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Outline of General Principles
Centralto ourenforcementwork istheneedto keep informationthat is
not alreadyinthe . publicdomainconfidentialwhileEPA
isengagedinanenforcementmatter.Although
oftentimesthe existenceof an enforcementactionis widelyknown,
specific andsensitive enforcementinfonnationshouldbecloselyguarded.
Therefore,communicationwithoutside parties
aboutenforcement-sensitiveinfonnationshouldnot occur.
Outsidepartiesinclude.but arenot limitedto:. Membersof
Congressor Congressionalstaff;
.
Representativesofstateorlocalgovernmentsthatdonot.enterintoajoint
. prosecutionor confidentialityagreementwith EPA or the
federalgovernment;
. Representativesof the media;. Industry,trade
associations,environmentalgroups, public.interest groups; and
Membersofthegeneralpublic,exceptwhentheyareinvolved,asnecessary,in
a
settlementinvolving a SupplementalEnvironmental Project
(SEP).
fuformationthatshouldnotbe sharedWithoutsideparties
includes.butisnotlimitedto: .
Informationonthestatusofaninvestigation,negotiation,orsettlement
discussion,including strategyandtactics;
. Non-publicinformationconcerningpendinglitigation;
. Sensitiveinformationthatmayaffecthowa
caseproceeds,eventhoughthe . informationmaynotbe privileged; .
.
Non-publicinformationthatwasinadvertentlyorotherwisedisclosedbyEPA
or otherparties; .
.
InformationthatisrequiredtobetreatedasConfidentialBusinessInformation
(CBI)pursuantto 40C.F.R.Part2;and
. Draftpressandcommunicationsdocuments,suchaspressreleases.
Whiletherearemanydetailswithinenforcementmattersthat
areconfidentialandmay notbe
sharedwithoutsideparties,publicdocumentsthatcanbe sharedwith
outsidepartiesmav include: .
. Informationrequeststoinitiateinvestigations;
. Judicialcomplaints;
. Noticesof violations;
. Administrativeorders;
. Finalsettlementagreements;
. Motionsandotherdocumentsfiledwithcourtsorfiledinadministrative
proceedings;and .
. Courtdecisions.
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Thesetypesofpublicinformationcanbe
sharedwithoutsideparties,although
whencommunicatingwithoutsidepartiesaboutinformationthatis
alreadyinthepublicdomain, staffmustbe
mindfulofavoidingthereleaseofconfidential,non-public,and/orenforcementsensitive
information.
. Protecting Settlement Communications
It is commonpracticethatoncesettlementnegotiationsbeginin
anygivenenforcement matter,that
thepartiesagree,inwriting,thatsuchcommunicationswillbeheldconfidential
betweenthepartiestothefullestextentallowedbylaw.
Theseagreementsarenotonlyforthe protectionof
thepartysubjecttotheenforcementproceeding,butalsotoprotectEPA if
the matterisnot settledandproceedstoadjudication.
Inadditiontoupsettingtheuniquebalanceof' offers and
counterofferspresentedin negotiations,a violationof a
confidentialityagreementmay constitutea
violationofethicalstandards. Certainlegalprivileges,such as
attorney-workproduct and attorney-clientcommunications,-may alsobe
waivedinadvertentlyif privileged informationismadepublic.
Enforcementstaffshouldnotdiscusssettlementnegotiations":'ith
outsideparties whetherornotaconfidentialityagreementexists.- .
During thenegotiationprocesswithaspecificpartyorwithintheEPA
internalcase developmentphase,it
isnotuncommonthatlegalclaimsarediscussedandlitigationrisks .
analyzed,as
theyarepresentinanycase~Suchcommunicationsarehighlysensitiveandmustbe
protectedfrom disclosure.ThefactthatEPA
andapartyareinsettlementnegotiationsmaynot be
confidential,butshouldnotbedisclosedwithrespectto
acasethathasbeenreferredto the
DepartmentofJustice(DOJ)withoutpriorconsultationwithDOJ.
Thedetailsofexch~ge of offers, counter.offers,and other
settlementdynamics are confidential and muStnot be disclosed to
outsideparties.
Inparticular,discussionsontheremedybeingsoughtinsettlementshouldbe
confinedtothe settlementroomwhereonly~pA
andothergovernmentpersonnelinvolvedinthe
enforcementmatterandtheopposingpartyarepresent.
Discussionswithoutsidepartiesrelating to the remedynecessaryto
settlea givencaseareinappropriateand should ~ot occur.
CODimunicationswith Congress
As to
Congressionalinquiriesonpendingenforcementmatters,Membersof
Congressand Congressionalstaffshouldbehandledinthe.samewayas
anyotheroutsidepartywhen
enforcementinfonnationisrequested.ThishasconsistentlybeenEPA's
policyformanyyears, andI reiterateitagaintoday.
WhileoutsidepartiesmaycontactCongressonlegislative,policy,
andstatutoryimplementationissues,it
isinappropriateforCongress-tomediate, participate,or in
anywayinfluencetheenforcementprocessagainstaspecificindividualorco~pany.
Congressis notapartyin
enforcementactionsandshouldnotbeprivytosettlementexchangesonthe
appropriateremedyrequiredto settlean
enforcementmatter,penaltydemands, and other casespecificmatters.
Thedetailsofexchangeofoffers,counteroffers,andothersettlementdynamics
areconfidential andmustnotbe disclosedto outsideparties.
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If
youreceivearequestfromaMemberofCongressorCongressionalstaff,pleaseref~r
thatperson toEPA's
OfficeofCongressio~alandIntergovernmentalRelationsorthe regional
CongressionalLiaisons.DOJshouldbenotifiedandconsultedwithrespectto
any communicationswithCongressregardingan ongoingjudicial actionor
a referred case, andmay
bepresentatanymeetingswithCongressionalrepresentativesconcerninganysuchcase.
Please keepinmind thatit isneverappropriatetohaveaMemberof
Congressor Congressionalstaff present during
settlementnegotiations,and any such request must be denied.
Conclusion
Enforcementofthe nation's environmentallaws is an
importantcomponent of EPA's missionto
protectpublichealthandtheenvironment.Developmentandtheprogressionofan
enforcementcaseishighlysensitive,andallEPA
employeesinvolvedinorwith knowledgeofan
enforcementmatterareresponsiblefor ensuringthatthe processis
protected and professionally maintained.
Failuretoadheretotherestrictionsoutlined.inthismemorandummayresultin
disciplinaryaction. If
youhaveanyquestionsrelatingtocommunicatingenforcementmattersto
outside parties, includingCongress,please contact my office. If you
or anyone on your staffis
uncertainaboutwhatinformationshouldorshouldnotbe disclosedin
aspecificsituation,please contact my office or your DeputyEthics
Official (DEO) so that we can evaluate the situation.
Thankyouforyourattentiontothisimportantpolicy. I
lookforwardtocontinuingto
worktogethertomakesurewearedoingallwecantoprotectourland,
air,andwater.
cc: Stephen 1. Johnson,Administrator
MarcU$C.Peacock,DeputyAdministrator Charles Ingebretson,Chiefof
Staff RogerR Martella,Jr.,DesignatedAgencyEthicsOfficial
. RegionalCounsels
Regional EnforcementManagers
Regional EnforcementCoordinators
OECA OfficeDirectorsandDeputyOfficeDirectors
Attachments: . EPA Ethics
Advisory90-2,"OutsideCommunicationsRegardingMatters Under
Investigation, in
Pre-LitigationStages,or inLitigation"
Memorandumfrom.AssistantAdministratorJ.P.
Suarez,datedOctober28,2003, "Restrictions
on
CommunicatingwithOutsidePartiesRegardingEnforcementActions"
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