Manual__2_Case_Classification_Unit_Procedures_Manual.pdf

CASE INFORMATION SUPPORT SERVICES

Civil Division, Office of Management Information

Case Classification Unit Procedures Manual

April 20, 2012 i Revised February 10, 2017

Case Classification Unit Procedures Manual Table of Contents

Section 1 About This Manual

1.1 Purpose

1.2 Revisions

1.3 Clarifications

Section 2 Background

2.1 The Civil Division of the Department of Justice

2.2 The Office of Management Information

2.3 CIMS: Case Information Management System

2.3.1 Tracking and Status Information

2.3.2 Time Reporting Module

2.3.3 Records Tracking Module

Section 3 Identifying and Classifying Documents

3.1 Verifying that a Document Should Be Classified

3.1.1 Analyzing Documents

3.1.2 Searching the CIMS Database

3.2 Document Sources

3.2.1 Processing Documents from Mail ID…

3.2.2 Processing Documents from Civil Division Branches

(Specials)

3.3 Misdirected Mail

3.4 Social Security Administration Cases

3.5 Section Removed

3.6 Non-Case Related Mail

3.7 Section Removed

ii Revised May 16, 2017

Table of Contents (continued)

3.8 Processing Follow-up Mail

3.9 Assigning a DJ Number

3.9.1 First Segment of a Typical DJ Number:

Classification Type

3.9.2 Second Segment of a Typical DJ Number:

Judicial District Numbers

3.9.3 Third Segment of a Typical DJ Number:

Sequential Number (Sub Number)

3.10 Assigning a General DJ Number

3.10.1 Commercial Litigation Branch General DJ Numbers

3.10.2 Section Removed

3.10.3 Processing Torts Administrative Claims Not Filed

Against DOJ

3.11 Stamping and Annotating New Cases

3.11.1 Blocking Tags for New Cases………

3.11.2 Stamps Applied to New Cases

3.11.2.1 Department of Justice Civil Division Record

Blocking Stamp………

3.11.2.2 “NEW” Stamp………

3.12 Assembling New Cases

3.13 Section Removed…

Section 4 Recording Case Information

4.1 Case Record………

4.2 Case Stage……………

4.3 Data Fields in CIMS

4.3.1 DJ Number…………

4.3.2 Caption…………………

4.3.3 Parties and Party Roles

4.3.4 Primary Agency and Secondary Agency

iii Revised February 10, 2017

4.3.5 Branch…………………

4.3.6 Section…………………

4.3.7 Government Role…

4.3.8 Judicial District……

4.3.9 Opposition and Government Relief Sought

and Dollar Amount

4.3.10 Docket Number

4.3.11 Filing Date………………

4.3.12 Court……………………

4.3.13 Handling……………………

4.3.14 Primary Case Type……

4.3.15 Current Attorney and Current Reviewer

4.3.16 Country…………………………

4.3.17 US Attorney Office (USAO) Number

4.3.18 US Attorney Served Date

4.3.19 US Attorney General (AG) Served Date

4.3.20 What Was AG Served

4.3.21 How Was AG Served

4.3.22 Mail Registered/Certified Number

4.3.23 Government Participation

4.3.24 Reason For Appeal……

4.3.25 Assignment………………

4.3.26 Other ID Number

4.3.27 Trial Information Tab

4.3.28 Start Date

4.4 Entering New Cases into the CIMS Database

4.4.1 Entry of Data Fields

4.4.2 Steps to Create a New CIMS Record

4.5 Updating Data in the CIMS Database

iv Revised September 25, 2017

Section 5 Classification Types Requiring Special Procedures

5.1 Classification Types

5.2 Special Procedures…………………

Section 6 Quality Control

6.1 Quality Control Reviews …………………

6.2 Quality Assurance Reviews

Section 7 Reporting OMI Application Problems

7.1 Application Problems

7.2 Notification Procedures

Appendices Appendix A Classification Letter of Instruction (LOI)

Appendix B Appendix Removed

Appendix C Tips for Conducting a Case Search and Identifying a Relevant Case

Appendix D Classification Type Guide

Appendix E Civil Division Point of Contact List

Appendix F Civil Division Tripsheet

Appendix G Classification Chart

Appendix H Standard Abbreviations List

Appendix I Organization Abbreviations List

Appendix J Appellate Case Assignment Sheet

Table of Contents v Revised February 10, 2017

Appendices (continued)

Appendix K Request for Determination Form

Appendix L Classification Type 22B Product Numbers

Appendix M Federal Agency List and Codes for “145” Series DJ Numbers

Appendix N Torts Case Data Sheet

Appendix O Case Classification Quality Control Review Form

Appendix P Case Classification Quality Assurance Review Form

Appendix Q Agency Codes for Torts Administrative Claims DJ Numbers

Appendix R Circuit Courts Breakdown by State

Appendix S Country Code List

Appendix T Procedures for Requesting DJ Numbers from the Criminal Division

Appendix U DJ 101 CCF-OMI Delegation and Closure Authorization Memo

Appendix V Substitute Case Closure Form

Appendix W Steps to Create a CIMS Record for a New Case

Record of Changes

Revision Number

Date Revised Page Number(s)

CA #1 6/20/12 Pgs. 69-70

CA #2 7/10/12 Pgs. 65-66, App D pgs. 13-14, 19-20 & 33-34

CA #3 8/2/12 Pgs.9-10 & 65-68

CA #4 8/2/12 Pgs. 65-68 (same as above)

CA #5 8/16/12 App D pgs.13-14

CA #6 8/17/12 Pgs. 33-40Co

CA #7 8/27/12 Pgs. 53-54 & 67-68

CA #8 10/2/12 Pgs. 21-22 & 73-74

CA #9 9/28/12 Pgs. 9-10

LOI #003 11/21/12 TOC, Pgs.45-48, 53-56, 67-68 & 71-74

LOI #006 1/10/13 Appendix H and I

LOI #007 1/10/13 Pgs. 47-48

LOI #008 1/10/13 Pgs. 49-50

LOI #012 8/16/13 Pgs. 47-48

LOI #014 4/1/13 Appendix E

LOI #015 4/1/13 Pgs. 45-46

LOI #016 4/1/13 Pgs. 9-10

LOI 2013-017-1 7/1/13 Pgs. 31-36

LOI 2013-019 05/08/13 Pgs. 19-20

LOI 2013-020

7/1/13 Updated 720/13

Pgs. 25-26 & 69-70

CLASS2013-001 1/13/14 Appendix E

CLASS2013-002 12/4/13 Pgs 45-46

CLASS2013-003 1/6/14 Appendix D

CLASS2014-001 2/3/14 Appendix I and M

CLASS2014-004 2/4/14 Pgs. 15-16

CLASS2014-003 2/7/14 Appendix D-(pgs. 23-24 & 33-34)

CLASS2014-005 4/18/14 Appendix D (pgs. 29-30)

CLASS2014-006 5/23/14 Pgs. 25-26, 43-44 & 67-68

CLASS2014-002 8/7/14 Pgs 41-44 & 69-70

CLASS2014-010 8/26/14 Pgs. 19-20

CLASS2014-011 8/11/14 App. I and M

CLASS2014-007 8/27/14 TOC pg. v, pgs. 15-16, 65-70, Appendix List & Appendix T

CLASS2014-008 9/11/14 Pgs. 15-16

CLASS2014-009 9/11/14 Pgs. 11-14 & 71-72

CLASS2014-012 12/9/14 Appendix E

CLASS2015-001 7/16/15 Page 65-66

CLASS2015-003 7/16/15 Page 67

CLASS2015-010 11/10/15 Page 74

CLASS2016-003 2/25/16 Page 66

CLASS2015-002 7/16/15 Appendix E

CLASS2015-006 9/4/15 Appendix E

CLASS2015-008 11/2/15 Appendix E

CLASS2015-012 1/2/16 Appendix E

CLASS2015-004 8/8/15 Appendix D, Pgs. 23, 26, 32, 37

CLASS2015-009 11/2/15 Pgs. 16 & 17

CLASS2015-011 1/15/16 Appendices I and M

CLASS2016-002 4/1/16 iv, 25-26, 49, 71, Appendices U and V

CLASS2016-004 4/1/16 35-36, 54, 69-70

CLASS2016-005 3/30/16 P 53

CLASS2016-008 4/28/16 P 67

CLASS2016-009 5/17/16 P 67

CLASS2016-006 4/18/16 iii, 55

CLASS2016-007 4/22/16 Last page of Appendix G

CLASS2016-010 7/1/16 Appendix E

CLASS2016-011 8/11/16 P 46

CLASS2016-012 8/22/16 Appendix E

CLASS2015-011

Revised 9/1/16 Appendix M

CLASS2016-007

Revised 9/1/16 Appendix G

CLASS2016-013 9/21/16 Page 15

CLASS2016-014 10/12/16 Pgs. 22, 49-50, 73-75, Appendix N

CLASS2016-015 10/19/16 Pgs. 26 & 69

CLASS2016-016 11/30/16 Pgs. 45 & 74

CLASS2016-017 12/19/16 First page Appendix E

CLASS2017-001 1/12/17 Appendix M

CLASS2017-002 1/12/17 Appendix M

CLASS2017-003 2/7/17 Appendix M

CLASS2017-004

2/10/17 i, iii & iv, 3-6, 8, 10, 14, 16, 31, 33-34, 38, 42-43, 48-51, 53-64, 67, 73-75, Appendix Listing, Appendix C, Appendix K, Appendix T, Appendix W

CLASS2017-005 3/8/17 Appendix M

CLASS2017-006 3/22/17 46 & 47

CLASS2017-007 3/23/17 Appendix S

CLASS2017-008 4/27/17 11, 15, 24-29, 71, 77-79

CLASS2017-009 5/1/17 65-66

CLASS2017-010 5/3/17 10-A

CLASS2017-011 5/10/17 69, Appendix E

CLASS2017-012 5/16/17 ii, 19-23

CLASS2017-013 5/16/17 18

CLASS2017-014 7/20/17 Appendix M pgs 3 and 7

CLASS2017-015 7/27/17 Appendix M p 6

CLASS2017-016 8/1/17 52

CLASS2017-017 8/2/17 41-45

CLASS2017-020 9/25/17 Appendices A, D, C, pgs 1 & 2

Revised September 25, 2017 1

SECTION 1

About This Manual

1.1 Purpose

This manual provides instructions for the Case Classification Unit (CU) of the Civil Division of the Department of Justice (DOJ). The CU is composed of contractor personnel and is responsible for classifying cases, recording case information and following all associated procedures and guidelines.

Government oversight of the CU 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 CU procedures. This manual covers the following areas as well as provides numerous appendices for reference and illustration.

Section 1 About This Manual

Section 2 Background

Section 3 Identifying and Classifying Documents

Section 4 Recording Case Information

Section 5 Classification Types Requiring Special Procedures

Section 6 Quality Control

Section 7 Reporting OMI Application Problems

The following icons are used throughout this manual to highlight information that will enhance the reader’s understanding of CU operations.

Information Reference

Exception Tip

Revised September 25, 2017 2

1.2 Revisions

Changes to this manual may only be accomplished by a COR-approved Classification Letter of Instruction (LOI). (Refer to Appendix A for a sample of a an LOI.) The Program Manager (PM) and the COR approve all Classification LOIs. Upon issuance of an LOI, 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 follows the table of contents of this manual. Subsequent issues of the Case Classification Procedures Manual will reflect the new policies and procedures that are issued by all Classification LOIs that are disseminated prior to the release of an updated manual.

1.3 Clarifications

Emails from the PM or the Data Collection Manager (DCM) are issued to clarify information in this manual and to remind personnel of required procedures.

Background

Revised February 10, 2017 3

SECTION 2

Background

2.1 The Civil Division of the Department of Justice

The 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 approximately 60,000 open cases pending at any time.

The 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.

To litigate this large caseload, the Civil Division employs nearly 1,046 attorneys. Approximately 146 paralegals and 80 legal assistants provide administration and legal support. The legal work of the Division is organized into six components listed below.

Commercial Litigation Branch (CB) Federal Programs Branch (FP) Torts Branch (TB) Consumer Protection Branch (CPB) Office of Immigration Litigation (OIL) Appellate Staff (APP)

2.2 The Office of Management Information

Within 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

Revised February 10, 2017 4 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.

2.3 CIMS: Case Information Management System

The 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:

Quantify the Division's workload

Evaluate the results of its litigation efforts

Note trends and developments in the issues represented in its workload

Measure resource uses and needs for litigation management and budgetary purposes

CIMS 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.

CIMS 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.

The information stored in CIMS falls into three major categories.

Case specific information, including assignment and status

The hours the Legal Staff spent on a particular activity on each case

Tracking of each case’s official hardcopy case records

Information 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 5

2.3.1 Tracking and Status Information

Records 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.

The case caption.

The unique case identification number called the Department of Justice Number (DJ

Number).

The court docket number.

The Branch, Reviewer and Attorney assigned to the case.

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

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

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

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

The case status (open or closed).

2.3.2 Time Reporting Module

The 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 CIMS Time Reporting User Guide on OMI’s website for additional information.

2.3.3 Records Tracking Module

The 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 three types of storage facilities within the Civil Division for case records: the Active Records Units (ARUs), the Records Management Unit (RMU) and the Federal Records Centers (FRC). 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.

Eventually case files are transferred to the Federal Records Centers located across the country where they are stored until they are scheduled for final disposition. The ARUs and the RMU use the Records Tracking module to track sections (folders) pertaining to individual cases.

Revised February 10, 2017 6

This Page is Intentionally Left Blank

Identifying and Classifying Documents

Revised February 10, 2017 7

SECTION 3

The CU is responsible for accurate and timely processing of litigative documents received by the Civil Division. Documents received by the CU are analyzed according to established criteria to determine if they involve a new case or are case related or if they belong to another Division. When the documents involve a new case, an initial case record is created. The duties of the CU personnel must be accomplished quickly and accurately so that the documents can be routed to the responsible Division office for appropriate action. Delay or inaccurate classification can result in monetary loss for the U.S.

Government. The CU includes the following personnel: the Data Collection Manager (DCM), the Supervisor, and the Classifiers.

3.1 Verifying that a Document Should Be Classified

Documents delivered to the CU are referred to as mail. Not all mail results in a new case being classified. Mail is carefully analyzed to determine the following:

1. Does the case already exist in the database?

2. Is the subject matter handled by the Civil Division?

3. Is the mail non-case related?

4. Is the mail not an adequate form of documentation to establish a new case?

3.1.1 Analyzing Documents

The CU analyzes documents to determine their subject matter. The subject matter of a case is used to determine whether the Civil Division should handle the case and the case classification type.

Classification types may relate to specific statutes and government programs, or they may cover a general subject matter. The CU looks for key words, statutes and other case identifying information in a document to determine the classification type. The prayer of a document, typically found at the end, will often contain information about the case subject matter, the arguments presented, and the relief sought. The Classification Type Guide in Appendix D contains a list of key words and statutes that are associated with particular classification types. This guide also notes the Civil Division Branch, or possibly other DOJ Division, that is responsible for specific classification types. The classification type is then used to create a DJ number, a unique identification number assigned by the CU to new cases.

Section 3.9 provides information on creating DJ numbers. The DJ Number identifies the case throughout its life.

Revised February 10, 2017 8

Not all documents received are classified as new cases. Some may pertain to an existing case. Some may relate to subject matters handled by other DOJ litigating components, such as the Environment and Natural Resources Division (ENRD), the Tax Division, the Civil Rights Division or the Criminal Division. Additionally, some documents may not be case related and only pertain to a general subject matter. Sections 3.3 through 3.6 below provide information on documents that are not considered a source for creating a new Civil Division case. If the subject matter is handled by the Civil Division and the case is not already in CIMS, a new case record is created.

3.1.2 Searching the CIMS Database

Pertinent information found on the document is used to search the CIMS database to determine if the case referred to in the document is already in the system. The database can be searched using multiple fields in CIMS. Refer to the Case Management User Guide on OMI’s website for procedures on how to search CIMS and Appendix C for tips on conducting a case search. If a search of the database successfully links a document to an existing case, the document is referred to as Follow-Up mail. Refer to Section 3.8 for step-by-step procedures on processing Follow-Up mail. If mail does not relate to an existing record in CIMS, the CU conducts further analysis of the document as described in the procedures to follow. It is important to remember that various attorneys and courts generate the same types of documents in a variety of formats.

If the CIMS database is unavailable, the CU searches an Adobe Acrobat pdf file that contains information on open and closed cases in the database during the last four years. The file name and location is T:\OMP-OMI\CISS\CIMS Backup Report\OMI_OpenClsdCasesLst4yrs.pdf. Additionally, a backup copy of the file is retained on the desktop of a PC in the Information Analysis and Reporting (IAR) Unit. If the CU is unable to access this report because the network is down, copies of this file are available in the COTR and PM’s office.

3.2 Document Sources

The majority of documents delivered to the CU are processed by the OMI Mail Identification Unit (Mail ID) before being given to the CU. Some documents, however, are sent directly to the CU from Civil Division Branches; these documents are referred to as “Specials”. Additionally, other divisions within DOJ may receive mail that pertains to an area of litigation handled by the Civil Division and will forward these documents to the CU.

Revised April 1, 2013 9

3.2.1 Processing Documents from Mail ID

The Mail Identification and Routing Unit is responsible for the accurate and prompt identification and routing of mail received by the Civil Division. The Mail Identification Unit receives mail concerning Civil Division matters several times daily. Mail is sent directly or opened to either the Classification Unit or the appropriate Civil Division Branch. Mail to be processed by the CU is placed in a bin stored in the Mail ID Unit, room 8035 L Street.

The Supervisor retrieves documents from Mail ID several times daily. The steps below outline the procedures for handling documents from Mail ID.

Step 1 The Supervisor retrieves the CU mail bin stored in the Mail ID Unit.

Step 2 The Supervisor reviews the mail to identify the following:

2A. Documents requiring urgent handling Documents stating, “Notice of a Sheriff's Sale” or "Eviction Notice" should be handled immediately so that the Commercial Branch receives the case in time to act before the date of the sale or eviction. When classifiers come across a “Notice of a Sheriff's Sale” or "Eviction Notice", they should prepare a Request for Determination Form (See Step 5 below and Appendix K), attach the form to the document and then give it to the Supervisor immediately. The Supervisor will place the document in an interoffice envelope, addressed to the point of contact for the Corporate/Financial Section of the Commercial Branch listed in Appendix E, and deliver it to the Civil Division Mail Room for delivery.

2B. Duplicate copies of documents Supervisor uses clips or rubber bands to group duplicate copies of documents so that they are processed as one document.

2C. Disability benefits complaints from individuals against the Social Security Administration (SSA)

The Supervisor discards these documents.

Refer to Section 3.4 for additional information on SSA cases.

2D. Misdirected Mail The Supervisor forwards Misdirected Mail to the point of contact for

Misdirected Mail listed in Appendix E.

The Supervisor forwards Misdirected Accountable Mail to the MRU point of contact listed in Appendix E using a Tripsheet (Appendix F).

Revised February 10, 2017 10

Refer to Section 3.3 for additional information on Misdirected Mail.

2E. Documents to be reviewed by Classifiers The Supervisor moves on to Step 3 below.

Step 3 The Supervisor places documents to be reviewed by Classifiers in the CU box labeled Today’s Documents that is stored in the Supervisor’s office. If documents received the previous day are still in the Today’s Documents box, the Supervisor transfers these documents to a box labeled Previous Day.

Step 4 Classifiers retrieve documents in specified increments from the CU boxes in the Supervisor’s office. Documents are retrieved from the Previous Day box until it is empty and then from the Today’s Documents box.

Step 5 Classifiers search the CIMS database to determine if the document pertains to an existing Civil Division case

Refer to Section 3.1.2 and Appendix C for instructions on searching the CIMS database.

For Mail that is linked to an existing Civil Division case, Classifiers process as Follow-Up Mail.

Refer to Section 3.8 for additional information on processing Follow-Up mail.

When mail relating to a subject handled by the Civil Division cannot readily be associated with a case record already existing in the CIMS database and it is unclear if the documentation provided is sufficient to create a new case, classifiers prepare a Request for Determination form (Appendix K). The classifier fills out the top portion of the form indicating the branch and branch contact that would most likely handle the case (see Appendix E for a list of branch contacts). When finished, the classifier initials the back of the form, attaches the form to the piece of mail and then places it in the Determination Forms box in room 8010, L Street. The form is then reviewed for accuracy. The person who reviews the form writes their initials on the front of the form in the lower right hand corner and then sends it to the appropriate branch contact listed in Appendix E.

For mail that is not associated with an existing case, Classifiers proceed to Step 6.

Step 6 Classifiers analyze the document to determine the subject matter as described in Section 3.1.1 and assign a DJ Number as described in Section 3.9 and Section 3.10.

Refer to the table below for instructions on processing specific types of documents that are not made NEW.

Document Description Processing Instructions Documents pertaining to subject matters handled by Commercial Fraud

Determination Form placed in designated drop box and sent to the Commercial Fraud contact in Appendix E

Documents pertaining to subject matters handled by Consumer Protection

Determination Form placed in designated drop box and sent to the Consumer Protection contact in Appendix E

Revised May 3, 2017 11 10-A

Document Description Processing Instructions Documents pertaining to subject matters handled by the Office of Immigration Litigation District Court that are not marked with a red dot on the back of the first page

Placed in designated drop box and sent to Office of Immigration Litigation District Court contact in Appendix E

Documents pertaining to subject matters handled by the Office of Immigration Litigation Appellate Court that are not marked with the name of an Office of Immigration Litigation staff member on the back of the last page of the document package

Placed in designated drop box and sent to Office of Immigration Litigation Appellate Court contact in Appendix E

Documents pertaining to subject matters handled by Commercial Foreign Litigation

Determination form placed in designated drop box and sent to Commercial Foreign Litigation contact in Appendix E

Documents filed in federal appellate court other than the Court of Appeals for the Federal Circuit

Determination form placed in designated drop box and sent to Appellate contact in Appendix E

Administrative Claims (Form 95s) that involve or appear to involve DOJ agencies

Placed in designated drop box and sent to Federal Tort Claims Act contact in Appendix E

“Notice of a Sheriff's Sale” or "Eviction Notice" Determination form placed in designated drop box and sent to Commercial Corporate Financial contact in Appendix E (refer to section 3.2.1 Step 2A for additional instructions)

“Notice of Initial Case Management Conference”

Placed in designated drop box and sent to Commercial Corporate Financial contact in Appendix E

Bankruptcy documents without a Proof of Claim

Placed in designated drop box and sent to Commercial Corporate Financial contact in Appendix E

Class Action Fairness Act of 2005 Post-it note with “CAFA” written on it applied to document, placed in designated drop box and sent to Commercial Fraud contact in Appendix E

Step 7 Classifiers establish the official hardcopy case record by attaching a Blocking Tag, applying stamps and annotating the document with a DJ Number and other required markings as described in Section 3.11.

Step 8 Classifiers establish the automated case record by extracting all relevant information from the document and entering data into the CIMS database.

Revised April 27, 2017 11

Step 9 Classifiers utilize the Print Case Card command on the left side navigation tree in CIMS to generate the pink NEW sheet, which provides case information and Records Unit information and instructions.

Step 10 Classifiers assemble case documents as described in Section 3.12.

Step 11 Classifiers place the assembled case documents in the appropriate new case drop box.

There are three new case drop boxes. One is for new Immigration cases that are in District Courts. Another is for new Immigration cases that are in Appellate Courts and the third is for all other new cases.

Step 12 The Supervisor conducts QC procedures as described in Section 6.1 and returns the case package to the appropriate new case drop box.

3.2.2 Processing Documents from Civil Division Branches (“Specials”) “Specials” are mail from the branches that is hand-delivered by Civil Division personnel or courier to the DCM. Specials are given priority handling over other documents since the branch is specifically requesting action on these documents. The steps below outline the procedures for handling Specials.

Step 1 DCM clocks in the Specials using the Received Date Stamp in Mail ID.

Step 2 DCM reviews documents for notes, special instructions, or errors that require attention.

Step 3 DCM places a small yellow post-it marked URGENT or PRIORITY on the document and hand delivers documents to the Classifiers.

Step 4 Classifiers finish classifying the case they are currently working on and immediately follow Steps 5 through 10 described above in Section 3.2.1.

Step 5 Classifiers place the assembled case documents in the Specials box in the DCM’s office.

Step 6 DCM retrieves the NEWs from the Specials box and conducts QC procedures as described in Section 6.1.

Step 7 DCM clocks out the NEWs using the Release Date Stamp in Mail ID.

Step 8 DCM prepares the assembled case documents for distribution to the Branches as follows:

8A. Federal Programs Specials

At 10:15 am and 3:15 pm, places clocked out Specials in an interoffice envelope.

Revised September 28, 2012 12

Prepares a Tripsheet (see Appendix F) addressed to the Federal Programs point of contact identified in Appendix E and delivers to the Civil Division Mail Room.

8B. Fraud Specials

Places clocked out Specials in an interoffice envelope labeled with the Fraud point of contact identified in Appendix E. The interoffice envelope is stored in a drop box labeled Fraud in Supervisor’s office.

Fraud Specials are picked up by a courier at 10:00 am and at 3:00 pm and delivered to Fraud.

8C. Office of Immigration Litigation (OIL) Specials

At 10:00 am and 3:15 pm, prepares a Tripsheet (see Appendix F) addressed to the appropriate OIL point of contact identified in Appendix E and delivers to the Civil Division Mail Room.

8D. Specials from All Other Civil Division Branches

Places clocked out Specials in an interoffice envelope labeled with Branch point of contact identified in Appendix E. The interoffice envelopes are stored in a filing rack in Supervisor’s office. At 10:15 am and 3:15 pm, the Supervisor seals the envelopes and delivers them to the Civil Division Mail Room. At the request of the Branch, some Specials are hand delivered.

3.3 Misdirected Mail

Mail delivered to the CU that pertains to a subject that is not handled by the Civil Division is referred to as Misdirected Mail. The CU does not classify Misdirected Mail. When a classifier determines that a piece of mail pertains to a subject not handled by the Civil Division, the piece of mail should be reviewed thoroughly for any indication of the specific division to which it belongs (i.e. name/address on envelope, “cc” section of letters, references in the body of the document, etc.). When an indication of a specific division/litigating component is found, the page with the reference should be marked with a tape flag or Post-It Note and the division/litigating component that the mail belongs to should be written on the tape flag or Post-It Note. The classifier then places a separate Post-It Note on the top of the first page of the documentation with “Not Civil” written on it in red ink. The Misdirected Mail is then placed in the “Misdirected” bins for each individual classifier in Room #8013 L Street.

The Supervisor or classifier assigned to process Misdirected Mail handles Misdirected Mail one of two ways:

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1.) Accountable Misdirected Mail

Mail sent by registered or certified mail or SPH (Service Processed by Hand) and mail received from the Mail Referral Unit (MRU) (i.e. contains a red handwritten number in the upper left hand corner and/or a MRU stamp on the back of the documentation), is referred to as Accountable Mail. The Supervisor or classifier assigned to process Misdirected Mail reviews all Misdirected Accountable Mail, removes the tape flag or Post-It Note with the division written on it, clocks out the mail using the Mail ID Release Date Stamp and sends it to the MRU point of contact (Appendix E), using a Tripsheet (Appendix F) no matter what division the mail belongs to or if the division cannot be determined. When the MRU sends over Accountable Mail, they include a “Mail Referral Sheet”. The “Mail Referral Sheet” that was sent over with the piece of Misdirected Accountable Mail, if available, should be included with the mail prior to sending it back to the MRU point of contact. To determine which sheet corresponds with a piece of Misdirected Accountable Mail, match the date on the sheet with the MRU date stamp or the DOJ Mailroom X-Rayed date stamp. The Supervisor or classifier assigned to process Misdirected Mail records the tracking numbers of all Misdirected Accountable Mail returned to the MRU in the Misdirected Accountable Mail Log along with the date the mail was sent out.

This ensures that a historical tracking record of the document is maintained by the Civil Division.

2.) Non-Accountable Misdirected Mail

For Misdirected Mail that is not Accountable Mail, the Supervisor or classifier assigned to process Misdirected Mail reviews the mail, removes the tape flag or Post-It Note with the division written on it, clocks out the mail using the Mail ID Release Date Stamp and forwards it to the appropriate point of contact for non-Accountable Misdirected Mail identified in Appendix E (Civil Division Point of Contact List). If the Misdirected Mail does not pertain to a subject handled by the Civil Division or another division listed in the Misdirected Mail section of the Point of Contact list (Appendix E), the mail should be given to the Management Information Specialist, Office of Management Information.

3.4 Social Security Administration Cases

The CU receives thousands of certified mail items containing complaints from individuals who are challenging the denial of disability benefits by the SSA. The CU does not classify these types of claims; instead the CU discards them because they are also served to and handled by the appropriate US Attorneys Office and the Social Security Administration. Typically, these documents contain references to the following:

Social Security beneficiary claims under Title II of the Social Security Act, 42 U.S.C., et seq. (§ 402 and 405 applies

Revised February 10, 2017 14

Disability claims under 42 U.S.C. 423, et seq.

Black Lung beneficiary claims under Title IV, Part B, 30 U.S.C. 921, et seq.

Supplemental Security Income (SSI) claims under 42 USC 1383 (a) (3)

3.5 Section Removed

3.6 Non-Case Related Mail

Some mail received by the CU is general in nature and is not filed in court. This type of mail is referred to as citizen’s mail because it usually involves letters from the general public expressing concern and dissatisfaction with the government or a government program. Non-case related mail is not an accepted form of documentation for establishing a new case. However, the Civil Division retains hard copies of these documents in their files except if the subject matter relates to a division other than the Civil Division. Send these documents to the point of contact for the appropriate division (see Appendix E). If the subject of non-case related mail can be associated with a topic that is handled by a Civil Division Branch, the CU assigns a General DJ Number for record keeping purposes only, but no record is created in CIMS. (Refer to Section 3.10 for General DJ Number procedures.) The General DJ Number allows the non-case related mail to be filed, tracked and archived with the rest of the Civil Division’s files. If the subject matter cannot be associated with a Branch, the CU does not assign a General DJ Number and forwards the mail to the point of contact in Appendix E for citizen’s mail.

3.7 Section Removed

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3.8 Processing Follow-Up Mail

Mail relating to an existing case is referred to as Follow-Up mail. When Classifiers search the database and are able to relate the document to an existing record in CIMS, the steps below are followed.

Step 1 Classifiers determine if a Blocking Tag is necessary. A Blocking Tag (Form OBD 171) is a separate sheet of paper used for identification and stamping purposes to avoid altering the appearance of a document (see Section 3.11.1 for an example). A Blocking Tag is required in the following instances:

When the document has a raised, embossed seal.

When the document is an “original” court document.

When it is apparent that the document to be stamped or annotated will have to be signed by someone.

When the stamps will cover portions of the document so it becomes illegible.

When the Federal Torts Claim Act (TFT) is the Branch section.

When a case is received that will be handled by Intellectual Property.

Step 2 Apply the DOJ Record Blocking stamp (see Section 3.11.2.1), using the current date, in the bottom right corner of the document or Blocking Tag. Write the DJ Number that the case relates to above the stamp and the Branch abbreviation (see Section 3.11.2.1 for approved Branch abbreviations) below the stamp. The initials of the person who identifies the Follow-Up mail are written once beside the top right corner of the stamp.

When a piece of Follow-Up mail relates to a case that has multiple stages, the document should be annotated with the abbreviation of the branch handling the most recent undisposed stage. If all stages are disposed, annotate the document with the abbreviation of the branch handling the most recently disposed stage.

Step 3 Classifiers review Follow-Up mail and make any available updates to the database’s existing case record. However, if the update relates to an appellate stage that is not in CIMS, the document is reviewed to determine if a stage should be added, and if the trial level stage of the case is assigned to CNC, CIT or CIF, Classifiers add an appellate stage. All other updates involving the addition of a stage are processed as a Determination Form for the branch contact for the Appellate staff.

Step 4 Classifiers place the annotated document in a drop box labeled “Follow-Up” for pickup by Mail ID. Mail ID ensures the follow-up mail gets to the appropriate recipient.

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The majority of documents identified as Follow-Up mail are received from sources other than Civil Division Branch personnel. However, periodically Branch personnel request a new DJ Number for an existing case that was previously assigned to one of the other Branches/Sections. When this occurs, Classifiers prepare a Determination Form (Appendix K) for the point of contact listed in Appendix E for the Branch/Section requesting the case be made new and write “This case is already in CIMS and assigned to (Branch/Section). See DJ #____”.

3.9 Assigning a DJ Number

Once it is determined that the document is a new Civil Division case, the CU assigns a unique identification number called a DJ Number. The DJ Number identifies the case through its life and allows the case-related hardcopy documents to be filed, tracked and archived together. A DJ Number can have many different formats. Generally, however, a DJ Number contains three segments:

1. Classification Type

2. Judicial District Number or other numbering specific to certain Classification Types

3. Sequential Number (referred to as a Sub Number)

If the district is unknown, the DJ Number consists of the Classification Type and Sub Number.

If a DJ number needs to be created for a pre-filing Court of Federal Claims (CFC) or Court of Appeals for the Federal Circuit (CAFC) matter, use 154-0-Sub Number. If a Court of International Trade (CIT) pre-filing matter needs a DJ Number, use 54-Sub Number. CIT pre-filing matter Sub Numbers are provided by the Criminal Division. Refer to Appendix T for instructions on obtaining Criminal Division Sub Numbers.

3.9.1 First Segment of a Typical DJ Number: Classification Type

The first segment of a DJ Number relates to the subject matter of a case. In general, it correlates to federal statutes and Government programs, although sometimes it simply represents a general subject area. For example, the first segment of a DJ number for a case that involves fraud against the Government would be a 46. It is important to look through cases thoroughly before assigning the first segment of a DJ number. Some cases may list numerous statutes and subject matters. It is the CU’s responsibility to determine the specific nature of the case, as well as, how the Government is involved in the case. For example, a case may involve the Federal Torts Claims Act but the Government’s involvement may relate to Medicare reimbursement. The first segment of the DJ number for this case would be a 137, not a 157. Certain case types can apply to multiple classification types depending on the nature of the case. For instance, the first segment of a DJ number for an employment discrimination case is determined by who the employee works for. If the case involves a federal employee, the first segment of the DJ number would be a 35. If the case involves a non federal employee but the employee works for a government agency (i.e. contractor), the first segment of the DJ

Revised April 4, 2016 17 number would be a 145. If the case involves a private sector employee who does not work for a government agency in some capacity, it is not assigned a DJ number. Instead, it is sent as misdirected mail to the Civil Rights Division of DOJ (See Section 3.3). The CU uses the references below to select Classification Types.

The Classification Chart (Appendix G) Lists numerically the Classification Types Lists alphabetically by state the Judicial District Numbers

Classification Type Guide (Appendix D) Lists alphabetically statutes, federal acts and subject matters and corresponding

Classification Types Lists corresponding Civil Division Branch and, if applicable, Branch section Lists subject matters handled by other DOJ Divisions

3.9.2 Second Segment of a Typical DJ Number: Judicial District Numbers

Usually, the second segment of a typical DJ Number relates to the judicial district where a case is filed.

The Classification Chart (Appendix G) described above also provides a list (alphabetical by state) of judicial districts and corresponding district numbers (such as 12C for California Central District). Some states contain more than one judicial district.

It is common for documents to cite a county within a state but not the judicial district for that particular county. The reference material listed below contains a list of counties in every judicial district in the United States. Once the state’s judicial district is determined, the Classification Chart (Appendix G) is referred to for determining the corresponding Judicial District Number.

Register of the U.S. Department of Justice and the Federal Courts, 56th Edition, 1992 Contains information on counties within judicial districts Each classifier retains a copy of this publication on his/her desk. An electronic version is also available on the T: at T:\OMP-OMI\CISS\Classification\Resources\Register of the DOJ and Fed Courts 1992 56th edition.pdf

Additionally, a document may only cite a city and state. The following website is used to determine the corresponding county.

Revised May 16, 2017 18 http://www.naco.org Once the county is determined, the Register of the U.S. Department of Justice and the Federal Courts, 56th Edition is referred to for determining the judicial district corresponding to the county. The Classification Chart (Appendix G) is then referred to for the corresponding District Number.

Refer to Sections 3.9, 3.10 and 5.2 for information on those Classification Types which do not use the Judicial District Number as the second segment of the DJ Number.

3.9.3 Third Segment of a Typical DJ Number: Sequential Number (Sub Number)

The third segment of a typical DJ Number is usually a sequential number (referred to as a “Sequential Sub Number” or simply “Sub Number”). Typically, Sub Numbers are assigned according to the combination of the first two segments of the DJ Number. Sub Numbers are generated by using the DJ Number Selection application.

Refer to Sections 3.9, 3.10 and 5.2 for information on those Classification Types which do not use Sub Numbers as the third part of the DJ Number.

3.10 Assigning a General DJ Number

Occasionally Civil Division Branches request General DJ Numbers be assigned for certain pieces of mail. General DJ Numbers are used for record keeping purposes only and no record is created in CIMS. These numbers allow documents to be filed, tracked and archived with the rest of the Civil Division’s files. Steps for processing General DJ Numbers are outlined below. See Sections 3.10.1 and

3.10.3 for exceptions to the below rules for creating General DJ Numbers.

Step 1 Classifiers review the document for data such as a caption that can be searched in CIMS to see if the document relates to an existing case. If a case is identified, the document is processed as Follow-Up mail as described in Section 3.8. If a case is not located, Classifiers proceed to step 2.

Step 2 Classifiers create a General DJ Number following the guidelines for DJ number creation with the exception that the sub number is replaced by a 0. Classification Type is determined by the subject matter of the writer’s grievance. Any district/state information found is then used to create the General DJ Number. For instance, a letter discussing a US owned vessel, making mention of the admiralty act in relation to an incident that occurred in Norfolk, Virginia, would be given a General DJ Number 61- 79-0. When the General DJ Number requires district/state information and the documents make no reference of a district or state, this information can be taken from

Revised May 16, 2017 19 the address of the sender. If the address of the sender cannot be determined, consult your supervisor.

NOTE: If unable to determine a Classification Type, use Classification Type 145 and follow procedures for constructing DJ Number 145 in Section 5.2 of the manual using 0 for the sub number as described above. If no agency is involved or an agency with an agency code “0” is involved (i.e.

Education, USCIS, etc…), the general number should appear as 145-0 without a sub number.

Step 3 Classifiers attach a Blocking Tag and apply the Department of Justice Blocking Stamp (see Section 3.11) and annotate it as follows:

Apply the Blocking Stamp in the lower right hand corner of the Blocking Tag Cross out the word Record in the blocking stamp Write the General DJ Number at the top of the stamp Write the Caption above the General DJ Number, if provided Write the abbreviation for the Branch at the bottom of the stamp. If the Branch requests the documents be sent to the Records Unit, write the Branch abbreviation followed by the word “Files” (i.e. CB Files).

An image of a Blocking Tag for a General DJ Number is below.

Step 4 For mail pertaining to subject matters handled by a specific Branch, the classifier places the document in an interoffice envelope addressed to the point of contact identified in Appendix E in the Supervisor’s office.

Step 5 The Supervisor Release Date Stamps all the documents and places the interoffice envelope in the outgoing box in Mail ID.

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NOTE: If the branch returns documentation that was given one of the numbers discussed in Section 3.10 requesting that it be made New, the original Blocking Tag should be left on the documentation affixing it to the top of the documentation and in red ink the classifier should put a line through the general number and above it write the new DJ Number. The Blocking Tag should be stamped New and above it write “Changed and Made New” along with the date and classifier’s initials.

3.10.1 Commercial Litigation Branch General DJ Numbers

When the subject of non-case related mail can be associated with a topic handled by the Commercial Branch assign General DJ Numbers using the following format:

Classification Type (e.g. 77,101,105, 130, etc.) – dist/state – 0 NOTE: If a district/state cannot be determined, consult your supervisor.

Occasionally, the Branch will return documents and request that the General DJ Number be created using the…