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Report Checklist



PART I:DOI / GENERAL INFORMATION

Matter name

     

Date received by Program Administrator

     

Date early case assessment

Initiated      Completed     

Solicitor’s Office attorney assigned

     

File number

     

Client agency / agencies involved

     

Agency contacts

     

DOJ contact, if applicable

     

Nature of dispute

Contract Issue

ESA Civil Penalty / Forfeiture Matter

Habitat Conservation Plan

Natural Resource Damages

Land Use Issues

Torts

Other     

Parties

Individuals:

Groups:

     

Other stakeholders:

     

Location involved, if applicable

     

Relief sought by parties

     

Matter history

     

Current status

     

PART II:ECA CHECKLIST

Review of relevant DOI / Agency historical information

Completed on:      

DOI / Agency databases

Attorneys’ experience, including DOJ

Internal / External Expert Reports

Legislative Materials

FACA Materials

NEPA Materials

Other relevant sources

Review of general historical information

Completed on:      

Verdict outcomes/damages awards

Actions taken by interested parties

Success of similar claims

Length of litigation process

Publicity (adverse or otherwise)

Other relevant public records

Early abbreviated factual review

Completed on:      

Review of critical DOI / Agency documents

Review of critical opposing party documents

Review of critical third-party documents

Interviews with critical DOI / Agency witnesses

Interviews with critical opposing party witnesses

Interviews with critical third-party witnesses

(including experts)

Additional relevant information gathered


Early abbreviated damages analysis

Completed on:      

Estimation of damages:

$0 - $50,000

$50,000 - $100,000

$100,000 - $499,999

$500,000 - $999,999

$1 - $5 million

$5 - $10 million

$10 - $20 million

$20 to $100 million

Over $100 million

Early abbreviated legal review

Completed on:      

Does party or group have standing to bring action

Number of complaining parties

Does claim originate from legislative, judicial, executive or administrative act

Elements required to state a claim

Prior outcomes in similar matters

Affirmative defenses

Unique jurisdictional requirements

Relevant factual issues that are unascertained

Identification of important principles or precedents

Assessment of best/worst case scenarios and

likelihood of each

Other legal issues necessary to prepare

recommendation

Potential non-economic risks/benefits analyzed

Completed on:      

Policy Considerations

Public Relations

Effect on internal relationships

Effect on external relationships

Department / Agency’s Reputation

Compliance with FACA or other Federal statutes

Employee Morale

Confidentiality

Importance of establishing precedent

Dispute cycle time

Increase/decrease in volume of future disputes

Other factors

Assessment of forum for litigation (for DOJ to complete if necessary)

Completed on:      

Potential jurisdiction

Potential jury composition

Potential judge/ALJ

Potential neutral

Opposing counsel – firm

Opposing counsel – lawyer

Estimation of internal and external legal fees, expenses & costs (if necessary, DOJ will complete relevant portion)

Completed on:      

Estimation of internal resources already expended

Projected expenditure of internal resources through resolution

Legal fees to date

Expenses and other costs to date

Projected legal fees through resolution

Projected expenses and other costs through resolution

Additional factors to consider for this matter

     

Noted discovery/case management issues in the event matter is not resolved early and case proceeds to traditional litigation

     

Agency’s range of monetary settlement, or other desired resolution

     

Claimant’s range of monetary settlement, or other desired resolution

     


PART III:RESOLUTION STRATEGY SUMMARY

DOI / Agency’s goals and objectives

Uphold environmental standards

Ensure compliance with Federal statutory orregulatory requirements

Follow established policy

Maintain/improve relationship(s)

Assure openness and accountability

Speed

Finality

Confidentiality / privilege

Establish precedent

Obtain neutral opinion

Maximize/minimize recovery

Minimize costs

Other factors

Opposition’s goals and objectives

Financial reward

Publicity

Achieve environmental standards

Minimize costs

Maintain/improve relationship(s)

Speed

Finality

Confidentiality / privilege

Establish precedent

Vindication

Compliance with Federal statutory or regulatory requirements

Follow established policy

Assure openness and accountability

Obtain neutral opinion

Maximize/minimize recovery

Other factors

Summary of prior settlement discussions

     

Has opposing counsel indicated he/she is agreeable to early resolution through ADR?

YesNo

Most recent demand(s)/offer(s), including date(s)

     

Are there practical alternatives to a monetary settlement?

YesNo

If so, what could DOI / Agency offer which would respond to the opposition’s interests or needs?

     

What practical alternatives could the opposition offer which would respond to DOI / Agency’s interests or needs?

     

What ADR process would be most appropriate for this case at this time?

ADR not appropriate at this time

Negotiation

Mediation

Policy Dialogues

Joint Fact-Finding

Partnering

Early Neutral Evaluation

Mini-trial

Arbitration

Case should be referred to settlement counsel

Convening would be useful to determine appropriate ADR process

Other

If ADR is deemed not appropriate, why is it inappropriate?

     

Estimated legal fees, expenses and costs associated with using selected ADR process

     

Recommended “next steps”