07/00/88
Enforcement Docket Overview
ENFORCEMENT DOCKET OPERATING PROCEDURES
DIRECTIVES TRANSMITTAL
NUMBER: 88-06
SUBJECT: Docket Overview
DATE: July, 1988
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1. PURPOSE: To explain the general purpose, capabilities,
and uses of the Enforcement Docket System.
2. ABSTRACT: The Enforcement Docket System is the official
Agency system for tracking and reporting civil
judicial case activity. It is also useful in
budget formulation and resource distribution,
responding to inquiries from the public and
private organizations, special studies and
analyses, and for recording and tracking other
enforcement actions and matters. The data base
contains several categories of data: case
description and characterizations; facilities
in violation; major milestone events,
litigation, negotiation, and miscellaneous
events; amendments; case summary; case
comments; and defendants. Data are provided
for initial entry and update by the assigned
case attorney; data analysts located at EPA
Headquarters and each of the Regional Counsel
offices enter the data and submit retrieval
requests.
3. DISPOSITION: New
4. KEYWORDS: tracking; civil; administrative; enforcement;
case management; budget analysis; data;
retrieval; penalty
DOCKET OVERVIEW
I. BACKGROUND.
Civil judicial litigation is an extremely important method through
which the Agency manages it enforcement response to significant
environmental statutory violations. Because the litigation process
is very lengthy and costly, it is reserved for issues of substantial
gravity or major legal precedent. The Agency's enforcement
litigation is very visible as a measure of our effectiveness in
achieving environmental compliance. Overall progress with civil
judicial cases is a matter of intense interest to Agency managers,
OMB, Congress, environmental groups and the regulated community.
Responsibility for line management of civil cases lies primarily with
Regional Counsels. Responsibility for broad management oversight
lies primarily with OECM-HQ. Together, RC's and OECM-HQ share
responsibility for maintaining an accurate, current understanding of
the progress of the Agency's civil judicial docket - both for day-to-
day control and for accounting to external groups. The Enforcement
Docket is the mechanism used to serve these management and
accountability agendas.
The Docket is fundamentally a case tracking system and has as a base
record an enforcement case, a matter that is intended at the
beginning of the referral process to be filed and litigated or
settled separate from any other case. A case may include more than
one violation at a facility or may involve more than one entity,
e.g., many defendants at a hazardous waste site, several facilities
with similar violations that have the same parent company. When it
is to the Government's advantage because of case management, case
development, and negotiations to file one complaint, then the matter
is treated and entered into the system as one case. The DOCKET is
easily able to associate multiple violations, facilities, and
defendants in a single case and provide a full accounting of all
aspects. An enforcement action resulting from a consent decree
violation is tracked as a component of the original judicial case and
not as a separate case.
II. PURPOSE AND USE.
The DOCKET System grew out of the need to easily report on major
milestones related to tracking civil judicial cases from when they
are initiated ( referred by the Region ) until the case is concluded
by settlement, court decision, or dismissal. Simple statistics are
needed on the number of cases initiated, referred to the Department
of Justice, filed, and concluded. Statistics can be refined by
including in the analysis such data as media ( Headquarters
Division ), statute and sections, and Region. These statistics form
the heart of enforcement accountability and SPMS reporting.
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While the DOCKET initially was developed primarily to report on the
number of events and major milestones related to civil judicial
enforcement cases, the system has been useful in other areas and
responsive to many questions and analyses. For example:
Case management and case review by Associate
Enforcement Counsel and Regional Counsel managers.
Budget preparation through the analysis of case
loads, case processing time, and as data for use in workload
models.
Responding to Congressional, inter and intra agency inquiries,
and FOIA requests from private and public organizations.
Special studies, analyses, GAO and IG investigations and
audits.
Tracking administrative actions and citizen suits.
Because of the completeness of the data on civil judicial cases it is
extremely valuable in analyses that include any one or a combination
of the following:
Media, statute, section
Facility, company, defendants
Region, State
Results, assessed penalties
Review of lapsed time between major events
Type of violation, pollutants
Enhancements and modifications are regularly introduced as new
requirements emerge.
III. CASES CONTAINED IN THE DATA BASE.
The system contains all matters related to civil judicial enforcement
activity initiated by the Environmental Protection Agency under all
Federal environmental statutes. All available records have been
researched to make the data base comprehensive back to the beginning
of the Agency in December, 1970. ( State initiated civil actions
have not been entered. )
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The early system design could accommodate entry of administrative
actions but no concerted effort was made to record these actions as
this information and record of administrative enforcement is a
responsibility of the Agency Program Offices. In 1985 modifications
were made to allow better entry and tracking of administrative
actions, primarily related to Notices of Non-compliance ( CAA,
Section 120 ) and administrative orders under TSCA, where there is
Headquarters attorney involvement. More recently, for the purposes
of tracking Regional staff involvement and developing a more complete
record of enforcement activity, Regional Counsels have been entering
many of the administrative actions taken in their Regions. ( Usually
those which demand active legal participation ).
Administrative enforcement has been divided into "Adjudicatory
Administrative Proceedings" and "Non Adjudicatory Administrative
Proceedings" ( for further information, see "Guidelines for Tracking
Administrative Enforcement Actions", Directive Number 88-03 ).
The DOCKET is not used for official record keeping of administrative
enforcement nor is it intended to duplicate or replace systems
operated and maintained by the program offices.
The DOCKET has been used further to track citizen suits under CERCLA
and RCRA and in FY88 CWA citizen suits will be entered by the Water
Enforcement Office of OECM.
IV. TYPES OF DATA.
The initial system design accounted for the primary purposes of
tracking and reporting on civil judicial cases. Throughout the years
the system has been modified and enhanced to meet new data,
management, and reporting requirements. A detailed list of the data
fields and definitions is contained in the Data Element Dictionary.
The Logical Structure of the Data describes the logical data grouping
and related data fields. A synopsis of the data follows.
A. Case Description and Characterization
Name of Case
Region initiating Case
Type of Case
Laws and Sections violated
Attorneys and staff working on case
Type Violation, Pollutants
B. Facility(s) in Violation
Facility Name and Address
Type of Ownership
Industry - SIC Code
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C. Major Milestone Events
Opened
Initiated ( Referred by the Region )
Referred to DOJ
Filed
Concluded ( Consent Decree entered )
Closed
D. Results of Concluded Cases and Penalty Data
E. Amendments
F. Negotiation Events, Litigation Events
G. Miscellaneous Events
H. Case Summary - Narrative
I. Comments about case activity
Regional Attorney Status Comments
Headquarters Attorney Status Comments
J. Defendants
V. HOW DATA ARE ENTERED AND MAINTAINED - ROLES AND RESPONSIBILITIES.
Several parties, working in consort, are required to make the process
of entering and maintaining docket data successful: the Regional
Attorney and Regional Data Analyst and the Headquarters Attorney and
Headquarters Data Analyst. Two stages are required to keep the
database complete, accurate and current: the initial case entry and
the on-going, routine, monthly case review and update of all active
cases by the assigned Headquarters and Regional Attorneys. The
Regional parties are involved in both initial case entry and the
monthly updates while the Headquarters Attorneys and analysts
participate only in the monthly review and update. Principle
responsibility for monthly review and update of the case and assuring
accurate and complete information resides with the Lead EPA Attorney,
usually the Regional Attorney.
The role of the attorneys is one of providing the data for entry and
update on the requisite forms and reports; the analysts enter the
data, submit retrieval requests, and distribute reports.
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A case is initially entered in the system ( Opened ) at the time the
Regional program office refers the matter to the Regional Counsel for
civil litigation, and an attorney is assigned and begins case
development. The procedure consists of the Regional Attorney
completing a Case Data Form and a Facility Data Form ( one for each
violating facility ). Along with these the attorney prepares a Case
Summary obtained from the Case Fact Sheet. The Regional Analyst
assigns a case number and enters the data as submitted.
Once the case has been entered and becomes active, Case Update
Reports are run monthly by the analysts and given to the appropriate
attorney for review and update of case data. This activity occurs
independently and simultaneously by the Regional Attorney and the
Headquarters Attorney. However, Regional and Headquarters attorneys
have delineated responsibilities for review and update which
eliminates overlap and duplicate updating of the same data fields.
At the end of each month the annotated reports are given to the
analysts who enters the new and revised data. During the monthly
review the attorneys focus on the following areas:
New milestone dates
Staff assigned to case
Negotiation, Litigation, and Miscellaneous Events
Comments summarizing recent activity
Amendments
At the time a consent decree is entered, or a case is concluded, the
Lead EPA Attorney must provide the results and any penalty
information to the data analyst for entry.
VI. TRACKING CASES THROUGH THE REFERRAL PROCESS - MAJOR MILESTONES AND
THE OVERALL STATUS OF A CASE.
The normal steps in the referral process have been:
o Case is referred by the Regional program office to the
Office of Regional Counsel, a case attorney is assigned, a
litigation package is developed.
o The case is referred ( Initiated ) by the Region to EPA HQ,
or directly to the department of Justice with a copy of the
litigation report to EPA HQ.
o DOJ prepares the complaint and refers the case to the local
U.S. Attorney for filing in district court.
o The complaint is filed. Settlement negotiations occur and a
consent decree is drafted, or the case is litigated.
o The consent decree is entered or court judgement rendered and
the case is "concluded." The case is not "closed" until all
terms and requirements of the consent decree or order have
been met.
Some cases may vary from this process and other steps introduced.
If EPA HQ or DOJ determines that the case is not adequately prepared
for filing, either can return the case to the Region for further
development. The guidelines request that the Region complete this
effort and rerefer the case within 60 days. Extenuating
circumstances, however, may preclude this from happening within this
time period, but the Regional Attorney is required to provide
monthly updates describing the status of the case.
A Pre-referral Negotiation ( PRN ) policy has recently been issued
which allows the Region to initiate settlement negotiations for
certain categories of cases prior to referral of a formal litigation
report. The steps in this process are described in more detail in
Directive 88-09.
Cases move through the referral process with the completion of each
major milestone ( e.g., referred to DOJ ). To identify where a case
is currently pending an overall status is associated with each case
and is determined by the most recent event. The Major Events and
Overall Status indicators are:
MAJOR OVERALL SHORT
MILESTONE STATUS DESCRIPTION EXPLANATION
OPENED O Opened case assigned to Regional
attorney; under development
in Region
INITIATED 1 At EPA HQ case referred by Region to
EPA HQ; under review at EPA
HQ; ( for other than direct
referrals )
RECEIVED EPA 1 At EPA HQ under review at EPA HQ;
if a direct referral,
Overall Status = 2
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CHECKLIST 1 At EPA HQ under review at EPA HQ;
COMPLETE if a direct referral,
Overall Status = 2
TO DOJ 2 At DOJ case referred to DOJ,
either directly by Region
or after review by EPA HQ;
under review at DOJ
TO US ATTY 3 At US Atty at U.S. Atty awaiting
filing
FILED COURT 4 At Court complaint filed and pending
at court
CONCLUDED 5 Concluded consent decree entered/
judgment rendered; consent
decree still active,
outstanding requirement to
be met
CLOSED C Closed all terms of CD met; case
concluded before filing, or
dismissed after filing
RETURNED TO S At Region returned by EPA HQ or DOJ
REGION to Region for further
development and then
rereferral
REREFERRED TO 1 At EPA HQ under review at EPA HQ
EPA
REREFERRED TO 2 At DOJ under review at DOJ
DOJ
Cases that are referred by the Region directly to the Department of
Justice have the same date for "Initiated" and "Referred to DOJ" and
the Overall Status becomes "2" immediately upon being initiated
( referred by the Region ). A separate data element ( Referral
Indicator ) indicates whether the case is referred by the Region to
EPA HQ ( RH ) or directly to DOJ ( RD ). The Overall Status can be
used to include or exclude cases from reports and analyses.
VII. WHEN AND HOW CASES ARE CONCLUDED.
Cases may be concluded during any stage of the referral process. The
stages have been broadly established:
LEVEL
1 - after initiation, before referral to DOJ
2 - after referral to DOJ, before filing
3 - after filing
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A case is concluded when one of the following occurs:
o The case is declined by EPA Headquarters or the Region
withdraws the case prior to referral to DOJ with the
intent not to pursue the case ( Level = 1 )
o The case is declined by DOJ or EPA Headquarters or the
Region withdraws the case prior to filing ( Level = 2 )
o The case is voluntarily dismissed or dismissed by the
court after filing, a consent decree is entered or a
judgment rendered ( Level = 3 )
A case that is "Returned to Region" for further development is not
immediately concluded; it is still active and is expected to be
"rereferred" within 60 days or concluded by being withdrawn.
A RESULT is associated with each concluded case and is entered at the
time the case is concluded. The RESULT indicates how the case was
concluded. Particular results can only be associated with certain
stages when the case is concluded.
VIII. MOVING A CASE FROM THE CONCLUDED TO CLOSED CATEGORY.
A case is "closed" when no more activity is expected to occur, when
all terms of a consent decree or court judgment have been met, or
when a case is withdrawn, declined, or dismissed. Cases that are
concluded by being withdrawn, declined, or dismissed are "closed" at
the same time they are "concluded" and will have the same date for
both major events.
IX. WHAT HAPPENS TO CLOSED CASES.
Once entered in the Docket all cases remain in the database; no
cases are deleted with two exceptions. Cases are deleted only when
they are determined to be a duplicate or the referral is an
amendment of an ongoing case and will not be filed as an independent
complaint. When a case is closed, the date closed is entered and the
overall status becomes "Closed". It is incorrect to refer to a case
as being deleted or request that a case be deleted when it is no
longer active.
X. TYPES OF REPORTS AVAILABLE.
The Docket has a variety of report options available to the user.
1. Quick Look Report ( QL Report ) - One line of data for
each case selected and retrieved from the data base.
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2. Crosstab Report - A 2-dimensional table that contains the
number of cases having the same values for two different data
elements ( e.g., Region and Fiscal Year initiated ).
3. Preformatted Reports - A report that has been programmed
to print only certain data and in a particular format, ( e.g.,
Case Status Report )
In developing these reports the users can (1) specify a two line
title for the report, (2) impose selection criteria that restrict the
report to only cases of interest, (3) specify the data fields to be
printed on the Quick Look report or used in constructing the
crosstab analysis, and (4) sort the report in a useful order. For
example:
1. All Civil Judicial Cases Initiated in FY88: Sorted by Region, HQ
Division, and Case Name
2. All Region 09 Judicial Cases Referred to DOJ and Pending Greater
than 90 days
3. Case Status of All Cases Returned to Region, Sorted by HQ
Division, Region, and Case Name
4. All Civil Judicial Cases with Amendments and Bean Indicator is Y
Other approaches and methods are available for more difficult and
special analyses but require more programming skills and experience,
and a commensurate amount of time for the output to be designed and
developed.
XI. COMPUTER TALK - HARDWARE, SOFTWARE, ACCESS.
The system resides on the EPA mainframe computer at Research Triangle
Park, NC, ( the NCC-IBM ), and is programmed using ADABAS, a data
base management system ( DBMS ) software package. The DBMS allows
concurrent, online access, update and retrieval; data entry and
retrieval can occur simultaneously by more than one user. Because
data entry is done interactively, data is added or changed on the
data base almost instantaneously after the enter key on the terminal
keypad is pushed.
Access is available through a variety of terminals connected directly
to the EPA communications network or through a modem and telephone
dial-up.
Users must have a valid user ID to sign on the NCC-IBM and must
provide passwords to enter and use the DOCKET for either data entry
or retrieval. DOCKET is a restricted data base, contains enforcement
sensitive data, and authorization must be obtained before exercising
system update and retrieval functions.
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Reports can be viewed directly at a terminal or sent to any remote
printer for printing and distribution.
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