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Multi-Regional Cases - Counting Civil Judicial Complaints Filed - March 22, 2010

Counting Civil Judicial Complaints Filed – One Count per National Case – Identifying the Lead Region


Purpose:  At EOY FY 2009, we made a last minute change to our approach to counting civil judicial complaints filed (including proofs of claim in bankruptcy cases).  In past FYs we have counted every judicial complaint input to ICIS without regard to whether a case was or was not a national case.  This approach resulted in an over count of the actual number of complaints filed.  In national cases, with multiple regions participating in a case, there are multiple case records in ICIS for a single case (one for each participating region), each with a complaint filed date – but there is actually only one complaint filed for that case.  To remedy this over-counting, at EOY FY 2009, we counted only one complaint for each national case.  To do this we had to manually subtract a complaint count from each participating region that was not identified as the lead region for the national case.


The challenge with counting only one complaint for each national case is that it sometimes requires regions to identify which region is the “lead region” at a much earlier point in the life of the enforcement case. 


Up to this point, there has been no need to identify the lead region until the case is concluded.  Now the lead region must be identified shortly after the complaint is filed (and preferably at the point the case is referred). 


For FY 2010 (and for the future), we again will count only one complaint per national case.  A Headquarters work group is being formed that will produce guidance on how to report complaints from multi-regional bankruptcy cases and the selection of a lead region at the initiation stage.  There are a number of issues with this approach for bankruptcy cases that still must be resolved by the work group.  We will work with the regions through the fiscal year to identify the lead region for national cases that have a complaint filed this fiscal year.  We encourage the regions (and OCE, when they are involved) to begin identifying a lead region as early as possible.


Presently, there is no way in ICIS to record which region is the lead region for a national case until a final order is entered to ICIS.  In order to have this information available in ICIS, we are asking that the lead region for each national case add “Lead” to the enforcement action and final order names.  The lead region enforcement action name would now read, “Acme, Inc. (NC-Lead)” or “Acme, Inc. (National Case-Lead).”  For the future, we will seek a change to ICIS to accommodate this information in a better way.


Data Entry:  The lead region for each National Case should add “Lead” to the enforcement action and final order names in ICIS.


Data Retrieval:  Headquarters will write a “national case report” to pull the national case data including the lead region data from ICIS.


March 22, 2010

FY 2010 Reporting Plan

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