Bankruptcy Referral Definition
An action brought to establish EPA’s claim on a defendant/respondent/PRP’s assets, when the defendant/respondent/PRP(s) have filed or are planning to file for Bankruptcy, and EPA believes that the defendant/respondent/PRP(s) owe money to EPA for penalties or cost recovery.
Information entered into ICIS at this stage should be supported by one of the following source documents:
– Bankruptcy Referral Package:
– Bankruptcy Referral Reports; or
– Description of Claim;
– Referral Letter; or
– Transmittal Memo that is signed by the Regional Administrator or designee.
To receive accomplishment credit for a bankruptcy referral:
• a judicial enforcement action record must be entered with all information required by ICIS and mandatory by OECA for accomplishment credit;
• ‘Bankruptcy’ must be selected in the Enforcement Action Type field; and
• the date the Regional Administrator or designee signs the referral must be entered as the ‘actual date’ for the ‘Referred to Dept Of Justice’ sub activity.
Each bankruptcy referral should be entered as one judicial referral record, regardless of the number of programs or facilities involved in the referral. If multiple referral packages are sent to DOJ in response to a single bankruptcy referral, each additional package after the first referral should be considered a supplemental referral.
Judicial Referral Data Entry Requirements
A judicial referral is entered into ICIS by creating a new judicial enforcement action record, selecting the appropriate activity type, and entering all other information required by ICIS and mandatory by OECA for accomplishment credit on the main Judicial Enforcement Action screen and side menu screens.
Enter the following information that is required by ICIS on the Add Judicial Enforcement Action screen:
• Enforcement Action Name;
• Enforcement Action Type;
• Enforcement Action Identifier;
• Federal Statutes Violated;
• Sections Violated;
• National MOA Priority or Regional Priority or Core Priorities;
• Lead EPA Attorney;
• Lead Technical Contact;
• Violation Type (not required for CERCLA);
• Pollutant (not required for CERCLA or RCRA); and
Enter the following information that is mandatory by OECA for accomplishment credit on the Defendant/Respondent/PRP Side Menu screen:
• Defendant/Respondent Name.
Enter the following information that is mandatory by OECA for accomplishment credit on the Sub Activities Side Menu screen:
• Referred to DOJ ‘actual date’ or PRN Sent ‘actual date’ or Supplemental Referral - Adding Parties, counts ‘actual date’ or Supplemental Referral - Consent Decree Enforcement ‘actual date’ or Supplemental Referral - Other ‘actual date’.
Refer to Appendix III - Enforcement Action Field Definitions and Guidance for definitions and guidance specific to each field.