Superfund Cleanup Subject Listing

Settlement Policy

This category covers documents addressing CERCLA settlement processes and procedures at Superfund sites, including how federal and state environmental agencies work together to enter into negotiated cleanups under CERCLA.

You will need Adobe Reader to view some of the files on this page. See EPA's About PDF page to learn more.

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)
Use of the "Look-First" Approach in Comprehensive Environmental Response, Compensation, and Liability Act Settlement Agreements Involving Third Parties - (1/16/20)
Memorandum on the potential use of "look-first" provisions in settlement agreements with third parties under CERCLA.
https://www.epa.gov/enforcement/use-look-first-approach-superfund-settlement-agreements-involving-third-parties (PDF 352K)
Bifurcating Remedial Design and Remedial Action to Accelerate Remedial Design Starts at PRP-Lead Superfund Sites - (6/21/18)
Memorandum to the Regions regarding Recommendation 12 of the Superfund Task Force Report on a discrete strategy that Regions can use to expedite Superfund settlements and accelerate remedial design starts at PRP-lead Superfund Sites
Agreement with Third-Parties to Support the Cleanup and Reuse at Sites on the Superfund National Priorities List - (4/17/18)
Memorandum encourages Regions to consider more frequent use of site-specific agreements with third parties at sites on the Superfund National Priorities List.
https://www.epa.gov/enforcement/third-party-agreements-support-cleanup-and-reuse-superfund-npl-sites (PDF 1201K)
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)
Transmittal of Updated Superfund Response and Settlement Approach for Sites Using the Superfund Alternative Approach (SAA Guidance) - (9/28/12)
Transmittal memorandum and updated guidance on the selection of and settlements using the Superfund Alternative Approach to ensure consistency between the NPL sites and sites with SAA agreements. OSWER Directive No. 9200.2-125
https://www.epa.gov/enforcement/transmittal-memo-updated-superfund-response-and-settlement-approach-sites-using (PDF 401 K)
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)
Interim Guidance: Providing Communities with Opportunities for Independent Technical Assistance in Superfund Settlements - (9/3/09)
Transmittal memorandum and six attachments provide guidance on Technical Assistance Plan (TAP) provisions in Superfund settlements. Six Attachments include: model TAP language for AOCs for RI/FS and CDs for RD/RA using Superfund Alternative Approach; Sample language for TAP language in settlement SOW; FAQs about TAPs; Sample application by community group for TAP; Sample langague for PRP TAP; and Sample directive by Community Group for specific tasks by Technical Advisor
https://www.epa.gov/enforcement/interim-guidance-opportunities-independent-technical-assistance-superfund-settlements (PDF 375 K)
Brownfield Sites and Supplemental Environmental Projects (SEPs) - (11/30/06)
Fact sheet providing questions and answers on the complementary role of supplemental environmental projects (SEPs) at brownfield sites. This document supersedes the 1998 document on Brownfields and SEPs.
https://www.epa.gov/enforcement/fact-sheet-brownfield-sites-and-supplemental-environmental-projects (PDF 78 K)
Revised Settlement Policy and Contribution Waiver Language Regarding Exempt De Micromis and Non-Exempt De Micromis Parties - (11/6/02)
Memo transmits revised policy & model contribution waiver language re new Small Business Liability Relief and Brownfields Revitalization Act. Includes 5 attachments of model language.
https://www.epa.gov/enforcement/guidance-settlement-policy-contribution-waiver-language-regarding-de-micromis-parties (PDF 480 KB)
Model Language Relating to Orphan Share Compensation Through the Compromise of Future Oversight Costs - (9/28/00)
Memo suggests model language for inclusion in future remedial design, remedial action consent decrees and removal action administrative orders that provide orphan share compensation.
https://www.epa.gov/enforcement/guidance-orphan-share-compensation-through-compromise-future-oversight-costs-model (PDF 238K)
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)
Transmittal of Policy for Municipality and Municipal Solid Waste CERCLA Settlements at NPL Co-Disposal Sites - (2/5/98)
Transmittal memorandum and policy supplementing the 9/30/89 Interim Policy on CERCLA Settlements Involving Municipalities and Municipal Wastes. 1998 MSW Policy states that EPA will continue its policy of generally not identifying generators and transporters of MSW as PRPs at NPL sites.
https://www.epa.gov/enforcement/guidance-policy-municipality-and-msw-cercla-settlements-npl-co-disposal-sites (PDF 30KB)
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)
Defining Matters Addressed in CERCLA Settlements - (3/14/97)
Memorandum describes the principles applied in defining "matters addressed" and the application of these principles to the most common types of CERCLA settlements.
https://www.epa.gov/enforcement/guidance-defining-matters-addressed-cercla-settlements (PDF 28 K)
Interim Guidance on Orphan Share Compensation for Settlors of Remedial Design/Remedial Action and Non-Time-Critical Removals - (6/3/96)
Memorandum provides Regions with direction for providing orphan share compensation in settlements with PRPs.
https://www.epa.gov/enforcement/guidance-orphan-share-compensation-rdra-and-non-time-critical-removal-settlors (PDF 437 KB)
Revised Policy on Performance of Risk Assessments During Remedial Investigation/Feasibility Studies (RI/FS) Conducted by Potentially Responsible Parties - (1/26/96)
Memorandum reaffirms the Agency's commitment to allow PRPs to conduct risk assessments under proper circumstances as part of the overal RI/FS process. OSWER Directive 9835.15c. This memorandum does not address the model documents attached to the 1991 policy document on the same matter.
http://semspub.epa.gov/src/document/HQ/176093 (PDF 188K)
Exploring Use of Annuities as Funding Tools for Superfund Settlements - (4/17/95)
Memorandum identifies mechanisms that will facilitate settlements and examines the use of annuities.
https://www.epa.gov/enforcement/guidance-exploring-annuities-funding-tools-superfund-settlements (PDF 235 K)
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)
Transmittal of Interim Policy on CERCLA Settlements Involving Municipalities and Municipal Wastes (Interim Municipal Settlement Policy) - (12/6/89)
Transmittal memorandum contains cover memo, fact sheet, and interim guidance regarding settlements involving municipalities or municipal waste under Section 122 CERCLA as amended by SARA.
https://www.epa.gov/enforcement/guidance-interim-municipal-settlement-policy (PDF 827K)
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)
Guidance on Premium Payments in CERCLA Settlements - (11/17/88)
Guidance on the use of premium payments in CERCLA Settlements, OSWER No. 9835.6.
https://www.epa.gov/enforcement/guidance-premium-payments-superfund-settlements (PDF 494K)
Interim Policy on Mixed Funding Settlements Involving the Preauthorization of States or Political Subdivisions - (5/27/88)
Memorandum establishes interim policy on the use of mixed funding/preathorization of states or political subdivisions that are PRPs. OSWER No. 9834.9a
https://www.epa.gov/enforcement/guidance-superfund-mixed-funding-settlements-involving-state-or-political-subdivision (PDF 195KB)
Evaluating Mixed Funding Settlements under CERCLA - (10/20/87)
Memorandum provides guidance to the Regions for evaluating settlement proposals they may receive from PRPs for EPA to provide mixed funding at CERCLA sites. OSWER No. 9834.9.
https://www.epa.gov/enforcement/guidance-superfund-mixed-funding-settlement-evaluation (PDF 716 K)
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)
Interim Guidance on Settlements with De Minimis Waste Contributors under Section 122(g) of SARA - (6/19/87)
Memorandum providing interim guidance for determining which PRPs qualify for treatment as de minimis waste contributors under section 122(g)(1) (A) of CERCLA.
https://www.epa.gov/enforcement/guidance-superfund-settlements-de-minimis-waste-contributors (PDF 83 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)
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)

Top of page