Manual__3_Database_Integrity_Program_Procedures_Manual.pdf

CASE MANAGEMENT SUPPORT SERVICES

Civil Division, Office of Management Information

Database Integrity Program Procedures Manual

January 22, 2013

Table of Contents i Revised February 10, 2017

Database Integrity Program Procedures Manual

Table of Contents Section 1 About This Manual

1.1 Purpose

1.2 Revisions

1.3 Clarifications

Section 2 Background

2.1 Civil Division of the Department of Justice

2.2 The Office of Management Information

2.3 Case Information Management System (CIMS)

2.3.1 Tracking and Status Information

2.3.2 Time Reporting Module

2.3.3 Records Tracking Module

Section 3 Program Administration

3.1 Primary Program Functions

3.1.1 Information Clearinghouse

3.1.2 Attorney Staff Liaison

3.1.3 Verification/Validation

3.1.4 Other Program Functions

3.2 Attorney Participation

3.3 Miscellaneous

3.3.1 Accounts Receivable

3.3.2 Labor Intensive Cases Reviews

3.3.3 Records Tracking Module

ii

3.3.4 Filing and Retention of Records

3.3.5 Training

3.3.6 DBI Unit Activity Reporting

Section 4 Events in the Case Life Cycle

4.1 Creating a New Case Record in CIMS

4.2 Forwarding the Case Material to the Legal Staff

4.3 Advancing from a Pre-File Stage to a Trial Stage

4.4 Multidistrict Litigation DJ Numbers

4.5 Handling Administrative Claims

4.5.1 Identifying Administrative Claims

4.6 Establishing an Appellate Record

4.6.1 Cases Remanded Back to Trial

4.7 Recording Trial/Appellate Dispositions

4.8 Recording a Court-Ordered Change of Venue

4.9 Consolidating a Case

4.10 Recording Monetary Judgments

4.11 Disposing of MSPB Appeals

4.12 Closing a Case

4.12.1 Case Disposition Forms

4.12.2 Civil Fraud Disposition Form

4.12.3 Civil Fraud Disposition Forms for Delegated and Monitored Cases 20

4.12.4 Accounts Receivable

4.12.5 Disposition/Closure Forms Processing

4.12.6 Deviations from Standard Procedures

4.13 Filing and Retention

Section 5 Comprehensive Attorney Case List

5.1 Generating the Comprehensive Attorney Case List (CACL)

5.2 Review and Analysis of the CACL

5.2.1 CACL Data Fields

5.2.2 Data Fields Dependent on Case Status

iii

5.2.3 Data Field Relationships for Evaluation

5.3 Database Updates/Changes Resulting from CACL Review

5.4 Filing and Retention

Section 6 Attorney Interviews

6.1 New Attorney Orientation

6.2 Scheduled Interviews

6.3 Procedures for Interviewing Fraud Attorneys

6.3.1 Procedures for Inquiring About Open Delegated Fraud Cases

6.3.2 Procedures for Email and Phone Interviews

6.4 Departing Attorney Staff Exit Interviews ...................................... 36-A

Section 7 Reports Generation and Information Retrieval

7.1 Resources

7.2 Exception Reports

7.3 Ad-hoc Queries and Reports

Section 8 Maintaining Production and Quality Control

8.1 Methods and Procedures of Data Quality Control

8.2 Tracking CA Performance

Appendices Appendix A DBI Branch Contacts

Appendix B Comprehensive Attorney Case List – Appellate Attorney/Trial Attorney

Appendix C OMI Tasks Tracker Sample Pages

Appendix D Sample Disposition Forms

Appendix E Disposition/Closure Form Process Diagram iv Revised September 15, 2017

Appendix F National Courts Memo for Closing Cases with Costs that are Not Collectible

Appendix G Standard Form Request for Attorney/Reviewer Signature for Disposed/Closed Cases

Appendix H Data Dictionary of Database Relevant Terms

Appendix I Classification Chart

Appendix J Standard Abbreviations

Appendix K Organization Abbreviations List

Appendix L Appendix Removed

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

Appendix N Appendix Removed

Appendix O Appendix Removed

Appendix P Appendix Removed

Appendix Q DBI Exception Reports and Procedures

Appendix R Top 5 Labor Intensive Cases by Branch

Appendix S Notes

Appendix T Letter of Instruction (LOI)

Appendix U Database Integrity Quality Assurance Review

Record of Changes

Database Integrity Program Procedures Manual Record of Page Changes

Revision Number

Date Revised Page Number(s) Inserted/Removed by

LOI 2013-015 4/1/13 Pg. 28

LOI 2013-018 05/08/13 Pg. 22

DBI2014-001 2/3/14 Appendix K & M

DBI2014-002 8/26/14 App. K & M

DBI2014-003 12/10/14 Appendix A

DBI2015-001 7/16/15 Appendix A

DBI2015-002 7/16/15 Appendix O

DBI2015-003 7/17/15 Page 22

DBI2015-004 9/4/15 Appendix A

CLASS2015-011 12/11/15 App. K & M

DBI2016-001 1/15/16 Appendix A

DBI2016-002 3/31/16 Pages 5, 33, Appendices N and O

DBI2016-003 4/18/16 Page 22

DBI2016-004 4/22/16 Appendix I

DBI2016-005 6/13/16 Page 34

DBI2016-006 8/30/16 Pages 10 and 23

CLASS2015-011

Revised 9/1/16 Appendices K and M

DBI2016-004

Revised 9/1/16 Appendix I

Revision Number

Date Revised Page Number(s) Inserted/Removed by

DBI2016-007 9/27/16 Appendix D, last two pages

DBI2016-008 12/8/16 iv, 33 and Appendices N & O removed

DBI2016-009 12/19/16 Appendix A

DBI2017-001 1/12/17 Appendix M

DBI2017-002 1/12/17 Appendix M

DBI2017-003 2/7/17 Appendix M

DBI2017-004 2/10/17 TBD

DBI2017-005 2/14/17 Pages ii and 20

DBI2017-006 3/8/17 Appendix M

DBI2017-007 5/10/17 Appendix D

DBI2017-008 7/19/17 Appendix M

DBI2017-009 7/21/17 Appendix M

DBI2017-010 9/15/17 Appendices L and P

About This Manual

Revised February 10, 2017

Section 1 About This Manual

1.1 Purpose

This manual provides instructions for the Database Integrity (DBI) Program of the Civil Division of the Department of Justice (DOJ). DBI is composed of contractor personnel and is responsible for reviewing the data in the Civil Division’s Case Information Management System (CIMS) system for accuracy and completeness. Government oversight of the DBI Program 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 DBI 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 Program Administration

Section 4 Events in the Case Life Cycle

Section 5 Comprehensive Attorney Case List

Section 6 Attorney Interviews

Section 7 Reports Generation and Information Retrieval

Section 8 Maintaining Production and Quality Control

1.2 Revisions

Changes to this manual may only be accomplished by a COR-approved Letter of Instruction (LOI).

(Refer to Appendix T for a sample of an LOI.) The PM and COR approve all 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 Database Integrity Program Procedures Manual will reflect the new policies and procedures that are issued by all LOIs that are disseminated prior to the release of an updated manual.

About This Manual

1.3 Clarifications

Emails from the PM or DAM are issued to clarify information in this manual and to remind personnel of required procedures.

Background

Revised February 10, 2017

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 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

2.3 Case Information Management System (CIMS)

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 the 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.

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.

Revised February 10, 2017

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 to the Supreme Court 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 41TCIMS Time Reporting User Guide41T 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.

Program Administration

Revised February 10, 2017

Section 3 Program Administration

3.1 Primary Program Functions

In general the DBI program helps to provide for daily, detailed administrative support for Civil Division information systems. The DBI program exists as a comprehensive updating effort to ensure that important litigative events are reflected in CIMS in a timely and accurate manner. The DBI Unit is staffed by knowledgeable Case Analysts (CAs) who are familiar with the detailed aspects of CIMS, the general principles of the legal process, the judicial system, and the nature of cases handled by the various litigating branches.

3.1.1 Information Clearinghouse

The DBI Unit is designated as the primary collection point of most case disposition forms generated in the Civil Division. The Unit is responsible for assuring that the forms received are correct and complete, the information has been properly recorded in CIMS, and the forms are properly routed to be included in the official Civil Division case files. On a daily basis, CAs process case information and case disposition forms received either through interoffice mail or collected by the Unit after notification by an attorney or support staff member. The Unit is also a resource available to all Civil Division staff that may require assistance with CIMS, case tracking and disposition procedures, and/or information related to attorney time reporting.

For attorneys and branches participating in the DBI Program, disposition forms (with a few exceptions – see Section 4.12.5) are routed through the DBI Unit for verification and validation. If the case can be closed, then the form is sent to the Division’s Case Closure Unit where it is routed to the appropriate Active Records Unit (ARU). Many of these functions are coordinated with various branch contacts, case control officers, or administrative assistants with whom the DBI Unit maintains close contact. A current list of branch administrative contacts is provided in Appendix A.

3.1.2 Attorney Staff Liaison

The CAs are assigned a group of attorneys to whom they provide advice and assistance in matters related to CIMS, case tracking, time reporting, and information related to the advancement and disposition of cases. This differs from the ongoing activities associated with the clearinghouse functions in that the CAs are responsible for conducting regular reviews of the case load for each of their attorneys. The focus of this effort is each attorney's individual Comprehensive Attorney Case Listing (CACL), which is analyzed and then used as an information source for the attorney’s personal interview with the CA. An example of the CACL can be seen in Appendix B.

Revised February 10, 2017

The CACL is the primary information source about individual, pending attorney caseloads. The major steps associated with this process are as follows:

Scheduling the attorney interview(s)

Generating the CACL(s)

Analyzing the CACL and associated records

Compiling items for discussion with attorneys

Conducting the interview and collecting information

Annotating the CACL as required

Completing disposition forms, obtaining attorney/reviewer signatures and award amounts as required and updating CIMS

Placing completed disposition forms in the drop box for review by the Miscellaneous Support Services staff

Upon receipt of disposition forms from the Miscellaneous Support Services staff, assembling copies of the forms and any PACER or CourtLink printouts and filing for retention

Routing disposition forms and returning files to the appropriate Records Units as required

Completing miscellaneous administrative tasks associated with OMI CACL files

This ongoing review process by the DBI Unit is the primary means through which OMI strives to find and maintain the most current and accurate case information possible. This includes ensuring that the attorney community is using the attorney time reporting system and recording time accurately and in a fashion consistent with the status of any given case.

The Commercial Litigation Branch, Torts Branch, Federal Programs Branch, and Appellate Staff attorneys are subject to a regular CACL review cycle every 90-120 days on average, with biannual reviews for the Office of Immigration Litigation.

While the attorney community has become accustomed to the review cycle in efforts to update its case information, many individuals do utilize the DBI staff on a regular basis as a customer service function in the context of the information clearinghouse described in the previous section.

Currently, the Consumer Protection Branch, the New York Field Office of the Office of Commercial Litigation, the San Francisco Field Office of the Torts Branch, the Childhood Vaccine Act (CVA) and the Radiation Exposure Compensation Act (RECA) within the Torts branch are not participating in the DBI program.

3.1.3 Verification/Validation

A primary goal of the DBI program is constant monitoring of the information in the CIMS database, and a vigilant effort to attain the highest possible accuracy and timeliness of the data.

Based upon disseminated Civil Division Weekly Reports forwarded to CAs by OMI, fraud press

Revised February 10, 2017 releases forwarded to OMI by the Office of Planning, Budget, and Evaluation (Budget Office), the normal progression of cases through the Division and the legal process, and contact with Division staff and attorneys, the DBI Unit is continually collecting and processing case information and checking and rechecking both computer and paper records to assure accuracy and consistency.

The DBI Unit may be utilized in various special projects related to CIMS and the use and presentation of this information by attorneys and/or administrative offices in the Civil Division.

Two examples are the verification and coordination of accounts receivable information and another may involve extensive research to locate pertinent data from the official case files to address a Division request. The activities and tasks associated with the performance of these functions are defined by the Contracting Officer’s Representative (COR) and managed by the contractor's Data Analysis Manager (DAM).

In addition to these tasks, the DAM utilizes regularly generated standard "Exception Reports" to complement these efforts. These reports identify database anomalies and/or inconsistencies. The exception reports are generated monthly, quarterly, and on a biannual basis; or they may be generated as required by the COR or DAM. The resolution of problems revealed by this process requires the participation of litigation staff personnel involved with a specific case, in addition to research conducted by the DBI staff to resolve apparent data problems or determine an explanation for an anomaly. It is the goal of OMI and the DBI Unit to be extremely meticulous throughout the verification/validation process, since the very nature of the legal work of the Division means that many cases are unique and therefore do not always lend themselves to a defined, systematic method of tracking them.

3.1.4 Other Program Functions

The remainder of this document is concerned with the functional and/or procedural instructions associated with operation of the DBI program on a daily and monthly basis. A brief explanation of these functional areas is provided below.

Miscellaneous Administrative Tasks - These are associated with the arrival of new Division attorneys and distribution of required materials, and problem resolution and coordination with the COR. References to these tasks and activities are found throughout this document.

Data Entry and Maintenance - CIMS is a mission critical function of Civil Division operations.

This system is a source of case-specific information that is available to all Civil Division personnel.

The initial data entry and data integrity checks are, for the most part, performed by contractor staff while other system/technical or policy/procedural functions or issues are handled directly by OMI staff.

Status Reporting - A variety of methods may be employed to ensure proper communication between all parties involved in the administration of the program.

Revised February 10, 2017

3.2 Attorney Participation

As of the date of publication of this document, attorneys from all Civil Division components—with the exception of the Consumer Protection Branch, the San Francisco Field Office for Torts Aviation/Admiralty section, the Childhood Vaccine Act section and the Radiation Exposure Compensation Act section within the Torts Branch, and the New York Field Office of the Commercial Litigation Branch—are participating in the DBI program. The CAs are the primary point of contact for many CIMS-related matters, including information collection, disposition form routing and processing, data entry and information inquiry, and any additional help that might be requested in expediting administrative tasks related to keeping CIMS current and accurate.

3.3 Miscellaneous

Other administrative and functional aspects of the DBI Program are listed below. The quality assurance nature of the program means that CAs need to be constantly aware of shifting priorities and changing needs within the Civil Division. This section is intended to be supplemented or revised as required depending upon the changing nature of the subjects discussed. The detailed tasks and resource requirements leading to the accomplishment of the primary functions of the program are discussed in the remainder of this document. Most of the tasks are interrelated among the primary functions so there is no strict division in terms of their presentation.

3.3.1 Accounts Receivable

As a result of its litigative efforts, the Civil Division often wins monetary awards from judgments and settlements in specific cases. These awards may be in the form of attorneys’ fees and/or court costs; they may amount to substantial sums involving the restructuring of large loans; and/or they can be the result of large scale, fraudulent business practices. When this occurs, the Division’s Budget Office establishes an account for each case in which a monetary award is obtained, including property transfers and offsets. The DJ number assigned to the case that produced the award is also assigned to the account. The accounts receivable database is used by the Budget Office as the primary information source to perform debt collection activities and to track the progress of payments by the debtors.

The establishment of accounts receivable and the debt collection process are generally the final stages of involvement with cases by Division attorneys. The case records generally remain open on CIMS until all money due to the Division is received, transferred to the agency or U.S. Attorney, or a determination is made that the debt is uncollectible.

The responsibility for maintaining the accounts receivable database rests with the Division’s Budget Office. However, the Budget Office works closely with the DBI Unit to process case dispositions.

Therefore, each of the CAs must assure that disposition forms properly reflect awards to the government. Additionally, they must coordinate all actions involving these awards with the Budget Office.

Revised February 10, 2017

3.3.2 Labor Intensive Cases Reviews

For the purposes of compiling the Civil Division Monthly Workload Statistics Report, OMI produces a Report of Labor Intensive cases for the various branches. The DBI Unit’s role in this report is small, but significant. The report is generated by the Information, Analysis, and Reporting (IAR) Unit each month. For each case that appears on the report, the DBI Unit is responsible for contacting the assigned attorney to: 1) confirm the caption is correct; 2) confirm the case type is correct; and 3) obtain a short description of the case—which will be included in the Monthly Workload Statistics Report. The IAR Unit is responsible for distributing the list of labor intensive cases to the CAs. A copy of the Labor Intensive Cases Report appears in Appendix R of this manual. Once a case has appeared on the Monthly Workload Statistics Report, the IAR Unit will use the previous information for the case, which eliminates the need to contact the attorney should the case need to be included on future reports.

3.3.3 Records Tracking Module

Case Analysts in the DBI Unit have an occasional need to request case file materials from the ARU, RMU and the Federal Records Center (FRC). The Civil Division’s Records Tracking Module is used to track the contents and location of case files and to place orders for delivery of files when required. CAs must be granted the appropriate user permissions by OMI in order to access the system. Requested case files are generally delivered within 24 hours of the request unless they are stored in the FRC. CAs will be required to sign a receipt of records delivered to the DBI Unit and are personally responsible for their security and return to the Records Unit from which they were requested. The ability to order files from the various Records Units is a privilege and not a right, so all case files must be returned to the Records Units in a timely manner. CAs who fail to adhere to this policy may find their privileges revoked.

3.3.4 Filing and Retention of Records

The DBI Unit is responsible for maintaining a set of paper files containing a folder for each attorney who participates in the DBI program. The folder should contain copies of the most recently reviewed CACLs and copies of disposition forms obtained as a result of the cyclical review. In addition, the folder should contain any other forms, reports, notes, or materials that may be required to provide an accurate picture of the status of all pending and disposed cases at the time of the last cyclical review.

3.3.5 Training

The case tracking and quality assurance functions of the DBI Unit involve a continuous learning process of the peculiarities and complexities of a wide range of legal issues and case tracking challenges. This document is intended to be a guide to the detailed aspects of case tracking in the Civil Division, but it is not all inclusive of the types of situations and challenges which may be encountered. It is anticipated that new members of the DBI staff will require a good degree of hands-on job training by experienced members of the staff and the DAM.

January 22, 2013

3.3.6 DBI Unit Activity Reporting

Each CA is required to maintain a record of completed reviews with his or her assigned attorneys to ensure that cyclical reviews occur within the established time frame as described in Section 3.1.2.

The record is created via data entry into the OMI Tasks Tracker, a database which is accessible as a menu option on the OMI homepage. Each individual CA, upon entry into the Tasks Tracker site, will first see a display (titled “Database Integrity Module”) which shows a table (titled “Scheduled Reviews” – see Appendix C) listing all his or her currently scheduled reviews, if any, that have been previously entered into Tasks Tracker. The listing will also include any past-dated schedule items that have not yet been updated by the CA as being completed. There are four menu options listed on the Database Integrity Module page: “Interviews,” “Interview Form,” “Search,” and “Reports.”

The Interviews option will display the Scheduled Reviews table that initially appears [to CA’s] in Tasks Tracker. The Interview Form option will display a template for entering a newly-scheduled review (see Appendix C). The template contains a drop-down menu with a customized list of the CA’s assigned attorneys and boxes for entry of information relating to the Date, Time, Type, Form, and Status of a review. Upon completion of a case review, this form as previously entered into Tasks Tracker can be amended and/or updated by the CA, and by doing so the CA creates the required record of completed reviews. Data for a completed review will require an update of the review Status, as well as entry of information about Time Spent in Review (generally rounded into 15-minute units), Location of Review (if not in the attorney’s office), number of Dispositions Collected, and if needed, information about the date and initiation of any cancelled reviews. In order to amend the previously-entered information the CA clicks the attorney’s name as it appears on the Scheduled Reviews table in Tasks Tracker. An Interview Form screen will appear showing the information pertaining to the scheduled review with the attorney selected, as previously entered by the CA. All information entered by CA’s into Tasks Tracker is available for review as needed by OMI staff.

Events in the Case Life Cycle

Revised February 10, 2017

Section 4 Events in the Case Life Cycle

4.1 Creating a New Case Record in CIMS

A record is created when material that pertains to a case for which no record exists is received by the Case Classification Unit. Such material usually consists of a Summons and Complaint served upon the Attorney General but can also include referrals from agencies, U.S. Attorneys, or a request from within the Division that a case record be created. Records can also be created based upon materials received from law firms, courts and other government entities.

The Case Classification Unit creates a record by assigning a DJ number and entering the following data, if available and applicable:

Case caption

Branch code

District and State

Date of receipt

The agency involved

The names of all parties involved, and their respective roles

The court where filed

The relief sought

Government role

4.2 Forwarding the Case Material to the Legal Staff

After the case is entered into the system, the OMI Mail ID Unit sends the associated case material to the appropriate Branch/Section Case Control Officer, or equivalent, to have the following elements entered:

Primary attorney

Primary reviewer

Revised February 10, 2017

Handling code (personal, joint, monitored, or delegated)

Case type

4.3 Advancing from a Pre-File Stage to a Trial Stage

After receiving updated information from the primary attorney that a pre-filing matter has been filed with the court, the CAs can ensure that the pre-filing matter is appropriately advanced to trial in the system by following the steps below.

Step 1 Change the "Has this case been filed" field from [No] to [Yes].

Step 2 Enter the appropriate court code for the case – NOTE: ALL FILED CASES

MUST HAVE A COURT CODE.

Step 3 Enter the civil action number (if available) or obtain from CourtLink.

Step 4 If the caption/parties listed on the filed complaint differ from those in CIMS, resolve the differences. Change CIMS to reflect the correct caption/parties, if necessary. When changing a caption in CIMS, check the Short Name field to see if it also needs to be updated.

Step 5 Update Judicial District, if necessary.

Step 6 Update Relief, if necessary.

4.4 Multidistrict Litigation DJ Numbers

DJ numbers created for Multidistrict Litigation (MDL), f/k/a Major Disaster Litigation, should never be advanced to a trial/appellate stage. These DJ numbers, created for the Torts branch, do not reflect a case and should not have a civil action number or filing date. They will have a zero as the second segment of the DJ number and should have a case type of either T0493 or T0602. They are created to track time and file documentation related to a major disaster and should stay open until all of the related cases are closed. All of the filed cases should refer to the Multidistrict Litigation DJ number by entering the Multidistrict Litigation DJ number in the related DJ number field.

Revised February 10, 2017

4.5 Handling Administrative Claims

Administrative claims (admin claims) handled by the Division are claims brought by individuals as a result of personal injury or death of an individual or group of individuals or the loss or destruction of property. These claims are always pre-filing matters and should never be advanced to the trial stage in CIMS. When a case arising from an admin claim is filed with the courts, upon receipt of the complaint the case will be processed by the Case Classification Unit and assigned a new DJ Number.

The case materials will be forwarded to the Torts Branch for assignment. The CA will close the administrative claim.

4.5.1 Identifying Administrative Claims

Administrative claims can be easily identified by CAs by recognizing some of the following characteristics.

a) The DJ Number format for admin claims starts with [157-16-xxxx]. Please note that Tort cases filed in the District Court of the District of Columbia will also start with [157-16-];

however, the key in distinguishing between the two is that Tort cases are filed in court and should have a civil action number (docket number) and a non-admin claim case type (see below for admin claim case types). Note: Admiralty Admin claims (case type: T0534) will have a DJ Number that starts with [61-16-].

b) The caption for an admin claim will consist of only the name of the claimant (e.g., Doe, Jane).

c) The government’s role is always defensive.

d) The relief sought is always monetary.

The list below details the case types used specifically for admin claims. If a Torts case filed in court has one of these case types, the case should be flagged for follow-up by the CA.

Administrative Claims – Justice (T0401)

Administrative Claims – Other (T0402)

Administrative Claims – Settlement Guidance (T0426)

Administrative Claims – Early Offer Pilot Program (T0427)

Administrative Claims – Small Pox (T0429)

Administrative Claims – WTC/Disaster Sites (T0485)

Administrative Claims – Human Radiation Experiments (T0487)

Administrative Claims – Environmental (T0492)

Administrative Claims – Admiralty (T0534)

Administrative Claims – Aviation (T0607)

Revised February 10, 2017

CAs should review admin claims as they would with any other matter or case – checking all data fields for accuracy and completeness. Admin claims can be disposed one of six ways. The list below details the dispositions that can be used to dispose an admin claim in CIMS.

Administrative Claim Awarded (311)

Administrative Claim Denied (312)

Administrative Claim Not Pursued/Filed in Court (313) – This code is used to close a claim when a claim has been filed in court.

Administrative Claim Filed/Subsequently Dismissed by the Court (314) – This code is used to close a claim when the court lacks jurisdiction because the claimant did not adhere to the admin claim process.

Agency’s Administrative Settlement Approved (321)

Agency’s Administrative Settlement Disapproved (322)

If the CA is asked to advance an admin claim to the trial stage, the CA should adhere to the following steps to ensure the appropriate closure of the admin claim.

Step 1 Ask the attorney if the claim is ready for disposition/closure.

Step 2 If yes, present the attorney with the disposition options mentioned above.

Step 3 Dispose/close the claim with the disposition code selected by the attorney.

Step 4 If the claim is now filed, inform the attorney that the same DJ Number cannot be used; instead a new DJ Number will be created.

4.6 Establishing an Appellate Record

If a case proceeds to appellate litigation, it may be handled by the Civil Division Appellate Staff or by the branches. An appellate stage record can be established by the CAs for each major litigative step of the appellate process. The CAs generally learn of appellate stage activity from cyclical case reviews with the attorneys or CourtLink. There are four formal stages that may be recorded in the database:

The Appeals Memorandum

Court of Appeals

Certiorari Memorandum

Supreme Court

Revised February 10, 2017

The assignment type in an appellate level case denotes in what capacity the government will be responding in the appeal (e.g. appellee brief, appellant brief, brief in opposition to a petition, amicus brief, respondent’s brief, etc…).

Note: During initial entry of an appellate stage and assignment type, appeals from the Court of Appeals for Veterans’ Claims are considered to be appeals. The assignment type should be either appellee brief or appellant brief but not petition for review.

4.6.1 Cases Remanded Back to Trial

When a trial case has been decided, the losing parties often appeal the trial court's decision. Once the case moves to the appellate stage, the appeals court may remand the case back to the trial court.

If so, the CA should take the following steps to ensure that the remand is recorded accurately in

CIMS.

Step 1 The appellate stage should be disposed using the appropriate disposition code for remanded cases. Please note that there are several different disposition codes that pertain to remanded cases (see Appendix D); the CA should make certain that he or she uses the correct code.

Step 2 The CA should then open a new trial stage for the case.

NOTE: UNDER NO CIRCUMSTANCES SHOULD THE ORIGINAL TRIAL STAGE

BE DELETED OR REVISED, ESPECIALLY THE TRIAL STAGE DISPOSITION.

4.7 Recording Trial/Appellate Dispositions

When a case is ready for disposition (e.g., settlement, judgment, dismissal, etc.) this event is recorded by the CA or the attorney on a disposition form (see Appendix D). The disposition forms are generally received via interoffice mail or collected during case reviews and entered within five business days of receipt into CIMS by the CAs. CAs may refer to the drop list in CIMS to identify all applicable disposition codes. Note: A disposition does not necessarily close a case, but always provides an end for either a stage of a case or a party’s involvement in the case.

4.8 Recording a Court-Ordered Change of Venue

In some Civil Division cases, the court sometimes deems it necessary to have a change of venue. If an attorney informs his/her CA that a particular case has had a court-ordered change of venue, the analyst should take the following steps to ensure that the change of venue is recorded accurately in CIMS. The items listed in these steps are the ONLY items that should be changed.

January 22, 2013

Step 1 The original civil action number should be entered as an "Other ID" and flagged with code PD (prior docket number).

Step 2 The new civil action number should become the current civil action number of the case.

Step 3 The analyst should then change the Judicial District to that of the new venue and update the Court code, if needed, i.e., State Court to District Court.

Step 4 If the new civil action number is accompanied by a new filing date, then update the filing date field and record the old date in the comments section of the “Other ID” field. If you do not have the new filing date, then search CourtLink to retrieve it. If you are unable to locate a new filing date, document this information in a note.

Step 5 The analyst should enter a note regarding the court-ordered change of venue.

4.9 Consolidating a Case

In some instances, a court may opt to hear cases with similar issues as a single case and will issue a Court Order to consolidate the cases into one case. Even though many attorneys use terms interchangeably (e.g., consolidated, merged, and/or related), these terms are different. CAs should remember that a case can only be consolidated by Court Order and the new status of the case(s) should be recorded accurately in the system. The lead case should be the only case that remains open on the system; the cases being consolidated should be disposed using disposition code 315 (Trial stage) or 574 (Appellate stage); and the DJ Number of the lead case should be entered as the related DJ Number for the consolidated cases. The DJ Numbers for the consolidated cases and any monetary amounts being sought should be entered into the notes screen of the lead case.

Additionally, if there are only two cases being consolidated, enter the DJ number for the non-lead case in the Related DJ field of the lead case record. Any monetary amounts being sought should be deleted from the consolidated cases and entered as part of the lead case sought amount. If the new total amount sought exceeds $5 million, enter special code 505. If any of the consolidated cases had special code 515 or 516, then the lead case should have the appropriate special code. CAs should advise attorneys to contact the ARU if they want to have access to files for cases that are consolidated and closed.

4.10 Recording Monetary Judgments

If judgments or settlements involve monetary awards to the government an accounts receivable record is established by the Budget Office. As directed by the COR and the Data Analysis Manager (DAM), the DBI Unit coordinates with the Budget Office to ensure accurate, timely updates to

Revised February 10, 2017 dispositions regarding these judgments and settlements. The CAs make copies of all disposition forms resulting in a monetary award to the government. All copies are placed in the Budget Office pick-up box. The Budget Office staffer responsible for tracking the Division’s collections generally picks the forms up on a weekly basis.

If an agency is paying or collecting an award amount for a jointly handled case, record the award amount in CIMS and the case can be closed. If the Civil Division is paying or collecting an award amount for a jointly handled case, enter the amount in CIMS and leave the case open until the award has been paid or collected in full.

If an appellate attorney indicates that an appeal court decision involves money, notify the CA for the trial stage of the decision and the amount awarded. This does not apply to Court of Appeal for the Federal Circuit (CAFC) cases. The CAFC disposition form contains a section where the award amount can be recorded.

4.11 Disposing of MSPB Appeals

The Merit Systems Protection Board (MSPB) handles employment related cases for the government.

Government employees can appeal employment related decisions handed down by agencies. There are three scenarios that may occur which will dictate the disposition recorded in the system. The following details the various scenarios and how they should be disposed:

Scenario One – Appeals in which the MSPB is listed as the respondent when the case is received by the Civil Division: Since the appeal is being handled by MSPB attorneys and not DOJ attorneys, the Division does not take credit for the outcome of the case. As a result, the CA should dispose the stage using appellate disposition code 582 (Transferred to Agency).

Scenario Two – Appeals in which the agency (originally listed as the respondent) proceeds to re-caption the case to designate the MSPB as the respondent: Since the appeal will be handled by MSPB attorneys and not DOJ attorneys, the Division does not take credit for the outcome of the case. As a result, the CA should dispose the stage using appellate disposition code 582 (Transferred to Agency).

Scenario Three – Appeals in which DOJ is representing the employing agency: Since the appeal is being handled by DOJ attorneys, the Division does take credit for the outcome of the case.

As a result, the CA should dispose the stage using the appellate disposition code that reflects the court’s actual decision.

4.12 Closing a Case

A case is ready for “closure” when all Civil Division involvement is over and all monies have been collected. Closing a case involves the processing of the appropriate Civil Division disposition/closure form and updating CIMS. Typically, closing a case results

Revised February 10, 2017 in the hardcopy case files of the closed case being moved from the Active Records Unit (ARU) located at the branch to the Records Management Unit (RMU).

Branch personnel may process the disposition/closure form and update CIMS with no assistance from the CAs.

When Should a Case Be Closed?

A case should be closed only if the following conditions are met:

The plaintiff does not pursue litigation or a court decision and/or settlement occurs and the appeal period has expired;

All monies owed to the Civil Division have been collected; and

The primary attorney or reviewer informs the CA that no further litigation is anticipated. If the case is still active but the government no longer is a party to the case, the attorney may request an administrative closure. Use disposition code 340 to reflect no government role.

NOTE: Disposition Code 500 was used in the past to permit the closure of cases. Code 500 should be used only for cases received more than five years ago and never for an administrative closure.

NOTE: For National Courts’ Cases, if the Division was awarded court cost and the attorney has determined the cost to be uncollectible, the attorney must send a memo to the branch director to obtain permission to close the case – see Appendix F for a copy of the National Courts’ memo.

The CA can provide valuable assistance to the timely case closure effort through attorney interaction. The CA and/or attorney complete the applicable disposition/closure form. When the form contains all required signatures, the CA then enters the closure information into CIMS. The CA should not close a case in CIMS without the completed and signed Disposition Form. To get a detailed look at the disposition/closure form process, please refer to Appendix E – Disposition/Closure Form Process Diagram.

4.12.1 Case Disposition Forms

The Civil Division uses several different types of disposition/closure forms. Samples of these are included in Appendix D. The most widely used form is the Pre-Filing/Trial Stage Disposition and Relief Report (Form CIV-260), which is printed on goldenrod paper. Non-Fraud trial attorneys use this form when any pre-filing matter or trial case is disposed. In general, case dispositions and closures can only be recorded in CIMS after the appropriate forms have been signed by the primary attorney (see Section 4.12.5 for exceptions). The DBI Unit is responsible for assuring that forms are complete and correct and updating the system as soon as possible.

NOTE: A disposition is a record of the ending of just one stage in a matter or civil action. Case dispositions should be promptly entered regardless of potential appeals or other factors. For cases involving multiple parties/settlements, a separate disposition form should be completed for each

Revised February 17, 2017 outcome as it occurs. A disposition does not close a case or affect the location of case files unless the appropriate box indicating case closure is checked on the form.

4.12.2 Civil Fraud Disposition Form

Civil Fraud recovery has increasingly become a focus of the Department of Justice. While Department of Defense procurement fraud remains a key area and Qui Tam (whistleblower) filings are on the increase, fighting Health Care Fraud has emerged as a major initiative of the Civil Division. To help fight fraud and abuse against government health care programs such as Medicare, Medicaid, Tricare, etc., portions of recoveries are earmarked for accounts to fund battles against the abuse.

To assist the Civil Division’s Budget Office in tracking such "splits" in recoveries, the primary attorney in the Fraud section will complete the Civil Fraud Disposition form (see Appendix D) for each favorable judgment or settlement. After this form is signed by both the primary attorney and reviewer, the CA will enter the data into CIMS, and place a copy of the form in the Budget Office Disposition Forms outbox. The Budget Office’s Collection Accounts Receivable Unit will establish the accounts receivable account and track the fund and agency amounts.

4.12.3 Civil Fraud Disposition Forms for Delegated and Monitored Cases The Fraud staff prepares the majority of disposition forms. However, when CAs learn of disposition information for a Delegated or Monitored Qui Tam case that is filed and unsealed and does not involve a monetary award, CAs prepare a disposition form and provide it to the attorney.

Upon receipt of a Fraud disposition form that is signed by the reviewer and the attorney, CAs update…