3/89) Memorandum discusses Superfund enforcement strategy and the steps necessary to implement improvements in the enforcement program. OSWER No. 9800.0. https://www.epa.gov/enforcement/guidance-superfund-enforcement-strategy-and-implementation-plan (PDF 2,586K)

Notification of Out-of-State Shipments of Superfund Site Wastes, Oswer Dir. No. 9330.2-07 - (9/14/89) Memorandum addresses EPA's policy regarding off-site shipment of Superfund wastes to an out-of-state waste management facility.OSWER Directive 9330.2-07. http://semspub.epa.gov/src/document/11/190985 (PDF 115 KB)

Submittal of Ten-Point Settlement Analyses for CERCLA Consent Decrees - (8/11/89) Memorandum to ensure adequacy of information provided in the ten-point analysis of a proposed Superfund settlement. Ten settlement criteria laid out in 12/5/1984 Interim CERCLA Settlement Policy (attached). https://www.epa.gov/enforcement/guidance-superfund-settlement-ten-point-analysis (PDF 1130 K)

Interim Final Guidance on Preparation of Superfund Memoranda of Agreement (SMOAs) - (5/8/89) Guidance indicated that the content of a smoa may be adapted to the needs of a particular State and the respective EPA Region. https://www.epa.gov/enforcement/guidance-preparing-superfund-memoranda-agreement (PDF 1256 K)

Guidance on CERCLA Section 106 Judicial Actions - (2/24/89) Guidance provides criteria for consideration in selecting and initiating Section 106 Judicial Actions. The guidance also identifies and discusses issues that should be considered in preparation of a section 106 referral. https://www.epa.gov/enforcement/guidance-cercla-section-106-judicial-actions (PDF 425 KB)

Revisions to the Interim Guidance on PRP Participation in Remedial Investigations and Feasability Studies - (2/7/89) Sets forth policies and procedures governing PRP participation in the RI/FS process including initiation of PRP searches, notification, development of agreements, and oversight of RI/FS activities. https://www.epa.gov/enforcement/guidance-prp-participation-rifs (PDF 2,035K)

CERCLA Community Relations Mailing Lists, OSWER No. 9836.2 - (2/6/89) Memorandum emphasizes the use of community relations mailing lists to ensure notification of PRPs. https://www.epa.gov/enforcement/guidance-using-community-relations-mailing-lists-superfund-enforcement (PDF 193KB)

The Superfund Enforcement Process: How It Works - (7/1/88) Fact Sheet on the Superfund enforcement process, enforcement authorities and tools. https://www.epa.gov/enforcement/fact-sheet-how-superfund-enforcement-process-works

Interim Guidance on Notice Letters, Negotiations, and Information Exchange - (10/19/87) Memorandum re-emphasizes the importance of timely issuance of notice letters and the exchange of information between EPA and PRPs. https://www.epa.gov/enforcement/interim-guidance-notice-letters-negotiations-and-information-exchange (PDF 3061KB)

Covenants Not to Sue Under SARA (Interim Guidance - Request for Public Comments), 52 Fed.Reg. 28039 - (7/27/87) Superfund Program; Covenants Not to Sue; Request for Public Comments, FR Vol. 52, No. 143, dated July 27, 1987 Oswer No., 9834.8 https://www.epa.gov/enforcement/guidance-covenants-not-sue-under-superfund (PDF 788 K)

Superfund Program; Non-Binding Preliminary Allocations of Responsibility (NBAR) - (5/20/87) Interim guidelines on non-binding preliminary allocations of responsibility (NBAR), among potentially responsible parties. https://www.epa.gov/enforcement/guidance-preparing-nonbinding-preliminary-allocations-responsibility-nbar (PDF 477 K)

Policy for Enforcement Actions against Transporters under CERCLA - (12/23/85) Policy for Enforcement Actions against Transporters under CERCLA. OSWER Dir. No. 9829.0 https://www.epa.gov/enforcement/guidance-enforcement-actions-against-transporters-under-cercla (PDF 272 K)

Interim CERCLA Settlement Policy - (12/5/84) Memorandum sets forth the general principles governing private party settlements under CERCLA, and specific procedures for the Regions and Headquarters to use in assessing private party settlement proposals. https://www.epa.gov/enforcement/guidance-cercla-settlement-policy-interim (PDF 994 K)

Policy Against No Action Assurances - (11/16/84) Memorandum reaffirming EPA policy on no action assurances. Referenced in June 2000 memorandum on applicability of no action assurance policy to CERCLA. https://www.epa.gov/enforcement/guidance-no-action-assurances-policy (PDF 139 K)

Issuance of Administrative Orders for Immediate Removal Actions - (2/21/84) Sets forth guidance on issuing administrative orders for immediate removal actions under CERCLA. https://www.epa.gov/enforcement/guidance-issuing-administrative-orders-immediate-removal-actions (PDF 692 KB)

Guidance Memorandum on Use and Issuance of Administrative Orders Under Section 106(a) of CERCLA - (9/8/83) Guidance Memorandum on Use and Issuance of Administrative Orders Under Section 106(a) of CERCLA, OSWER Dir. No. 9833.0. Superseded in part by 3/7/90 guidance on CERCLA 106(a) UAO for RD/RA. https://www.epa.gov/enforcement/guidance-using-and-issuing-superfund-section-106a-administrative-orders (PDF 1,154K)

Guidelines for Using the Imminent Hazard, Enforcement and Emergency Response Authorities of Superfund and Other Statutes - (5/13/82) Policy statement provides a general description of how response actions undertaken pursuant to CERCLA 104 will be coordinated with the use of enforcement authorities available to EPA and DOJ. https://www.epa.gov/enforcement/using-imminent-hazard-enforcement-and-emergency-response-authorities-cercla-and-other (PDF 3406K)

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