1625-0096 Stat/Authority

Page 5299

TITLE 42—THE PUBLIC HEALTH AND WELFARE

Sec.

(g) Small business participation.
9660a.
Grant program.
9661.
Love Canal property acquisition.
(a) Acquisition of property in emergency
declaration area.
(b) Procedures for acquisition.
(c) State ownership.
(d) Maintenance of property.
(e) Habitability and land use study.
(f) Funding.
(g) Response.
(h) Definitions.
9662.
Limitation on contract and borrowing authority.
SUBCHAPTER IV—POLLUTION INSURANCE
9671.
9672.
9673.

9674.

9675.

Definitions.
State laws; scope of subchapter.
(a) State laws.
(b) Scope of subchapter.
Risk retention groups.
(a) Exemption.
(b) Exceptions.
(c) Application of exemptions.
(d) Agents or brokers.
Purchasing groups.
(a) Exemption.
(b) Application of exemptions.
(c) Agents or brokers.
Applicability of securities laws.
(a) Ownership interests.
(b) Investment Company Act.
(c) Blue sky law.
CHAPTER REFERRED TO IN OTHER SECTIONS

This chapter is referred to in sections 300h–6, 300h–7,
6972, 11004 of this title; title 10 sections 2701, 2703, 2810;
title 16 sections 410yy–3, 426n, 460lll, 460lll–46, 545b; title
26 sections 9507, 9508; title 30 section 1240a; title 33 sections 1272, 1321, 2701; title 43 sections 869–2, 1474b–1.

SUBCHAPTER I—HAZARDOUS SUBSTANCES
RELEASES, LIABILITY, COMPENSATION
SUBCHAPTER REFERRED TO IN OTHER SECTIONS
This subchapter is referred to in sections 9651, 9655,
9658, 9659 of this title; title 26 section 9507.

§ 9601. Definitions
For purpose of this subchapter—
(1) The term ‘‘act of God’’ means an unanticipated grave natural disaster or other natural phenomenon of an exceptional, inevitable,
and irresistible character, the effects of which
could not have been prevented or avoided by
the exercise of due care or foresight.
(2) The term ‘‘Administrator’’ means the Administrator of the United States Environmental Protection Agency.
(3) The term ‘‘barrel’’ means forty-two
United States gallons at sixty degrees Fahrenheit.
(4) The term ‘‘claim’’ means a demand in
writing for a sum certain.
(5) The term ‘‘claimant’’ means any person
who presents a claim for compensation under
this chapter.
(6) The term ‘‘damages’’ means damages for
injury or loss of natural resources as set forth
in section 9607(a) or 9611(b) of this title.
(7) The term ‘‘drinking water supply’’ means
any raw or finished water source that is or
may be used by a public water system (as defined in the Safe Drinking Water Act [42
U.S.C. 300f et seq.]) or as drinking water by
one or more individuals.

§ 9601

(8) The term ‘‘environment’’ means (A) the
navigable waters, the waters of the contiguous
zone, and the ocean waters of which the natural resources are under the exclusive management authority of the United States under the
Magnuson-Stevens Fishery Conservation and
Management Act [16 U.S.C. 1801 et seq.], and
(B) any other surface water, ground water,
drinking water supply, land surface or subsurface strata, or ambient air within the
United States or under the jurisdiction of the
United States.
(9) The term ‘‘facility’’ means (A) 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 (B) 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.
(10) The term ‘‘federally permitted release’’
means (A) discharges in compliance with a
permit under section 1342 of title 33, (B) discharges resulting from circumstances identified and reviewed and made part of the public
record with respect to a permit issued or
modified under section 1342 of title 33 and subject to a condition of such permit, (C) continuous or anticipated intermittent discharges
from a point source, identified in a permit or
permit application under section 1342 of title
33, which are caused by events occurring within the scope of relevant operating or treatment systems, (D) discharges in compliance
with a legally enforceable permit under section 1344 of title 33, (E) releases in compliance
with a legally enforceable final permit issued
pursuant to section 3005(a) through (d) of the
Solid Waste Disposal Act [42 U.S.C. 6925(a)–(d)]
from a hazardous waste treatment, storage, or
disposal facility when such permit specifically
identifies the hazardous substances and makes
such substances subject to a standard of practice, control procedure or bioassay limitation
or condition, or other control on the hazardous substances in such releases, (F) any release in compliance with a legally enforceable
permit issued under section 1412 of title 33 of 1
section 1413 of title 33, (G) any injection of
fluids authorized under Federal underground
injection control programs or State programs
submitted for Federal approval (and not disapproved by the Administrator of the Environmental Protection Agency) pursuant to part C
of the Safe Drinking Water Act [42 U.S.C. 300h
et seq.], (H) any emission into the air subject
to a permit or control regulation under section 111 [42 U.S.C. 7411], section 112 [42 U.S.C.
7412], title I part C [42 U.S.C. 7470 et seq.], title
I part D [42 U.S.C. 7501 et seq.], or State implementation plans submitted in accordance with
section 110 of the Clean Air Act [42 U.S.C. 7410]
(and not disapproved by the Administrator of
the Environmental Protection Agency), including any schedule or waiver granted, pro1 So

in original. Probably should be ‘‘or’’.

§ 9601

TITLE 42—THE PUBLIC HEALTH AND WELFARE

mulgated, or approved under these sections, (I)
any injection of fluids or other materials authorized under applicable State law (i) for the
purpose of stimulating or treating wells for
the production of crude oil, natural gas, or
water, (ii) for the purpose of secondary, tertiary, or other enhanced recovery of crude oil
or natural gas, or (iii) which are brought to
the surface in conjunction with the production
of crude oil or natural gas and which are reinjected, (J) the introduction of any pollutant
into a publicly owned treatment works when
such pollutant is specified in and in compliance with applicable pretreatment standards
of section 1317 (b) or (c) of title 33 and enforceable requirements in a pretreatment program
submitted by a State or municipality for Federal approval under section 1342 of title 33, and
(K) any release of source, special nuclear, or
byproduct material, as those terms are defined
in the Atomic Energy Act of 1954 [42 U.S.C.
2011 et seq.], in compliance with a legally enforceable license, permit, regulation, or order
issued pursuant to the Atomic Energy Act of
1954.
(11) The term ‘‘Fund’’ or ‘‘Trust Fund’’
means the Hazardous Substance Superfund established by section 9507 of title 26.
(12) The term ‘‘ground water’’ means water
in a saturated zone or stratum beneath the
surface of land or water.
(13) The term ‘‘guarantor’’ means any person, other than the owner or operator, who
provides evidence of financial responsibility
for an owner or operator under this chapter.
(14) The term ‘‘hazardous substance’’ means
(A) any substance designated pursuant to section 1321(b)(2)(A) of title 33, (B) any element,
compound, mixture, solution, or substance
designated pursuant to section 9602 of this
title, (C) any hazardous waste having the characteristics identified under or listed pursuant
to section 3001 of the Solid Waste Disposal Act
[42 U.S.C. 6921] (but not including any waste
the regulation of which under the Solid Waste
Disposal Act [42 U.S.C. 6901 et seq.] has been
suspended by Act of Congress), (D) any toxic
pollutant listed under section 1317(a) of title
33, (E) any hazardous air pollutant listed
under section 112 of the Clean Air Act [42
U.S.C. 7412], and (F) any imminently hazardous chemical substance or mixture with respect to which the Administrator has taken
action pursuant to section 2606 of title 15. The
term does not include petroleum, including
crude oil or any fraction thereof which is not
otherwise specifically listed or designated as a
hazardous substance under subparagraphs (A)
through (F) of this paragraph, and the term
does not include natural gas, natural gas liquids, liquefied natural gas, or synthetic gas
usable for fuel (or mixtures of natural gas and
such synthetic gas).
(15) The term ‘‘navigable waters’’ or ‘‘navigable waters of the United States’’ means the
waters of the United States, including the territorial seas.
(16) The term ‘‘natural resources’’ means
land, fish, wildlife, biota, air, water, ground
water, drinking water supplies, and other such
resources belonging to, managed by, held in

Page 5300

trust by, appertaining to, or otherwise controlled by the United States (including the resources of the fishery conservation zone established by the Magnuson-Stevens Fishery Conservation and Management Act [16 U.S.C. 1801
et seq.]), any State or local government, any
foreign government, any Indian tribe, or, if
such resources are subject to a trust restriction on alienation, any member of an Indian
tribe.
(17) The term ‘‘offshore facility’’ means any
facility of any kind located in, on, or under,
any of the navigable waters of the United
States, and any facility of any kind which is
subject to the jurisdiction of the United
States and is located in, on, or under any
other waters, other than a vessel or a public
vessel.
(18) The term ‘‘onshore facility’’ means any
facility (including, but not limited to, motor
vehicles and rolling stock) of any kind located
in, on, or under, any land or nonnavigable waters within the United States.
(19) The term ‘‘otherwise subject to the jurisdiction of the United States’’ means subject
to the jurisdiction of the United States by virtue of United States citizenship, United States
vessel documentation or numbering, or as provided by international agreement to which the
United States is a party.
(20)(A) The term ‘‘owner or operator’’ means
(i) in the case of a vessel, any person owning,
operating, or chartering by demise, such vessel, (ii) in the case of an onshore facility or an
offshore facility, any person owning or operating such facility, and (iii) in the case of any
facility, title or control of which was conveyed
due to bankruptcy, foreclosure, tax delinquency, abandonment, or similar means to a
unit of State or local government, any person
who owned, operated, or otherwise controlled
activities at such facility immediately beforehand. Such term does not include a person,
who, without participating in the management of a vessel or facility, holds indicia of
ownership primarily to protect his security interest in the vessel or facility.
(B) In the case of a hazardous substance
which has been accepted for transportation by
a common or contract carrier and except as
provided in section 9607(a)(3) or (4) of this
title, (i) the term ‘‘owner or operator’’ shall
mean such common carrier or other bona fide
for hire carrier acting as an independent contractor during such transportation, (ii) the
shipper of such hazardous substance shall not
be considered to have caused or contributed to
any release during such transportation which
resulted solely from circumstances or conditions beyond his control.
(C) In the case of a hazardous substance
which has been delivered by a common or contract carrier to a disposal or treatment facility and except as provided in section 9607(a)(3)
or (4) of this title, (i) the term ‘‘owner or operator’’ shall not include such common or contract carrier, and (ii) such common or contract carrier shall not be considered to have
caused or contributed to any release at such
disposal or treatment facility resulting from
circumstances or conditions beyond its control.

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TITLE 42—THE PUBLIC HEALTH AND WELFARE

(D) The term ‘‘owner or operator’’ does not
include a unit of State or local government
which acquired ownership or control involuntarily through bankruptcy, tax delinquency,
abandonment, or other circumstances in
which the government involuntarily acquires
title by virtue of its function as sovereign.
The exclusion provided under this paragraph
shall not apply to any State or local government which has caused or contributed to the
release or threatened release of a hazardous
substance from the facility, and such a State
or local government shall be subject to the
provisions of this chapter in the same manner
and to the same extent, both procedurally and
substantively, as any nongovernmental entity,
including liability under section 9607 of this
title.
(E) EXCLUSION OF LENDERS NOT PARTICIPANTS
IN MANAGEMENT.—
(i) INDICIA OF OWNERSHIP TO PROTECT SECURITY.—The term ‘‘owner or operator’’ does
not include a person that is a lender that,
without participating in the management of
a vessel or facility, holds indicia of ownership primarily to protect the security interest of the person in the vessel or facility.
(ii) FORECLOSURE.—The term ‘‘owner or operator’’ does not include a person that is a
lender that did not participate in management of a vessel or facility prior to foreclosure, notwithstanding that the person—
(I) forecloses on the vessel or facility;
and
(II) after foreclosure, sells, re-leases (in
the case of a lease finance transaction), or
liquidates the vessel or facility, maintains
business activities, winds up operations,
undertakes a response action under section
9607(d)(1) of this title or under the direction of an on-scene coordinator appointed
under the National Contingency Plan, with
respect to the vessel or facility, or takes
any other measure to preserve, protect, or
prepare the vessel or facility prior to sale
or disposition,
if the person seeks to sell, re-lease (in the
case of a lease finance transaction), or
otherwise divest the person of the vessel or
facility at the earliest practicable, commercially reasonable time, on commercially reasonable terms, taking into account market
conditions and legal and regulatory requirements.
(F) PARTICIPATION IN MANAGEMENT.—For purposes of subparagraph (E)—
(i) the term ‘‘participate in management’’—
(I) means actually participating in the
management or operational affairs of a
vessel or facility; and
(II) does not include merely having the
capacity to influence, or the unexercised
right to control, vessel or facility operations;
(ii) a person that is a lender and that holds
indicia of ownership primarily to protect a
security interest in a vessel or facility shall
be considered to participate in management
only if, while the borrower is still in posses-

§ 9601

sion of the vessel or facility encumbered by
the security interest, the person—
(I) exercises decisionmaking control over
the environmental compliance related to
the vessel or facility, such that the person
has undertaken responsibility for the hazardous substance handling or disposal
practices related to the vessel or facility;
or
(II) exercises control at a level comparable to that of a manager of the vessel
or facility, such that the person has assumed or manifested responsibility—
(aa) for the overall management of the
vessel or facility encompassing day-today decisionmaking with respect to environmental compliance; or
(bb) over all or substantially all of the
operational functions (as distinguished
from financial or administrative functions) of the vessel or facility other than
the function of environmental compliance;
(iii) the term ‘‘participate in management’’ does not include performing an act or
failing to act prior to the time at which a security interest is created in a vessel or facility; and
(iv) the term ‘‘participate in management’’
does not include—
(I) holding a security interest or abandoning or releasing a security interest;
(II) including in the terms of an extension of credit, or in a contract or security
agreement relating to the extension, a
covenant, warranty, or other term or condition that relates to environmental compliance;
(III) monitoring or enforcing the terms
and conditions of the extension of credit or
security interest;
(IV) monitoring or undertaking 1 or
more inspections of the vessel or facility;
(V) requiring a response action or other
lawful means of addressing the release or
threatened release of a hazardous substance in connection with the vessel or facility prior to, during, or on the expiration
of the term of the extension of credit;
(VI) providing financial or other advice
or counseling in an effort to mitigate, prevent, or cure default or diminution in the
value of the vessel or facility;
(VII) restructuring, renegotiating, or
otherwise agreeing to alter the terms and
conditions of the extension of credit or security interest, exercising forbearance;
(VIII) exercising other remedies that
may be available under applicable law for
the breach of a term or condition of the
extension of credit or security agreement;
or
(IX) conducting a response action under
section 9607(d) of this title or under the direction of an on-scene coordinator appointed under the National Contingency
Plan,
if the actions do not rise to the level of participating in management (within the meaning of clauses (i) and (ii)).

§ 9601

TITLE 42—THE PUBLIC HEALTH AND WELFARE

(G) OTHER TERMS.—As used in this chapter:
(i) EXTENSION OF CREDIT.—The term ‘‘extension of credit’’ includes a lease finance
transaction—
(I) in which the lessor does not initially
select the leased vessel or facility and does
not during the lease term control the daily
operations or maintenance of the vessel or
facility; or
(II) that conforms with regulations issued by the appropriate Federal banking
agency or the appropriate State bank supervisor (as those terms are defined in section 1813 of title 12 2 or with regulations issued by the National Credit Union Administration Board, as appropriate.
(ii) FINANCIAL OR ADMINISTRATIVE FUNCTION.—The term ‘‘financial or administrative function’’ includes a function such as
that of a credit manager, accounts payable
officer, accounts receivable officer, personnel manager, comptroller, or chief financial
officer, or a similar function.
(iii) FORECLOSURE; FORECLOSE.—The terms
‘‘foreclosure’’ and ‘‘foreclose’’ mean, respectively, acquiring, and to acquire, a vessel or
facility through—
(I)(aa) purchase at sale under a judgment
or decree, power of sale, or nonjudicial
foreclosure sale;
(bb) a deed in lieu of foreclosure, or similar conveyance from a trustee; or
(cc) repossession,
if the vessel or facility was security for an
extension of credit previously contracted;
(II) conveyance pursuant to an extension
of credit previously contracted, including
the termination of a lease agreement; or
(III) any other formal or informal manner by which the person acquires, for subsequent disposition, title to or possession
of a vessel or facility in order to protect
the security interest of the person.
(iv) LENDER.—The term ‘‘lender’’ means—
(I) an insured depository institution (as
defined in section 1813 of title 12);
(II) an insured credit union (as defined in
section 1752 of title 12);
(III) a bank or association chartered
under the Farm Credit Act of 1971 (12
U.S.C. 2001 et seq.);
(IV) a leasing or trust company that is
an affiliate of an insured depository institution;
(V) any person (including a successor or
assignee of any such person) that makes a
bona fide extension of credit to or takes or
acquires a security interest from a nonaffiliated person;
(VI) the Federal National Mortgage Association, the Federal Home Loan Mortgage Corporation, the Federal Agricultural
Mortgage Corporation, or any other entity
that in a bona fide manner buys or sells
loans or interests in loans;
(VII) a person that insures or guarantees
against a default in the repayment of an
2 So in original. Probably should be followed by a closing
parenthesis.

Page 5302

extension of credit, or acts as a surety
with respect to an extension of credit, to a
nonaffiliated person; and
(VIII) a person that provides title insurance and that acquires a vessel or facility
as a result of assignment or conveyance in
the course of underwriting claims and
claims settlement.
(v) OPERATIONAL FUNCTION.—The term
‘‘operational function’’ includes a function
such as that of a facility or plant manager,
operations manager, chief operating officer,
or chief executive officer.
(vi) SECURITY INTEREST.—The term ‘‘security interest’’ includes a right under a mortgage, deed of trust, assignment, judgment
lien, pledge, security agreement, factoring
agreement, or lease and any other right accruing to a person to secure the repayment
of money, the performance of a duty, or any
other obligation by a nonaffiliated person.
(21) The term ‘‘person’’ means 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.
(22) The term ‘‘release’’ means any spilling,
leaking, pumping, pouring, emitting, emptying, discharging, injecting, escaping, leaching, dumping, or disposing into the environment (including the abandonment or discarding of barrels, containers, and other closed receptacles containing any hazardous substance
or pollutant or contaminant), but excludes (A)
any release which results in exposure to persons solely within a workplace, with respect to
a claim which such persons may assert against
the employer of such persons, (B) emissions
from the engine exhaust of a motor vehicle,
rolling stock, aircraft, vessel, or pipeline
pumping station engine, (C) release of source,
byproduct, or special nuclear material from a
nuclear incident, as those terms are defined in
the Atomic Energy Act of 1954 [42 U.S.C. 2011
et seq.], if such release is subject to requirements with respect to financial protection established by the Nuclear Regulatory Commission under section 170 of such Act [42 U.S.C.
2210], or, for the purposes of section 9604 of this
title or any other response action, any release
of source byproduct, or special nuclear material from any processing site designated under
section 7912(a)(1) or 7942(a) of this title, and
(D) the normal application of fertilizer.
(23) The terms ‘‘remove’’ or ‘‘removal’’
means 3 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 other3 So

in original. Probably should be ‘‘mean’’.

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TITLE 42—THE PUBLIC HEALTH AND WELFARE

wise result from a release or threat of release.
The term includes, in addition, without being
limited to, security fencing or other measures
to limit access, provision of alternative water
supplies, temporary evacuation and housing of
threatened individuals not otherwise provided
for, action taken under section 9604(b) of this
title, and any emergency assistance which
may be provided under the Disaster Relief and
Emergency Assistance Act [42 U.S.C. 5121 et
seq.].
(24) The terms ‘‘remedy’’ or ‘‘remedial action’’ means 3 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. The term includes, but is not limited to, such actions at
the location of the release as storage, confinement, perimeter protection using dikes,
trenches, or ditches, clay cover, neutralization, cleanup of released hazardous substances
and associated contaminated materials, recycling or reuse, diversion, destruction, segregation of reactive wastes, dredging or excavations, repair or replacement of leaking containers, collection of leachate and runoff, onsite treatment or incineration, provision of alternative water supplies, and any monitoring
reasonably required to assure that such actions protect the public health and welfare
and the environment. The term includes the
costs of permanent relocation of residents and
businesses and community facilities where the
President determines that, alone or in combination with other measures, such relocation is
more cost-effective than and environmentally
preferable to the transportation, storage,
treatment, destruction, or secure disposition
offsite of hazardous substances, or may otherwise be necessary to protect the public health
or welfare; the term includes offsite transport
and offsite storage, treatment, destruction, or
secure disposition of hazardous substances and
associated contaminated materials.
(25) The terms ‘‘respond’’ or ‘‘response’’
means 3 remove, removal, remedy, and remedial action;,4 all such terms (including the
terms ‘‘removal’’ and ‘‘remedial action’’) include enforcement activities related thereto.
(26) The terms ‘‘transport’’ or ‘‘transportation’’ means 3 the movement of a hazardous
substance by any mode, including a hazardous
liquid pipeline facility (as defined in section
60101(a) of title 49), and in the case of a hazardous substance which has been accepted for
transportation by a common or contract carrier, the term ‘‘transport’’ or ‘‘transportation’’
shall include any stoppage in transit which is
temporary, incidental to the transportation
movement, and at the ordinary operating convenience of a common or contract carrier, and
any such stoppage shall be considered as a
continuity of movement and not as the storage of a hazardous substance.
4 So

in original.

§ 9601

(27) The terms ‘‘United States’’ and ‘‘State’’
include the several States of the United
States, the District of Columbia, the Commonwealth of Puerto Rico, Guam, American
Samoa, the United States Virgin Islands, the
Commonwealth of the Northern Marianas, and
any other territory or possession over which
the United States has jurisdiction.
(28) The term ‘‘vessel’’ means every description of watercraft or other artificial contrivance used, or capable of being used, as a means
of transportation on water.
(29) The terms ‘‘disposal’’, ‘‘hazardous
waste’’, and ‘‘treatment’’ shall have the meaning provided in section 1004 of the Solid Waste
Disposal Act [42 U.S.C. 6903].
(30) The terms ‘‘territorial sea’’ and ‘‘contiguous zone’’ shall have the meaning provided in
section 1362 of title 33.
(31) The term ‘‘national contingency plan’’
means the national contingency plan published under section 1321(c) 5 of title 33 or revised pursuant to section 9605 of this title.
(32) The terms ‘‘liable’’ or ‘‘liability’’ under
this subchapter shall be construed to be the
standard of liability which obtains under section 1321 of title 33.
(33) The term ‘‘pollutant or contaminant’’
shall include, but not be limited to, any element, substance, compound, or mixture, including disease-causing agents, which after release into the environment and upon exposure,
ingestion, inhalation, or assimilation into any
organism, either directly from the environment or indirectly by ingestion through food
chains, will or may reasonably be anticipated
to cause death, disease, behavioral abnormalities, cancer, genetic mutation, physiological
malfunctions (including malfunctions in reproduction) or physical deformations, in such
organisms or their offspring; except that the
term ‘‘pollutant or contaminant’’ shall not include petroleum, including crude oil or any
fraction thereof which is not otherwise specifically listed or designated as a hazardous substance under subparagraphs (A) through (F) of
paragraph (14) and shall not include natural
gas, liquefied natural gas, or synthetic gas of
pipeline quality (or mixtures of natural gas
and such synthetic gas).
(34) The term ‘‘alternative water supplies’’
includes, but is not limited to, drinking water
and household water supplies.
(35)(A) The term ‘‘contractual relationship’’,
for the purpose of section 9607(b)(3) of this
title, includes, but is not limited to, land contracts, deeds or other instruments transferring
title or possession, unless the real property on
which the facility concerned is located was acquired by the defendant after the disposal or
placement of the hazardous substance on, in,
or at the facility, and one or more of the circumstances described in clause (i), (ii), or (iii)
is also established by the defendant by a preponderance of the evidence:
(i) At the time the defendant acquired the
facility the defendant did not know and had
no reason to know that any hazardous substance which is the subject of the release or
5 See

References in Text note below.

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TITLE 42—THE PUBLIC HEALTH AND WELFARE

threatened release was disposed of on, in, or
at the facility.
(ii) The defendant 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 authority by purchase or condemnation.
(iii) The defendant acquired the facility by
inheritance or bequest.
In addition to establishing the foregoing, the
defendant must establish that he has satisfied
the requirements of section 9607(b)(3)(a) and
(b) of this title.
(B) To establish that the defendant had no
reason to know, as provided in clause (i) of
subparagraph (A) of this paragraph, the defendant must have undertaken, at the time of
acquisition, all appropriate inquiry into the
previous ownership and uses of the property
consistent with good commercial or customary practice in an effort to minimize liability. For purposes of the preceding sentence
the court shall take into account any specialized knowledge or experience on the part of
the defendant, the relationship of the purchase
price to the value of the property if uncontaminated, commonly known or reasonably
ascertainable information about the property,
the obviousness of the presence or likely presence of contamination at the property, and
the ability to detect such contamination by
appropriate inspection.
(C) Nothing in this paragraph or in section
9607(b)(3) of this title shall diminish the liability of any previous owner or operator of such
facility who would otherwise be liable under
this chapter. Notwithstanding this paragraph,
if the defendant obtained actual knowledge of
the release or threatened release of a hazardous substance at such facility when the defendant owned the real property and then subsequently transferred ownership of the property to another person without disclosing such
knowledge, such defendant shall be treated as
liable under section 9607(a)(1) of this title and
no defense under section 9607(b)(3) of this title
shall be available to such defendant.
(D) Nothing in this paragraph shall affect
the liability under this chapter of a defendant
who, by any act or omission, caused or contributed to the release or threatened release of
a hazardous substance which is the subject of
the action relating to the facility.
(36) The term ‘‘Indian tribe’’ means 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.
(37)(A) The term ‘‘service station dealer’’
means any person—
(i) who owns or operates a motor vehicle
service station, filling station, garage, or
similar retail establishment engaged in the
business of selling, repairing, or servicing
motor vehicles, where a significant percentage of the gross revenue of the establish-

Page 5304

ment is derived from the fueling, repairing,
or servicing of motor vehicles, and
(ii) who accepts for collection, accumulation, and delivery to an oil recycling facility, recycled oil that (I) has been removed
from the engine of a light duty motor vehicle or household appliances by the owner of
such vehicle or appliances, and (II) is presented, by such owner, to such person for
collection, accumulation, and delivery to an
oil recycling facility.
(B) For purposes of section 9614(c) of this
title, the term ‘‘service station dealer’’ shall,
notwithstanding the provisions of subparagraph (A), include any government agency
that establishes a facility solely for the purpose of accepting recycled oil that satisfies
the criteria set forth in subclauses (I) and (II)
of subparagraph (A)(ii), and, with respect to
recycled oil that satisfies the criteria set forth
in subclauses (I) and (II), owners or operators
of refuse collection services who are compelled
by State law to collect, accumulate, and deliver such oil to an oil recycling facility.
(C) The President shall promulgate regulations regarding the determination of what
constitutes a significant percentage of the
gross revenues of an establishment for purposes of this paragraph.
(38) The term ‘‘incineration vessel’’ means
any vessel which carries hazardous substances
for the purpose of incineration of such substances, so long as such substances or residues
of such substances are on board.
(Pub. L. 96–510, title I, § 101, Dec. 11, 1980, 94 Stat.
2767; Pub. L. 96–561, title II, § 238(b), Dec. 22, 1980,
94 Stat. 3300; Pub. L. 99–499, title I, §§ 101, 114(b),
127(a), title V, § 517(c)(2), Oct. 17, 1986, 100 Stat.
1615, 1652, 1692, 1774; Pub. L. 100–707, title I,
§ 109(v), Nov. 23, 1988, 102 Stat. 4710; Pub. L.
103–429, § 7(e)(1), Oct. 31, 1994, 108 Stat. 4390; Pub.
L. 104–208, div. A, title I, § 101(a) [title II,
§ 211(b)], title II, § 2502(b), Sept. 30, 1996, 110 Stat.
3009, 3009–41, 3009–464; Pub. L. 104–287, § 6(j)(1),
Oct. 11, 1996, 110 Stat. 3399; Pub. L. 106–74, title
IV, § 427, Oct. 20, 1999, 113 Stat. 1095.)
REFERENCES IN TEXT
This chapter, referred to in pars. (5), (13), (20)(D), (G),
and (35)(C), (D), was in the original ‘‘this Act’’, meaning
Pub. L. 96–510, Dec. 11, 1980, 94 Stat. 2767, as amended,
known as the Comprehensive Environmental Response,
Compensation, and Liability Act of 1980. For complete
classification of this Act to the Code, see Short Title
note below and Tables.
The Safe Drinking Water Act, referred to in pars. (7)
and (10), is title XIV of act July 1, 1944, as added Dec.
16, 1974, Pub. L. 93–523, § 2(a), 88 Stat. 1660, as amended,
which is classified generally to subchapter XII (§ 300f et
seq.) of chapter 6A of this title. Part C of the Safe
Drinking Water Act is classified generally to part C
(§ 300h et seq.) of subchapter XII of chapter 6A of this
title. For complete classification of this Act to the
Code, see Short Title note set out under section 201 of
this title and Tables.
The Magnuson-Stevens Fishery Conservation and
Management Act, referred to in pars. (8) and (16), is
Pub. L. 94–265, Apr. 13, 1976, 90 Stat. 331, as amended,
which is classified principally to chapter 38 (§ 1801 et
seq.) of Title 16, Conservation. The fishery conservation
zone established by this Act, referred to in par. (16),
was established by section 101 of this Act (16 U.S.C.
1811), which as amended generally by Pub. L. 99–659,

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TITLE 42—THE PUBLIC HEALTH AND WELFARE

title I, § 101(b), Nov. 14, 1986, 100 Stat. 3706, relates to
United States sovereign rights and fishery management
authority over fish within the exclusive economic zone
as defined in section 1802 of Title 16. For complete classification of this Act to the Code, see Short Title note
set out under section 1801 of Title 16 and Tables.
The Clean Air Act, referred to in par. (10), is act July
14, 1955, ch. 360, as amended generally by Pub. L. 88–206,
Dec. 17, 1963, 77 Stat. 392, and later by Pub. L. 95–95,
Aug. 7, 1977, 91 Stat. 685. The Clean Air Act was originally classified to chapter 15B (§ 1857 et seq.) of this
title. On enactment of Pub. L. 95–95, the Act was reclassified to chapter 85 (§ 7401 et seq.) of this title. Parts C
and D of title I of the Clean Air Act are classified generally to parts C (§ 7470 et seq.) and D (§ 7501 et seq.), respectively, of subchapter I of chapter 85 of this title.
For complete classification of this Act to the Code, see
Short Title note set out under section 7401 of this title
and Tables.
The Atomic Energy Act of 1954, referred to in pars.
(10) and (22), is act Aug. 1, 1946, ch. 724, as added by act
Aug. 30, 1954, ch. 1073, § 1, 68 Stat. 921, and amended,
which is classified generally to chapter 23 (§ 2011 et seq.)
of this title. For complete classification of this Act to
the Code, see Short Title note set out under section
2011 of this title and Tables.
The Solid Waste Disposal Act, referred to in par. (14),
is title II of Pub. L. 89–272, Oct. 20, 1965, 79 Stat. 997, as
amended generally by Pub. L. 94–580, § 2, Oct. 21, 1976, 90
Stat. 2795, which is classified generally to chapter 82
(§ 6901 et seq.) of this title. For complete classification
of this Act to the Code, see Short Title note set out
under section 6901 of this title and Tables.
The Farm Credit Act of 1971, referred to in par.
(20)(G)(iv)(III), is Pub. L. 92–181, Dec. 10, 1971, 85 Stat.
583, as amended, which is classified generally to chapter 23 (§ 2001 et seq.) of Title 12, Banks and Banking. For
complete classification of this Act to the Code, see
Short Title note set out under section 2001 of Title 12
and Tables.
The Disaster Relief and Emergency Assistance Act,
referred to in par. (23), is Pub. L. 93–288, May 22, 1974,
88 Stat. 143, as amended, known as the Robert T. Stafford Disaster Relief and Emergency Assistance Act,
which is classified principally to chapter 68 (§ 5121 et
seq.) of this title. For complete classification of this
Act to the Code, see Short Title note set out under section 5121 of this title and Tables.
Section 1321(c) of title 33, referred to in par. (31), was
amended generally by Pub. L. 101–380, title IV, § 4201(a),
Aug. 18, 1990, 104 Stat. 523, and no longer contains provisions directing the publishing of a National Contingency Plan. However, such provisions are contained in
section 1321(d) of Title 33, Navigation and Navigable
Waters.
AMENDMENTS
1999—Par. (20)(D). Pub. L. 106–74, which directed the
amendment of subpar. (D) by inserting ‘‘through seizure or otherwise in connection with law enforcement
activity’’ before ‘‘involuntary’’ the first place it appears, could not be executed because the word ‘‘involuntary’’ does not appear in subpar. (D).
1996—Pars. (8), (16). Pub. L. 104–208, § 101(a) [title II,
§ 211(b)], substituted ‘‘Magnuson-Stevens Fishery’’ for
‘‘Magnuson Fishery’’.
Par. (20)(E) to (G). Pub. L. 104–208, § 2502(b), added subpars. (E) to (G).
Par. (26). Pub. L. 104–287 substituted ‘‘section 60101(a)
of title 49’’ for ‘‘the Pipeline Safety Act’’.
1994—Par. (26). Pub. L. 103–429 substituted ‘‘a hazardous liquid pipeline facility’’ for ‘‘pipeline’’.
1988—Par. (23). Pub. L. 100–707 substituted ‘‘Disaster
Relief and Emergency Assistance Act’’ for ‘‘Disaster
Relief Act of 1974’’.
1986—Pub. L. 99–499, § 101(f), struck out ‘‘, the term’’
after ‘‘subchapter’’ in introductory text.
Pars. (1) to (10). Pub. L. 99–499, § 101(f), inserted ‘‘The
term’’ and substituted a period for the semicolon at
end.

§ 9601

Par. (11). Pub. L. 99–499, § 517(c)(2), amended par. (11)
generally. Prior to amendment, par. (11) read as follows: ‘‘The term ‘Fund’ or ‘Trust Fund’ means the Hazardous Substance Response Fund established by section
9631 of this title or, in the case of a hazardous waste
disposal facility for which liability has been transferred under section 9607(k) of this title, the Post-closure Liability Fund established by section 9641 of this
title.’’
Pub. L. 99–499, § 101(f), inserted ‘‘The term’’ and substituted a period for the semicolon at end.
Pars. (12) to (15). Pub. L. 99–499, § 101(f), inserted ‘‘The
term’’ and substituted a period for the semicolon at
end.
Par. (16). Pub. L. 99–499, § 101(a), (f), inserted ‘‘The
term’’, struck out ‘‘or’’ after ‘‘local government,’’ inserted ‘‘, any Indian tribe, or, if such resources are subject to a trust restriction on alienation, any member of
an Indian tribe’’, and substituted a period for the semicolon at end.
Pars. (17) to (19). Pub. L. 99–499, § 101(f), inserted ‘‘The
term’’ and substituted a period for the semicolon at
end.
Par. (20)(A). Pub. L. 99–499, § 101(f), inserted ‘‘The
term’’.
Pub. L. 99–499, § 101(b)(2), amended cl. (iii) generally.
Prior to amendment, cl. (iii) read as follows: ‘‘in the
case of any abandoned facility, any person who owned,
operated, or otherwise controlled activities at such facility immediately prior to such abandonment.’’
Pub. L. 99–499, § 101(b)(3), in provisions following
subcl. (iii), substituted a period for the semicolon at
end.
Par. (20)(B), (C). Pub. L. 99–499, § 101(b)(3), substituted
‘‘In the case’’ for ‘‘in the case’’ and a period for the
semicolon at end.
Par. (20)(D). Pub. L. 99–499, § 101(b)(1), (f), added subpar. (D). The part of § 101(f) of Pub. L. 99–499 which directed the amendment of par. (20) by changing the
semicolon at end to a period could not be executed in
view of the prior amendment of par. (20) by § 101(b)(1) of
Pub. L. 99–499 which added subpar. (D) ending in a period.
Par. (21). Pub. L. 99–499, § 101(f), inserted ‘‘The term’’
and substituted a period for the semicolon at end.
Par. (22). Pub. L. 99–499, § 101(c), (f), inserted ‘‘The
term’’ and ‘‘(including the abandonment or discarding
of barrels, containers, and other closed receptacles containing any hazardous substance or pollutant or contaminant)’’, substituted a period for the semicolon at
end.
Par. (23). Pub. L. 99–499, § 101(f), inserted ‘‘The terms’’
and substituted a period for the semicolon at end.
Par. (24). Pub. L. 99–499, § 101(d), (f), inserted ‘‘The
terms’’ and substituted ‘‘and associated contaminated
materials’’ for ‘‘or contaminated materials’’ and ‘‘welfare; the term includes offsite transport and offsite
storage, treatment, destruction, or secure disposition
of hazardous substances and associated contaminated
materials.’’ for ‘‘welfare. The term does not include offsite transport of hazardous substances, or the storage,
treatment, destruction, or secure disposition offsite of
such hazardous substances or contaminated materials
unless the President determines that such actions (A)
are more cost-effective than other remedial actions, (B)
will create new capacity to manage, in compliance with
subtitle C of the Solid Waste Disposal Act [42 U.S.C.
6921 et seq.], hazardous substances in addition to those
located at the affected facility, or (C) are necessary to
protect public health or welfare or the environment
from a present or potential risk which may be created
by further exposure to the continued presence of such
substances or materials;’’. The part of § 101(f) of Pub. L.
99–499 which directed amendment of par. (24) by changing the semicolon at end to a period could not be executed in view of prior amendment of par. (24) by § 101(d)
of Pub. L. 99–499 which substituted language at end of
par. (24) ending in a period for former language ending
in a semicolon.
Par. (25). Pub. L. 99–499, § 101(e), (f), inserted ‘‘The
terms’’ and ‘‘, all such terms (including the terms ‘re-

§ 9602

TITLE 42—THE PUBLIC HEALTH AND WELFARE

moval’ and ‘remedial action’) include enforcement activities related thereto.’’ The part of § 101(f) of Pub. L.
99–499 which directed amendment of par. (25) by changing the semicolon at end to a period could not be executed in view of prior amendment of par. (25) by § 101(e)
of Pub. L. 99–499 inserting language and a period at end
of par. (25).
Pars. (26), (27). Pub. L. 99–499, § 101(f), inserted ‘‘The
terms’’ and substituted a period for the semicolon at
end.
Par. (28). Pub. L. 99–499, § 101(f), inserted ‘‘The term’’
and substituted a period for the semicolon at end.
Par. (29). Pub. L. 99–499, § 101(f), inserted ‘‘The terms’’
and substituted a period for the semicolon at end.
Par. (30). Pub. L. 99–499, § 101(f), inserted ‘‘The terms’’.
Par. (31). Pub. L. 99–499, § 101(f), inserted ‘‘The term’’
and substituted a period for ‘‘; and’’.
Par. (32). Pub. L. 99–499, § 101(f), inserted ‘‘The terms’’.
Pars. (33) to (36). Pub. L. 99–499, § 101(f), added pars.
(33) to (36).
Par. (37). Pub. L. 99–499, § 114(b), added par. (37).
Par. (38). Pub. L. 99–499, § 127(a), added par. (38).
1980—Pars. (8), (16). Pub. L. 96–561 substituted ‘‘Magnuson Fishery Conservation and Management Act’’ for
‘‘Fishery Conservation and Management Act of 1976’’.
EFFECTIVE DATE OF 1996 AMENDMENT
Section 101(a) [title II, § 211(b)] of div. A of Pub. L.
104–208 provided that the amendment made by that section is effective 15 days after Oct. 11, 1996.
Amendment by section 2502(b) of Pub. L. 104–208 applicable with respect to any claim that has not been finally adjudicated as of Sept. 30, 1996, see section 2505 of
Pub. L. 104–208, set out as a note under section 6991b of
this title.
EFFECTIVE DATE OF 1986 AMENDMENT
Section 4 of Pub. L. 99–499 provided that: ‘‘Except as
otherwise specified in section 121(b) of this Act [set out
as an Effective Date note under section 9621 of this
title] or in any other provision of titles I, II, III, and IV
of this Act [see Tables for classification], the amendments made by titles I through IV of this Act [enacting
subchapter IV of this chapter and sections 9616 to 9626,
9658 to 9660, and 9661 of this title and sections 2701 to
2707 and 2810 of Title 10, Armed Forces, amending sections 6926, 6928, 6991 to 6991d, 6991g, 9601 to 9609, 9611 to
9614, 9631, 9651, 9656, and 9657 of this title and section
1416 of Title 33, Navigation and Navigable Waters, and
renumbering former section 2701 of Title 10 as section
2721 of Title 10] shall take effect on the enactment of
this Act [Oct. 17, 1986].’’
Amendment by section 517(c)(2) of Pub. L. 99–499 effective Jan. 1, 1987, see section 517(e) of Pub. L. 99–499,
set out as an Effective Date note under section 9507 of
Title 26, Internal Revenue Code.
EFFECTIVE DATE OF 1980 AMENDMENT
Section 238(b) of Pub. L. 96–561 provided that the
amendment made by that section is effective 15 days
after Dec. 22, 1980.

Page 5306

9616 to 9626, 9658 to 9662, 11001 to 11005, 11021 to 11023,
and 11041 to 11050 of this title, sections 2701 to 2707 and
2810 of Title 10, Armed Forces, and sections 59A, 4671,
4672, 9507, and 9508 of Title 26, Internal Revenue Code,
amending this section, sections 6926, 6928, 6991 to 6991d,
6991g, 9602 to 9609, 9611 to 9614, 9631, 9651, 9656, and 9657
of this title, sections 26, 164, 275, 936, 1561, 4041, 4042,
4081, 4221, 4611, 4612, 4661, 4662, 6154, 6416, 6420, 6421, 6425,
6427, 6655, 9502, 9503, and 9506 of Title 26, and section 1416
of Title 33, Navigation and Navigable Waters, renumbering former section 2701 of Title 10 as section 2721 of
Title 10, repealing sections 9631 to 9633, 9641, and 9653 of
this title and sections 4681 and 4682 of Title 26, and enacting provisions set out as notes under this section,
sections 6921, 6991b, 7401, 9620, 9621, 9658, 9660, 9661, and
11001 of this title, section 2703 of Title 10, sections 1, 26,
4041, 4611, 4661, 4671, 4681, 9507, and 9508 of Title 26, and
section 655 of Title 29, Labor] may be cited as the
‘Superfund Amendments and Reauthorization Act of
1986’.’’
SHORT TITLE
Section 1 of Pub. L. 96–510 provided: ‘‘That this Act
[enacting this chapter, section 6911a of this title, and
sections 4611, 4612, 4661, 4662, 4681, and 4682 of Title 26,
Internal Revenue Code, amending section 6911 of this
title, section 1364 of Title 33, Navigation and Navigable
Waters, and section 11901 of Title 49, Transportation,
and enacting provisions set out as notes under section
6911 of this title and sections 1 and 4611 of Title 26] may
be cited as the ‘Comprehensive Environmental Response, Compensation, and Liability Act of 1980’.’’
TRANSFER OF FUNCTIONS
For transfer of certain functions from Nuclear Regulatory Commission to Chairman thereof, see Reorg.
Plan No. 1 of 1980, 45 F.R. 40561, 94 Stat. 3585, set out as
a note under section 5841 of this title.
TERRITORIAL SEA OF UNITED STATES
For extension of territorial sea of United States, see
Proc. No. 5928, set out as a note under section 1331 of
Title 43, Public Lands.
CONTIGUOUS ZONE OF UNITED STATES
For extension of contiguous zone of United States,
see Proc. No. 7219, Sept. 2, 1999, 64 F.R. 48701, set out as
a note under section 1331 of Title 43, Public Lands.
DEFINITIONS
Section 2 of Pub. L. 99–499 provided that: ‘‘As used in
this Act [see Short Title of 1986 Amendment note
above]—
‘‘(1) CERCLA.—The term ‘CERCLA’ means the
Comprehensive Environmental Response, Compensation, and Liability Act of 1980 (42 U.S.C. 9601 et seq.).
‘‘(2) ADMINISTRATOR.—The term ‘Administrator’
means the Administrator of the Environmental Protection Agency.’’

SHORT TITLE OF 1996 AMENDMENT

SECTION REFERRED TO IN OTHER SECTIONS

Section 2501 of div. A of Pub. L. 104–208 provided that:
‘‘This subtitle [subtitle E (§§ 2501–2505) of title II of div.
A of Pub. L. 104–208, amending this section and sections
6991b and 9607 of this title and enacting provisions set
out as a note under section 6991b of this title] may be
cited as the ‘Asset Conservation, Lender Liability, and
Deposit Insurance Protection Act of 1996’.’’

This section is referred to in sections 300g–1, 6991,
6991b, 7274q, 9602, 9603, 9607, 9613, 9624, 9656, 11004 of this
title; title 7 section 1985; title 10 sections 2692, 2701,
2707, 2708, 2810; title 14 section 690; title 16 section 460lll;
title 26 section 198; title 33 section 2701.

SHORT TITLE OF 1992 AMENDMENT
Pub. L. 102–426, § 1, Oct. 19, 1992, 106 Stat. 2174, provided that: ‘‘This Act [amending section 9620 of this
title and enacting provisions set out as a note under
section 9620 of this title] may be cited as the ‘Community Environmental Response Facilitation Act’.’’
SHORT TITLE OF 1986 AMENDMENT
Section 1 of Pub. L. 99–499 provided that: ‘‘This Act
[enacting subchapter IV of this chapter and sections

§ 9602. Designation of additional hazardous substances and establishment of reportable released quantities; regulations
(a) The Administrator shall promulgate and
revise as may be appropriate, regulations designating as hazardous substances, in addition to
those referred to in section 9601(14) of this title,
such elements, compounds, mixtures, solutions,
and substances which, when released into the
environment may present substantial danger to