Manual__1_Mail_Identification_and_Routing_Procedures_Manual.pdf

MAIL IDENTIFICATION AND ROUTING

PROCEDURES MANUAL

U.S. Department of Justice Civil Division, Office of Management Programs

Office of Management Information

October 22, 2014

This page intentionally left blank

MAIL IDENTIFICATION AND ROUTING

PROCEDURES MANUAL

Record of Changes

Record of Changes

Revision Number Date Revised Page Numbers

Description of Changes Changes made by

1.0 10/22/2014 N/A Initial Release

MAIL2015-001 7/15/2015 Appendix D Revisions to OIL-District Court and Court Mail POCs

MAIL2015-002 11/5/2015 PP 15 -24

and Appendix D

Incorporate documents delivered to Management Information Specialists

MAIL2015-003 11/5/2015 Appendix D Revision to TET POC

MAIL2015-004 12/18/2015 Appendix G Pick-Up Time Changes CIP Box

MAIL2016-001 1/14/2016 Appendix D Branch contacts for CCF

MAIL2016-001

REVISED

2/25/2016 Appendix D

Branch contacts for CCF

CLASS2015-

12/11/2015 Appendix L New Organization Abbreviations

MAIL2016-002 4/27/2016 P 28 ECF w/ general docket number

41TUMAIL2016-003 U41T 5/17/2016 Appendix D Recipient for follow-up mail for Fraud

41TMAIL2016-00441T 6/7/2016 iii, 5-6, 10, 12, 13,16, 19, 22-27, Appendices C, D, G & M

Follow-up mail containing potential updates

41TMAIL2016-00541T 9/21/16 PP i, 10-thru 13, 26, Appendix C

Application of DOJ Record Blocking stamp

41TMAIL2017-00141T 2/10/17 Appendix D Room update for TFT POC and POC update for

CPB

MAIL2017-002 2/10/17 multiple pages

Replacement of references to CASES and ARTS

MAIL2017-003 5/10/17 Appendix D Branch contact for CCF

Table of Contents

Revised February 10, 2017 i | P a g e

Mail Identification and Routing Procedures Manual

1. ABOUT THIS MANUAL

1.1. PURPOSE

1.2. REVISIONS

2. 0BBACKGROUND

2.1. 1BCIVIL DIVISION

2.2. 3BOMI

2.3. CASE INFORMATION MANAGEMENT SYSTEM (CIMS)

2.3.1. 13BTracking and Status Information

2.3.2. 23BTime Reporting Module

2.3.3. 23BRecords Tracking Module

3. 27BOVERVIEW

3.1. 28BOVERVIEW OF THE MAIL ID UNIT

3.2. 32BSUMMARY OF TASK PERFORMED

4. GENERAL MAIL PROCESSING PROCEDURES

4.1. STAMPING MAIL

4.1.1. Envelopes

4.1.2. Documents

4.1.3. Blocking Tags (Form OBD-171)

4.2. OPENING MAIL

4.2.1. Multiple Cases in One Envelope

4.3. CASE SEARCH

4.3.1. Preparing for a Case Search

4.3.2. Interpreting Results of a Case Search

4.4. VERIFYING ADDRESSES

4.5. ANNOTATING DOCUMENTS/ENVELOPES

4.5.1. Follow-up Case-Related Mail

4.5.2. Unopened Envelopes

4.5.3. Tripsheets

4.6. MAIL ID UNIT PRODUCTION REPORTING

5. RECEIVING INCOMING MAIL

October 22, 2014 ii | P a g e

5.1. CIVIL DIVISION MAIL ROOM MAIL

5.2. OMI/CISS

5.3. ELECTRONIC MAIL

6. PROCESSING CIVIL DIVISION MAIL ROOM MAIL

6.1. SORTING MAIL

6.1.1. Guidelines for Opening/Not Opening Mail

6.2. PROCESSING UNOPENED/DO NOT OPEN MAIL

6.2.1. Guidelines for Unopened/Do Not Open Mail

6.2.2. CLASSIFIED, SECRET or TOP SECRET Mail

6.2.3. Mail Marked “Do Not Open” or Similar Phrase

6.2.4. Senior Civil Division Officials Mail

6.2.5. Branch Directors/Deputy Directors Mail

6.2.6. Mail Addressed to the Office of Foreign Litigation or an Attorney within the office

6.2.7. Mail Addressed to the Consumer Protection Branch or Attorneys within the Branch

6.2.8. Non-Case Related Mail

6.2.9. DOJ Interoffice Messenger Envelope

6.2.10. Administrative/Support Staff/Contractor Mail

6.2.11. Courier Mail

6.2.12. Misdirected

6.2.13. Mail Returned Undeliverable

6.2.14. Addressed to a P.O. Box with No Specific Addressee

6.3. PROCESSING OPEN/TO BE OPENED MAIL

6.3.1. Certified/Registered/Service-by Hand Mail

6.3.2. Social Security Administration (SSA)/Health and Human Services (HHS) Mail

6.3.3. Bankruptcy

6.3.4. Case-Related Mail

6.3.5. Hand-delivered Mail from CFC/CAFC

6.3.6. Checks

7. PROCESSING OMI/CISS MAIL

7.1. CLASSIFICATION UNIT MAIL

7.1.1. Newly-Classified Cases

7.1.2. Follow-up Mail Identified from the Classification Unit

7.2. PROCESSING DOCUMENTS FROM OMI/CISS STAFF

8. PROCESSING ELECTRONIC MAIL

8.1. “C-NATCOURTS APPEALS” EMAIL INBOX

8.2. “COMPLAINTS, C-NATCOURTS” EMAIL INBOX

8.3. “COURTS, NATIONAL (CIV)” EMAIL INBOX

8.4. PRINTING PROCEDURES FOR ECF E-MAILS

9. REPORTING OMI APPLICATION PROBLEMS

Revised February 10, 2017 iii | P a g e

9.1. APPLICATION PROBLEMS

9.2. NOTIFICATION PROCEDURES

10. PROCESSING MAIL WHEN THE COMPUTER IS NOT OPERATIONAL

10.1. TASK ASSIGNMENTS

10.2. COMPUTER REPORTS

APPENDIX A – BLOCKING TAG

APPENDIX B - TIPS FOR CONDUCTING A CASE SEARCH AND IDENTIFYING A

RELEVANT CASE

APPENDIX C – ANNOTATING DOCUMENTS/ENVELOPES CHART

APPENDIX D – LIST OF MAIL RECIPIENTS AND DESTINATIONS

APPENDIX E - TRIPSHEET

APPENDIX F - CISS REPORTING APPLICATION

APPENDIX G – MAIL PICKUP AND DROP-OFF TIMES

APPENDIX H – JUDGMENT PAYMENT LOG

APPENDIX I – SAMPLE NATIONAL COURTS EMAIL AND OUTLOOK LIST

APPENDIX J - GLOSSARY

APPENDIX K – STANDARD ABBREVIATIONS

APPENDIX L – ORGANIZATION ABBREVIATIONS LIST

APPENDIX M – POTENTIAL UPDATE(S) FORM

About This Manual

October 22, 2014 1 | P a g e

1. About This Manual

1.1. Purpose

This manual provides instructions for the Mail Identification and Routing Unit (Mail ID) of the Civil Division’s Office of Management Information (OMI). The Mail ID Unit is composed of contractor personnel and is responsible for identifying, sorting, and routing all mail received by the Unit according to standard procedures and guidelines.

Government oversight of the Mail ID Unit is administered by the Civil Division’s Office of Management Information (OMI) through the Contracting Officer’s Representative

(COR).

The COR-approved instructions in this manual represent the coordinated and agreed-upon approach between OMI and the contractor regarding Mail ID procedures.

1.2. Revisions

Changes to this manual may only be accomplished by a COR-approved Letter of Instruction (LOI). LOI requests are prepared by the Data Collection Manager (DCM) and/or QA Specialist (QAS) in conjunction with the Clerk II. They are reviewed by the contract Program Manager (PM) and the COR. The PM and COR approve all Mail ID LOIs. Upon issuance of LOIs, the new procedures supersede the policy as it is written in this manual. Published LOIs should be documented in the table entitled Record of Changes that precedes the table of contents of this manual. Subsequent issues of the Mail Identification and Routing Procedures Manual will reflect the new policies and procedures that are issued by all Mail ID LOIs disseminated prior to the release of an updated manual.

Background

Revised February 10, 2017 2 | P a g e

2. 0BBackground

2.1. 1BCivil Division

6TThe Civil Division is the largest legal division in the Department of Justice. It represents more than 155 federal agencies, individual employees, Members of Congress, the federal judiciary, and the people of the United States. The Civil Division’s caseload is large and diverse with over 50,000 open cases pending at any time.

6TThe Civil Division defends the United States in suits challenging the constitutionality, lawfulness, or propriety of Presidential initiatives, federal statutes, and government programs and actions. It initiates litigation to enforce various federal statutes, including the nation's consumer protection and immigration laws, and defends against challenges to those statutes and associated enforcement activities. The Division handles litigation involving billions of dollars in areas such as fraud, international trade, patents, bankruptcies, claims against the government, and foreign litigation. The Division also litigates general tort claims, including those that involve toxic substances, aviation, admiralty, and the defense of federal officials sued personally for official actions.

6TTo litigate this large caseload, the Civil Division employs over 1,000 attorneys and numerous paralegals and legal assistants. The legal work of the Division is organized into six components listed below.

2BCommercial Litigation Branch (CB) 42BFederal Programs Branch (FP) 43BTorts Branch (TB) 44BConsumer Protection Branch (CPB) 45BOffice of Immigration Litigation (OIL) 46BAppellate Staff (APP)

2.2. 3BOMI

4BWithin the Civil Division, the Office of Management Information (OMI) is the administrative office which oversees the functionality and accessibility of numerous automated systems which are customized to Civil Division requirements. These systems are key to the management and operation of the Division. OMI’s staff, ongoing work and special projects support the Case Information Management System (CIMS), which includes a Records Tracking module, a Time Reporting module and numerous other modules that support specific offices in the Civil Division. OMI monitors and addresses the integrity of the data in CIMS and ensures that both the business rules and the technology give the system users reliable and accessible data.

Revised February 10, 2017 3 | P a g e

2.3. Case Information Management System (CIMS)

6BThe Civil Division tracks cases in CIMS. To facilitate quick access to a variety of information, CIMS is an on-line interactive system accessible through the DOJ’s JCONV network using personal workstations. The objectives of CIMS are as follows:

6TQuantify the Division's workload 6TEvaluate the results of its litigation efforts 6TNote trends and developments in the issues represented in its workload 6TMeasure resource uses and needs for litigation management and budgetary purposes

7BCIMS contains information on over 800,000 cases handled by the Civil Division since 1978. CIMS is used to track the status and progress of the work of the legal staff from the initial receipt of a document through the pre-file and trial court stages, and, if necessary, through Appellate courts. CIMS contains detailed information on case status and history. It also has time reporting information which enables the Civil Division to quantify the types of work performed and hours spent on individual cases or groups of cases. Together, this information enables the Civil Division to assess the effectiveness of its litigation efforts by comparing resources expended with results obtained from the legal process and the judicial system.

8BCIMS also provides information necessary to formulate Civil Division budget projections, staffing requirements and to respond to Freedom of Information Act (FOIA) requests and inquiries from Congress, the Government Accountability Office (GAO), and the White House. An array of reports are produced for Civil Division managers. In this context the system is essential to the success of the Civil Division's mission. CIMS is a significant tool for the effective daily and continuing management of the Civil Division.

9BThe information stored in CIMS falls into three major categories.

10BCase specific information, including assignment and status 11BThe hours the Legal Staff spent on a particular activity on each case Tracking of each case’s official hardcopy case records

12BInformation for these three categories is collected and updated throughout the life cycle of a case. The database structure is complex and heavily table driven, meaning that much of the case information is coded for storage on the computer and subsequently decoded for display or printing by users. The information is very dynamic, changing on an hourly basis.

Revised February 10, 2017 4 | P a g e

2.3.1. 13BTracking and Status Information

6TRecords in CIMS may contain up to 150 different types of data items. The number of data items actually recorded for a case depends on the course it takes as it moves through the judicial system. The data fields capture relevant case information. Below are examples of information that is available in CIMS.

14BThe case caption.

15BThe unique case identification number called the Department of Justice Number

(DJ Number).

16BThe court docket number.

17BThe Branch, Reviewer and Attorney assigned to the case.

18BBranch litigation responsibility, referred to as Handling, for the case. (Cases can be personally handled, jointly handled, monitored or delegated.).

19BThe type of the case according to the issues, statutes, acts or subject matters involved.

20BWhether the government's role is affirmative or defensive, and whether it seeks equitable relief or monetary damages, and if so, how much.

21BThe history of the case as it moves from trial to appeal and possibly back to trial court, and the relief awarded.

22BThe case status (open or closed).

2.3.2. 23BTime Reporting Module

24BThe CIMS Time Reporting module records information on hours expended on Civil Division cases to track what type of activity the legal staff performed and the dates and hours worked on a case. It is closely linked to the case information to show the types of cases or litigative areas to which the time is being allocated. Refer to the 41TCIMS Time Reporting User Guide41T on OMI’s website for additional information. 25B2.

2.3.3. 23BRecords Tracking Module

26BThe case data which the Classification Unit (CU) enters into CIMS, directly affects the accuracy of the data in the Records Tracking module. The Records Tracking module is also maintained by OMI and is used to record, track, and account for the Division’s official hardcopy case records, as required by law and according to regulations. There are two types of storage facilities within the Civil Division for case records: the Active Records Units (ARUs) and the Records Management Unit (RMU). Active Records Units (ARUs) are located in every Civil Division building and store active case records and at the request of a branch closed case records. The RMU, located in Merrifield, Virginia, is a facility that houses the closed case files. The ARUs and the RMU use the Records Tracking module to track sections (folders) pertaining to individual cases.

Mail ID Unit Procedures Manual

Revised February 10, 2017 5 | P a g e

3. 27BOverview

3.1. 28BOverview of the Mail ID Unit

29BThe Mail ID Unit is responsible for accurately and promptly identifying documents, verifying addresses and routing all mail delivered to the Unit.

30BThe Unit receives mail several times per day. Approximately 500 pieces of mail per day are routed directly or opened, identified, annotated and routed to the appropriate Civil Division Branch, office, or person. The Mail ID Unit determines whether an incoming document is case-related, and if so, whether the case is a new one or should be forwarded to the Classification Unit for further processing. After mail is identified, it is forwarded to the appropriate attorney, reviewer, case control officer, or specific mail recipient. In most cases, all mail should be processed by the Mail ID Unit within the same business day of receipt, with a minimum accuracy rate of 98 percent.

31BConsiderable responsibility is placed on the Mail Clerks -- who review, search, and route mail -- and on the quality assurance personnel who review the accuracy and timeliness of this function. Delay or inaccurate identification and delivery of mail can result in monetary loss for the U.S. Government. It is very important that individuals who search the mail be provided clear, precise, and specific written instructions for accomplishing their mission and that these instructions are followed at all times.

3.2. 32BSummary of Task Performed

33BBelow is a summary of the main tasks performed by the Mail ID Unit. Detailed instructions for performing these tasks are included in specific sections of this manual.

34BReceiving Incoming Mail 35BDate/Time Stamping Mail 36BSorting Mail 37BProcessing Mail from Multiple Sources 38BSearching CIMS 39BProcessing Electronic Case Filing (ECF) E-mails 40BProcessing Internal OMI Mail 41BRouting Mail

Revised August 9, 2016 6 | P a g e

4. General Mail Processing Procedures

Mail ID Unit personnel examine each piece of mail received to determine how to process it.

Each piece of mail is handled in accordance with procedures specifically designed for its handling.

4.1. Stamping Mail

4.1.1. Envelopes

Mail ID Unit personnel stamp the “RECEIVED” date and time on envelopes that are not to be opened. Once the address is verified the Mail ID Unit personnel stamp the “RELEASED” date and time and forward the mail to the addressee. The date and time stamps are placed on the back of the envelope in such a manner that information on the envelope is not covered by the stamps. DOJ interoffice messenger envelopes are not stamped.

4.1.2. Documents

Mail ID Unit personnel stamp the “RECEIVED” date and time directly on the back of the first page of the document. Mail leaving OMI is stamped with the “RELEASED” date and time prior to forwarding it to the proper mail recipient. The date and time stamps are placed on the documents in such a manner that information on the back of the correspondence is not covered by the stamps. The “RECEIVED” and “RELEASED” date and time should always be stamped on the same document.

4.1.3. Blocking Tags (Form OBD-171)

Blocking Tags (see 41TAppendix A41T) are attached to mail items by Mail ID personnel. If a Blocking Tag is already attached, it is kept attached. The date and time stamps are placed on the back of the Blocking Tag.

4.1.3.1. Blocking Tags for Documents

A Blocking Tag is attached to a document for the purpose of date and time stamping and annotating the mail. Use a Blocking Tag:

When the document has a raised, embossed seal on it.

When a court document is stamped with “original” to indicate it is an original document.

When it is apparent that the document to be stamped or annotated needs a signature.

When the stamping/annotating process would obscure information in the document.

When the document is being sent to the Intellectual Property

Section, Commercial Branch.

October 22, 2014 7 | P a g e

When the document is an internal Civil Division memorandum transferring between Branches.

When the document paper is fragile, i.e., carbon paper, over radiated, damaged.

When the document is double sided.

4.1.3.2. Blocking Tags for Envelopes/Packages

When an envelope or a package is too large to fit in the date/time stamp machines, a Blocking Tag is attached and both the received and released stamps placed on the back side of the tag. Do not cover up any relevant information when applying Blocking Tags. All markings, labels and stamps on the envelope can be important to litigation. Therefore, it is very important not to cover or destroy any of these markings, labels or stamps in any way.

4.2. Opening Mail

Envelopes and packages are opened carefully so that addresses and other markings are not destroyed. The contents are removed and the envelope is stapled to the back of the documents in the upper left-hand corner. If the package is too large for stapling or the staple will obstruct any pertinent information, the envelope is placed behind the documents and fastened together with a binder clip in the upper left-hand corner.

Before stapling/fastening, the contents are checked for evidence of multiple cases, either as one document or as multiple documents.

4.2.1. Multiple Cases in One Envelope

Frequently, the contents of an envelope include correspondence related to multiple cases. The cases may be fastened all together or included separately.

Therefore, it is necessary to look thoroughly through the correspondence to determine if multiple cases are included. If different civil action numbers or case captions are present, the documents should be separated. It is important to note that exhibits are not considered separate cases. If there is a question as to whether a document should be considered a separate case, take it to the DCM. Documents that are common to all of the cases included in the envelope, i.e. cover letter transmitting the cases, should be copied and attached to each of the case packages. On the document that is copied, a red checkmark is made next to the civil action number or case name indicating the case that applies. The envelope is always photocopied and attached to each case. Be sure that the copy made includes all of the information on the envelope. If necessary, use the reduce feature on the copy machine to make sure any Certified/Registered mail numbers, X-Ray date stamps and/or addresses are included on the copy.

Revised February 10, 2017 8 | P a g e

4.3. Case Search

4.3.1. Preparing for a Case Search

A case search is performed using CIMS to determine whether the document relates to a case that is or was handled by the Civil Division, or whether it is a new case for the Civil Division. This is done by using CIMS to conduct a search to see if selected terms from the mail result in a match with a case in the system.

41TRefer to the 41TCase Management User Guide41T on OMI’s website for procedures on how to search CIMS and Appendix B for tips on conducting a case search.

To search CIMS, information from the incoming mail is needed. Information that is typically used for searching includes the following:

Caption The Docket Number or Civil Action number assigned by the court.

The parties involved in the case. These are the names of the defendants or plaintiffs, and can be names of people, companies, places, things that have been named in court documents as being part of the case.

DJ Number Attorney names.

Other Identification Numbers.

Ordinarily it is not necessary to do an in-depth reading of the document being searched. Cover letters transmitting documents frequently provide the names of parties and the docket number (usually in the first paragraph or the subject of the letter). However, if the initial search discloses a limited number of matches for the search criteria entered and confirmation that the correspondence matches any of the cases displayed cannot be made, it may be necessary to read the correspondence thoroughly to locate more detailed information for a more conclusive search. Review the document to determine if it contains the matching case caption, party data, civil action or docket number(s), district, or any additional identifying data. If after thoroughly reviewing the document you are still unable to locate basic data elements and a match cannot be identified, the correspondence is then placed in a bin for routing to the Case Classification Unit.

4.3.2. Interpreting Results of a Case Search

Results of possible matches will be listed in a table below the search filters. If no match is found in CIMS, the system prompts you with a message stating, “Search Completed - 0 Record(s) found.” Refer to Appendix B for tips on identifying a relevant case.

Revised February 10, 2017 9 | P a g e

From the results list, if any, check pertinent information against the document for matches.

If the docket number on the piece of mail does not match the docket number in CIMS, the Mail ID staff does not have the authority to confirm a possible match.

However, the items listed below do not have to match exactly for the Mail ID staff to be able to determine a case match.

Punctuation, i.e. dashes, colons, etc., Zeroes, Spaces, Judges initials (usually three letters at the end of a number), Extra numbers (For example, the piece of mail shows the docket number as CA13-2184 and the docket number appears in CIMS as

2013CA002184),

The placement of letters in the docket number (see example above)

If there is any uncertainty as to whether the piece of mail relates to a case in CIMS, take it to the DCM.

4.4. Verifying Addresses

Mail ID Unit personnel use the Microsoft Outlook Address Book to verify the room number and building of addressee. The Address Book contains contact information on all DOJ employees and has a search field that can be used to search for particular names.

The Global Address list can be narrowed to specific divisions. This can be useful when trying to determine if an addressee is a Civil Division employee.

In the event that Outlook is unavailable, addresses can be looked up using the Civil Division mailing list updated and distributed monthly in PDF format by the Information and Analysis Reporting Unit.

4.5. Annotating Documents/Envelopes

Mail should be correctly and legibly annotated so that it gets routed to the proper Branch and/or individual. When the mail is identified through a CIMS search, it is annotated as outlined in Section 4.5.1 and Appendix C.

The following list provides standard abbreviations to be used when annotating mail to be sent to the Branches.

Revised February 10, 2017 10 | P a g e

Branch Abbreviation Appellate APP Commercial CB Consumer Protection Branch CPB Federal Programs FP Immigration OIL Torts TB

4.5.1. Follow-up Case-Related Mail

Documents relating to a case in CIMS are referred to as follow-up mail. Most follow-up mail is annotated with the Designated Reviewer and Designated Attorney names as indicated on the Case Detail or Case Management/Case Query list screens. In the upper right corner of the first page of the document or Blocking Tag, annotate the Designated Reviewer name and directly below it the Designated Attorney name is annotated in pencil. If the case is indicated as being handled by the “Agency,” or “U.S. Attorney,” or something other than a personal name, i.e. “Comm Atty, Not Listed”, it is treated the same way as an individual’s name would be. The DOJ Record Blocking stamp is applied in the bottom right-hand corner of the first page of the document or Blocking Tag. Using red ink the DJ Number is written directly above the stamp, and the Branch abbreviation is written directly below the stamp. The initials of the individual processing the mail are written beside the top right corner of the stamp. Below is an example of the DOJ Record Blocking stamp and the annotations.

Not all of the above instructions apply to follow-up mail for the Appellate Branch, CB-Office of Foreign Litigation, CB-National Courts Section, CB-Intellectual Property Section or the Office of Immigration Litigation, see specific Branch instructions below.

Different instructions are also required for follow-up mail that has multiple stages, relates to an unassigned, delegated or closed case or is identified as containing a potential update(s) to the database.

4.5.1.1. Multiple Stages

If a case has multiple stages listed in the stages tab on the Case Detail screen in CIMS and all of the stages are disposed, double click on the

Revised February 10, 2017 11 | P a g e stage with the most recent start date and use the current reviewer and attorney listed under the attorney tab as the mail recipients. This is true whether the case is open or closed. If a case has multiple stages and one or more of the stages are undisposed, check to see if the most recent undisposed stage is being handled by the Appellate Branch by double clicking the stage and examining the Branch field. If so, the case should be sent to the mail recipient for the Appellate Branch (see Appendix D) instead of the designated reviewer and attorney.

4.5.1.2. Unassigned Cases

Unassigned means that the appropriate Branch has not assigned the case.

For unassigned cases, the Designated Attorney/Reviewer fields will be blank.

In the upper right corner of the first page of the document or Blocking Tag, annotate in pencil “Unassigned” followed by “Rec’d” and the received date listed in CIMS. In the bottom right-hand corner of the first page of the document or Blocking Tag, apply the DOJ Record Blocking stamp and annotate in red ink the DJ Number, Branch abbreviation and initials as described above.

4.5.1.3. Delegated Cases

Delegated cases are handled by the United States Attorney’s office. When a case is delegated, the disposition field will show that the case was “delegated to US Attorney”.

In the upper right corner of the first page of the document or Blocking Tag, annotate in pencil the Designated Reviewer name and directly below it the Designated Attorney name. Then directly below the Designated Attorney name write “Dele” followed by the delegation date. The delegation date is the date found in CIMS in the Disposition Date field when the Disposition field appears as “Delegated to US Attorney”. In the bottom right-hand corner of the first page of the document or Blocking Tag, apply the DOJ Record Blocking stamp and annotate in red ink the DJ Number, Branch abbreviation and initials as described above.

4.5.1.4. Closed Cases

The Status field on 6Tthe Case Detail screen will indicate if a case is closed. 6T For correspondence related to a closed case, other than delegated or transferred cases, in the upper right corner of the first page of the document or Blocking Tag, annotate in pencil the Designated Reviewer name, directly below it the Designated Attorney name. Then directly below that write “Closed” followed by the close date. The closed date is

Revised February 10, 2017 12 | P a g e listed in the Closed Date field on the Case Detail screen in CIMS. In the bottom right-hand corner of the first page of the document or Blocking Tag, apply the DOJ Record Blocking stamp and annotate in red ink the DJ Number, Branch abbreviation and initials as described above.

4.5.1.5. Transferred Cases

If the case is indicated as closed and the disposition detail shows that the case was “transferred to” followed by the name of another DOJ Division, the document is given to a supervisor.

4.5.1.6. Appellate Staff

No attorney or reviewer information is annotated. In the bottom right-hand corner of the first page of the document or Blocking Tag, apply the DOJ Record Blocking stamp and annotate in red ink the DJ Number, Branch abbreviation and initials as described above.

4.5.1.7. National Courts Section, Commercial Branch

Tag, the Designated Reviewer name then room number and directly below it the Designated Attorney name then room number are annotated in pencil. In the bottom right-hand corner of the first page of the document or Blocking Tag, apply the DOJ Record Blocking stamp and annotate in red ink the DJ Number, Branch abbreviation and initials as described above.

4.5.1.8. Intellectual Property, Commercial Branch

Annotations are only made on Blocking Tags. In the upper right corner of the Blocking Tag, the Designated Reviewer name and directly below it the Designated Attorney name are annotated in pencil. In the bottom right-hand corner of the Blocking Tag, apply the DOJ Record Blocking stamp and annotate in red ink the DJ Number, Branch abbreviation and initials as described above.

4.5.1.9. Office of Immigration Litigation

Tag, the Designated Reviewer name and directly below it the Designated Attorney name are annotated in pencil. To the left of the Designated Reviewer name annotate in pencil the appropriate mail recipient’s initials (see Appendix D). In the bottom right-hand corner of the first page of the document or Blocking Tag, apply the DOJ Record Blocking stamp and

Revised February 10, 2017 13 | P a g e annotate in red ink the DJ Number, Branch abbreviation and initials as described above.

4.5.1.10 Potential Update(s) to Database

The DJ Number is written on a Potential Update(s) Form for mail that contains information that was not available or not entered at the time a case was created. Refer to Appendix M for a copy of the form.

4.5.2. Unopened Envelopes

Circle the address information in red ink once it has been verified. Line through any incorrect address information and annotate the correct information next to it in red ink. When the address on an envelope does not provide a room number for an individual whose name is found in the Outlook Address Book, write the room number in red ink next to the address.

The above instructions do not apply to envelopes marked Classified, Secret or Top Secret Mail, DOJ Interoffice Messenger Envelopes, misdirected envelopes or mail returned undeliverable. No annotations are necessary for these envelopes.

4.5.3. Tripsheets

A Tripsheet is a Civil Division form attached to mail sent within the division requiring a signature upon receipt to ensure delivery. Appendix E is an example of a blank Tripsheet. The forms for each branch or section that require a Tripsheet can be found by clicking here. When applying a Tripsheet to an interoffice envelope, include the addressee’s pre-printed address label on the envelope before taping the Tripsheet on the envelope.

4.6. Mail ID Unit Production Reporting

The Mail ID & Routing Module of the Case Information Support Services (CISS) Reporting Application is used to record all mail items that are received and processed.

Daily, weekly and monthly production reports are generated from the application. The application can be accessed at http://omi/CISS/Default.aspx. Refer to Appendix F for additional information on the module.

October 22, 2014 14 | P a g e

5. Receiving Incoming Mail

Upon receipt of mail, the Mail ID Unit will first count and record the number of mail pieces received. The Mail ID Unit then determines what type of mail has been delivered or picked up by sorting and separating it into different categories.

All mail couriers are to be directed to the Civil Division Mail Room, room 8056. They are not to be provided with the addressee’s room number, and/or location, and they are not permitted to go directly to the room of the addressee of the mail/package. They are to deliver their mail to the Civil Division Mail Room.

Frequently, the Branches receive and open mail that is then forwarded to the Mail ID Unit for action. These opened packages have “docketing” or “classification” (or a similar term) handwritten on the envelope. When received, this correspondence is processed like all other mail opened in the Mail ID Unit.

The Civil Division Mail Room hand-delivers mail from the Court of Federal Claims and the Court of Appeals for the Federal Circuit (CAFC) around 1:00 pm and 5:00 pm each day.

The Mail ID Unit receives mail from three different sources: mail received from the Civil Division Mail Room, referred to as Civil Division Mail Room Mail, mail picked up by the Mail ID Unit or delivered to the Mail ID Unit from OMI/CISS staff, referred to as OMI/CISS and electronic mail.

5.1. Civil Division Mail Room Mail

The Civil Division Mail Room delivers mail to the Mail ID Unit from the DOJ, Justice Management Division, Mail Referral Unit (MRU) twice a day. Throughout the day they may also deliver DOJ internal messenger mail.

5.2. OMI/CISS

The Mail ID Unit will retrieve the mail to be sent out for delivery from the Classification Unit throughout the day, see Appendix G for a list of the scheduled times. Mail may also be delivered to the Mail ID Unit by OMI or CISS staff for further processing.

5.3. Electronic Mail

The Mail ID Unit is responsible for printing, searching and routing e-mails as they come in throughout the day and are required to make sure all e-mails are processed within required deadlines. The Outlook mailbox folders are, “complaints, C-NatCourts”, “C- NatCourts Appeals” and “Courts, National (CIV)”.

Revised November 5, 2015 15 | P a g e

6. Processing Civil Division Mail Room Mail

6.1. Sorting Mail

The majority of the mail falls into one of the following categories, which are used for the initial sorting of all mail received:

To be forwarded directly to the addressee without being opened.

To be opened.

Mail that has already been opened prior to receipt.

a) Needs to be searched to determine where it is to be sent.

b) Goes directly to the Classification Unit.

Receives priority handling (checks and hand delivered court mail).

Mail routed in distribution envelopes between Civil Division offices.

6.1.1. Guidelines for Opening/Not Opening Mail

GENERAL GUIDELINES FOR OPENING/NOT OPENING MAIL

If Addressed to: *Individual Attorney Branch/Section without an Attorney’s Name Branch/Section Director/Assistant Director/Deputy Director by Name and/or Title

Open Don’t Open Open Don’t Open Open Don’t Open

* If addressed to an attorney by name and that attorney is no longer with the Division, forward the mail unopened to one of the Information Management Specialists by placing it in the OMI box in the mail room.

** Mail addressed to that identifies her as the is not opened. However, all other mail addressed to is opened. If the envelope is opened and the mail is for , bring the piece of mail directly to the Data Collection Manager (DCM).

Revised August 9, 2016 16 | P a g e

If Addressed to: Instruction

No Branch/Section or Civil Division only (Unless addressed to a P.O. Box. See Section 6.2.14)

Mail is opened and searched for a Designated Attorney. That attorney’s Branch/Section guidelines are then applied.

Senior Civil Division Official or Solicitor Gen.

Section 6.2.4 gives a list of Senior Civil Division officials whose mail is not opened.

Any Branch/Section or individual attorney and contains classified documents

Do not open any such packages. Hand deliver to the COR. If the COR is not available, hand deliver to one of the Management Information Specialists, . See Section 6.2.2.

6.2. Processing Unopened/Do Not Open Mail

Mail ID Unit personnel stamp the “RECEIVED” date and time on all envelopes or Blocking Tags for mail that is not to be opened. The building and room number for the addressee is verified, and the address is circled in red ink. If there is any incorrect address information, line through it and annotate the correct room number and building abbreviation. The envelope or Blocking Tag is then stamped “RELEASED”, and forwarded to the mail recipient. These date and time stamps are placed on the back of the envelope or Blocking Tag in such a manner that information on the envelope is not covered by the stamps.

DOJ interoffice messenger envelopes are not stamped. However, the address is verified and corrected if necessary.

6.2.1. Guidelines for Unopened/Do Not Open Mail

Do Not Open Mail Stamp Received

Verify Address/ Annotate

Stamp Released

Instructions

CLASSIFIED, SECRET or TOP SECRET Mail

X Blocking

Tag

X Blocking

Tag

Hand-deliver the mail to the COR immediately. Section 6.2.2

Mail marked “Do Not Open” or similar phrases

X X X Section 6.2.3

Senior Civil Division Officials

X X X Section 6.2.4

Branch Directors/Deputy Directors

X X X Section 6.2.5

Foreign Litigation Section, Commercial Branch

X X X Section 6.2.6

Consumer Protection Branch Mail

X X X Section 6.2.7

Revised November 5, 2015 17 | P a g e

Do Not Open Mail Stamp Received

Verify Address/ Annotate

Stamp Released

Instructions

Non-Case Related Mail X X X Section 6.2.8

DOJ Interoffice Messenger Envelope

Section 6.2.9

Civil Division Administrative/Support Staff/Contractors

X X X Section 0

Courier Mail (Does not include DOJ internal messenger mail)

Section 6.2.11

Addressed to a Name Located in the Outlook Address Book and Not a Civil Division Employee

X X

Section 6.2.12.1

Addressed to a Name Not Located in the Outlook Address Book and Not a Civil Division Employee

X X

Section 6.2.12.2

Not Addressed to Civil Division (Other DOJ Component)

X X Section 6.2.12.3

Post Office Undeliverable Mail X X

Section 1.1.1

Addressed to a P.O. Box with no specific addressee X X

Section 6.2.14

6.2.2. CLASSIFIED, SECRET or TOP SECRET Mail

Contractor personnel employed in the Mail ID Unit do not have the required Security Clearance to allow them access to classified, information. Therefore, any mail received that is marked “CLASSIFIED”, “SECRET” or “TOP SECRET” is not opened. These types of documents are normally sent in two envelopes, one placed inside the other. In some instances the outer envelope is not marked to indicate the contents are classified, secret or top secret, but the inner envelope is marked. DO NOT OPEN IT.

Classified documents should not be left unattended. The address does not need to be verified and circled in red ink. Attach a Blocking Tag with a “RECEIVED” and “RELEASED” date stamp and give the documents to the COR. If the COR is not available, give the classified documents to one of the Management Information Specialists, .

Revised November 5, 2015 18 | P a g e

6.2.3. Mail Marked “Do Not Open” or Similar Phrase

Mail received in an envelope or package which bears a statement such as: “DO

NOT OPEN,” “DO NOT OPEN IN MAIL ROOM,” “TO BE OPENED BY

ADDRESSEE ONLY” or other similar phrases, is not opened. Mail ID personnel stamp mail received, verify address, circle the address in red ink and stamp released.

Occasionally, mail is received and properly opened only to find an inner envelope marked with one of the above statements. In such instances, the outer envelope is resealed, the address verified, and the package forwarded without further processing.

6.2.4. Senior Civil Division Officials Mail

The Mail ID Unit does not open mail addressed to individuals in the following positions, even if the individual is no longer in that office, or mail addressed without a name to:

Assistant Attorney General Deputy Assistant Attorney General Senior Attorney Advisors to Assistant Attorney General Special Assistant to Assistant Attorney General Director, Office of Administration Director, Office of Management Information Director, Office of Planning and Budget, and Evaluation Director, Office of Management Programs Director, Office of Policy & Management Operation Director, Office of Litigation Support, or Any person in the Solicitor General’s Office

Click here to find the names of Civil Division personnel holding the positions listed above.

Mail addressed to these individuals is to be sent to them directly. Stamp mail received, verify address, circle the address in red ink and stamp released.

Mail addressed to these positions without a name is forwarded to one of the Management Information Specialists by placing it in the OMI box in the mail room.

6.2.5. Branch Directors/Deputy Directors Mail

Mail ID Unit does not open mail addressed to the following Branch Directors/Deputy Directors even if the title appears without a name (click here for a list of current Directors/Deputy Directors):

Revised August 9, 2016 19 | P a g e

Federal Programs Torts (Aviation and Admiralty) Torts (Constitutional and Specialized) Torts (FTCA) Torts (Environmental) Commercial (Intellectual Property) Commercial (Foreign Litigation) Commercial (Corporate/Financial Litigation) Immigration (Appellate) Immigration (District Court) Appellate Consumer Protection Branch

Mail addressed to these individuals is to be sent to them directly. Stamp mail received, verify address, circle the address in red ink and stamp released.

6.2.6. Mail Addressed to the Office of Foreign Litigation or an Attorney within the office

The Mail ID Unit does not open mail addressed to the office or individuals in the Office of Foreign Litigation. Stamp mail received, verify address, circle the address in red ink and stamp released. The mail is then forwarded to the mail recipient (see Appendix D).

6.2.7. Mail Addressed to the Consumer Protection Branch or Attorneys within the

Branch

The Mail ID Unit does not open mail addressed to the office or individuals in the Consumer Protection Branch. Stamp mail received, verify address, circle the address in red ink and stamp released. The mail is then forwarded to the mail recipient (see Appendix D).

6.2.8. Non-Case Related Mail

The Mail ID Unit does not open personal, advertisements, periodicals, or other non-case related mail. Stamp mail received, verify address, circle the address in red ink and stamp released. The mail is then forwarded to the individual.

6.2.9. DOJ Interoffice Messenger Envelope

The Mail ID Unit receives mail in distribution envelopes from Civil Division Branches and other DOJ Divisions addressed to a person, an office or to staff members of the Civil Division. Mail ID personnel forwards the envelope unstamped to the addressee unopened. Do not circle the address in red ink.

Revised November 5, 2015 20 | P a g e

6.2.10. Administrative/Support Staff/Contractor Mail

Mail addressed to administrative, support staff or contractor personnel within the Civil Division is routed directly to the addressee without being opened, after the room number and building have been verified. Stamp mail received, verify address, circle the address in red ink and stamp released.

6.2.11. Courier Mail

Courier Mail is mail delivered by a courier from DHL, Federal Express, UPS, any privately owned courier service or the USPS. It does not include DOJ internal messenger mail. The mail staff does not sign for or deliver Courier Mail.

6.2.12. Misdirected

All misdirected envelopes should be stamped received/released. Do no circle the address in red ink.

6.2.12.1. Mail Addressed to a Name Located in the Outlook Address Book and Not a Civil Division Employee

If the mail is received from the Civil Division Mail Room it is given to the

DCM.

All other mail is forwarded unopened to the addressee.

6.2.12.2. Mail Addressed to a Name Not Located in the Outlook Address Book and Not a Civil Division Employee

All mail is forwarded to one of the Management Information Specialists by placing it in the OMI box in the mail room.

6.2.12.3. Mail Not Addressed to Civil Division (Other DOJ Component)

Mail that is sent to the Civil Division that belongs to another Division within the Department of Justice is forwarded to the DCM.

6.2.13. Mail Returned Undeliverable

Revised November 5, 2015 21 | P a g e

Mail returned from the Post Office that is marked as undeliverable is stamped received/released and is forwarded to one of the Management Information Specialists by placing it in the OMI box in the mail room.

6.2.14. Addressed to a P.O. Box with No Specific Addressee

If an envelope is addressed to a P.O. Box and has no personal name, branch or section included in the address, it is stamped received/released and forwarded to one of the Management Information Specialists by placing it in the OMI box in the mail room. All other mail addressed to a P.O. Box is handled according to the procedures in this manual.

6.3. Processing Open/To Be Opened Mail

Open or to be opened mail is processed according to the procedures outlined below.

Once opened, all mail is stamped received, with the exception of some Social Security Administration (SSA)/Health and Human Services (HHS) mail. Procedures for processing SSA/HHS mail are located in Section 6.3.2. Upon final processing before routing the mail it is stamped released. These date/time stamps are placed on the back of the first page of the document or Blocking Tag.

6.3.1. Certified/Registered/Service-by Hand Mail

Certified/Registered/Service by Hand (SPH) mail is received in boxes from the Justice Civil Division Mail Room and has already been opened. This mail is typically addressed to the Attorney General (AG) or the Department of Justice.

Certified/Registered/Service by Hand mail is stamped received and distributed to the Classification Unit for further processing, with the exception of Social Security Administration (SSA)/Health and Human Services (HHS) mail.

Procedures for processing SSA/HHS mail are located in Section 6.3.2.

6.3.2. Social Security Administration (SSA)/Health and Human Services (HHS) Mail

Mail ID Unit receives Certified/Registered and other forms of mail pertaining to SSA/HHS matters. SSA/HHS mail will most likely list the SSA and/or its Commissioner or the HHS and/or its Commissioner in the caption of the case.

If the case caption lists an individual versus the SSA or HHS and/or their respective commissioner, this mail is separated and given directly to the Supervisory Legal Data Technician (SLDT). These cases do not need to be stamped “RECEIVED” or “RELEASED”.

If the case caption has anything other than a person, i.e. hospitals, medical labs, insurance companies, businesses, etc., versus the SSA or HHS and/or their

Revised February 10, 2017 22 | P a g e respective commissioner, it is handled like all other Certified/Registered/Service by Hand Mail.

6.3.3. Bankruptcy

The volume of mail pertaining to bankruptcy matters is often large. For this reason, any mail involving United States Bankruptcy Court proceedings that has not been found in CIMS should be handled in one of two ways:

If the mail includes a complaint, summons, or proof of claim, it is routed to the Classification Unit.

If the mail does not include a complaint, summons or proof of claim, it is placed in a designated box in the Mail ID Unit for later routing to the mail recipient for bankruptcy mail (see Appendix D). Bankruptcy mail is sent to the mail recipient on the last day of the week via internal mail delivery.

6.3.4. Case-Related Mail

Case-related mail not identified in Sections 6.3.1 through 6.3.3 above is stamped received and searched in CIMS for a possible match (see Appendix B).

6.3.4.1. Case Not Identified

Cases not identified during the search procedures are forwarded to the Classification Unit for further processing.

6.3.4.2. Follow-up Mail

Appendix D lists recipients and destinations for the majority of follow-up mail. However, follow-up mail that meets the criteria below may require an update to the database and is sent with a Potential Update(s) Form to the Classification Unit for further review.

• Documents containing information that is not in the database that relate to the US Attorney General or the US Attorney served fields or the Civil Action Number or Docket Number fields.

• Notice of Appeal or appellate level documents for which a corresponding appellate stage is not in the database.

For information on procedures for annotating follow-up mail, refer to section 4.5.1 Follow-up Case-Related Mail and Appendix C.

6.3.5. Hand-delivered Mail from CFC/CAFC

Revised August 9, 2016 23 | P a g e

Twice each business day mail is received, via Civil Division mailroom, from the Court of Federal Claims (CFC) and the Court of Appeals for the Federal Circuit (CAFC). This mail is searched, annotated and sorted within one business hour of receipt. This mail must also be given priority over any other Mail ID tasks.

Delivery is scheduled for around 1:00 pm and 5:00 pm each day.

6.3.5.1. Mail for the National Courts Section, Commercial Branch

Place the mail in an envelope for routing and attach a Tripsheet (see Appendix E) addressed to the mail recipient (see Appendix D). The mail is then returned to the Civil Division Mail Room. Mail ID maintains a log book to document receipt of this mail. The log book is completed with the appropriate information and Mail ID and Civil Division Mail Room personnel initial the log to acknowledge receipt.

6.3.5.2. Mail for the Intellectual Property Section, Commercial Branch

Mail is placed in the box for the mail recipient for the Intellectual Property Section, Commercial Branch.

6.3.6. Checks

Mail ID personnel give priority handling and expeditious processing to all checks received.

When envelopes containing checks are opened, these checks receive…