SOW_Document.docx

SECTION C - STATEMENT OF WORK

C.1 Background

(a) The Civil Division's approximately 1040 trial and appellate attorneys are currently defending 179 Federal agencies in cases which have been filed against the Government, and prosecuting affirmative lawsuits on behalf of 124 agencies. These 42,500+ open cases fall into 59 diverse areas of litigation, many of which are highly specialized, such as intellectual property, bankruptcy, procurement fraud, contamination of food and drugs, radiation exposure claims, and immigration law. Others are cases of high political visibility, such as suits which challenge major initiatives of the Administration.

(b) The Civil Division is organized into six litigating components, based on the type of litigation:

· Commercial Litigation Branch

· Torts Branch

· Federal Programs Branch

· Office of Immigration Litigation

· Consumer Protection Branch

· Appellate Staff

These litigating components are supported by one administrative component, the Office of Management Programs. To assist in understanding the operating environment of the Civil Division, the most current organization chart is reflected at:

https://www.justice.gov/civil/civil-division-organization-chart

(c) The managers of this diverse and complex caseload must have at hand complete and accurate case information, whether it concerns one case, a group of cases, or all 42,500+ open Civil Division cases. The Division must know, for example, which of its attorneys is responsible for each of its cases so that the approximately 500 pieces of mail received each day can be delivered promptly to the correct attorney. For each case, the managers must know when the case was received in the Division, whether and when it was filed in court, what court heard it, what the court decided, and whether the trial court's decision was affirmed or overturned on appeal.

(d) The Civil Division has used automated systems since 1978. The case information, attorney time reporting and other information management modules collectively comprise the Division’s Case Information Management System (CIMS), which is Micropact’s Entellitrak based system. CIMS web based application that operates on Windows 2012 SQL servers. Users access the CIMS application from workstations via the Civil Division's JCONV office automation network. All workstations are virtual desktops.

(e) The CIMS application provides Division managers and attorneys with greater litigation and management support. During a typical month, Division staff and contractor support staff access CIMS to perform thousands of separate database actions. These monthly activities include the following:

· Conducting approximately 7,000 - 8,000 automated on-line case searches for routing mail and responding to inquiries from within and outside the Department of Justice on the status and location of a case;

· Recording approximately 2,800 case receipts, updates, and dispositions;

· Preparing approximately 130 automated case-related letters; and

· Producing approximately 453 recurring reports and approximately 60 one-time ad hoc reports.

(f) The CIMS application captures significant data about cases, administrative claims and other legal proceedings involving the Civil Division. For ease of reference, all of these matters will be referenced by the generic term, “cases.”

(g) During the contract period, the Civil Division may add enhancements to its current case information system environment. Contractor personnel will be trained with Government personnel on any new enhancements. The integrity and correctness of the enhancements and correlating data will be the Civil Division’s responsibility. Contractor personnel may be asked to support the Civil Division’s enhancement efforts by querying the database and generating reports as needed; analyzing computer-generated reports for omissions, inconstancies and anomalies in the data; analyzing source documents and tools such as Lexis CourtLink to resolve database problems or update data; and other data-related tasks.

C.2 Scope of Contract

The Contractor shall provide mail processing support services; case analysis and classification; information analysis and database integrity; reporting and application development/maintenance; as well as other case information support services for the Civil Division.

C.3 Statement of Work

(a) The Civil Division’s case information support services consist of five functional areas:

(b) All work performed under this contract shall be closely coordinated with the Contracting Officer’s Representative (COR, see G.1.2). Contractor staff working on-site at the DOJ will work collaboratively with the COR and other members of the Civil Division staff.

(c) The Mail Processing, Classification, and Database Integrity functional areas call for 98% accuracy in task performance. The Government utilizes a separate Contract for the performance of quality assurance (QA) review of work performed under this contract for Case Information Support Services (CISS). The QA Contractor uses existing and statistically validated methods to determine the accuracy rates of mail identification and routing and of the data entered into CIMS during the Case Classification process and Database Integrity process. For each review, the QA Contractor obtains randomly selected samples of the work performed by each of the three functional areas. The samples are then compared to the existing rules in place for the applicable task and any errors are documented and counted. The accuracy scores are computed according to an existing and statistically validated formula. See Attachment 3 Quality Assurance Reviews, for more detail. The CISS Contractor shall be required to provide the QA Contractor with complete access to their processed mail, training sessions, process control logs, and other materials necessary to the performance of these quality assurance reviews, as identified by the COR. The CISS Contractor shall address clarification, correction, and retraining needs in a timely fashion. The Government will reduce the accuracy rate to 95 percent for the first 60 calendar days (beginning the first day after the transition period) of contract performance for the Mail Processing, Classification, and Database Integrity functions mentioned above. After the 60 calendar days, the required accuracy rate shall revert to 98 percent.

d) It is the Contractor's responsibility to assure that the individuals proposed for the Case Classification, Database Integrity, Mail Processing, Miscellaneous Support and Information Analysis, Reporting and Application Development/Maintenance functional areas are totally familiar with their tasks and able to be fully productive by the end of the transition period. (See SOW Section C.11, Transition)

C.3.1 Functional Area 1 – Mail Processing Support Services

(a) Most Civil Division mail is received at the Department of Justice Mail Referral Unit and then transferred to the Civil Division’s Mail Room. The Office of Management Information (OMI) Mail Identification (Mail ID) Unit receives mail from the Civil Division Mail Room and then routes the mail to the appropriate Civil Division recipient. The Contractor will process approximately 500 pieces of mail each day. Incoming mail will be screened and processed in accordance with the Civil Division's "Mail Identification and Routing Procedures Manual" (see Manual # 1 dated October 22, 2014) and any COR-approved interim manual updates.

(b) Civil Division receives five mail deliveries a day. The largest delivery to the OMI Mail ID Unit occurs mid to late morning. In addition, two separate deliveries of registered and certified mail (approximately 50 pieces in total) are delivered daily. There are two additional hard copy mail deliveries to the Civil Division mail room each business day from the Court of Federal Claims. Each delivery contains approximately 2 -6 pieces of mail, known as “court mail.” The Civil Division also receives electronic mail (approximately 10-30 pieces per day) from the Case Management and Electronic Case Files (CM/ECF) system for the Court of Federal Claims, Court of Appeals for the Federal Circuit, Court of International Trade and occasionally for other courts, i.e. district courts.

C.3.1.1 Task 1 - Initial Mail Screening and Identification

(a) The Contractor shall screen incoming mail and process as appropriate. For non-case-related mail (such as bulk mail and publications), the Contractor verifies the correct building location for the addressee and places it in the mail outbox for pickup. Mail addressed to certain attorneys and attorney managers on the “Do Not Open” list is forwarded to the recipient unopened.

(b) Case-related mail addressed to individuals not on the “Do Not Open” list is opened, date-time-stamped “RECEIVED,” and identified. There are particular processes established when the Mail ID Unit receives confidential, secret or top secret mail, multiple cases received in one envelope and checks (including logging in the check and its pertinent information).

C.3.1.2 Task 2 - Searching Database Records

(a) For case-related mail which is opened, the Contractor shall determine whether it’s related to a case that is or was being handled by the Civil Division or whether it is a new case for the Civil Division. Ordinarily, it is not necessary to perform an in-depth reading of the document; many times, the cover letter and the first several pages of the document provide enough information for a meaningful search. The Contractor uses information from the mail in hand (primarily, terms from the caption, names of parties involved, and the court docket number), to execute a CIMS search to determine whether a record relating to the subject of the correspondence exists in CIMS. The "Mail Identification and Routing Procedures Manual" contains instructions on how to use the data fields to search and various search strategies. If the search retrieves multiple “hits,” the Contractor determines whether or not one of the hits constitutes a conclusive match.

(b) All Summons and Complaint documents (see Attachment 4) and case-related correspondence with no existing case record shall be forwarded to the Classification Unit for further processing. The Contractor shall review every piece of case-related correspondence not found to be associated with a database record to determine if a proper search was made.

C.3.1.3 Task 3 - Handling “Follow-Up Mail”

(a) When the Contractor determines that case-related mail is associated with an existing CIMS record, the Contractor examines this “follow-up mail” to see if it includes any relevant data (such as a US Attorney General served date, a US Attorney’s office served date or a court docket number) not yet entered into the CIMS record. If additional updates to CIMS are identified, the Contractor shall forward to the Classification Unit a Potential Update Form attached to the piece of follow-up mail for the Classification Unit to review and possibly update CIMS.

(b) Case correspondence for an existing case is forwarded to the Civil Division personnel or branch/section currently having litigation responsibility for the case as identified in the "Mail Identification and Routing Procedures Manual" in conjunction with the CIMS application.

C.3.1.4 Task 4 – Inscribing Case-Related Mail

(a) When the mail is identified through a CIMS search as an existing case, it shall be inscribed so that it gets routed to the proper Branch and/or individual. A Record Blocking stamp will be applied to the first page of the document or on the “Blocking Tag” (a form affixed to some documents to avoid marking up the actual document). The Department of Justice unique case tracking number (the “DJ Number”) and initials of the Civil Division Branch handling the case will then be written as prescribed on the top and bottom of the stamp. The names of the designated reviewer and attorney handling the case shall be written as prescribed on the first page of the document or Blocking Tag. The DJ Number, branch, designated attorney and designated reviewer are obtained from the case record retrieved from CIMS.

(b) The Civil Division delegates some cases to be handled by the US Attorney’s Office (USAO) and transfers some cases to other agencies. The Civil Division also “closes” a case in the database when no further litigation can be expected and/or all monies have been collected. A further inscription shall indicate whether the mail concerns a case that has been delegated, transferred or closed and the date of that action, taken from the case record in CIMS. In addition, a different inscription shall indicate if the case has not yet been assigned in CIMS.

(c) After mail has been identified and inscribed, it shall be date/time stamped “RELEASED” and prepared for routing based on the rules established by each Civil Division Branch. The Contractor shall sort the identified mail and place it in distribution envelopes to the proper recipients in accordance with these instructions.

C.3.1.5 Task 5 - Processing Court Mail

(a) The Contractor shall receive documents via courier mail from the Court of Federal Claims which must be searched, inscribed and delivered within one hour of receipt. Court Mail is typically delivered around 1 pm and again around 5 pm each business day, though times are subject to change.

(b) The Contractor shall receive court documents via e-mail for the National Courts section of the Commercial Litigation Branch. The Contractor shall print out, time-date stamp, search and identify, and route the documents, according to the same processes approved for mail received in hard copy. Currently approximately 282 emails are processed each month. Electronic mail received after 4:00 p.m. is processed the next business day before 10:00 a.m.

C.3.1.6 Task 6 - Processing Miscellaneous Mail

The Contractor shall follow established straightforward instructions (see Manual # 1 dated October 22, 2014, “Mail Identification and Routing Procedures Manual”) for handling each of the following types of mail:

C.3.1.7 Task 7 - Mail Processing Quality Control

(a) The Contractor shall perform daily quality control for accuracy and timeliness of the Mail Processing functional area through a representative sampling of the sorted pieces of mail, according to established and COR-approved procedures. The Contractor shall review every piece of case-related correspondence not found to be associated with a database record to determine if a proper search was made.

(b) The Mail Processing support services tasks shall be performed with not less than 98 percent accuracy. This accuracy shall be determined by OMI’s evaluation of mail processing reviews provided by an independent Quality Assurance Contractor. See Attachment 3, Quality Assurance Reviews, for further information.

C.3.1.8 Task 8 - Schedule The Contractor shall forward all "court mail" to the appropriate Civil Division component within one hour of receipt. Mail received from the Classification Unit shall be processed within the same business day of receipt. All other mail shall be fully processed by the Mail ID Unit within one business day of receipt. Mail received after 4:00 p.m. is processed the next business day, as the next day’s morning mail.

C.3.1.9 Task 9 - Mail Processing Status Reports

The Contractor shall report monthly on the Mail Processing functional area. The format of the report shall be developed by the Contractor and approved by the COR. The report shall be sufficiently detailed to allow the COR to evaluate the accuracy and timeliness of the mail processing effort.

C.3.1.10 Task 10 - Maintenance of Procedures Manuals

Please see Section C.4 for a discussion of the maintenance of procedures manuals and related documents.

C.3.2 Functional Area 2 – Classification Support Services

(a) Classification support services are performed in accordance with the Civil Division's Manual # 2, dated April 20, 2012, "Case Classification Unit Procedures Manual" and any COR-approved interim manual updates.

(b) A unique Department of Justice Number (DJ Number) is assigned to each case received in the Civil Division. A DJ Number is also assigned to each administrative claim and to other matters according to established procedure. The DJ Number has a prescribed structure, with each component of the number’s structure having significance.

(c) To create and assign a DJ Number to a case, the incoming case documents must first be analyzed to determine the type of case or governing statute. This crucial analysis affects the structure of the remainder of the DJ Number. The analysis and DJ Number assignment, together, are referred to as “classification.” In the Classification functional area, the Contractor is required to classify each new case (including new Appellate cases), enter basic case data into CIMS to establish a record and, as required, update the data as the case progresses. History has shown that a trained classifier can process an average of 25 pieces of mail per day.

(d) The scope of the Civil Division's litigation involves hundreds of statutes. The Civil Division's litigation areas form the basis of the Division's organizational structure, as well as the structure of the DJ Number assigned to a case. The DJ Number is not only the “cradle-to-grave” case identifier; it also indicates the applicable records retention rule that applies to the official case files. It has been the Civil Division's experience that a minimum of eight weeks is required to become proficient in classification of Civil Division cases.

(e) The Civil Division's cases are primarily defensive. In other words, a plaintiff has already filed suit against the Government, and time has begun to elapse for an allowable response to the courts. Following receipt of a new case, the case is classified and promptly forwarded to the correct component. If these procedures are not done in an accurate and timely manner, the Division (i.e., the Government and therefore, the taxpayers) stands to lose the case. The ability to identify from a court document the issue being challenged in the litigation and determine which Division component is responsible for that type of litigation, is critical to the successful performance of the Case Classification functional area.

C.3.2.1 Task 1 - Screening the Mail Received from the Mail ID Unit and the Branches

The Classification Unit shall screen mail received from the Mail ID Unit to verify that it needs to be classified. The Classification Unit shall process and forward non-case-related mail and mail not handled by the Civil Division without creating a case record in the database. The Classification Unit also shall process case-related mail received directly from the Civil Division branches or from other DOJ litigating divisions. Mail received directly from the branches goes immediately to the top of the queue to be analyzed, classified, and processed as appropriate.

C.3.2.2 Task 2 - Searching Database Records

(a) The Classification Unit shall perform a search of the database for all mail coming into the Unit to verify whether or not the case is already in the system. This step is important since it is very burdensome to resolve the problem of the same case being assigned two different DJ Numbers. Ordinarily, it is not necessary to perform an in-depth reading of the document; many times the cover letter and the first several pages of the document provide enough information for a meaningful search. The Contractor uses information from the mail in hand (primarily, terms from the caption, names of parties involved, and the court docket number) to search CIMS to determine whether a DJ number relating to the subject of the correspondence exists. The "Case Classification Procedures Manual" contains instructions on how to use the data fields to search and various search strategies.

(b) If the search retrieves multiple “hits,” the Contractor determines whether or not one of the hits constitutes a conclusive match. This determination may require a closer reading of the document and/or consultation with OMI Staff.

(c) If the Classification Unit locates the case in the database, then the Unit shall process the associated document(s) as follow-up mail with the prescribed inscriptions and routing to the designated recipient. If the Classification Unit does not locate the case in the database, then the document must be analyzed to determine which statutes/subject matter applies to the case.

C.3.2.3 Task 3 - Analysis and Classification

(a) Each day the Contractor shall analyze pieces of mail and, as necessary, formulate and enter a new DJ Number and associated information into CIMS. Approximately 2,500 – 3,000 new cases and administrative claims will be entered each month. Examples of daily incoming mail that form the basis for assigning a new DJ Number are: (1) a Summons and Complaint (see Attachment 4); (2) a Petition for Review (see Attachment 5); and (3) the New Case Assignment forms containing information for affirmative and defensive cases received from various branches (see Attachment 6).

(b) Numerous different types of documents are delivered to the Classification Unit. The “Case Classification Procedures Manual” contains samples of typical types of documents. Each sample includes an analysis of the document and a summary of pertinent case data extracted from the document. It is important to remember, however, that various attorneys, law offices, and courts generate the same types of documents in an amazing variety of formats.

(c) To classify a new case, the Contractor shall analyze incoming correspondence to determine its 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 Contractor shall look for key words in a document to determine the classification type. The Classification Type Guide (see Attachment 7) contains a list of key words 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.

C.3.2.4 Task 4 – Assigning a DJ Number

(a) Based on this analysis, the Contractor shall assign the appropriate DJ Number. The basis of the DJ Number structure is the Classification Chart (see Attachment 8) which provides the classification types (prefixes) for most DJ Numbers. The typical format for a DJ Number assigned to a new Civil Division case in a district court is:

[Classification Type]-[Judicial District Identifier]-[Sequential Number] Another commonly used DJ Number format is:

[Classification Type]-[Agency Identifier]-[Sequential Number]

(b) As prevalent as these two construction formats are, there are numerous other types of DJ Number construction formats that are used as required by established procedures. The Contractor must become familiar with all of the construction formats. Certain internet web sites and reference books are accessed to determine, for example, the name of the county where a city is located and the name of the judicial district where a county is located. In addition, the Contractor shall use the CISS DJ Number Selection application to obtain sequential numbers used in the construction of a DJ Number.

C.3.2.5 Task 5 – Stamping and Annotating the Document

The Contractor shall establish the official hardcopy case record for a new case by attaching a “blocking tag” (a form affixed to documents to avoid writing on the actual document) and then applying stamps and annotating the blocking tag. The stamps applied are the DOJ Civil Division “Record” stamp and the “NEW” stamp which together identify the hardcopy document as part of an official Civil Division case file created on the basis of the document stamped “NEW.” The Contractor writes the case caption on the top of the blocking tag and annotates the applied stamps with the assigned DJ Number and responsible branch and the Classifier’s initials.

C.3.2.6 Task 6 – Entering Data for a New Case into CIMS

The Contractor shall extract all relevant information from the document and enter the data into CIMS according to established data entry rules. The Contractor shall print out from CIMS an official Civil Division Case Opening/Initiating Record form (referred to as the “pink NEW sheet” due to the fact that it is printed on pink paper to make it easily identify it as a new case) that contains case summary information.

C.3.2.7 Task 7 – Assembling and Forwarding a New Case

The Contractor shall affix the pink NEW sheet to the case documents. It informs the branch to deposit the attached new (and now official) case documents in the branch active records unit (ARU). The Contractor shall forward the new case to the appropriate recipient as designated by established procedure.

C.3.2.8 Task 8 - Entry of Case Update Information

When follow-up mail is identified by the Mail ID Unit or the Classification Unit, the Contractor will enter into CIMS any relevant case-related data not already in the database. The updates typically include any of the following fields: Civil Action Number, Docket Number, AG served date, US Attorney’s Office Served Date and Filing Date. In addition, the database may be updated to reflect that a trial level case has moved to an appellate court. If this occurs, data for additional fields such as branch, assignment type, participation and reason will need to be captured. Database updates derived from Follow-Up Mail can be associated with cases in any of the six litigating groups within Civil Division. Approximately 210 such update actions will occur each month.

C.3.2.9 Task 9 – Other Processes The Contractor shall follow established procedures when processing non-case related mail, misdirected mail, and Federal Torts Claim Act (FTCA) Administrative Claims filed against Federal agencies other than DOJ.

C.3.2.10 Task 10 - Quality Control

(a) The Contractor shall perform daily quality control in accordance with its accepted Quality Control Plan for accuracy and timeliness on a representative sample of new CIMS entries and updates.

(b) The case classification and data entry and update tasks shall be performed with not less than 98 percent accuracy. This accuracy shall be determined by OMI’s evaluation of classification reviews provided by independent Quality Assurance Contractor. See Attachment 3, Quality Assurance Reviews, for further information.

C.3.2.11 Task 11 - Schedule

The Contractor personnel shall classify and enter new cases received directly from the branches within one business day of receipt. All other new cases are due within two business days of the MAIL ID Unit Received date stamp. Case update information shall be entered within two business days of the MAIL ID Unit Received date stamp. With the exception of new cases received directly from the branches, all errors discovered during the Contractor’s QC process shall be addressed within three business days of the MAIL ID Unit Received date stamp.

C.3.2.12 Task 12 - Status Reports

The Contractor shall maintain daily records on the productivity of Contractor personnel. A log of all cases which remain to be classified at the end of each business day also shall be maintained. The Contractor shall provide the COR with daily, weekly, monthly, and annual production reports as specified by the COR. These reports shall identify the number of documents processed by the Classification Unit and the age and size of any backlog. The format of the report shall be developed by the Contractor and approved by the COR. It shall be sufficiently detailed to allow the COR to evaluate the accuracy and timeliness of the case classification and updating process. The Contractor shall develop and use a written procedure for assembling the production information into a monthly report, as approved by the COR.

C.3.2.13 Task 13 - Maintenance of Procedures Manuals

Please see Section C.4 for a discussion of the maintenance of procedures manuals and related documents.

C.3.3 Functional Area 3 – Database Integrity

The function of the Database Integrity (DBI) program is to ensure the accuracy and timeliness of the data in CIMS. DBI is a multifaceted program which utilizes a variety of procedures to accomplish its goals. It requires the critical analysis of a case, accurate and complete information gathering (including in-person attorney interviews), entry of data into CIMS, and occasional user training and preparation of written reports and procedures. Successful performance requires detail-oriented Contractor personnel who possess well-developed analytical and interpersonal skills, as well as experience working with attorneys, legal research sites and reviewing legal documents. DBI tasks are performed according to Manual # 3, dated January 22, 2013, “Database Integrity Procedures Manual”.

C.3.3.1 Task 1 - Analysis of Reports

The Contractor shall provide an ongoing review and analysis of ad hoc and standard (recurring) reports, including but not limited to approximately 22 exception reports (see Attachment 9, Sample Exception Reports) and the Comprehensive Attorney Case Lists (CACLs) which is included in DBI Procedures Manual # 3. Report analysis requires in-depth familiarity with the relevant data fields in CIMS and its time reporting module and how they are used by the Classification Unit and the branches. If analysis of these reports indicates the need for case updating or correction, the Contractor shall review the case files and/or consult with attorneys and paralegals to determine what updates should be made. The Contractor is expected to propose additional reports if analysis indicates such additional reports would further help to ensure database integrity. The CACL, which is generated from the OMI Tasks Tracker application, shows all the open cases for a selected attorney and shows selected data fields per case which the Case Analyst is expected to address, as necessary, during the interview.

C.3.3.2 Task 2 - Attorney Orientation Sessions

Data collection and verification are ongoing processes which begin when an attorney arrives in the Civil Division. The Contractor shall provide new attorneys with system orientation, i.e. CIMS search and on-line time entry training, explaining the attorney’s role in the data collection process and its importance.

C.3.3.3 Task 3 - Attorney Interviews

(a) The Contractor shall arrange and conduct periodic interviews with attorneys to review the status of their assigned cases. In FY 2017, approximately 2000 interviews were performed. The interview frequency per attorney for each litigating component is shown below:

Frequency of Attorney Interviews

(b) The purpose of the interview is to confirm the accuracy of information for open cases, gather new or missing data, confirm attorney contact information displayed on the cover sheet of the CACL, verify whether a case stage can be disposed or the case can be closed, and to reveal related data items that are inconsistent with each other. The Contractor shall be familiar with the trial and appellate related legal processes and with how the Civil Division captures data related to those processes (such as information pertaining to disposition, relief or change of venue).

(c) In preparation for an interview, the Contractor shall analyze the attorney's CACL, various exception reports, court websites, and documents such as weekly and biweekly reports prepared by the litigating branches to gather current information about the attorney's assigned cases. A typical interview lasts 20-30 minutes. The standard method for conducting the interview is in person. In certain situations, some interviews may need to occur over the telephone or by email. The CACL produced for a particular attorney is the basis for the interview process and is annotated with new or corrected information during the interview.

C.3.3.4 Task 4 - Exit Interviews

The Contractor shall meet, whenever possible, with each attorney preparing to leave the Division to review the status of his or her cases. The Government will notify the Contractor’s applicable personnel via an email, upon learning an attorney will be leaving. It is not possible to predict how much time will be given between an attorney leaving the Division and the Government providing notification. Upon completing the exit interview, the Contractor shall enter all updates as necessary within five business days.

C.3.3.5 Task 5 - Updating the Database

Following an attorney interview, the Contractor shall enter all updates in CIMS within five business days of the interview, and as necessary.

C.3.3.6 Task 6 - Processing Disposition Forms

The Contractor shall assist the attorney or paralegal in disposing any case stages or closing a case, as directed by the attorney and according to established procedures.

C.3.3.7 Task 7 - User Support

The Contractor shall be a reliable resource to assist branch personnel with user questions on the CIMS application, branch or section specific CIMS modules, disposition and closure procedures, and the time reporting module. The Contractor may draft written guidelines addressing these or other topics of interest to users. The Contractor may be called on by the COR to answer ad hoc questions, provide one-on-one user training or provide all or part of a group training.

C.3.3.8 Task 8 - Resolution of Database Anomalies

The Contractor shall use CIMS and its associated modules, court websites, the hard copy case files associated with the Civil Division’s Records Tracking Program, and any other tools to research and resolve anomalies in CIMS, as directed by the COR. Such anomalies include but are not limited to: the same litigation assigned two different DJ Numbers; and different litigations assigned the same court and docket number. Resolution likely will involve making changes to the database and changes to the Civil Division’s hard copy case files.

C.3.3.9 Task 9 - Quality Control

(a) The Contractor shall periodically review a representative sample of open case records to determine the quality of the work. The Contractor shall correct any errors found, and, as necessary, recommend procedures designed to preclude such errors/omissions in the future.

(b) The interviews and resulting database update tasks shall be performed with not less than 98 percent accuracy. This accuracy shall be determined by OMI’s evaluation of DBI reviews provided by independent Quality Assurance Contractor. See Attachment 3, Quality Assurance Reviews, for further information.

C.3.3.10 Task 10 - Schedule

Each Case Analyst shall conduct a minimum of ten attorney interviews each week, consisting of an analysis of the attorney's CACL, information gathering, and database update. All updates to the database shall be made within five business days of receipt of new information. The completed CACL and disposition forms received shall be properly filed within five business days after the attorney interview.

C.3.3.11 Task 11 - Status Reports

DBI statistical reports, narrative reports, and reports on quality control measures as described within the "Database Integrity Procedures Manual" shall be submitted to the COR each month. The Contractor also may be asked by the COR to evaluate and report on the effectiveness of the ongoing DBI activities.

C.3.3.12 Task 12 - Maintenance of Procedures Manuals

Please see Section C.4 for a discussion of the maintenance of procedures manuals and related documents.

C.3.4 Functional Area 4 – Information Analysis, Reporting and Application Development/Maintenance

The OMI is responsible for extracting data from its various databases hosted on SQL Server 2012 and providing case-related information to Division attorneys and managers, and various organizations outside the Civil Division. This task entails generating standard (recurring) and ad hoc case-related reports and statistics; analyzing data from source documents and various databases; developing reports containing text, statistics and graphic presentations; and application development/maintenance. The Contractor shall develop and generate reports from the CIMS database (including all of its associated modules, such as the Radiation Exposure Compensation Act module) and other databases maintained by OMI. The Information Analysis, Reporting (IAR) tasks are performed according to Manual # 4, dated November 14, 2017, “Information Analysis and Reporting Procedures Manual” C.3.4.1 Task 1 - Report Development

(a) The Contractor shall develop and generate reports, using the available query product(s). Currently used query products include MS SQL Server Management Studio, Crystal Reports XI and Microsoft Access. Successful report development requires knowledge of the database structure, database file and field structures, data extraction methods, and the ability to structure the query to most efficiently produce the data requested. Many queries require using “joins” to connect tables. Successful report development also requires an understanding of the Civil Division business rules behind the data.

(b) The Contractor shall conduct the necessary research to clarify report requirements. If the requirements from the report requester are unclear, the Contractor should communicate with OMI staff to clearly define the requirements so that the query can be properly structured. In addition, the Contractor may recommend report enhancements not initially specified by the requester.

(c) The Contractor shall follow established OMI procedures, Manual # 4, dated November 14, 2017, “Information Analysis and Reporting Procedures Manual” for report development and formatting. These standards include but are not limited to: the OMI permanent report design template; the OMI report standards; the OMI Quality Assurance plan for permanent recurring reports; and the OMI Quality Assurance plan for ad hoc reports. An example of a report that has been processed using current OMI standards can be found on the Internet by going to: http://www.justice.gov/civil/common/reca.html and clicking on “Awards to Date.”

(d) Standard (Recurring) Reports: The Civil Division has 453 recurring reports. Below is a chart that shows the frequency of these reports:

Report Generation and Distribution: Frequency of Recurring Reports

(e) Of the 453 recurring reports, 439 require no manual intervention under normal circumstances to generate and distribute the report. The remaining 14 require manual intervention as a routine step. Some of the scheduled reports provide workload data, to include reports that list pending/disposed stages within a branch or section or the number of open/closed cases in each branch or section of the Division. The standard reports also include time related reports whereby attorney managers can quickly assess the amount of resources being expended on a particular case. Examples of recurring reports are: Court of Federal Claims Cases Received by the Civil Division in the Previous Month; Open Monitored Cases with Dollar Amounts Sought by the Government; and Receipts by Case Type in Current Fiscal Year.

(f) Ad Hoc Reports: Generally, ad hoc report requests originate at the branch director level or from assistant branch directors, Civil Division Budget Office staff members, OMI staff members and the contractor project management staff. Generally, external requests come from the Office of Management and Budget, General Accounting Office, other Federal agencies, or the Congress. In response to ad hoc information requests, the Contractor shall develop the query logic, identifying field selection criteria, sort sequences, and display fields. Approximately 61 ad hoc reports are produced upon request each month. Examples of ad hoc reports are: Number of Open Reversionary Trust by Fiscal Year; and Number of Administrative Claims Received in FY 2015.

(g) Because of the rapid rate of change in information technology, it is impossible to predict what software the Contractor will be required to work with under this contract. Other query report applications, including those necessary to post reports on the Department’s internet and intranet and the Division’s intranet may be used in the future and the Contractor would be required to use them effectively.

C.3.4.2 Task 2 - Report Formatting

(a) To ensure standard reports that go out to internal and external stakeholders have a uniform look, the Contractor shall follow the OMI-established formatting standards. Examples of such standards are:

· Display data values in the appropriate format (e.g., commas in numbers, dollar sign on currency, text/values are not cut off);

· Use footnotes to annotate or clarify values, criteria, or terminology used in the report; and

· Design the report to be self-explanatory

(b) The standards also prescribe specific characteristics (font, standard wording of frequently used phrases, spacing, alignment, etc.) of the report and page headers and footers and the body of the report.

C.3.4.3 Task 3 - Report Distribution

(a) The Contractor shall disseminate all reports within the time frames established within the established manual to the designated recipients. Multiple methods may be used to distribute reports: automatic email scheduled via Business Objects Enterprise XI, manual email, posting to a designated Intranet or Internet website, and hardcopy delivery.

(b) The Contractor shall maintain a Reports Schedule that lists all of the scheduled standard reports, showing when and how they are generated and distributed (see Attachment 10, Sample Reports Schedule). The manual is sorted by scheduling frequency (e.g., Daily, Weekly Monday, Weekly Tuesday, 1st of the Month, and 6th of the Month, etc.) to facilitate a quick determination of what reports are due for a particular day and time.

(c) The Contractor shall ensure that all reports are successfully distributed. Occasionally, a problem arises where Business Objects Enterprise fails to generate/distribute a scheduled report or the data was not refreshed in the overnight system processes. If problems occur, the Contractor shall follow the established “contingency plan” to get the correct report with current data generated and distributed. The information from the Reports Schedule is used to identify which reports may be affected.

C.3.4.4 Task 4 - Special Report Procedures

(a) Some standard reports have non-standard requirements in generation and/or distribution and thus use “special reports procedures,” specific to the report. For example, one report may need to be converted to a Word or Excel document before it is distributed. Another report may need to be transferred to another Web server so it can be accessed from an external website. Such reports must be generated and distributed by the IAR Unit because Business Objects Enterprise does not have the capability to support the required steps to generate each report based on the special instructions.

(b) The Contractor shall execute the established “special report procedures” to ensure that the standard reports with non-standard generation or distribution requirements are generated and distributed correctly and on schedule. The Contractor shall create new “special reports procedures” as needed and in accordance with all applicable OMI procedures and standards.

C.3.4.5 Task 5 - Report Registration

As necessary, the Contractor shall follow established procedures in registering reports in Business Objects Enterprise XI for testing and for production. This process results in the reports being automatically run and disseminated to specified recipients at designated times by the Business Objects Enterprise XI application.

C.3.4.6 Task 6 - Report Documentation

The Contractor shall develop accurate and complete documentation for each report developed. The documentation is kept to ensure that any report can be recreated using the original specifications, and so that anyone can easily look up background details about the report. Report documentation shall provide report information, including but not limited to report name, recipients, delivery method, delivery schedule and query logic code.

C.3.4.7 Task 7 - Research Projects

Occasionally, the Contractor shall extract and analyze data from the database in a specific subject area and produce a written report. For example, the Contractor may be asked to produce a report on the Division's use of Alternative Dispute Resolution techniques. The Contractor would examine the types of data available; extract and analyze the data; and identify trends and results. From this information the Contractor would develop a narrative presentation, graphic displays and/or statistical tables, and assemble the entire package into a coherent report. To accomplish this, the Contractor may be required to utilize query, spreadsheet, graphics, and word processing software tools.

(a) The Contractor shall also be responsible for production of the Civil Division’s monthly workload statistics report and statistics-based graph. The Monthly Workload Statistics report focuses on the Civil Division as a whole, and includes summaries on the status of cases –primarily trial and appellate personally and jointly handled receipts, dispositions, and pending items. Its audience is senior DOJ and Civil Division managers. The Monthly Workload Statistics report and graphic are approved by the COR and the Executive Officer of the Civil Division.

(b) The workload report is a Word document that utilizes 12 existing reports. Ten of these reports are run using Crystal Reports; one is run using MS Excel, and another using MS Access. The monthly graphic can be based on statistics provided in the memorandum, current events that are of interest to the Civil Division, or a personal request from various offices or directors.

C.3.4.9 Task 9 - Activity Logs

The Contractor shall maintain a current activity log for the IAR Unit that shows who makes a particular request and when, when is the deadline, what is the report or project name, where is it located, and once complete, when is it delivered. The Contractor shall provide the log to the COR as requested.

C.3.4.10 Task 10 - Website Enhancement and Documentation

(a) OMI is responsible for its intranet website, home to search and reporting tools as well as more than 120 reports and a variety of reference materials.

(b) The Contractor shall understand the structure of OMI’s intranet website and the web-based workload statistics tool. This tool uses a drill-down feature to give macro views and micro views of the Civil Division’s workload for fiscal years 1984 through the current year. Workload refers to the aggregate of cases received for a fiscal year plus those stages in the database pending at the beginning of the same time period.

(c) The Contractor shall post documents to the OMI Intranet and to the DOJ Internet websites according to established procedure.

(d) The Contractor shall be proficient using software such as HTML, ASP, Java, Visual Basic C#, and .NET. Working with the OMI technical staff, the Contractor will create simple web pages on the OMI Intranet website.

C.3.4.11 Task 11 - Application Development/Maintenance and Documentation

(a) In order to maintain the most useful and effective automated systems, and in response to requests from the litigation staff, the Civil Division periodically develops new data elements, reporting tools, views, interfaces, system features, reports and applications. In these efforts, the Contractor shall perform requirements gathering, analytical functions, including analysis of new requirements, identification of new data elements, determination of information flow, and layout of data entry screens and reports and software testing. In addition, the Contractor shall assume responsibility for maintenance and enhancement of Java, ASP.NET applications, such as but not limited to Case Information Management Systems (CIMS), Foreign Evidence Request Management System (FERMS), CSTL New Case Control Log (CC Log) and the OMI Tasks Tracker applications. Operations and Maintenance (O&M) activities include the resolution of problem requests, routine completion of technical support request, and the analysis and development of system changes.

(b) Occasionally, OMI initiates "new projects" to support new technical or business requirements, or to enhance existing processes. In these efforts, the Contractor shall work with the OMI staff and business user community to plan, design, develop, deploy and maintain web-based applications using Agile Software Development Methodologies.

(c) The Contractor shall complete the new projects by utilizing the most current web-based technologies in compliance with Section 508 of the Rehabilitation Act.