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Multi-Regional/National Bankruptcy Cases and ICIS Data Entry - March 22, 2010

Managing National Bankruptcy Cases and Entering Data on Them into ICIS


Purpose:  In FY 2009, we experienced numerous difficulties associated with national cases that involved parties that had declared bankruptcy.  Most of these were CERCLA cases.   There were several problems identified relating to a lack of coordination between DOJ, HQ/OSRE, HQ/OC, and the Regions, including the regional bankruptcy coordinator.  The data quality in ICIS was diminished as a result of the proper information not being provided to the appropriate people in a timely and accurate way.  Guidance is being developed by HQ to identify the roles and responsibilities of the key players involved with coordinating and disseminating the multi-regional bankruptcy case data.   Please pay special attention to national bankruptcy cases in FY 2010.


a)  All regions had not created a record for their portion of the national bankruptcy case in ICIS;

b)  Where a region created a record of the bankruptcy case in ICIS they did not include "(NC)" or "(National Case)" in the case and final order name and did not contact HQ to ask that the multi-regional field in ICIS be checked for the case (but see below re: the multi-regional field);

c) The regions involved in the case and HQ did not divide the results from the case among the participating regions or did this very late in the EOY process;

d) All regions participating in the national case did not have the same date for the filing of the proof of claim or the settlement (Asarco being an exception to this rule having been settled with four separate settlement documents); and

e) The participating regions did not select a lead region (See #8 above).


As with all national cases, each of these actions must be taken (and should be taken as early in the process as possible).  If these actions are not taken, it frequently results in substantial confusion and requires changes/additions to data at EOY, when it is more difficult and time consuming.  Please pay special attention to national bankruptcy cases in FY 2010.


Data Entry:  All regions participating in a national bankruptcy case must take the following steps to correctly enter their data into ICIS:


a)  determine and enter the region’s portion of the results coming from the national case and enter this data into the Final Order/Complying Action-Injunctive Relief screen;

b)  enter an "(NC)" or "(National Case)" for both the enforcement case and final order names – the lead region for the case must also enter “Lead” into the enforcement case and final order names (See #8 above);

c)  check the ICIS multi-regional field located on the basic info screen in the enforcement module. (please see #9 above on steps for flagging a multi-regional case; and

d) enter the date of the proof of claim date in the Basic Info/Milestone screen and the settlement date into the Final Order/Basic Info screen.


March 22, 2010

FY 2010 Reporting Plan

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