03/11/88
Case Management Plans
MEMORANDUM MAR. 11, 1988
SUBJECT: Case Management Plans
FROM: /s/ Thomas L. Adams, Jr.
Assistant Administrator for Enforcement and Compliance
Monitoring ( OECM )
U.S. Environmental Protection Agency ( EPA )
/s/ Roger J. Marzulla
Acting Assistant Attorney General
Land and Natural Resources Division
U.S. Department of Justice ( DOJ )
TO: EPA Regional and OECM Attorneys
EPA Regional Program Office Personnel
Environmental Enforcement Section Attorneys
DOJ Division of Land and Natural Resources
The environmental enforcement cases initiated by the United States
Environmental Protection Agency ( EPA ) and the United States Department of
Justice ( DOJ ) are characterized by their complexity, their significant
demand on resources, and the participation of numerous legal and technical
people from many offices. Nearly all cases present major challenges to EPA
and DOJ, and in some instances can take several years to bring to
conclusion. In order to achieve the best possible results in the shortest
time, with the most efficient use of resources, both EPA and DOJ will be
implementing a number of measures to promote the effective handling of
cases.
Case management plans represent a mechanism to enhance the effectiveness
of the environmental enforcement program. Case management plans are plans
for the conduct of environmental enforcement cases which provide a road map
for bringing a case
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from its initiation to a successful conclusion. The primary elements of the
plans include the tasks to be performed, the people assigned to perform the
tasks, and the dates by which the tasks are to be completed. Case
management plans include both the litigation and negotiation elements of the
case, and the legal and technical tasks to be performed.
With the number of people involved in cases, it is essential to
establish as early as possible which litigation team members will be
responsible for what tasks and when these tasks will be completed. Because
DOJ is primarily responsible for management and control of the case, it will
have the lead role in establishing the case management plan. Attorneys in
the regional offices, the Office of Enforcement and Compliance Monitoring,
and in some cases U.S. Attorney's Offices, also play significant roles in
the cases, as do EPA technical staff; therefore, they will participate in
the development of the plan. The case management plan will, to the maximum
extent practicable, reflect the agreement among members of the litigation
team as to how they will bring the case from its initiation to a successful
conclusion.
DOJ has developed the attached form covering the legal assignments for
the litigation elements of case management plans. This form is
comprehensive and will be used for all cases beginning April 1, 1988. The
form will be used as follows.
Regional attorneys and regional program staff who are preparing
litigation reports should indicate their availability for case work
assignments in a draft case management plan when the case is referred. The
attorney should use the standard DOJ form, and should propose assignments
for the regional attorney and regional technical staff which include only
those tasks which regional supervisors and managers consider appropriate for
the individuals assigned to perform them. The form, as submitted by the
region, will not address assignments for DOJ attorneys or Assistant U.S.
Attorneys. The draft case management plan should also reflect the regional
attorney's initial thinking concerning the strategy and timetable for
litigating and negotiating the case, although at this point in the
development of the case, the draft plan may not contain much detail.
During the period assigned for its review of the referral, OECM will
propose to DOJ, after discussion with the region, any assignments which
management considers appropriate for the OECM attorney assigned to the case.
The DOJ attorney should then, in consultation with EPA, complete the case
plan for litigation and negotiation. It is important for the DOJ attorney
to initiate
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development of a strategy and timetable for the case, in concert with the
other members of the litigation team. The team's members should assure
support for the plan by their respective supervisors. The plan should
reflect a realistic assessment of the resources ( including technical and
contract dollar
resources ) available to support the case, and team members should be
assigned responsibility for actually obtaining the resources contemplated by
the plan. The DOJ attorney should have a case plan in place by the date of
filing of the complaint, addressing the roles of DOJ, the Assistant U.S.
Attorney, and regional and headquarters legal and technical staff.
Because litigation and negotiation of environmental cases is a dynamic
process, initial projections of tasks in a case plan will need to be revised
on a periodic basis. In order to keep the case plan up to date, but, at the
same time, avoid undue consumption of the litigation team's time, the case
plans will be updated on a quarterly basis. The case plans will serve as
the primary discussion documents for the legal and technical staff and their
first-line supervisors in periodic case reviews. The plans also will be
used as a guide to managers interested in the general progress of a case.
In order to facilitate the best use of the case management plans, DOJ will
work towards developing a means of incorporating the plans in its case
docket system.
If prepared and used properly, case management plans can help assure
effective and efficient management of complex cases and available resources.
Date _______________
PRELIMINARY CASE PLAN
Case Name: U.S. v.____________________________ DJ #90 - __________
Statutes: ____________________________________ EPA Region: __________
Nature of
Violation / Claims: ________________________ District: _____________
Litigation Team:
DOJ / LNRD: _________________ EPA / Reg. Program _____________
DOJ / AUSA: _________________ EPA / HQ Program _____________
EPA / RC: _________________ State Rep. _____________
EPA / OECM: _________________
A. General Breakdown of Case Responsibilities
Assignment Name
1. General Oversight and Case Management _________________________
-- Review of all briefs and other DOJ Attorney
filings; consultation on litigation ( or AUSA )
and negotiations strategy
2. Principal Contact with Defendant(s) _________________________
on Litigation Matters.
3. Principal Contact with Defendant(s) _________________________
Regarding Settlement.
4. Development of Technical Proof _________________________
( List needs for liability and
remedy case; assign by need ).
5. Selection and Development of Expert(s) _________________________
( List needs ).
6. Development of Liability Case */ _________________________
( List elements; assign by element ).
7. Development of Remedy Case _________________________
( Break down; assign by element
where possible ).
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B. Preliminary Discovery Plan
Task Name Date
1. Offensive Discovery
a. First Set of Interrogatories _____________ ____________.
b. First Set of Production _____________ ____________
Requests.
c. First Set of Requests for _____________ ____________
Admissions.
d. Foreseeable Offensive Depositions _____________ ____________
( list each deponent and assign
by deponent ).
2. Defensive Discovery
a. Responses to Written Discovery _____________ ____________.
b. Depositions To be assigned as they
are noticed.
C. Preliminary Motions Plan
1. U.S. Motion to Strike Jury Trial _____________ ____________
Demand
2. U.S. Motion to Strike Defenses */ _____________ ____________.
3. U.S. Motion for Partial Summary _____________ ____________
Judgment. */
4. U.S. Motion for Case Management _____________ ____________
Order ( if appropriate ).
5. Analyze Answer / Motion to Dismiss _____________ ____________.
*/
6. Response to Motion to Dismiss */ _____________ ____________.
D. Preliminary Settlement Plan
( List near-term events and tasks _____________ ____________
relating to settlement; assign
as appropriate ) _____________ ____________.
E. Deadline for First Revision and
Expansion.
*/ In multiple defendant cases, list each defendant and assign by
defendant in single defendant cases, assign by liability element.
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