2006-Mar-08 EPA Ethics letter Pine View Estates FOIA request
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Transcript of 2006-Mar-08 EPA Ethics letter Pine View Estates FOIA request
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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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