UNITED STATES ENVIRONMENTAL PROTECTION AGENCY AND
UNITED STATES DEPARTMENT OF JUSTICE
MODEL CERCLA SECTION 107 CONSENT DECREE FOR
RECOVERY OF PAST RESPONSE COSTS
This model and any internal procedures adopted for its
implementation and use are intended as guidance for employees of
the U.S. Department of Justice and the U.S. Environmental
Protection Agency. They do not constitute rulemaking by the
Department or Agency and may not be relied upon to create a right
or a benefit, substantive or procedural, enforceable at law or in
equity, by any person. The Department or Agency may take action at
variance with this model or its internal implementing procedures.
MODEL CERCLA SECTION 107 CONSENT DECREE
FOR RECOVERY OF PAST RESPONSE COSTS
TABLE OF CONTENTS
I. BACKGROUND
II. JURISDICTION
III. PARTIES BOUND
IV. DEFINITIONS
V.
REIMBURSEMENT OF RESPONSE COSTS
VI. FAILURE TO COMPLY WITH
REQUIREMENTS OF CONSENT DECREE
VII.
COVENANT NOT TO SUE BY PLAINTIFF[S]
VIII. COVENANT NOT TO SUE BY
SETTLING DEFENDANTS
IX. EFFECT OF
SETTLEMENT/CONTRIBUTION PROTECTION
__. [SITE ACCESS]
__. [ACCESS TO
INFORMATION]
X. RETENTION OF
RECORDS
XI. NOTICES AND
SUBMISSIONS
XII. RETENTION OF
JURISDICTION
XIII. INTEGRATION[/APPENDICES]
XIV. LODGING AND
OPPORTUNITY FOR PUBLIC COMMENT
XV. EFFECTIVE DATE
XVI. SIGNATORIES/SERVICE
IN THE UNITED STATES DISTRICT COURT
FOR THE DISTRICT OF [______________]
[_________________] DIVISION1
______________________________
)
UNITED STATES OF AMERICA, )
)
[and )
)
THE STATE OF ___________] )
)
Plaintiff[s], )
) Civil Action No. ___________
v. )
) Judge ______________________
[DEFENDANTS] )
)
)
Defendants. )
______________________________)
CONSENT
DECREE
[NOTE: If the complaint includes causes of action which are
not resolved by this consent decree, or names defendants who are
not signatories to this consent decree, the title should be
"Partial Consent Decree.]
I. BACKGROUND
A. The United States of America ("United States"), on
behalf of the Administrator of the United States Environmental
Protection Agency ("EPA"), filed a complaint in this matter
pursuant to Section 107 of the Comprehensive Environmental
Response, Compensation, and Liability Act of 1980, 42 U.S.C.
Section 9607, as amended ("CERCLA"), seeking reimbursement of
response costs incurred and to be incurred for response actions
taken at or in connection with the release or threatened release
of hazardous substances at the [insert Site Name] in [insert
City, County, State] ("the Site").
[[__. The State of ________ (the "State") also filed a
complaint against the defendants in this Court alleging that the
defendants are liable to the State under Section 107 of CERCLA,
42 U.S.C. Section 9607, and [list State laws cited in the State's
complaint]. The State in its complaint seeks [insert relief
sought].]]
B. The defendants that have entered into this Consent
Decree ("Settling Defendants") do not admit any liability to
Plaintiff[s] arising out of the transactions or occurrences
alleged in the complaint[s].2
C. The United States and Settling Defendants agree, and
this Court by entering this Consent Decree finds, that this
Consent Decree has been negotiated by the Parties in good faith,
that settlement of this matter will avoid prolonged and
complicated litigation between the Parties, and that this Consent
Decree is fair, reasonable, and in the public interest.
THEREFORE, with the consent of the Parties to this Decree,
it is ORDERED, ADJUDGED, AND DECREED:
II. JURISDICTION
1. This Court has jurisdiction over the subject matter of
this action pursuant to 28 U.S.C. Sections 1331 and 1345 and 42
U.S.C. Sections 9607 and 9613(b) and also has personal
jurisdiction over Settling Defendants. Settling Defendants
consent to and shall not challenge entry of this Consent Decree
or this Court's jurisdiction to enter and enforce this Consent
Decree.
III. PARTIES
BOUND
2. This Consent Decree is binding upon the United States
[and the State], and upon Settling Defendants and their [heirs,]
successors and assigns. Any change in ownership or corporate or
other legal status, including but not limited to, any transfer of
assets or real or personal property, shall in no way alter the
status or responsibilities of Settling Defendants under this
Consent Decree.
IV. DEFINITIONS
3. Unless otherwise expressly provided herein, terms used
in this Consent Decree which are defined in CERCLA or in
regulations promulgated under CERCLA shall have the meaning
assigned to them in CERCLA or in such regulations. Whenever
terms listed below are used in this Consent Decree or in any
appendix attached hereto, the following definitions shall
apply:
a. "CERCLA" shall mean the Comprehensive Environmental
Response, Compensation, and Liability Act of 1980, as amended, 42
U.S.C. Section 9601, et seq.
b. "Consent Decree" shall mean this Consent Decree and
all appendices attached hereto. In the event of conflict between
this Consent Decree and any appendix, the Consent Decree shall
control.
c. "Day" shall mean a calendar day. In computing any
period of time under this Consent Decree, where the last day
would fall on a Saturday, Sunday, or federal holiday, the period
shall run until the close of business of the next working day.
d. "DOJ" shall mean the United States Department of
Justice and any successor departments, agencies or
instrumentalities of the United States.
e. "EPA" shall mean the United States Environmental
Protection Agency and any successor departments, agencies or
instrumentalities of the United States.
f. "EPA Hazardous Substance Superfund" shall mean the
Hazardous Substance Superfund established by the Internal Revenue
Code, 26 U.S.C. Section 9507.
g. "Interest" shall mean interest at the current rate
specified for interest on investments of the Hazardous Substance
Superfund established by 26 U.S.C. Section 9507, compounded
annually on October 1 of each year, in accordance with 42 U.S.C.
Section 9607(a).3
[[__. "Owner Settling Defendants" shall mean [insert
names].]]4
h. "Paragraph" shall mean a portion of this Consent
Decree identified by an arabic numeral or an upper or lower case
letter.
i. "Parties" shall mean the United States[, the State
of _____________,] and the Settling Defendants.
j. "Past Response Costs" shall mean all costs,
including but not limited to direct and indirect costs, that EPA
or DOJ on behalf of EPA has paid at or in connection with the
Site through [insert date], plus accrued Interest on all such
costs through such date.5
[[__. "Record of Decision" or "ROD" shall mean the EPA
Record of Decision relating to the [Site or ___ Operable Unit at
the Site] signed on [insert date] by the Regional Administrator,
EPA Region ___, or his/her delegatee, and all attachments
thereto.]]
k. "Plaintiff[s]" shall mean the United States [and
the State].
l. "Section" shall mean a portion of this Consent
Decree identified by a roman numeral.
m. "Settling Defendants" shall mean [insert names of
settling parties, or only if very numerous, "those parties
identified in Appendix A."]
n. "Site" shall mean the _______ Superfund site,
encompassing approximately ____ acres, located at [insert address
or description of location] in [insert City, County, State], and
[insert either "depicted more clearly on the map included in
Appendix B" or "designated by the following property description:
____________."]
[__. "State" shall mean the State [or Commonwealth]
of ____________.]
[[__. "State Past Response Costs" shall mean all
costs, including but not limited to direct and indirect costs,
together with accrued interest, that the State of _________ has
paid through [insert date] in response to the release or
threatened release of hazardous substances at or in connection
with the Site, but not including amounts reimbursed to the State
by EPA.]]
o. "United States" shall mean the United States of
America, including it departments, agencies and
instrumentalities.
V.
REIMBURSEMENT OF RESPONSE COSTS
[NOTE: If the amount to be paid is $10,000 or greater,
payment should be made by electronic funds transfer using the
following Paragraph 4.]
4. Payment of Past Response Costs to the EPA Hazardous
Substance Superfund. Within 30 days of entry of this Consent
Decree, Settling Defendants shall pay to the EPA Hazardous
Substance Superfund $________ in reimbursement of Past Response
Costs, plus an additional sum for Interest on that amount
calculated from the date set forth in the definition of Past
Response Costs through the date of payment.6 Payment shall be made by
FedWire Electronic Funds Transfer ("EFT") to the U.S. Department
of Justice account in accordance with current EFT procedures,
referencing USAO File Number ___________, the EPA Region and Site
Spill ID Number ______ [insert 4-digit number, first 2 numbers
represent the Region (01-10), second 2 numbers represent the
Region's Site/Spill Identification number], and DOJ Case Number
___________. Payment shall be made in accordance with
instructions provided to Settling Defendants by the Financial
Litigation Unit of the U.S. Attorney's Office in the District of
__________ following lodging of the Consent Decree. Any payments
received by the Department of Justice after 4:00 p.m. Eastern
Time shall be credited on the next business day. Settling
Defendants shall send notice to EPA and DOJ that payment has been
made in accordance with Section XI (Notices and Submissions) and
to [insert names and mailing addresses of the Regional Financial
Management Officer and any other receiving officials at EPA].
[NOTE: If the amount to be paid is less than $10,000, payment
should be made by check using the following alternative Paragraph
4.]
4. Payment of Past Response Costs to the EPA Hazardous
Substance Superfund. Within 30 days of entry of this Consent
Decree, Settling Defendants shall pay to the EPA Hazardous
Substance Superfund $________ in reimbursement of Past Response
Costs, plus an additional sum for Interest on that amount
calculated from the date set forth in the definition of Past
Response Costs through the date of payment. Payment shall be
made by certified check or checks or cashier's check or checks
made payable to "U.S. Department of Justice," referencing the
name and address of the party making payment, the EPA Region and
Site Spill ID Number ______ [insert 4-digit number, first 2
numbers represent the Region (01-10), second 2 numbers represent
the Region's Site/Spill Identification number], USAO File Number
__________, and DOJ Case Number __________. Settling Defendants
shall send the check[s] to:
[Insert address of Financial Litigation Unit of U.S.
Attorney's Office for the District in which the Consent
Decree will be entered]
Settling Defendants shall send notice that such payment has been
made to EPA and DOJ in accordance with Section XI (Notices and
Submissions) and to [insert names and mailing addresses of the
Regional Financial Management Officer and any other receiving
officials at EPA].
[NOTE: If payment is to be made to a State, insert the
following optional paragraph.]
[[__. Payment of Past Response Costs to the State. Within
30 days of entry of this Consent Decree, Settling Defendants
shall pay to the State $________, in the form of a certified
check or checks or cashier's check or checks, in reimbursement of
State Past Response Costs. The check[s] shall be made payable to
_________ and shall reference [insert name of case]. Settling
Defendants shall send the check[s] to:
[Insert address provided by State]]
VI. FAILURE TO COMPLY WITH
REQUIREMENTS OF CONSENT DECREE
5. Interest on Late Payments. In the event that any
payment[s] required by Section V (Reimbursement of Response
Costs) or Section VI, Paragraph 6 (Stipulated Penalty), are not
received when due, Interest shall continue to accrue on the
unpaid balance through the date of payment.
6. Stipulated Penalty.
a. If any amounts due to EPA [or to the State] under
this Consent Decree are not paid by the required date, Settling
Defendants shall pay to EPA [, or to the State if the delayed
payment is for State Past Response Costs,] as a stipulated
penalty, in addition to the Interest required by Paragraph 5,
$_______ per violation per day that such payment is late.
[[__. If Settling Defendants do not comply with
Section ___ (Site Access), Section ___ (Access to Information),
or Section ___ [insert cross-reference to any other non-payment
requirements for which a stipulated penalty applies], Settling
Defendants shall pay to EPA, as a stipulated penalty, $______ per
violation per day of such noncompliance.]]
[NOTE: Escalating payment schedules may be used in Paragraph
6(a) and in the optional paragraph immediately above concerning
stipulated penalties for violations of non-payment requirements
of the consent decree.]
b. Stipulated penalties are due and payable within 30
days of the date of the demand for payment of the penalties by
EPA [or the State]. All payments to EPA under this Paragraph
shall be made by certified or cashier's check made payable to
"EPA Hazardous Substance Superfund" and shall be sent to:
[Insert Regional Lockbox number and address]
All payments shall indicate that the payment is for stipulated
penalties and shall reference the name and address of the party
making payment, the EPA Region and Site Spill ID Number ______
[insert 4-digit number, first 2 numbers represent the Region (01-10), second 2 numbers represent the Region's Site/Spill
Identification number], USAO File Number __________, and DOJ Case
Number ___________. Copies of check[s] paid pursuant to this
Paragraph, and any accompanying transmittal letter[s], shall be
sent to EPA and DOJ as provided in Section XI (Notices and
Submissions) and to [insert title and address of Regional
Financial Management Officer and any other receiving official at
EPA].
[NOTE: If applicable, insert State payment instructions for
stipulated penalties for failure to pay State Past Response
Costs.]
c. Penalties shall accrue as provided in this
Paragraph regardless of whether EPA [or the State] has notified
Settling Defendants of the violation or made a demand for
payment, but need only be paid upon demand. All penalties shall
begin to accrue on the day after complete performance is due or
the day a violation occurs, and shall continue to accrue through
the final day of correction of the noncompliance or completion of
the activity. Nothing herein shall prevent the simultaneous
accrual of separate penalties for separate violations of this
Consent Decree.
7. If the United States [or the State] brings an action to
enforce this Consent Decree, Settling Defendants shall reimburse
the United States [and the State] for all costs of such action,
including but not limited to costs of attorney time.
8. Payments made under Paragraphs 5-7 shall be in addition
to any other remedies or sanctions available to Plaintiff[s] by
virtue of Settling Defendants' failure to comply with the
requirements of this Consent Decree.
9. The obligations of Settling Defendants to pay amounts
owed the United States [and the State] under this Consent Decree
are joint and several. In the event of the failure of any one or
more Settling Defendants to make the payments required under this
Consent Decree, the remaining Settling Defendants shall be
responsible for such payments.
10. Notwithstanding any other provision of this Section,
the United States may, in its unreviewable discretion, waive
payment of any portion of the stipulated penalties that have
accrued pursuant to this Consent Decree.
VII.
COVENANT NOT TO SUE BY PLAINTIFF[S]
11. Covenant Not to Sue by United States. Except as
specifically provided in Paragraph 12 (Reservation of Rights by
United States), the United States covenants not to sue Settling
Defendants pursuant to Section 107(a) of CERCLA, 42 U.S.C.
Section 9607(a), to recover Past Response Costs. This covenant
not to sue shall take effect upon receipt by EPA of all payments
required by Section V, Paragraph 4 (Payment of Past Response
Costs to the United States) and Section VI, Paragraphs 5
(Interest on Late Payments) and 6(a) (Stipulated Penalty for Late
Payment). This covenant not to sue is conditioned upon the
satisfactory performance by Settling Defendants of their
obligations under this Consent Decree. This covenant not to sue
extends only to Settling Defendants and does not extend to any
other person.
12. Reservation of Rights by United States. The covenant
not to sue set forth in Paragraph 11 does not pertain to any
matters other than those expressly specified therein. The United
States reserves, and this Consent Decree is without prejudice to,
all rights against Settling Defendants with respect to all other
matters, including but not limited to:
a. liability for failure of Settling Defendants to
meet a requirement of this Consent Decree;
b. liability for damages for injury to, destruction
of, or loss of natural resources, and for the costs of any
natural resource damage assessments;
c. criminal liability;
d. liability for injunctive relief or administrative
order enforcement under Section 106 of CERCLA, 42 U.S.C. Section
6906; and
e. liability for costs incurred or to be incurred by
the United States that are not within the definition of Past
Response Costs.
[NOTE: If the State is a co-plaintiff, insert separate
paragraphs for the State's covenant not to sue settling
defendants and reservation of rights.]
VIII. COVENANT NOT TO
SUE BY SETTLING DEFENDANTS
13. Settling Defendants covenant not to sue and agree not
to assert any claims or causes of action against the United
States [or the State], or its [their] contractors or employees,
with respect to Past Response Costs [and State Response Costs] or
this Consent Decree, including but not limited to:
a. any direct or indirect claim for reimbursement from
the Hazardous Substance Superfund based on Sections 106(b)(2),
107, 111, 112, or 113 of CERCLA, 42 U.S.C. Sections 9606(b)(2),
9607, 9611, 9612, or 9613, or any other provision of law;
b. any claim arising out of response actions at the
Site for which the Past Response Costs were incurred; and
c. any claim against the United States pursuant to
Sections 107 and 113 of CERCLA, 42 U.S.C. Sections 9607 and 9613,
relating to Past Response Costs.7
14. Nothing in this Consent Decree shall be deemed to
constitute approval or preauthorization of a claim within the
meaning of Section 111 of CERCLA, 42 U.S.C. Section 9611, or 40
C.F.R. 300.700(d).
IX. EFFECT OF
SETTLEMENT/CONTRIBUTION PROTECTION
15. Nothing in this Consent Decree shall be construed to
create any rights in, or grant any cause of action to, any person
not a Party to this Consent Decree. Each of the Parties
expressly reserves any and all rights (including, but not limited
to, any right to contribution), defenses, claims, demands, and
causes of action which each Party may have with respect to any
matter, transaction, or occurrence relating in any way to the
Site against any person not a Party hereto.
16. The Parties agree, and by entering this Consent Decree
this Court finds, that Settling Defendants are entitled, as of
the effective date of this Consent Decree, to protection from
contribution actions or claims as provided by Section 113(f)(2)
of CERCLA, 42 U.S.C. Section 9613(f)(2), for "matters addressed"
in this Consent Decree. The "matters addressed" in this Consent
Decree are Past Response Costs.8
17. Each Settling Defendant agrees that, with respect to
any suit or claim for contribution brought by it for matters
related to this Consent Decree, it will notify EPA and DOJ [and
the State] in writing no later than 60 days prior to the
initiation of such suit or claim. Each Settling Defendant also
agrees that, with respect to any suit or claim for contribution
brought against it for matters related to this Consent Decree, it
will notify EPA and DOJ [and the State] in writing within 10 days
of service of the complaint or claim upon it. In addition, each
Settling Defendant shall notify EPA and DOJ [and the State]
within 10 days of service or receipt of any Motion for Summary
Judgment, and within 10 days of receipt of any order from a court
setting a case for trial, for matters related to this Consent
Decree.
18. In any subsequent administrative or judicial proceeding
initiated by the United States [or the State] for injunctive
relief, recovery of response costs, or other relief relating to
the Site, Settling Defendants shall not assert, and may not
maintain, any defense or claim based upon the principles of
waiver, res judicata, collateral estoppel, issue preclusion,
claim-splitting, or other defenses based upon any contention that
the claims raised by the United States [or the State] in the
subsequent proceeding were or should have been brought in the
instant case; provided, however, that nothing in this Paragraph
affects the enforceability of the Covenant Not to Sue by
Plaintiff[s] set forth in Section VII.
[__. SITE ACCESS]9
[[__. Commencing upon the date of lodging of this Consent
Decree, Settling Defendants agree to provide the United States
[, the State,] and its [their] representatives, including EPA and
its contractors, access at all reasonable times to the Site and
to any other property owned or controlled by Settling Defendants
to which access is determined by EPA [or the State] to be
required for the implementation of this Consent Decree, or for
the purpose of conducting any response activity related to the
Site, including but not limited to:
a. Monitoring of investigation, removal, remedial or
other activities at the Site;
b. Verifying any data or information submitted to the
United States [or the State];
c. Conducting investigations relating to contamination
at or near the Site;
d. Obtaining samples;
e. Assessing the need for, planning, or implementing
response actions at or near the Site; [and]
f. Inspecting and copying records, operating logs,
contracts, or other documents maintained or generated by Settling
Defendants or their agents, consistent with Section ___ (Access
to Information).
[NOTE: If institutional controls or any other provisions
requiring monitoring are included in the decree, also include the
following subparagraph g.]
[g. Assessing Settling Defendants' compliance with
this Consent Decree.]
__. Notwithstanding any provision of this Consent Decree,
the United States [and the State] retain[s] all of its [their]
access authorities and rights, including enforcement authorities
related thereto, under CERCLA, the Resource Conservation and
Recovery Act, 42 U.S.C. Section 6927, and any other applicable
statutes or regulations.
__. Notice of Obligations to Successors-in-Title.
a. Within 15 days after entry of this Consent Decree,
[Owner Settling Defendants] shall record [insert either "a
certified copy of this Consent Decree" or "a notice of the entry
of this Consent Decree"] with the Recorder's Office [or Registry
of Deeds or other appropriate office], _____________ County,
State of ______________.10
Thereafter, each deed, title, or other instrument conveying an
interest in the property included in the Site shall contain a
notice stating that the property is subject to this Consent
Decree [and any lien retained by the United States] and shall
reference the recorded location of the Consent Decree and any
restrictions applicable to the property under this Consent
Decree.
b. The obligations of each [Owner Settling Defendant]
with respect to the provision of access under Section ___ (Site
Access) [and the implementation of institutional controls under
Paragraph ___] shall be binding upon any and all Settling
Defendants and upon any and all persons who subsequently acquire
any such interest or portion thereof (hereinafter "Successors-in-Title"). Within 15 days after the entry of this Consent Decree,
each [Owner Settling Defendant] shall record at the Recorder's
Office [or Registry of Deeds or other appropriate office where
land ownership and transfer records are maintainted for the
property] a notice of obligation to provide access under Section
___ (Site Access) and related covenants, if any. Each subsequent
instrument conveying an interest to any such property included in
the Site shall reference the recorded location of such notice and
covenants applicable to the property.
c. Any [Owner Settling Defendant] and any Successor-in-Title shall, at least 30 days prior to the conveyance of any
such interest, give written notice of this Consent Decree to the
grantee and written notice to EPA [and the State] of the proposed
conveyance, including the name and address of the grantee, and
the date on which notice of the Consent Decree was given to the
grantee. In the event of any such conveyance, the Settling
Defendants' obligations under this Consent Decree, including
their obligation to provide or secure access pursuant to Section
___ (Site Access), shall continue to be met by Settling
Defendants. In no event shall the conveyance of an interest in
property that includes, or is a portion of, the Site release or
otherwise affect the liability of Settling Defendants to comply
with this Consent Decree.]]
[__. ACCESS TO
INFORMATION11 ]
[[__. Settling Defendants shall provide to EPA [and the
State], upon request, copies of all documents and information
within their possession or control or that of their contractors
or agents relating to activities at the Site [or to the
implementation of this Consent Decree], including, but not
limited to, sampling, analysis, chain of custody records,
manifests, trucking logs, receipts, reports, sample traffic
routing, correspondence, or other documents or information
related to the Site.
__. Confidential Business Information and Privileged
Documents.
a. Settling Defendants may assert business
confidentiality claims covering part or all of the documents or
information submitted to Plaintiff[s] under this Consent Decree
to the extent permitted by and in accordance with Section
104(e)(7) of CERCLA, 42 U.S.C. Section 9604(e)(7), and 40 C.F.R.
2.203(b). Documents or information determined to be confidential
by EPA will be accorded the protection specified in 40 C.F.R.
Part 2, Subpart B. If no claim of confidentiality accompanies
documents or information when they are submitted to EPA [and the
State], or if EPA has notified Settling Defendants that the
documents or information are not confidential under the standards
of Section 104(e)(7) of CERCLA, the public may be given access to
such documents or information without further notice to Settling
Defendants.
b. Settling Defendants may assert that certain
documents, records or other information are privileged under the
attorney-client privilege or any other privilege recognized by
federal law. If Settling Defendants assert such a privilege in
lieu of providing documents, they shall provide Plaintiff[s] with
the following: 1) the title of the document, record, or
information; 2) the date of the document, record, or information;
3) the name and title of the author of the document, record, or
information; 4) the name and title of each addressee and
recipient; 5) a description of the subject of the document,
record, or information; and 6) the privilege asserted. However,
no documents, reports or other information created or generated
pursuant to the requirements of this or any other consent decree
with the United States shall be withheld on the grounds that they
are privileged. If a claim of privilege applies only to a
portion of a document, the document shall be provided to
Plaintiff[s] in redacted form to mask the privileged information
only. Settling Defendants shall retain all records and documents
that they claim to be privileged until the United States has had
a reasonable opportunity to dispute the privilege claim and any
such dispute has been resolved in the Settling Defendants'
favor.
__. No claim of confidentiality shall be made with respect
to any data, including but not limited to, all sampling,
analytical, monitoring, hydrogeologic, scientific, chemical, or
engineering data, or any other documents or information
evidencing conditions at or around the Site.]]
X. RETENTION OF
RECORDS12
19. Until __ years after the entry of this Consent Decree,
each Settling Defendant shall preserve and retain all records and
documents now in its possession or control, or which come into
its possession or control, that relate in any manner to response
actions taken at the Site or the liability of any person for
response actions conducted and to be conducted at the Site,
regardless of any corporate retention policy to the contrary.
20. After the conclusion of the document retention period
in the preceding paragraph, Settling Defendants shall notify EPA
and DOJ [and the State] at least 90 days prior to the destruction
of any such records or documents, and, upon request by EPA or DOJ
[or the State], Settling Defendants shall deliver any such
records or documents to EPA [or the State]. Settling Defendants
may assert that certain documents, records, or other information
are privileged under the attorney-client privilege or any other
privilege recognized by federal law. If Settling Defendants
assert such a privilege, they shall provide Plaintiff[s] with the
following: 1) the title of the document, record, or information;
2) the date of the document, record, or information; 3) the name
and title of the author of the document, record, or information;
4) the name and title of each addressee and recipient; 5) a
description of the subject of the document, record, or
information; and 6) the privilege asserted. However, no
documents, reports, or other information created or generated
pursuant to the requirements of this or any other consent decree
with the United States shall be withheld on the grounds that they
are privileged. If a claim of privilege applies only to a
portion of a document, the document shall be provided to
Plaintiff[s] in redacted form to mask the privileged information
only. Settling Defendants shall retain all records and documents
that they claim to be privileged until the United States has had
a reasonable opportunity to dispute the privilege claim and any
such dispute has been resolved in the Settling Defendants'
favor.
21. By signing this Consent Decree, each Settling Defendant
certifies individually that, to the best of its knowledge and
belief, it has:
a. conducted a thorough, comprehensive, good faith
search for documents, and has fully and accurately disclosed to
EPA, all information currently in its possession, or in the
possession of its officers, directors, employees, contractors or
agents, which relates in any way to the ownership, operation or
control of the Site, or to the ownership, possession, generation,
treatment, transportation, storage or disposal of a hazardous
substance, pollutant or contaminant at or in connection with the
Site;
b. not altered, mutilated, discarded, destroyed or
otherwise disposed of any records, documents or other information
relating to its potential liability regarding the Site, after
notification of potential liability or the filing of a suit
against the Settling Defendant regarding the Site; and
c. fully complied with any and all EPA requests for
information regarding the Site pursuant to Sections 104(e) and
122(e) of CERCLA, 42 U.S.C. Sections 9604(e) and 9622(e) [insert,
if applicable, ", and Section 3007 of RCRA, 42 U.S.C. Section
6927"].
XI. NOTICES AND
SUBMISSIONS
22. Whenever, under the terms of this Consent Decree,
notice is required to be given or a document is required to be
sent by one party to another, it shall be directed to the
individuals at the addresses specified below, unless those
individuals or their successors give notice of a change to the
other Parties in writing. Written notice as specified herein
shall constitute complete satisfaction of any written notice
requirement of the Consent Decree with respect to the United
States, EPA, DOJ, [the State,] and Settling Defendants,
respectively.
As to the United States:
As to DOJ:
Chief, Environmental Enforcement Section
Environment and Natural Resources Division
U.S. Department of Justice (DJ # __________)
P.O. Box 7611
Washington, D.C. 20044-7611
As to EPA:
[Insert names and addresses of EPA Regional
contacts, usually the ORC attorney and the
RPM or Project Coordinator]
[As to the State:
Insert name and address of State contact if the
State is a party to the Consent Decree]
As to Settling Defendants:
[Insert name of one person who will serve as
the contact for all Settling Defendants]
XII. RETENTION OF
JURISDICTION
23. This Court shall retain jurisdiction over this matter
for the purpose of interpreting and enforcing the terms of this
Consent Decree.
XIII.
INTEGRATION[/APPENDICES]
24. This Consent Decree and its appendices constitute the
final, complete and exclusive agreement and understanding among
the Parties with respect to the settlement embodied in this
Consent Decree. The Parties acknowledge that there are no
representations, agreements or understandings relating to the
settlement other than those expressly contained in this Consent
Decree. [The following appendices are attached to and
incorporated into this Consent Decree: "Appendix A" is the
complete list of Settling Defendants; and "Appendix B" is the map
of the Site.]
XIV. LODGING AND
OPPORTUNITY FOR PUBLIC COMMENT
25. This Consent Decree shall be lodged with the Court for
a period of not less than 30 days for public notice and comment.
The United States reserves the right to withdraw or withhold its
consent if the comments regarding the Consent Decree disclose
facts or considerations which indicate that this Consent Decree
is inappropriate, improper, or inadequate. Settling Defendants
consent to the entry of this Consent Decree without further
notice.
26. If for any reason this Court should decline to approve
this Consent Decree in the form presented, this agreement is
voidable at the sole discretion of any party and the terms of the
agreement may not be used as evidence in any litigation between
the Parties.
XV. EFFECTIVE
DATE
27. The effective date of this Consent Decree shall be the
date upon which it is entered by the Court.
XVI.
SIGNATORIES/SERVICE
28. Each undersigned representative of a Settling Defendant
to this Consent Decree and the [Assistant Attorney General for
the Environment and Natural Resources Division]13 of the United States
Department of Justice [insert State official] certifies that he
or she is authorized to enter into the terms and conditions of
this Consent Decree and to execute and bind legally such Party to
this document.
29. Each Settling Defendant hereby agrees not to oppose
entry of this Consent Decree by this Court or to challenge any
provision of this Consent Decree, unless the United States has
notified Settling Defendants in writing that it no longer
supports entry of the Consent Decree.
30. Each Settling Defendant shall identify, on the attached
signature page, the name and address of an agent who is
authorized to accept service of process by mail on behalf of that
Party with respect to all matters arising under or relating to
this Consent Decree. Settling Defendants hereby agree to accept
service in that manner and to waive the formal service
requirements set forth in Rule 4 of the Federal Rules of Civil
Procedure and any applicable local rules of this Court, including
but not limited to, service of a summons.
SO ORDERED THIS _______ DAY OF ________________, 19__.
_____________________________
United States District Judge
THE UNDERSIGNED PARTIES enter into this Consent Decree in the
matter of [insert case name and civil action number], relating to
the __________ Superfund Site.
FOR THE UNITED STATES OF AMERICA
Date: _______________ ________________________________
[Name]
Assistant Attorney General14
Environment and Natural Resources
Division
U.S. Department of Justice
Washington, D.C. 20530
________________________________
[NAME]
United States Attorney
[Address]
_________________________________
[NAME]
Attorney
Environmental Enforcement Section
Environment and Natural Resources
Division
U.S. Department of Justice
P.O. Box 7611
Washington, DC 20044-7611
___________________________________
[Name]15
Assistant Administrator for Enforcement and Compliance
Assurance U.S. Environmental Protection
Agency 401 M Street, S.W.
Washington, D.C. 20460
__________________________________ [Name]
Regional Administrator, Region [ ]
U.S. Environmental Protection
Agency
[Address]
___________________________________
[Name]
Assistant Regional Counsel
U.S. Environmental Protection Agency
[Address]
[[THE UNDERSIGNED PARTY enters into this Consent Decree in the
matter of [insert case name and civil action number], relating to
the _________________ Superfund Site.
FOR THE STATE OF [ ]
Date: __________________ _________________________________
[Names and addresses of State signatories]]
THE UNDERSIGNED PARTY enters into this Consent Decree in the
matter of [insert case name and civil action number], relating to
the _________________ Superfund Site.
FOR DEFENDANT [ ]
Date: __________________ ___________________________________
[Names and address of Defendant's
signatories]
Agent Authorized to Accept Service on Behalf of Above-signed
Party:
Name: ________________________
Title: ________________________
Address: ________________________
Footnotes to Model CERCLA Section 107 Consent Decree
1 Follow local rules for caption format.
2 In situations where the court has entered summary judgment
as to liability, we normally should preserve that result in a subsequent settlement by deleting this
Paragraph B and replacing it with one that describes the summary judgment decision.
3 The Superfund currently is invested in 52-week MK bills.
The interest rate for these MK bills changes on October 1 of each year. To obtain the current
rate, contact Vince Velez, Office of Administration and Resource Management, Financial
Management Division, Superfund Accounting Branch, at (202) 260-6465.
4 This definition is needed if the optional paragraph on Notice
of Obligations to Successors-in-Title is used. See infra p. 14.
5 If the past costs settlement is partial, it may be necessary to
continue the definition with a brief description of the past response action(s) which are being paid
for or compromised, such as: ". . . for the response action described in the Record of Decision for
the First Operable Unit at the Site dated ________" or "for the removal action described in the
action memorandum for the Site dated ________." Exercise care in describing the activities
covered, as this description may affect the scope of the covenant not to sue and contribution
protection. For clarity, the description of the past response action may need to indicate which
response actions are not included within the definition of Past Response Costs. Check to be sure
that the date used in the definition of Past Response Costs does not inadvertently include costs
that are outside the scope of the definition. In some cases, it may be useful to attach a standard,
Regionally-prepared cost summary listing the costs that are within the scope of the definition.
This may be done: 1) to be sure that no confusion arises as to which costs are being
compromised; or 2) to indicate which outstanding past cost claims are being resolved through the
settlement, i.e., to indicate that the recovered costs are to be applied to particular portions of the
debt.
6 As an alternative to calculation and payment of interest from
the Past Response Costs date through the date of payment, settling defendants may agree to place
the amount agreed upon into an interest-bearing escrow account to be disbursed to EPA upon
entry of the consent decree. If this method is used, accrued interest from the Past Response Costs
date through the date the escrow account is created should be calculated and included in the
escrow deposit.
7 The settlement should, wherever possible, release or resolve
any claims by settling defendants against the United States related to the site. Where a claim is
asserted by a potentially responsible party, or the Region has any information suggesting federal
agency liability, all information relating to potential federal liability should be provided to the
affected agency and DOJ as soon as possible in order to resolve any such issues in the settlement.
Settlement of any federal liability will require additional revisions to this document, and model
language will be provided separately. Only in exceptional circumstances where federal liability
cannot be resolved in a timely manner in the settlement should this provision be deleted and
private parties be allowed to reserve their rights.
8 In exceptional situations, different coverage may
apply.
9 Include this section if 1) access to the site is needed and 2)
the site owner is a settling defendant or other settling defendants control access to the site or to
any other property to which access is needed. Renumber sections and paragraphs as necessary. If
any of the settling defendants will need to provide institutional controls as part of any response
action, include such a provision within this section and change the name of this section to Site
Access/Institutional Controls.
10 If an institutional controls provision is included in this
section, this paragraph should be amended to require the owner settling defendants to record in
the chain of title a restrictive covenant that specifies the institutional controls. The institutional
controls to be implemented should be described in an appendix to this decree.
11 Include this section only if settling defendants have been or
will be involved in cleanup efforts at the site or if they may possess information which may assist
the Agency in its cleanup or enforcement efforts.
12 Renumber this section and all following section headings
and paragraph numbers if either of the optional sections on Site Access or Access to Information
is included.
13 Substitute Chief, Environmental Enforcement Section,
where the case involves less than $1 million and at least $500,000 is being recovered by
settlement. Note also that Associate Attorney General approval is required if the difference
between the total amount of the claim and the amount of the settlement exceeds $2 million or
15% of claim (whichever is greater). See 28 CFR 0.160.
14 See supra n. 13.
15 Include AA-OECA signature block only if he or she has a
concurrence role under Delegation No. 14-13-B.
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