03/10/87
Procedures and Responsibilities for Updating and Maintaining the
Enforcement Docket
March 10, 1987
SUBJECT: Procedures and Responsibilities for Updating and Maintaining the
Enforcement Docket
FROM: /s/ Richard H. Mays, Senior Enforcement Counsel,
Office of Enforcement and Compliance Monitoring ( LE-133 )
TO: Associate Enforcement Counsel
Regional Counsel
We have just completed compiling and reporting our 1st Quarter, FY 1987
accountability measures for civil judicial referrals. This process always
requires considerable effort in reconciling and interpreting data and
suggests that there may be some confusion and misunderstanding about the
data required and about the procedures and responsibilities for updating and
maintaining the Docket.
The responsibility for providing maintaining, and verifying data in the
Docket is shared among Headquarters and Regional staff, Headquarters and
Regional data analysts. I have identified in the attached procedures some
of the data problems that we observed and ask that every one participate in
correcting erroneous and missing data and continue during each monthly
update cycle to provide accurate and complete data. The procedures discuss
the various areas of concern and the primary responsibilities. Each staff
attorney should receive a copy of these procedures so that they are reminded
of how the Docket is maintained and understand their responsibilities in the
overall process.
Every attorney is asked to review their cases, provide correct or
missing data and to remain diligent in the monthly review and entry of
Docket data. I have also asked the headquarters and Regional data analysts
to routinely run reports that will help locate incorrect or missing data.
The analysts will review these reports for inconsistent or missing data and
contact the Responsible attorneys for clarification.
Your persistence and continued efforts are essential to the successful
operation of the Docket. If you have any questions about the procedures or
wish to make suggestions to improve the procedures and usefulness of the
system please get in touch with me, Sally Mansbach, or Bruce Rothrock.
cc: J. Bryan
S. Mansbach
B. Rothrock
G. Young
Computer Sciences Corporation
Procedures and Responsibilities for Updating and
Maintaining the Enforcement Docket
An accurate and current Docket data base depends on the initial entry of
cases and on the regular monthly review and case update by the Headquarters
and Regional attorneys assigned to the case. It is particularly critical
that the update and data entry schedule be adhered to at the end of each
fiscal quarter. The steps in the process are:
(1) Prepare Case Date and Facility Data Forms for the initial entry of
cases, either during the period when the case is under development
or at the time the case is referred ( Regional attorney )
(2) Enter all new cases ( Regional analyst )
(3) Prepare monthly case updates ( Regional & HQ attorneys )
(4) Enter monthly case updates ( Regional & HQ analysts )
(5) Run reports to verify the overall accuracy of the Docket ( number
of new referrals, overall status of cases, major milestone dates,
referral indicator law / section ) and distribute to Regional
Counsel and Associate Enforcement Counsel for verification
( Regional & HQ analysts )
(6) Verify accuracy of Docket and make corrections ( Regional Counsel
Associate Enforcement Counsel )
(7) Enter corrections ( Regional & HQ analysts )
(8) Run accountability reports and complete SPMS reporting instruction
forms ( HQ analysts, MOB )
Monthly updates ( item 3 ) should be completed by the first of the
month, verification ( item 6 ) about the 9th, completion of SPMS reporting
instructions ( item 8 ) and to the Compliance Evaluation Branch on the 13th
to the Assistant Administrator on the 14th, and final SPMS reporting and to
OMSE no later than the 15th of the month. This means that all corrections
and data entry and updating ( item 7 ) must be completed by the 10th to be
included in the accountability report for the just concluded fiscal quarter.
The verification reports are a tool for use in determining if all cases
have been accounted for and the events surrounding active or recently
concluded cases have been entered in the DOCKET. Information relevant to
quarterly accountability measures which is obtained after the monthly
updates have been submitted to the Regional analyst can be entered on the
verification reports and included in the final quarterly update ( on the
10th ).
1. Initial Entry of a Case: The Regional attorney assigned to develop the
case is responsible for completing the Case Data form and the Facility Data
Form(s), and for providing this information to the Regional analyst for
initial entry of the case. Attorneys should not expect that the analyst
will complete these forms unless a procedure has been arranged with their
analyst and the date is readily available in the litigation package. Such a
procedure does not relieve the attorney of the responsibility for the
accuracy and completeness of the data.
The attorney may enter a case in the Docket any time after the case is
"opened," but no later than when the case is initiated. The "Date Opened"
is an arbitrary date but is sometime in the period between when a decision
is made to take judicial action ( an attorney is assigned to begin case
development ) and when the case is "initiated." The "Date Initiated" is the
date that the Regional Administrator signs and dates the referral letter.
This means that the referral package is ready to be placed in the mail. To
be counted as initiated in a fiscal quarter, a case must be in the mail and
entered in the Docket by the Regional data analyst by the last day of the
quarter.
2. Major Milestone Event Dates: Major milestone event dates are critical
in tracking cases, accountability measures, and in most analyses that are
performed. The timely and accurate entry of these dates is crucial for the
overall integrity of the system. Significant problems have arisen due to
very late or inaccurate entry of dates.
We regularly make calculations of the number of cases pending ( e.g., at
EPA HQ, at court ) on a particular day ( e.g., 10/01/86 ). Each time that a
major milestone date is entered the Overall Status ( present / pending
location ) of the case changes. Inaccurate and late entries can seriously
distort data used for accountability and budgeting.
Headquarters and Regional attorneys are responsible for the entry of
dates as part of the monthly case update. More specifically the lead for
entry of each event date is identified below:
Event / Milestone Date Primary / Lead Responsibility.
Violation Determined Regional Attorney.
Technical Documents Received Regional Attorney.
by ORC
Opened Regional Attorney.
Initiated Regional Attorney.
Received at EPA HQ HQ Attorney.
Check List Completed HQ Attorney.
Referred to DOJ HQ Attorney or
Regional Attorney for
Direct Referral to DOJ.
Referred to US Atty HQ Attorney & Regional
Attorney.
Filed HQ Attorney & Regional
Attorney.
Concluded HQ Attorney & Regional
Attorney.
Returned to Region HQ Attorney.
Rereferred Regional Attorney.
3. Overall Status: The Overall Status of the case coincides with the most
recent major milestone and indicates the present location of the case.
The HQ and Regional analysts are responsible for verifying that the
overall status and latest milestone agree.
Overall
Status Milestone / Event Meaning
0 Opened Case opened, under development in
Region.
1 Initiated Initiated, Under Review / pending at
EPA HQ.
2 To DOJ Referred to DOJ; under review /
pending at DOJ.
3 TO US Atty Referred to US Atty for filing.
4 Filed in Court Filed; pending in court.
5 Concluded Concluded; judicial aspects
completed.
S Returned to Region Returned to Region for further
development and subsequent
rereferral.
1 Rereferred Rereferred by Region, pending at EPA
HQ ( a case that is rereferred is
not counted as a new referral; the
case is counted once at the time
of the original referral )
4. Headquarter Review Time: The determination of the headquarters review
time is applied to all case initiated regardless of whether the case is
referred to DOJ, declined and concluded, or returned to the Region for
further development. The starting point is the "Date Received at EPA
HQ" which is defined as the date that the Associate Enforcement Counsel
receives the litigation package. The Headquarters attorney assigned to
the case is responsible for providing these dates as part of his or her
monthly update. If the "Date Received at EPA HQ" is not provided, the
default is "Date Initiated."
Cases can be divided into four categories and the dates used in
computing the review time is defined for each.
a. Referral by Region to EPA Headquarters:
- Date Received at EPA HQ ( or Date Initiated )
- Date Referred to DOJ.
b. Direct Referral by Region to DOJ:
- Date Received at EPA HQ ( or Date Initiated )
- Date Check List Completed.
Note: Date Check List Completed will be entered in the DOCKET
as a miscellaneous event and will appear on the Case
Status / Update Report once entered. The event code is:
CHKLST.
c. Referral by Region to EPA HQ, Returned to Region for Further
development:
- Date Received at EPA HQ ( or Date Initiated )
- Date Returned to Region.
d. Referral by Region to EPA HQ, Declined by EPA HQ or Withdrawn by
Region:
- Date Received at EPA HQ ( or Date Initiated )
- Date Concluded ( Declined / Withdrawn ).
5. Referral Indicator: The "Referral Indicator" designates the office
( Region or EPA HQ ) developing and originating the case and where the
case is referred ( EPA HQ or direct referral to DOJ ).
RH - Region to EPA HQ
RD - Region direct to DOJ.
A case that is referred by the Region directly to DOJ has the same date
for "Initiated" and "To DOJ". Many cases that have a Referral Indicator
of "RH" have the same date for "Initiated" and "To DOJ," suggesting that
the case was really referred directly to DOJ and should have a "Referral
Indicator" of RD.
The Regional Attorney and the Regional Data Analyst are responsible for
entering the correct Referral Indicator at the time the case is
initiated. Check that all direct referrals are properly designated.
6. Concluded Cases: At the time a case is concluded, the Regional and
Headquarters attorneys are responsible for entering three data items as
part of their monthly update:
a. Date Concluded
b. Result - how the case was concluded
c. Assessed / Adjusted Penalty - for cases settled by consent decree
or litigated.
This information should be provided as soon as possible after the case
is concluded. In the past, delays in entering these items, for instance
"Date Concluded," have altered the number of active cases on a
particular date as previously reported in OECM's SPMS quarterly
accountability measures.
7. Headquarters Division: Some values for Headquarters Division do not
match the Law / Section values, e.g., HQDV = PES, and LAW / SECTION =
RCRA 7003, CERCLA 106. The Regional Attorney initiating the case is
responsible for designating on the Case Data Form the appropriate
Headquarters Division that will be reviewing the case.
8. Law / Section: The Law(s) and Section(s) are the ones violated and
cited in the litigation report and complaint, the most significant
entered first. Do not use the section authorizing enforcement, e.g.,
CAA, Section 113. A Section must be entered for each Law. If more than
one section of a particular law is violate and cited in the litigation
report, then each is entered as separate combinations.
EXAMPLES:
CERCLA 106
CERCLA 107
RCRA 3008
RCRA 7003.
In the DOCKET we use the section designation from the published statute;
do not use the one from the U.S. CODE.
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