Attachment 10.pdf

SECTION J ATTACHMENT #10

ENVIRONMENTAL ENFORCEMENT SECTION

CASE MANAGEMENT DOCKETING PROCESS

INTRODUCTION

Contractors utilize the Case Management System (CMS) to:

• Open New Case Numbers

• Process Mail

• Update Case Data

• Close Case Numbers

This document will describe in detail the processes, instructions and procedures involved for each of the above in separate subsequent chapters. Each section will begin by describing the function, followed by specific business rules that pertain to the function, and conclude by showing an example of the process as shown in the Case Management System. For our purposes in this document, a “case” may refer to a case, project or matter. When “mail” is referenced in this guide, it includes incoming documents that arrive via: the post office, e-mail, fax, messenger and overnight deliveries. This mail is then distributed to the appropriate attorney/staff or, when appropriate, sent directly to files. The following screen shots of CMS show the locations of various icons and functions that will be discussed throughout this document.

The following picture shows the magnified CMS Activities Tool Bar for EES. The CMS Activities Icons are used to save, find, sort and query data. This picture shows the functions of each icon - all available for use by

NRS.

OPENING NEW CASE NUMBERS

Description: A new DJ Number can be opened when a client sends a new referral letter, litigation report, and/or an e-mail from an attorney. CMS allows authorized users to open cases, projects or suffix cases. A case is defined as a request for action against a defendant/defendants for environmental issues.

DJ Numbers are automatically generated by the system, based upon the relevant criteria for each Section.

Each Section is assigned certain DJ Number prefixes that indicate different things. The translation of the DJ Number prefixes is provided in this chapter.

When a New DJ Number is created, the contractors need to:

• Open the new DJ number in CMS

• Print the “Case Summary” sheet from the Navigation Tree (Send to Assistant Section Chief for data)

• Prepare the official DOJ file

• Enter data from the Case Summary sheet (returned from Assistance Section Chief)

To open a new Case Number, the following information is entered (boxes marked with a check are required, other boxes are optional):

Case Project Suffix*

Case or Project? T T

Case Title T T

Date Received T T

Nickname

Opposing Party T

Case Type T T

Root T T

Lead DJ Number T

* Items are required for Suffix cases only.

Business Rules:

• Case Titles for cases/matters should be entered as they are in indicated in the referral letter (as indicated in the “Re: ” line of the document.

(Upon filing, the case title should be changed, if necessary, to the official case caption.)

• When entering opposing party, enter proper names in the following format:

Last Name, First Name, Middle Initial or Name

Examples:

Schubert, George Joseph Fenlon-Gore, Peggy

• When entering Cities, States or Local Governments, enter in the following format:

Name, Description of Government

Examples:

Pittsburgh, City of Pennsylvania Pennsylvania, State of Allegheny County, County of Pennsylvania

• Nickname should be used to further help identify the case. It is not required and should not be duplicative of the case title or opposing party.

• Opposing Party is usually the party that is in litigation (who the government is filing suit against).

• Root Numbers should only be chosen from the list of root numbers assigned to specific Sections (see attached list).

• Once the new case is opened in CMS, go to the “Case Summary” screen and print, then it should be attached to the new case form and forwarded to the appropriate Assistance Section Chief (ASC) for review and assignment.

• Enter all data with Caps Lock turned on.

• Enter States in the Party ID field by keying “ST”, followed by the 2 character abbreviation for the State. The appropriate State will translate into the Full Name field.

Field Data:

Name Description How to Enter Data

- Enter Date

- Enter Text

- Select Code

- Translation

Usage

- Optional

- Protected

- Required

DJ Number This field is automatically generated when all fields have been entered and saved.

The format of the DJ Number is determined by the fields that are completed and are specific for each section (see above).

Translation Required

Case, Project, or Suffix?

Identifies whether a case, project or suffix is created.

Select Code Required

Case Title Full Official title of the case. Enter Text Required

Date Received

Date the case was received. Enter Date Required

Nickname Short name for the case. Enter Text Optional

Opposing Party

Name of the opposing party Enter Text Optional

Case Type Type of case being opened Select Code Required for Cases

Root Beginning portion of the DJ Number Select Code Required for Cases.

Not required for suffix cases

Lead DJ Number

If suffix is selected, identifies the lead case.

Enter DJ No. Required

Case Project or Suffix Drop-down Values - 3 Available

Code ID

Case Project Suffix

Case Type Lookup Values - 17 Available (EES Uses 6)

Code Description

CV Civil, Affirmative

CVC Civil, Contempt

AM Amicus

LEG Legislation

POL Policy

OT Other

Root (a/k/a “DJ Number Prefixes”) Lookup Values - Available (List for EES)

Prefix Description

90-5-2-1 Clean Air Act (CAA)

90-11-3 Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA)

90-5-2-1 Clean Water Act (CWA)

90-5-2-1 Safe Drinking Water Act (SDWA)

90-7-1 Resource Conservation and Recovery Act (RCRA)

90-5-1-1 Toxic Substance Control Act (TSCA)

1- Federal Insecticide, Fungicide, and Rodenticide Act (FIFRA)

90-11-2 Emergency Planning & Community Right-To-Know Act of 1986 (EPCRA)

90-10 Atomic Energy Commission Act (AEC)

90-5-1-1 Marine Protection, Research, and Sanctuaries Act a/k/a Ocean Dumping (MPRSA)

90-5-1-1 Oil Pollution Act of 1990 (OPA)

90-5-1-1 Rivers and Harbors Act of 18?? (RHA)

90-5-1-1 Residential Lead Based Paint Hazard Reduction Act (RLBPHRA)

90-5-1-1 Park System Resource Protection Act/Natural Resource Damages (PSRPA)

90-5-1-1 Pipeline Safety Act (PSA)

90-5-3 Noise Control Act (NCA)

* If multiple statutes are listed, use the first statute named in the letter. However, if CERCLA is included as one of the statutes, use CERCLA (90-11-3).

Lead DJ Number Lookup Values

Lead DJ Number Name

The lookup values for this record allow a search of every DJ Number already saved in the system. This (and the party record) are the only records in CMS that allow the users to continually create new data in a table without OIM oversight.

How to Open CMS

• Open CMS by clicking on the Attorney Time & Case Mgt Icon

• Close or minimize the Atty Time Keeping System (“Enter Time/Time Entry Object”)

• Click View and select Case Management

• Quick List will appear, click the red “X” and close the Quick List

• Click Activities and select New from the drop-down list

• Enter the appropriate data on the New Case Screen:

Update Tables Select Enter Data

Open a New

Case/Project

Case or Project? Select Case for Filed and Not Filed Cases, Suffix for

Coordinated Cases

Case Title Enter as shown on Case Opening Documents (Free-form field)

Date Received Today’s Date

Nickname (If known) Enter according to business rules (Free-form field)

Opposing Party Enter according to business rules (Free-form field

Case Type Select Case Type from drop-down list (CV if the U.S. is

Plaintiff)

Root Selected from extensive drop-down list or enter manually - see complete list of EES root numbers on Page 8

Lead DJ Number Enter for Coordinated Cases only

• Click Save icon - system will generate new DJ number

• Select Case Detail from the Navigation Tree and enter the following:

Update Tables Select Enter Data

Case Detail Superfund Y/N Select Y if case has agency of EPA AND class of CERCLA, otherwise, check N

Assignment Select DOJ from drop-down list

District Select from drop-down list (Region and State will be translated by the system upon saving District)

Date Quality Control Today’s Date (even when opening new cases)

Agency (Some cases may involve more than one agency)

Add Row Lead Y/N - Enter Y or N to indicate if the agency is the lead agency

Agency - Select from drop-down list

Sub-Agency (if appropriate) - Select from drop-down list

Court (For Filed or

Coordinated Cases)

Add Row Date Filed - Enter the Date the complaint was filed

File Type - Enter the type of Filing i.e. COMP (Complaint) - Can also be selected from drop down list

Court ID - Select from drop-down list

Court Number - Enter according to business rules

District - Select from drop-down list

Facts Add Row Type of Case - Select Tribe or Initiative from drop-down list

Fact - Select Tribe Name or Porosity from drop-down list

ENRD Govt. Rep Tab* Add Row Select appropriate Attorney (Names can be searched in CMS by double-clicking the blank space)

Involvement Date - Enter Today’s Date

Role - Select Primary from the drop-down list

* There may be additional attorneys added when identified by the lead attorney or ASC.

Update Tables Select Enter Data

History Add Row Status Date - Enter the Date the case was received

Action - Select Received from drop-down list

Leave other fields blank

Add Row (If the case is

Filed or Coordinated)

Status Date - Enter the Date the case was filed

Action - Select Filed from the drop-down list

Reason - Select from the drop-down list

Non-ENRD Govt. Rep

(if known)

Add Row Name - This is a free-form field, enter name as Last, First

Representing - Select from drop-down list

Role - Select from drop-down list (i.e. USAO, Regional Counsel, etc.)

Related/Consolidated (If case is Consolidated)

Add Row Related DJ Number - double-click blank space in row to search case numbers, or enter manually

Relationship - Enter from drop down list

Party Add Row Full Name - Enter name of plaintiff or defendant

Role - Select from drop-down list

Nature of Party - Select from drop-down list

How to Prepare the Official DOJ File

Contractors then:

• Date Stamp new case documents in the bottom-right-hand corner.

• Write the new DJ number above the date stamp on the document.

• Stamp NEW in the bottom-left-hand corner (EES will provide “NEW” stamp)

• Put the referral and/or other documents in the brown DOJ file (EES will provide DOJ files).

• Write the new DJ Number on the back & front of the DOJ file in the top right hand corner.

• Put the new case cover sheet on top of the Case Summary sheet and write the name of the Assistant Section Chief on the cover sheet and forward to that chief. See Appendix A

• The Assistant Section Chief will return the completed Case Summary sheet (usually hand-written with the assigned attorney noted).

PROCESSING MAIL

Description: Mail arrives approximately 5 times per day and must be sorted, opened, identified, docketed, scanned and distributed. Mail is first sorted between case-related, personal and junk mail. The latter two can be forwarded directly to the owners without further processing. Once the case-related mail is sorted, opened and scanned, the processing procedure begins. Processing mail includes date-stamping, identifying the appropriate CMS DJ number and Primary Attorney and other recipients, and distributing the completed mail. The distribution of mail can be either through the scanning and e-mail process or by inter-office mail.

Business Rules:

• Use the “Quick List” filter to try and find the correct DJ number. This allows the user to enter various items of data that will help to find the DJ number, i.e. court numbers, opposing party, case title, etc.

• All case-related documents must be date-stamped in the bottom right-hand corner. The appropriate CMS DJ number and Lead Attorney are then hand-written on it.

To determine the DJ Number, Case-related mail is searched in CMS using the CMS QuickList:

• First search using the Court Number - if available

If not found, search using:

• Case Title

• Site Name

• Opposing Party

• Any other key word

• If all these searches fail, send it to the Case Manager. Write a note inquiring if this correspondence is a new case or should be forwarded to another section.

• Once the DJ Number is identified, the mail is scanned and the primary attorney gets an e-mail with a link to the scanned document. The paper copy goes to the file room. If no attorney is assigned, the mail should be forwarded to the appropriate Assistant Section Chief (ASC) so he/she can assign the case. See Appendix A.

• If the mail warrants a change or update in the Case Management System, then the update should be done immediately (i.e. referral, consent decree, court order, judgment, approval letter, etc.).

• If the mail is more than 50 pages and has not been scanned and does not warrant a change or update in CMS, then the mail should be forwarded to the appropriate Primary Attorney.

• If the mail arrived via the scanning and e-mail procedure, it does not need to be forwarded to the Primary Attorney since he will have also received the mail via e-mail.

• Many Courts send duplicate copies of correspondence. If this occurs, always send the first copy to the Primary Attorney, send subsequent copies to the addressee(s). However, do not send these to the Attorney General or Assistant Attorney General. (See the document “Processing Generically-Addressed Mail in ENRD”). See Appendix B

• If the item of mail is determined to need a new DJ number, see the Chapter on Opening a New Case.

• If it is determined that the mail belongs to another Section in ENRD or DOJ, the mail should be stapled shut and forwarded to the correct recipient.

The following table shows the documents that may need to be docketed in CMS and the tables in which an entry might need to be made. (See the Updating Case Data for instructions on how to enter these items.)

Entry Needs to be Made in these Tables in CMS

Case Detail

Court History Finance Party Quality Control

Documents that May Need to be Docketed

Referral Letter (or e-mail or memo from Agency)

T T T T

Complaints T T T T T

Proof of Claim (POC) T T T T T

Application for Administrative Expenses T T T T T

Application for Warrant for Entry T T T T T

Motion to Enforce a Consent Decree T T T T T

Consent Decrees (CD) ** (final or partial)

T T T* T T

Court Judgments (pro and anti)

T T T T* T T

Partial Court Judgment T T T T T

Dismissal (with and w/o Prejudice) T T T T T

Declination T T T T

Administratively Terminated (writeoffs) T T T T

Settlements (w/o filing - admin.) T T T T

Waiver Requests T T T T

Withdrawal Letter T T T T

Stayed (Bankruptcy Referrals only) T T T T

*If monies are involved with entered consent decrees/court judgments, a finance record is added.

** Money involved with entered consent decree is entered through Consent Decree Finance

UPDATING CASE DATA

Description: When it is determined that an item of mail warrants an update in CMS, then the user should make the appropriate update to the system immediately. The Primary Attorney and/or Management may also request changes to the data in CMS. Case information must be updated by the Case Management Unit only. In EES, the Case Management Liaisons collect case update information on a hourly basis from outgoing and incoming mail, discussions with attorneys, approval/briefing memos, Pacer, e-mails, etc.

Business Rules:

• CMS updates must be performed as soon as possible in order to keep the database accurate and current.

• See the other Data Dictionary tab for how to update case data for specific tables.

The following table shows how to enter various types of documents in CMS:

Document Update Tables Select Enter Data

Referral Letter

(e-mail, fax or memo from

Agency)

Case Detail Date Quality Control Today’s Date

Agencies

Classification

Facts

History

Non-ENRD Rep

Add a Row

Add a Row

Add a Row

Add a Row

Lead - Select Y or N (Select Y if only 1 ref agency.)

Agency - Select an agency from the drop-down list

Lead - Select Y or N (Select Y for the first violation listed in the referral letter. If any additional violations are mentioned, add another row, select N, and list the additional violation or select from the drop-down list)

Type - From the Drop-down list, Select the type of case (i.e. Initiative, Resource Injured, Pollutant or

Waiver Type)

Fact - From the Drop-down list, Select the description of the “Case Type” indicated in the referral.

Status Date - Enter the Date that DOJ received the referral letter, e-mail, or memo.

Action - Select Received from the drop-down list

Add another Row. Enter the Status Date, Select

Referred, Under Reason, Select the type of referral

(i.e. HD - Headquarter, DIRF - Direct Referral. If not indicated within the referral letter, leave it blank)

Name - insert name last name first, select the

Agency represented, insert the date, select the role of the Rep., and Agency (if applicable)

Reference - If this is a CERCLA case, Add a Row to include the site number by typing S under the

“Type” tab and manual type in the site no. under the

“Number” tab listed in the letter.

Complaint Case Detail Date Quality Control Today’s Date

Court

History

Add a Row File Type - COMP Complaint

Court No. - Enter the civil action no. (if known)

Status Date - Select the date of the filing

Action - Select FILED from the drop-down list

Reason - Select FILE for Complaint Filed

Proof of Claim

(POC)

Case Detail Date Quality Control Today’s Date

Court

History

Add a Row File Type - PROF Proof of Claim

Court No. - Enter the civil action no. (if known)

Action - Select FILED

Reason - Select PFCL Proof of Claim

Consent Decree

(CD)

(Final or Partial)

Case Detail Date Quality Control Today’s Date

History Tab Add Row Status Date - Enter the Date of the Document

Action - Select F for Final Decision from drop-down list

Reason - Select from the drop-down list

(Settlement/Decree - CONS or Partial Consent -

PCON)

Note - Enter Brief Explanation (i.e. Detail of Partial

Consent Decree and monetary amount if necessary)

Court Judgment

(Pro or Anti)

Case Detail Date Quality Control Today’s Date

Party Add Row Status Date - Enter the Date of Court Judgment

Action - Select F for Final Decision from drop-down list

Reason - Select Court Judgment from drop-down list

(Select Pro Gov’t - CJPG , Anti Gov’t - CJAG or

Part. Fav - CJPA)

Note - Enter Brief Explanation of Order (i.e.

Judgment in Favor of Plaintiff/Defendant, amount if necessary)

Partial Court

Judgment

Case Detail Date Quality Control Today’s Date

Application for

Administrative

Expenses

Case Detail Date Quality Control Today’s Date

Application for

Warrant for

Entry

Case Detail Date Quality Control Today’s Date

Motion to

Enforce Consent

Decree

Case Detail Date Quality Control Today’s Date

Dismissal

(with and w/o

Prejudice)

Case Detail Date Quality Control Today’s Date

History Add Row Status Date - Enter the Date of the Order

Action - Select F for Final Decision

Reason - Select from drop-down list (Dismissed with prejudice - DIWJ or w/o prejudice - DIWO)

Note - Enter Brief Explanation of Order (partial dismissal, certain parties being excluded, etc.)

Document Update Tables Select Enter Data

Declination Case Detail Date Quality Control Today’s Date

History Add Row Status Date - Enter the Date of the Letter

Action - Select F for Final Decision

Reason - Select Declined - DECL from drop-down list

Note - Enter Brief Explanation (i.e. “DOJ declined the case because....”)

Administratively

Terminated

(writeoffs)

Case Detail Date Quality Control Today’s Date

History Add Row Status Date - Enter the Date of the Letter

Action - Select F for Final Decision

Reason - Select Admin Terminate - ADMT from drop-down list

Note - Enter Brief Explanation (EPA’s request to

DOJ to approve writeoff.)

Settlements (w/o filing - admin.)

Case Detail Date Quality Control Today’s Date

History Add Row Status Date - Enter DOJ Approval Package Date

Action - Select F for Final Decision

Reason - Select Settled w/o Filing - SWOF from drop-down list

Note - Enter Brief Explanation of non-judicial settlement (i.e. “Description of settlement”)

Waiver Requests Case Detail Date Quality Control Today’s Date

History Add Row Status Date - Enter DOJ Approval Date

Action - Select F for Final Decision

Reason - Select Waiver Granted - WAGR or

Denied - WVDN from drop-down list

Note - Enter Brief Explanation of Letter (i.e.

“Waiver granting penalties, sale, purchase, etc”)

Withdrawal

Letter

Case Detail Date Quality Control Today’s Date

History Add Row Status Date - Enter the Date of Client Agency’s withdrawal letter to DOJ

Action - Select F for Final Decision

Reason - Select Withdrawn from the drop-down list

Note - Enter Brief Explanation (i.e. “Client withdrew case because.......”)

CLOSING CASES

Description: A case can be closed upon settlement, judgment, dismissal, approval, declination, or withdrawal in the case has been issued. A final decision in the trial court may be appealed. Attorneys fill out Case Closing forms which will be forwarded to the Case Management Unit (CMU)/Contractors. Once it has been determined that a case is ready to be closed, all the documents associated with the case should be placed in the official DOJ file and reviewed for completeness and accuracy. Then the stage should be changed to “CL” and a row should be added to the Case History reflecting that the case is now closed. The EES Case Closing form should be completed and included in the official DOJ file. A sample EES Case Closing form is included.

Business Rules:

• All data in the case should be reviewed prior to closing in order to ensure completeness and accuracy. This includes all data in the Case Detail as well as pertinent entries contained in the fields on the tree.

• Verify that the money is correct and recorded in the debt record (if applicable).

• Once a case is closed in CMS, a closing form should be generated, attached to the official file and sent to the records unit.

How to Close a Case in CMS

Update Tables Select Enter Data

Case Detail Date Quality Control Today’s Date

Nickname Add your initials at the end of the blurb

History Add Row Status Date - Enter Date of document closing case

Action - Enter F for Final Decision or use drop down to select

Reason - Select either: CJPG, CJPA or CJAG from drop-down list.

Note - Explain what action will be taken (i.e. “Case dismissed without prejudice”)

Add Row Status Date - Enter Today’s Date

Action - Enter C for Closed or use drop down to select

Reason - Select either: CJPG, CJPA or CJAG from drop-down list.

Note - Explain what action will be taken (i.e. “Case dismissed without prejudice”)

Finance (If case involves money)

Add Row Record Date - Enter Date of Document

Record Type - Select from drop-down list

Owed By Fed - Select U.S. if U.S. owns the money

Owed By Non Fed - Select PLTF if PLTF owes money

Amount Type - Select from drop-down list

Amount - Enter monetary amount in document

Action Code - Enter IMPO (Imposed)

Collecting Office - Select N/A from drop-down list

Classification - Select from drop-down list

Comments - Enter Brief Explanation of Settlement (i.e. “U.S. to pay

Plaintiffs $5,000 for attorney fees & $2,000 for court costs”)

FILE SCANNING PROCEDURES

• Prep document to be scanned by utilizing the pink “Prep Sheet” (See Attached). Determine what type of document you are prepping and fill in the appropriate box under each heading.

(Statute, Origin, Approval/Briefing Memo, Court Filing, Financial Info., and Conclusion)

• Confirm that the DJ number written in the lower left hand corner is correct by checking Case Management System (CMS). Next, open a blank WordPerfect document to create a “Cover Sheet” (See Attached example). This will be used to identify the document. With the CMS screen open, you can copy and paste the case caption onto the WordPerfect document. Skip a line and add the DJ number under the case caption. Print the WordPerfect document.

• Place the Prep Sheet, the Cover Sheet, and the document, in that order, in a box to be sent for processing/scanning.

Once files come back from the scanning center, you will need to spot check these boxes to be sure all the documents were scanned.

• When you pull a file from the box and enter the DJ number in CMS, you will more than likely received more than one document. Check each document to make sure the information is correct in the database. Make any corrections as necessary. Mark the document that has been checked by putting the DJ number on the document. This will ensure that there are not documents that are being checked more than once.

• When the opportunity presents itself, start going through the database from top to bottom to check all documents for accuracy of information and to correct any mistakes that have been made to the document. After checking each document the DJ number must be put on the document to insure the document is not checked twice.

APPENDIX A

Assistant Section Chief (ASC)

ASC Region(s)

Brighton, Bill Reg. 5

Brook, Bob Regs. 3 & 8

Friedman, Henry Regs. 4 & 9

Gluck, Ron Regs. 1 & 2

Maher, Bob Regs. 7 & 10

Mariani, Tom Reg. 6

DEFINITIONS OF TERMS USED THROUGHOUT THIS GUIDE

Add Row Click “Add Item” from toolbar on the right hand-side of CMS

ASC Assistant Section Chief

Case Anything that warrants a DJ Number in CMS - this includes Cases, Projects or

Suffixes

CMS Case Management System

Division The Litigating components of the Justice Department - Usually refers to The

Environment and Natural Resources Division

ENRD Environment and Natural Resources Division

EES Environmental Enforcement Section

Mail Incoming documents that arrive via: the post office, e-mail, fax, messenger and overnight deliveries

Matter A category of case type that is not expected to be filed in court, however, needs DOJ approval (i.e. a Penalty Waiver or Administrative Settlement)

OIM Office of Information Management

Section The litigating components of ENRD

Case Closing

Case Closing Form (complete) and should include 1 of the following supporting documents:

- Court Judgment

- Consent Decree (CD)

- Dismissal

- Penalty Waiver (Approval Letter)

- Settled w/o Filing (Administrative or Stipulated Orders)

- Declination Letter (by DOJ)

- Withdrawal Letter (by Agency)

* if there is no case closing form, upon completely entering all final information, PRINT a copy of the Case Summary Sheet (which should indicate “CL” (CLOSED) in the top right hand corner). Circle “Closed” (in red ink) and staple any supporting documentation to that sheet and send to the file room.

Sample Cover Sheet

(Case/Matter Name) - taken from CMS

(Site Name) if applicable

DJ Number