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Case 2:13-cv-00193 Document 798-3 Filed in TXSD on 11/20/14

1. July 2012 5 12 Case 2 13 cv 00193 Document 798 3 Filed in TXSD on 11 20 14 Page 23 of 52 LIONS 5 4 User Manual App Type Appeal Type This field is used for Appeal ONLY cases See Chapter 8 Appeals for instructions on entering an Appeal Filing Date Enter the date the criminal action was filed in court The date entered CANNOT be earlier than the Recvd Date or later than the current date Court Number Enter the docket number assigned to the criminal action by the court This field is required when a court code other than NC Not in Court or PN Post Disposition Not in Court has been entered Because the Victim Notification System VNS links with the Electronic Case Filing ECF system the following court number format will be enforced when the court selected is magistrate court or district court e Positions 1 2 are to be numeric 2 digits i e 11 Position 3 is to be a dash i e Positions 4 5 are to be alpha character 2 characters i e CR Position 6 is to be a dash i e Positions 7 11 are to be numeric all 5 positions must contain a digit If the number is less than 5 digits add leading zeros i e 01234 00123 00012 00001 e Values in positions 12 on are not looked at by VNS and are free for your use Examples 11 CR 01234 11 CR 01234 E 11 CR 01234 1 11 CR 01234 01 Judge Press F9 and select the Judge hearing the criminal action The Judge s name will be filled in based on the initia
2. es SS Se ERE Figure 5 21 Criminal Open Long Form July 2012 5 19 Case 2 13 cv 00193 Document 798 3 Filed in TXSD on 11 20 14 Page 30 of 52 LIONS 5 4 User Manual 5 6 1 Case When you press ENTER TAB or CTRL PAGE DOWN after entering the Caption LIONS will automatically generate a USAOID You will notice that the Received Date US Role Litigating Responsibility Status and Branch are preset With the exception of the Status field all preset values can be changed USAOID The USAOID USAO Number is generated by LIONS when a matter or case is opened It is used to track the case throughout its life including appeals Caption Enter a reference name for the criminal action in accordance with local office procedure and press TAB or ENTER As shown in Figure 5 22 the CASE block opens with default information in certain fields All default information in the CASE block can be changed S LIONS CRIMINAL OPEN LONG cropen 1 50 John Smith vs US T ys oe SERS an 2 CESS Figure 5 22 Criminal Open Long Form with Default Values All default values in the CASE block can be changed EXCEPT Status Recvd Date Enter the date the criminal action was received in the office This field defaults to the current date If this is incorrect highlight the field and enter the correct date The date entered CANNOT be later than the current date Status This fi
3. Figure 5 31 Agency Block Ro Role Enter the Role for the Agency LIONS defaults the Role for the first agency entered to IN Investigative Every criminal matter or case MUST have at least one investigative agency LOV If you enter an Agency Role of VA Victim Agency such as in a fraud case you will receive a pop up block shown in Figure 5 32 that will allow you to capture the Estimated Loss or the Actual Loss to the Victim Agency ES Figure 5 32 Victim Agency Pop up AGENCY OFFICE is a READ ONLY block populated from the Agency picklist entries established by the district See Chapter 6 Criminal Updates and Closings Section 6 21 1 Agency Office for instructions on adding or updating the Agency picklist If you have another agency to enter press CTRL PAGE UP to return to the AGENCY block Press F6 to insert or the DOWN ARROW to go to a blank line If you arrow down to a blank line and then change your mind press SHIFT F6 to return to the previous line If an agency has more than one office select the appropriate office location Agency Office is a Local Code assigned by the Districts See Chapter 6 Criminal Updates and Closings for instructions on adding or updating Agency Office information Agency Number Enter the number assigned to the criminal action by the Agency When the Victim Witness indicator is Y and the agency is Federal Bureau of Investigation JUFB or Joint FBI State or
4. Case 2 13 cv 00193 Document 798 3 Filed in TXSD on 11 20 14 Page 44 of 52 LIONS 5 4 User Manual When you have completed entering the Health Care Fraud information press CTRL PAGE DOWN or click to go to the ALIAS block 5 6 6 5 Alias The Alias block shown in Figure 5 42 is used to enter all known aliases for an Individual Participant Alias Last Name First Name Enter all know aliases for the participant if applicable Figure 5 42 Alias When you have completed entering the Alias information press CTRL PAGE DOWN or click to the RELATED PARTICIPANT block 5 6 6 6 Related Participant If there are multiple Participant s in a criminal action relationships can be established to relate one Participant and another in the same case using the Related Participant block shown in Figure 5 43 Figure 5 43 Related Participant The following explains the values to be entered for the Participant screen Name You can relate one participant in a case to another participant in the same case e g relate a claimant to a piece of property Participants for this block must be chosen by pressing F9 and selecting a participant name and pressing ENTER as shown in Figure 5 44 LOV July 2012 5 34 Case 2 13 cv 00193 Document 798 3 Filed in TXSD on 11 20 14 Page 45 of 52 LIONS 5 4 User Manual Figure 5 44 Related Participant LOV Role
5. if the number in the field is 1 from the Close a Case screen e DOWN ARROW to highlight the Relief record Press F3 or Click the GoTo button Press the Relief button from Case Summary form to access Relief form as shown in Figure 4 65 to go to the Relief screen for the civil case 24 LIONS RELIEF cvrelief 2 0 john Smith ys HUD z Figure 4 65 Relief In the RELIEF block DOWN ARROW to open a blank form For each Relief record with a Stage of R Requested Enter a new Relief record with a Stage of G Granted D Denied X Neither Press the Exit icon and click Y Yes in the Save Dialog Box to save changes and go to the CLOSE A CASE screen See Section 4 4 Relief for additional information on entering Relief records 4 18 3 Close Appeals The number in the RECORDS DISPOSITION block indicates the number of Appeals records to be closed If the number in the field is 0 no action is required If the number in the field is1 From the Close a Case screen e DOWN ARROW to highlight the Appeal record July 2012 4 48 Case 2 13 cv 00193 Document 798 3 Filed in TXSD on 11 20 14 Page 9 of 52 LIONS 5 4 1 User Manual Press F3 or click the GoTo button to go to the Appeals screen for the civil case The Appeals screen for the requested case opens as shown in Figure 4 66 Figure 4 66 Appeals See Chapter 8 Appeals for instructions on closing appeals When all record
6. Filed in TXSD on 11 20 14 Page 51 of 52 LIONS 5 4 User Manual 6 6 19 Participant Comments The Participant Comment block shown in Figure 5 56 can be used to supplement information about the Property participant a0 sao i S Figure 5 56 Participant Comments Participant Comments This field is available to supplement the information about the participant Enter text as you would in WordPerfect You can enter approximately 35 lines of text To see more of the comment screen press ALT E and select Edit from the menu If you have another participant to enter put an X in the box labeled Go back to participant screen and then press TAB or ENTER Otherwise press CTRL PAGE DOWN or click to go to the next screen July 2012 5 41 Case 2 13 cv 00193 Document 798 3 Filed in TXSD on 11 20 14 Page 52 of 52 LIONS 5 4 User Manual 5 6 7 Controlled Substance The following explains the values to be entered for the Controlled Substance screen shown in Figure 5 57 ohn Smith vs HUD As Mes Figure 5 57 Controlled Substance Type Press F9 and select the code that describes the type of controlled substance under investigation Other If the Type is O Other a brief description of the controlled substance is required If Type is O Other Quantity and Measure are NOT required but can be entered if applicable Quantity Enter the actual quantity
7. History record is opened to track the court and the court s location as well as the judges associated with the case for each stage indictment superseding indictment post disposition appeal of the case Prior to any filing a not in court record is opened USAO Staff Assignments Tracks the AUSAs and other staff assigned to a case At a minimum you must track the Lead Attorney This assignment information is used by LIONS to create individual and master calendars Agencies Tracks all agencies involved in the case e g investigative victim as well as office addresses and points of contact at each agency At a minimum one investigative agency must be entered for each case Participants Stores detailed information demographics identification numbers and property values for all types of participants In LIONS a participant is a defendant witness victim piece of property to be forfeited or any other individual organization or business associated with the case Ata minimum one defendant must be entered for each case Opposing Counsel Tracks opposing counsel at all stages of the case Controlled Substance Tracks information on controlled substances includes type and quantity of all substances in the case Instrument Charge Count Stores a complete history of all charging instruments including all charges and counts by defendant Events Tracks the significant steps in the progression of
8. LIONS pre populates this field based upon the information entered in the Participant block Reason Press F9 and select a code that explains why one participant in a case is related to another participant in the same case This is required if a Participant has been selected from the LOV When you have finished relating participants press CTRL PAGE DOWN click Ito go to the OPPOSING COUNSEL block 5 6 6 7 Opposing Counsel The Opposing Counsel block is shown in Figure 5 45 The following explains the values to be entered for the Opposing Counsel screen Figure 5 45 Opposing Counsel Block Inits Initials Press F9 and select the initials of the opposing counsel The codes initials for this field are established by your district LOV If the opposing counsel is not in the database you can add it by pressing F3 to GoTo the Opposing Counsel Picklist When you exit the Picklist screen LIONS will return to the Opposing Counsel Screen See Chapter 6 Criminal Updates and Closings for instructions on adding entries to the LOV Name The name will be filled in based on the initials entered Type Press F9 and enter the code that describes the type of counsel AP for Appointed for example LOV Start Date Enter the date the opposing counsel became involved in the case End Date This field is not relevant when opening a matter or case Use this field to record the date the opposing counsel s involvement in th
9. M Monetary Loss to U S enter an appropriate code Otherwise leave blank LOV Vic Wit Victim Witness This field is mandatory Press F9 and select Y Yes N No or W Witness When the Victim Witness flag is Y then the Victim Witness Coordinator is mandatory When the Victim Witness indicator is Y and the agency is U S Postal Service PSUS or Joint Postal Service State or Local Task Force PSUZ the agency number must be entered as 9999999 AAAA When the Victim Witness indicator is Y and the agency is Federal Bureau of Investigation JUFB or Joint FBI State or Local Task Force JUFZ the agency number must be entered as 9XXXX XX 99999999 5 5 2 Court History The following explains the values to be entered for the Court screen Court and Court Location Press F9 and select the appropriate Court code The Court Code is required You can also enter the location of the court The location codes are established by your district Regardless of the type of number assigned by the Clerk use MG Magistrate Court if the defendant is to be tried before a Magistrate Judge The following codes are commonly used when initiating a criminal action DC District Court MG Magistrate Court MM Magistrate Court Miscellaneous NC Not in Court If the Court code is NC Not in Court or PN Post Disposition Not in Court the cursor will skip the remainder of the COURT HISTORY block and move to the assignment block
10. ONLY fields will be blank when initiating a criminal action The Participant Type determines the screens used to capture more detailed information about the Participant If Type is I Individual see Section 5 6 6 1 If Type is B Business see Section 5 6 6 9 If Type is P Property see Section 5 6 6 16 5 6 6 1 Individual Participant Additional information about individual participants is available for local use and is not required with the exception of Job Position which is required with a program category of 036 2 Figure 5 38 Individual Participant Last Name First Name and Role Last Name First Name and Role are carried over from the Participant block Salutation Enter the salutation used when corresponding with the Participant Title Enter the participant s official title if applicable Attorney at Law Professor of Criminology etc Job Pos Job Position Press F9 and select a code that defines the Participant s job or position in a business or organization if it is relevant to the case This field is required if Program Category is 036 Financial Institution Fraud Arrest Date Enter date of Participant s arrest if applicable Gender Press F9 and select a code for Participant s gender July 2012 5 30 Case 2 13 cv 00193 Document 798 3 Filed in TXSD on 11 20 14 Page 41 of 52 LIONS 5 4 User Manual Weight Press F9 and select a code that indicates the com
11. TAB or Enter LIONS automatically generates a USAOID number and populates the Recvd Date with the current date and Branch field with the branch of the person entering data Recvd Date Received Date Enter the date the referral was received in the office LIONS defaults to the current date however it can be changed The date entered CANNOT be later than the current date Lead Charge Press F9 and select the substantive statute U S code District of Columbia Code Virgin Islands Code Code of Federal Regulations CFR or State Code that is the primary basis for the referral or enter a code manually in the following format Enter a two digit Title 08 21 etc Leave a blank space for U S Code D for D C Code R for Code of Federal Regulations S for state code or T for Virgin Islands Code Enter a colon Enter a five digit section number 00013 02113 etc Enter the subsection A 1 b etc Prog Cat Program Category Press F9 and select the code that best describes the type of criminal action Branch LIONS defaults to the branch of the person entering data If this is incorrect Press F9 and select the correct Branch code Click OK 5 2 2 Defendants Enter the following information for each of the defendants in the referral July 2012 5 4 Case 2 13 cv 00193 Document 798 3 Filed in TXSD on 11 20 14 Page 15 of 52 LIONS 5 4 User Manual Type Press F9 and select the code that best
12. Task Force OCDETF Pretrial Diversion Unlawful Flight to Avoid Prosecution UFAP Appeal of a Magistrate Judge s Decision Post Disposition Proceedings Criminal Fraud Criminal Forfeiture Juveniles Rule 40 Proceedings Rule 20 Transfers Remand for New Sentence 5 1 Definitions Immediate Declination An offense referred to the United States Attorney that does not warrant federal prosecution based on the facts and circumstances presented No investigation is authorized and the offense is declined on the spot or immediately Less than one hour of AUSA time is required There are two other types of declinations which should not be confused with immediate declinations Field Declinations Complaints which the investigative agency declines based on its internal guidelines or those of the United States Attorney These are not formally presented to the United States Attorney but the agency may inform the United States Attorney s office periodically of the number of complaints it has declined These field declinations are not included in the United States Attorneys caseload statistics Matter Declinations Occur when prior to the filing of a complaint information or indictment a decision is made not to continue with the investigation of a matter that has been opened in LIONS and is under consideration for prosecution Matter A referral on which an attorney spends one hour or more investigating and on which formal papers hav
13. Type is B Business enter the IRS Employer Identification Number EIN July 2012 5 15 Case 2 13 cv 00193 Document 798 3 Filed in TXSD on 11 20 14 Page 26 of 52 LIONS 5 4 User Manual If Type is P Property enter the Consolidated Asset Tracking System CATS number Cit Stat Citizenship Status If Type is I Individual press F9 and select the code for the Defendant s citizenship status Cntry Country If Type is I Individual press F9 and select the Defendant s country of citizenship Opp Coun Initials Opposing Counsel Initials Press F9 and select the initials of the Opposing Counsel for the Defendant OppType Opposing Counsel Type Press F9 and select the type of counsel Start Date Enter the date the Opposing Counsel became involved in the action 5 5 6 Controlled Substance Only one substance may be entered in the Short form Additional substances may be added at any time using the General Update option Type Press F9 and select the code that describes the controlled substance under investigation Other If the type of controlled substance is O Other enter a brief description Required if Type is O Quantity Enter the actual quantity of the controlled substance seized Fractions must be converted to one or two decimal places For example 22 1 4 22 25 Measure Press F9 and select the unit of measure for the controlled substance You MUST select a unit of measure if Quantity h
14. defaults to P Plaintiff If this is incorrect press F9 and select the code that specifies the government s position in the case July 2012 5 21 Case 2 13 cv 00193 Document 798 3 Filed in TXSD on 11 20 14 Page 32 of 52 LIONS 5 4 User Manual Lit Resp Litigating Responsibility The Lit Resp field defaults to US Case Handled Exclusively by USAO If this is not correct press F9 and select the code for the office that has primary responsibility for the matter or case If this is not correct it can be changed LOV Domestic Terrorism You may select a type of Domestic Terrorism from the LOV as shown in Figure 5 25 or No if none There is also a section to add comments eps Figure 5 25 Domestic Terrorism Pop up DOJ Div Enter a code or codes for DOJ Division A pop up block is provided as shown in Figure 5 26 so that you can enter more than one DOJ Division If you have more than one DOJ Division to enter press F6 to insert or the DOWN ARROW to go to a blank line Otherwise press ENTER If you arrow down to a blank line and then change your mind press SHIFT F6 to return to the previous line and then press ENTER LOV NGNE Figure 5 26 DOJ Division Number Pop up DOJ Number Enter the file number assigned by the DOJ Division This field is required if a DOJ Division has been entered If a Case Number Exchange Form has been supplied by the DOJ Division enter the USAO Number on the form
15. describes the defendant l Individual B Business or organization P_ Property to be forfeited Role Press F9 and select one of the following four codes D Defendant DJ Juvenile Defendant DP Public Official Defendant DG Gang Member Defendant If Type is I Individual the pop up shown in Figure 5 4 will display Figure 5 4 Name Pop up Enter Individual defendant s Last Name and First Name and press Enter If Type is B Business Organization or P Property enter the name of the Business Organization or Property in the Name field Disp Reas Disposition Reason Press F9 and select the code that best describes the reason for the Immediate Declination CitStat Citizen Status Press F9 and select the code that identifies the Participant s citizenship status Cntry Country Press F9 and select the code for the Participant s country of citizenship If Program Category is 053 Firearms Triggerlock and the Defendant Type is Individual the pop up shown in Figure 5 5 will display after entering the defendant s First Name Click in the check box es that apply and press Return gt gt ms Characteristics Smith James aes ae 0 Figure 5 5 Firearms Characteristics Pop up If the Program Category is 036 Financial Institution Fraud and the Defendant Type is I Individual the pop up shown in Figure 5 6 will display after entering the Defendant s First Name Press F9 and select a Job Positi
16. press ALT E and select Edit from the menu To enter another participant put an X in the box labeled Go back to participant screen and then press TAB or ENTER Otherwise press CTRL PAGE DOWN or click on the Next Page button to go to the next screen If this is the last participant go to Section 5 6 7 for instructions on Controlled Substances 5 6 6 16 Property Participant More detailed information about a Property Participant can be entered in the PROPERTY screen shown in Figure 5 53 All fields in this screen are optional 2A LIONS CRIMINAL OPEN LONG cropen 1 50 ohn Smith ys HUD Figure 5 53 Property Participant Name Role This information is carried over from the Participant block Type Press F9 and select the code that describes the property e g aircraft cash currency LOV Total Tracts Enter the total number of tracts in Lands case CATS Asset ID Enter the number assigned to the property by the Consolidated Asset Tracking System The CATS Asset ID will be used to integrate the CATS system and the LIONS systems Therefore this number should be entered if available July 2012 5 39 Case 2 13 cv 00193 Document 798 3 Filed in TXSD on 11 20 14 Page 50 of 52 LIONS 5 4 User Manual Address Phone and Fax Numbers Enter the property address and phone numbers if applicable When you have finished entering the Property Participant information press CTRL PAGE DOWN or c
17. the case Events are created by your district and may be as specific or as general as the district deems necessary Related Cases Participant or case records linked to show relationships among participants or cases For example a criminal case that involves forfeitures related to a companion civil forfeiture case When the first Related Case record is entered linking the criminal case to the civil case LIONS creates the Related Case record linking the civil case back to the criminal case Case Notes Ancillary information about the case This feature was designed for AUSAs who want to maintain a summary of the case Samples of the data entry screens are included Many of the fields in the various data entry screens require codes selected from a List of Values LOV If an LOV code is required a reminder will display in the lower left corner of the screen as shown in Figure 5 1 In this example Priority is the name of the field The LOV can be accessed from a code field by pressing F9 Figure 5 1 LOV Reminder July 2012 5 1 Case 2 13 cv 00193 Document 798 3 Filed in TXSD on 11 20 14 Page 12 of 52 LIONS 5 4 User Manual A complete list of LIONS codes is available in Appendix A LIONS Code List Detailed coding procedures for the following criminal case types and situations can be found in Appendix E LIONS Coding Policies General Reinstatements Remands for New Trial Criminal Contempt of Court Hung Jury Narcotics
18. 0193 Document 798 3 Filed in TXSD on 11 20 14 Page 5 of 52 LIONS 5 4 1 User Manual 4 18 Civil Closings The Close a Case screen is used when all stages of a case including appeals have been completed The purpose of closing a case is to change the status from active to closed and to set the destruction date for the file or to mark the file for permanent retention Court Disposition Closing Relief and Closing Appeals information can be captured in this screen if it has not yet been recorded To close a civil case Select Civil Close Cases Close Case from the LIONS Main Menu as shown in Figure 4 62 Enter a USAOID and press F8 OR Select Civil Case Summary from the LIONS Main Menu Enter the USAOID and press F8 Select Close Case from the Case Summary menu ClosE cases O O Figure 4 62 Civil Close The Close a Case screen for the requested case opens as shown in Figure 4 63 SE a A EEE Cases July 2012 4 45 Case 2 13 cv 00193 Document 798 3 Filed in TXSD on 11 20 14 Page 6 of 52 LIONS 5 4 1 User Manual A LIONS CLOSE A CASE gnclose 1 19 Figure 4 63 Close a Case Certain fields in the CASE block LAST COURT STAGE block ASSIGNMENT block and RECORDS DISPOSITION block are pre populated from information entered previously Destruct Date Calculates when the status updates to C Completed 4 18 1 Closing a Civil Case In the CASE block Pe
19. Case 2 13 cv 00193 Document 798 3 Filed in TXSD on 11 20 14 Page 1 of 52 LIONS 5 4 1 User Manual Init Stat Initials Status Indicates whether the Opposing Attorney is actively involved in cases within the district Salutation Enter the appropriate salutation e g Ms Last Name Enter the new Opposing Attorney s last name First Name Enter the new Opposing Attorney s first name Title Enter an appropriate title e g Esquire Phone Enter the phone number of the Opposing Attorney Fax Enter the Fax number for the Opposing Attorney Firm Enter the name of the Opposing Attorney s law firm Address City State Zip Enter the Opposing Attorney s address To enter another Opposing Attorney press the DOWN ARROW to go to a blank record or press F6 to add a blank record and continue data entry e Press the Save icon to save the changes e Press Exit icon to exit the Opposing Attorney screen 4 17 3 Expert This option allows you to capture information about expert witnesses including the type of expert e g Banker To add an Expert to the Expert Picklist e Select Expert from the Picklists menu as shown in Figure 4 57 Legal Information Office Network System LIONS Figure 4 57 Picklist Expert The screen shown in Figure 4 58 will display July 2012 4 41 Case 2 13 cv 00193 Document 798 3 Filed in TXSD on 11 20 14 Page 2 of 52 LIONS 5 4 1 User Manual LIONS EXPERT PICKLIST gnen
20. Local Task Force JUFZ the agency number must be entered as 9XXXX XX 99999999 TAB ENTER or CONTROL PAGE DOWN to the AGENT block July 2012 5 26 Case 2 13 cv 00193 Document 798 3 Filed in TXSD on 11 20 14 Page 37 of 52 LIONS 5 4 User Manual 5 6 5 Agent The AGENT block shown in Figure 5 33 is a stacked block The counter in the upper right of the block indicates the number of Agents from a particular Agency that are in the stack and the relative position of each Use the up and down arrows to move through the record stack Figure 5 33 Agent Highlight an Agency in the AGENCY block for which Agent information is to be entered Enter as much information for each Agent from the selected Agency as is known Salutation Enter the salutation used in official correspondence with the agent Name Enter the agent s Last Name First Name Title LIONS automatically defaults to Special Agent Lead Agent Press F9 and select Y Yes if the Agent is Lead Agent Select N No if the Agent is not Lead Agent This information can be used for document generation Phone Fax Pager Email Enter as much of this information as is known To enter multiple Agents from a single Agency In the Agent block DOWN ARROW to go to a blank form or press F6 to insert a blank form Enter as much information as is known for the Agent As shown in Figure 5 34 each Agent entered will increase the counter for tha
21. OWN to go to the INVESTIGATIVE AGENCY block 5 5 4 Investigative Agency Only the Investigative Agency may be entered when using the Short form Other agencies may be added at any time using the General Update option Agency Press F9 and enter the code for the investigative agency that referred the criminal action to your office LOV July 2012 5 13 Case 2 13 cv 00193 Document 798 3 Filed in TXSD on 11 20 14 Page 24 of 52 LIONS 5 4 User Manual Agency Office READ ONLY This block is filled in based on the picklist of agencies previously entered by your district This information can be used for document generation See Chapter 9 for more information If you need to add or change agency offices see Chapter 6 Section 6 21 1 for instructions on adding or changing this information Agency Enter the number assigned to the action by the Agency When the Victim Witness indicator is Y and the agency is U S Postal Service PSUS or Joint Postal Service State or Local Task Force PSUZ the agency number must be entered as 9999999 AAAA When the Victim Witness indicator is Y and the agency is Federal Bureau of Investigation JUFB or Joint FBI State or Local Task Force JUFZ the agency number must be entered as 9XXXX XX 99999999 Agnt Last Name First Name Agent s Name Enter the name of the agent in charge of the referral Lead Agent This field is used to identify the Lead Agent in the matter or case Ente
22. Picklists menu as shown in Figure 4 59 July 2012 4 42 Case 2 13 cv 00193 Document 798 3 Filed in TXSD on 11 20 14 Page 3 of 52 LIONS 5 4 1 User Manual jal Information Office Network System LIONS Figure 4 59 Picklist Judge The screen and dialog box shown in Figure 4 60 will display Figure 4 60 Judge Click OK The Judge Picklist shown in will Figure 4 61 will open July 2012 4 43 Case 2 13 cv 00193 Document 798 3 Filed in TXSD on 11 20 14 Page 4 of 52 LIONS 5 4 1 User Manual Figure 4 61 Judge Picklist e Press F7 to enter a query To add a Judge DOWN ARROW to a blank line or click in any field and press F6 to add a blank record Initials Enter unique initials to identify the new Judge Judge Status Press F9 and select Active to indicate that the Judge is actively involved in cases within the district or Inactive if there is no involvement within the district Last Name Enter the new Judge s last name First Name Enter the new Judge s first name Type Press F9 and select the type code established by the district Courtroom Enter the Judge s Courtroom number To enter another Judge press the DOWN ARROW to go to a blank record or press F6 to add a blank record and continue data entry Press the Save icon to save the changes Press Exit icon to exit the Judge Pickilist July 2012 4 44 Case 2 13 cv 0
23. Press F9 and select the code that describes the type of business These codes are established by district EIN Enter the Employer Identification Number of the business or organization July 2012 5 36 Case 2 13 cv 00193 Document 798 3 Filed in TXSD on 11 20 14 Page 47 of 52 LIONS 5 4 User Manual Contact Name Enter the name of the individual who serves as point of contact for the business or organization Est Loss Estimated Loss Enter an estimate of the monetary loss to the Government Act Loss Actual Loss Enter the actual monetary loss to the Government Address Phone and Fax Information Enter the address and telephone numbers for the business or organization 5 6 6 10 Health Care Fraud Cases only If the criminal case or matter involves Health Care Fraud Health Care Type Press F9 and select a code for the business Type Other Health Care Text entry allowed only when the code of Health Care Type is 999 Other Type Not Classified When you have completed entering the Health Care Fraud Cases only information press CTRL PAGE DOWN or click 2 to go to the Firearms Charascteristics block 5 6 6 11 Firearms Characteristics e Press F9 and select Y Yes or N No for each of the questions in the Firearms Characteristics block shown in Figure 5 48 tS ed Figure 5 48 Firearms Characteristics Block 5 6 6 12 Doing Business as DBA Multiple names under which the business or organ
24. al Regulations S for state code or T for Virgin Islands Code Enter a colon Enter a five digit section number 00013 02113 etc Enter the subsection A 1 b etc Spec Project Special Project The Special Project Pop up screen is shown in Figure 5 23 The EOUSA has established a series of codes to be used for certain types of cases being monitored by its Legal Programs Staff These codes are used to flag cases in order to produce special reports needed by the team See Appendix A LIONS Code List Special Projects Criminal for Figure 5 23 Special ae at L Project Pop up Prog Cat Program Category Enter code that best describes the type of criminal action LIONS will automatically default to the Program Category pop up shown in Figure 5 24 Enter the most important Program Category first Figure 5 24 Program Category Pop up Press F9 and select the Program Category code If you have more than one Program Category DOWN ARROW to a blank line or press F6 to insert a blank line Press F9 and select a Program Category code for each subsequent criminal action For cases in which the United States has special jurisdiction e g assimilated crimes or offenses in Indian country enter one of the following program categories in addition to the substantive action 065 Indian Offenses Non Violent Crimes 084 Assimilated Crimes 092 Violent Crime in Indian Country US Role LIONS
25. and return the form to the Division Restrict Based on local office procedures you can restrict access to a case to a certain group of users provided you are a member of that group Enter Y Yes to restrict access Otherwise enter N No LOV You can only restrict cases to a group to which you belong If you enter a Y in the Restrict field you will receive the message shown in Figure 5 27 when you leave the CASE block Figure 5 27 Case Restricted Message When you click OK the Staff Group form shown in Figure 5 28 will be displayed Staff Groups Press F9 and select the group to which the criminal action is restricted Only a member of a selected group can restrict access to the case July 2012 5 22 Case 2 13 cv 00193 Document 798 3 Filed in TXSD on 11 20 14 Page 33 of 52 LIONS 5 4 User Manual 4 LIONS CASE STAFF GROUP gncsrest 1 3 Figure 5 28 Staff Group Form Press the Exit icon to return to the Criminal Long form Branch LIONS defaults to the Branch of the person entering information If this is incorrect press F9 and select the correct code and press OK The codes are established by district Unit Press F9 and select a code to designate a group within the office responsible for the matter or case The codes are established by district GJ Enter the Grand Jury Panel Number if applicable Offense Fr Offense from Date In cases where the offense occurred over a pe
26. as been entered 5 5 7 Instrument If you entered a Court code of NC Not in Court or PN Post Disposition Not in Court in the COURT HISTORY block LIONS will skip the INSTRUMENT and CHARGE COUNT blocks and move you to the EVENT block Instrument Type Press F9 and select the applicable code e g CO Complaint IN Indictment Required for criminal actions that have been filed in any court LOV For all Petty Offenses in Magistrate Court use CI Citation as the instrument type Filing Date The filing date will default to the Court Filing Date The Filing Date is required if an Instrument Type has been entered TAB ENTER or CONTROL PAGE DOWN to go to the CHARGE COUNT block 5 5 8 Charge Count Enter the following information for each charge listed in the charging instrument Note that only one charge per count should be entered The other statutory references in a count may be jurisdiction aiding and abetting or penalties Charge Press F9 and enter the charge including section and subsection All characters are required Enter a two digit Title 08 21 etc Leave a blank space for U S Code enter D for D C Code R for Code of Federal Regulations S for state code or T for Virgin Islands Code Enter a colon Enter a five digit section number 00013 02113 etc Enter the subsection A 1 b etc July 2012 Case 2 13 cv 00193 Document 798 3 Filed in TXSD on 11 20 14 Page 27
27. being prosecuted as an adult Defendant Status MUST be JT Juvenile Transferred to Adult Status If Defendant is a fugitive Defendant Status MUST be FU Fugitive Start Date Enter the date the Defendant status began This field is required if a status has been entered Deten Reason Detention Reason Press F9 and select a code that explains why the Defendant has been detained if applicable Custody Loc Custody Location Press F9 and select the code for the location where the Defendant is being held These codes are established by the district Bond Type Press F9 and select a code that describes the type of bond This field is required if a Defendant Status is BO Bond Bond Provider Enter the name of the bondsman if applicable Bond Amount Enter the amount of the bond if applicable This field is required if the Bond Type is CB Cash Bond End Date Enter the date the status of the Defendant changed Term Reason Termination Reason Press F9 and select a code that explains the reason for the Defendant Status change This field is required if an End Date has been entered When you have completed entering the Health Care Fraud information press CTRL PAGE DOWN or to go to the Firearms Characteristics block 5 6 6 3 Firearms Characteristics Answer the follow questions to the Firearms Characteristics section Was the defendant involved in the illegal use possession sale receipt transportation t
28. blic Official Defendant DG Gang Member Defendant e Name If Participant Type is I Individual the pop up shown in Figure 5 16 prompts for the last name and first name If Participant Type is P Property or B Business Organization enter the name in the Name field SOAS SSUES ANNAN a Figure 5 16 Participant Name Pop up lf the name search feature is activated LIONS will search the database to alert the user that another case involving the participant already exists To enable the search feature contact the System Manager If the Program Category is 053 Firearms Triggerlock and Type is I Individual the pop up shown in Figure 5 17 displays after entering the Defendant s first name Clicking the checkbox next to the question indicates a Yes response Leaving it blank indicates a No response irearms Characteristics Smith James as Figure 5 17 Firearms Characteristics Pop up If the Program Category is 036 Financial Institution Fraud and Type is Individual the pop up shown in Figure 5 18 will display after entering the Defendant s First Name Press F9 and select a Job Position code for the Defendant if applicable The pop up disappears and LIONS returns to the Open Short Form E Participant Job Positio Se o Figure 5 18 Job Position Pop up EIN SSN CATS Enter one of the following for each Defendant If Type is I Individual enter the Social Security Number SSN If
29. d was used by Document Generation when the VNS functionality was a part of LIONS Location Scheduled Enter a free form description of the location of the scheduled event Judge Initials Press F9 and select the initials of the Judge involved in the event or scheduled event LIONS will fill in the Judge s last name based on the initials entered Event Comment The event comment block is shown in Figure 5 19 Type in comments about the event and press Enter Figure 5 19 Event Comment Block If you have another event to enter press F6 to insert or the DOWN ARROW to go to a blank line To save and exit the form click on the Exit icon then click on Yes To save and continue with the Criminal Short form CTRL PAGE UP to the Caption block press F6 and click on Yes to save To exit without saving click on the Exit icon and then click on No July 2012 5 18 Case 2 13 cv 00193 Document 798 3 Filed in TXSD on 11 20 14 Page 29 of 52 LIONS 5 4 User Manual 5 6 Criminal Long Form The Criminal Long Form allows multiple program category codes related case information individual defendant information aliases and comments to be entered e Select Criminal Open Case Long Form from the LIONS Main Menu as shown in Figure 5 20 1 egal Information Office Network System LIONS es i Figure 5 20 Open Case Long Form The Criminal Open Long Form shown in Figure 5 21 will open
30. dictment is filed in court A case on appeal in which the United States is a defendant is remanded to the District Court for a new trial Do NOT initiate a criminal file when Information copies of investigative reports are sent to your office that are pending authorization by a DOJ Division For example criminal Tax or criminal Civil Rights investigations Cases are remanded to the District Court for re sentencing 5 4 How to Initiate a Criminal File in LIONS A criminal action is initiated in LIONS using the Criminal Short Form or the Criminal Long Form The Criminal Short Form allows you to enter information quickly by completing two screens Relationships that need to be made on an individual basis in the Long form are done automatically in the Short form For example all defendants will be related to all charges counts and events that you entered In the Long form you have to tell LIONS which defendants get related to which events It should be noted that using the Short form does not preclude entry of additional information at a later date It is recommended that this form be used for single defendant matters cases or where all the defendants are related to all charges counts and events entered Do not enter participants who are not defendants through the Short form The Criminal Long Form takes a little longer to complete but you can capture more information e g Multiple program category codes related case information individua
31. e case ended When you have completed entering the Opposing Counsel information press CTRL PAGE DOWN or click Dl to go to the PARTICIPANT COMMENTS block July 2012 5 35 Case 2 13 cv 00193 Document 798 3 Filed in TXSD on 11 20 14 Page 46 of 52 LIONS 5 4 User Manual 5 6 6 8 Participant Comments The following explains the values to be entered for the Participant Comments screen as shown in Figure 5 45 Figure 5 46 Participant Comments Participant Comments This field is available to supplement the information about the participant Enter text as you would in Word You can enter approximately 35 lines of text To see more of the comment screen press ALT E and select Edit from the menu If you have another participant to enter put an X in the box labeled Go back to participant screen and then press TAB or ENTER Otherwise press CTRL PAGE DOWN or click K1 to go to the next screen If this is the last participant go to Section 5 6 7 for instructions on Controlled Substance 5 6 6 9 Business Participant The BUSINESS screen shown in Figure 5 47 is used to capture more detailed information about a Business Organization Participant e g type of business EIN number business contact and the business address All fields on this screen are optional 42007R01211 Figure 5 47 Business Screen Name Role This information is carried over from the Participant block Type
32. e not been filed with the Court If a decision is made not to continue with the investigation it is disposed of in LIONS by declination and closed Declination of an investigation should not be confused with an immediate declination Preliminary Proceeding or Miscellaneous Filing Court filings such as for search warrants Rule 5 hearings etc for which a Miscellaneous Number is normally assigned These are distinguished from other District or Magistrate Court filings July 2012 5 2 Case 2 13 cv 00193 Document 798 3 Filed in TXSD on 11 20 14 Page 13 of 52 LIONS 5 4 User Manuai Case A case begins with the assignment of a number other than a Miscellaneous Number by a court below the Appeals Court level where the defendants are to be tried When defendants are split out from a case and assigned new court numbers another case must be opened for those defendants Complaint A written statement filed with the Magistrate stating that a specified offense has been committed Information The formal accusation charging the defendant with a particular crime An Information is brought by the United States Attorney rather than by a grand jury Indictment The formal accusation by a grand jury charging a defendant with a particular crime Felony An offense punishable by death or imprisonment for a term exceeding one year Misdemeanor An offense punishable by imprisonment for a term not exceeding one year without regard to fine a
33. e scroll bar at the bottom of the block means that there is more information than what appears on the screen Click on the left and right arrow keys on the scroll bar to move back and forth within the block Event Press F9 and select the code that best describes the event Action Press F9 and select the code that describes the status of event If an Event is entered an Event Date or Scheduled Date MUST be entered Event Date Enter the date the event occurred If scheduling an event leave this field blank Date Scheduled Enter the date an event is scheduled to occur Scheduled Dates appear on staff members calendar reports Scheduled dates MUST be later than the current date Time Scheduled Enter the time an event is scheduled to occur Scheduled times appear on staff member s calendars Staff Initials LIONS defaults to the initials of the Lead AUSA If this is incorrect press F9 and select the appropriate attorney staff initials July 2012 5 17 Case 2 13 cv 00193 Document 798 3 Filed in TXSD on 11 20 14 Page 28 of 52 LIONS 5 4 User Manual Doc Code Document Code This field was used for generating letters when VNS was a part of LIONS Doc Staff Initials Document Staff Initials LIONS defaults to the initials of the person logged into LIONS This field was used by Document Generation when the VNS functionality was a part of LIONS Document Date Document Date defaults to the current date This fiel
34. eld CANNOT be changed The Status remains A Active until the criminal action is closed See Chapter 6 Criminal Updates and Closings for more information Priority Enter a code to indicate whether the referral falls into a category assigned a priority by the Attorney General and or the United States Attorney See the definition of each Program Category in Appendix A to determine if the case is a priority of the Attorney General LOV Lead Charge Enter the substantive statute that is the primary basis for the referral using the U S Code District of Columbia Code Virgin Islands Code Code of Federal Regulations CFR or State Code All characters are required The following guidelines should be followed when selecting a lead charge July 2012 5 20 Case 2 13 cv 00193 Document 798 3 Filed in TXSD on 11 20 14 Page 31 of 52 LIONS 5 4 User Manual The Lead Charge should be a substantive charge Do not use a statutory reference to a penalty jurisdiction or aiding and abetting as the Lead Charge The Lead Charge should be reviewed when charges are filed and modified as needed Do not assume that the Lead Charge is the charge in the first count It may be listed in a later count Do not assume that the charge with the greatest potential sentence is the Lead Charge Use the following format for the charge Enter a two digit Title 08 21 etc a Leave a blank space for U S code enter D for D C Code R for Code of Feder
35. elect the Judge hearing the criminal action The Judge s name will be filled in based on the initials entered The codes for this field are established by the district Start Date If a Judge is entered the Start Date defaults to the current date however it can be changed Disp Disp Date Disposition Disposition Date These are READ ONLY fields on this screen and are not relevant to matter case initiation 5 6 3 Court Staff Assignment In LIONS you must enter the Lead AUSA for each case If the Victim Witness Indicator is set to Y you must also enter a Victim Witness Coordinator You can also track other employees assigned to a case e g co counsel paralegals etc The first entry must be the L Lead attorney assigned to the criminal action The Position field for the first entry will default to L Lead If the Victim Witness Indicator is set to Y the system will prompt you to enter the initials for the Victim Witness Coordinator and place a V Victim Witness Coordinator in the Position field if you have not entered one prior to exiting the Assignment block Figure 5 29 Court Staff Assignment Block Inits Initials Press F9 and enter the initials of the staff member s assigned to the matter or case The codes initials for this field are established by your district LIONS will automatically fill in the staff member s name based on the initials entered LOV Position Press F9 and enter the code for s
36. finished relating participants press CTRL PAGE DOWN or click to go to the OPPOSING COUNSEL block shown in Figure 5 51 5 6 6 14 Business Opposing Counsel The following explains the values to be entered for the Opposing Counsel block Figure 5 51 Business Opposing Counsel Block Inits Initials Press F9 and select the initials of the opposing counsel The codes initials are established by the district Name The name will be filled in based on the initials entered Type Press F9 and select the code that describes the type of counsel Start Date Enter the date the opposing counsel became involved in the case End Date This field is not used when opening a criminal action Use this field to record the date the opposing counsel s involvement in the case ended When you have finished entering the Opposing Counsel information press CTRL PAGE DOWN or click Eito go to the PARTICIPANT COMMENTS block shown in Figure 5 52 July 2012 5 38 Case 2 13 cv 00193 Document 798 3 Filed in TXSD on 11 20 14 Page 49 of 52 LIONS 5 4 User Manual 6 6 15 Participant Comments This field is available to enter supplemental the information about the participant Figure 5 52 Participant Comments Participant Comments This field is available to supplement the information about the participant Enter text as you would in Word You can enter approximately 35 lines of text To see more of the comment screen
37. ge 22 of 52 LIONS 5 4 User Manual Restrict Based on local office procedures you can restrict access to a case to a certain group of users provided you are a member of that group Enter Y Yes to restrict access Otherwise enter N No LOV Branch LIONS defaults to the branch of the person entering the information If this is incorrect press F9 select the correct code and press OK The codes are established by district Weight Press F9 and select a code that indicates the complexity of the matter or case This is used for assignment purposes The codes are established by district Unit Press F9 and select a code to designate a group within the office responsible for the matter or case The codes are established by district Offense From Offense from Date In cases where the offense occurred over a period of time enter the beginning date If the offense occurred on one day enter that date This information should be entered if known since it affects the collection of any fine that is imposed Offense To Offense to Date For a continuing offense enter the ending date Security Press F9 and select a code that describes the level of security for the criminal action Type Press F9 and select a code that further describes the nature of the criminal action CV Pot Civil Potential If there is a possibility of a civil action arising out of the criminal action e g A Asset Forfeiture Potential or
38. it Resp Litigating Responsibility LIONS defaults to US Case Handled Exclusively by USAO If this is not correct press F9 and select the code for the office that has primary responsibility for the matter or case If the Litigating Responsibility Code is DJ RD or SD the appropriate DOJ Division code MUST be entered Domestic Terrorism LIONS will automatically default to the pop up shown in Figure 5 14 DOMESTIC TERRORIS i Ue 3 i Figure 5 14 Domestic Terrorism Pop up Press F9 to select from the LOV type of Domestic Terrorism There is a section to add comments This field is required when Program Category is 072 Domestic Terrorism DOJ Division Enter the DOJ Division code if applicable Only one DOJ Division and DOJ Number can be entered when using the Short form Additional information may be added using the General Update option Enter the DOJ Division if a DOJ Number has been provided even if the Litigating Responsibility is US If the Litigating Responsibility Code is DJ RD or SD the appropriate DOJ Division code MUST be entered If you previously entered an OCDETF Program Category Code 047 LIONS will automatically insert ZNTF as the DOJ Division You must enter the number assigned by the Core City Administrative Unit in the file number field DOJ Enter the number assigned to the case by the DOJ Division if applicable July 2012 5 71 Case 2 13 cv 00193 Document 798 3 Filed in TXSD on 11 20 14 Pa
39. ization operates can be entered in the Doing Business as DBA block shown in Figure 5 49 JONG Big Company Figure 5 49 Doing Business as Block Doing Business As DBA You can enter another name for the business if applicable More than one DBA can be entered July 2012 5 37 Case 2 13 cv 00193 Document 798 3 Filed in TXSD on 11 20 14 Page 48 of 52 LIONS 5 4 User Manual When you have finished entering the DBA information press CTRL PAGE DOWN or clic to go to the RELATED PARTICIPANT block shown in Figure 5 50 5 6 6 13 Related Participant If there are multiple Participants relationships can be established to relate one Particpant and another in the same case using the Related Participant block shown in Figure 5 50 The following explains the values to be entered for the Participant screen Figure 5 50 Related Participant Block Name You can relate one participant in a case to another participant in the same case e g relate a claimant to a piece of property Participants for this block must be chosen by pressing F9 and selecting a participant name LOV Role LIONS pre populates the Role field from information entered in the Participant screen Reason Press F9 and enter the code that describes why one participant in a case is related to another participant in the same case This is required if a name has been selected from the List of Values LOV When you have
40. l defendant information aliases and comments To initiate a criminal matter or case in LIONS click on the Criminal option from the Main Menu or press ALT R From the pull down menu click on one of the following open case Short form or press the letter S open case Long form or press the letter L 5 5 Criminal Short Form It is recommended that the Criminal Short Form be used when there is a single defendant or where all defendants are related to all charges counts and events Do not enter participants who are NOT defendants through the Criminal Short Form July 2012 5 8 Case 2 13 cv 00193 Document 798 3 Filed in TXSD on 11 20 14 Page 19 of 52 LIONS 5 4 User Manual Select Criminal Open Case Short Form from the LIONS Main Menu as shown in Figure 5 11 24 Legal Information Office Network System ae Figure 5 11 Criminal Open Case Short Form The Criminal Open Short Form shown in Figure 5 12 opens 4 LIONS CRIMINAL OPEN SHORT ESS 3 n lt Figure 5 42 Criminal Open Short USAOID The USAO Number is generated by LIONS when a matter or case is opened It is used to track the case throughout its life including appeals Caption Enter a reference name for the criminal action in accordance with local office procedure July 2012 5 9 Case 2 13 cv 00193 Document 798 3 Filed in TXSD on 11 20 14 Page 20 of 52 LIONS 5 4 User Manual As shown in Figu
41. lick to go to the PROPERTY VALUE block shown in Figure 5 54 5 6 6 17 Property Value The Property Value block can be used to maintain a history of a property s valuation over the life of the matter case Figure 5 54 Property Value Type Press F9 and enter the code that identifies the source of property value AP for Appraised for example LOV Value Enter the dollar amount that applies to the value of the property Prop Date Property Date Enter the date the property was valued When you have finished entering the Property Value information press CTRL PAGE DOWN or click IZ to go to the RELATED PARTICIPANT 5 6 6 18 Related Participant You can relate one participant in a case to another participant in the same case e g relate a claimant to a piece of property When you relate the current case to another case in LIONS a matching record will be created for the related case as shown in Figure 5 55 Figure 5 55 Related Participant Name Press F9 and select the Participant you wish to relate to the Property Participant Role LIONS pre populates the Role field from information entered in the Participant screen Reason Press F9 and enter the code that describes why one participant in a case is related to another participant in the same case This is required if a name has been selected from the List of Values LOV July 2012 5 40 Case 2 13 cv 00193 Document 798 3
42. ls entered The codes for the field are established by your district Start Date Enter the date the Judge was assigned to the case LIONS defaults to the current date If this is incorrect highlight the field and enter the correct date The date entered CANNOT be greater than the current date 5 5 3 Assignment Information in the Assignment block is used to track all staff assignments in a criminal action At a minimum the Lead AUSA must be entered and a Victim Witness Coordinator if applicable Other staff assignments such as co counsel can be entered and tracked but are not required Inits Initials Press F9 and enter the initials of the staff member s assigned to the matter or case The codes initials for this field are established by your district LIONS will automatically fill in the staff member s name based on the initials entered LOV Position Press F9 and enter the code for staff member s position LIONS will default the first entry to L Lead Only one Lead attorney may be open at a time LOV Victim Witness Coordinator Press F9 and enter the initials for the Victim Witness Coordinator Start Date LIONS defaults to the current date If this is incorrect highlight the field and enter the correct date The date CANNOT be greater than the current date If you have another staff member assignment to enter press F6 to insert or the DOWN ARROW to go to a blank line otherwise press ENTER or CTRL PAGE D
43. mount Petty Offense or Citation A Class B misdemeanor a Class C misdemeanor or an infraction for which the maximum fine is not greater than the amount set forth for such an offense in 18 USC 3571 b 6 or 7 in the case of an individual or 18 USC 3571 c 6 or 7 in the case of an organization All charges involving the Code of Federal Regulations CFR are Petty Offenses 5 2 Immediate Declinations Report an immediate criminal declination for any offense referred for prosecution which does not warrant federal prosecution based on the facts and circumstances presented No investigation is authorized or less than one hour of AUSA time is required OR Select Criminal Immediate Declination from the LIONS Main Menu as shown in Figure 5 2 Legal Information Office Network System LIONS Figure 5 2 Criminal Immediate Declination Press ALT R and select Immediate Declination from the pull down menu or press the letter I The Criminal Immediate Declination screen displays as shown in Figure 5 3 July 2012 5 3 Case 2 13 cv 00193 Document 798 3 Filed in TXSD on 11 20 14 Page 14 of 52 LIONS 5 4 User Manual Figure 5 3 Criminal Immediate Declination Form 5 2 1 Case The following explains the values to be entered for the Case screen Caption Enter a reference name for the criminal action in accordance with local office procedure Press
44. n Codes Enter a disposition code for the record Date Enter the date of record disposition To receive credit for Civil cases disposed of by Trial one of the following Disposition Codes MUST be entered JJ Judgment Order Decision for U S Jury Trial JT Judgment Order Decision for Opposing Party Jury Trial JX Judgment Order Decision for U S Non jury Trial JY Judgment Order Decision for Opposing Party Non jury Trial To receive credit for Civil cases disposed of without Trial one of the following Disposition Codes MUST be entered JO Judgment Order Decision for Opposing Party No Trial JU Judgment Order Decision for U S No Trial Close the Court Participants if the disposition information for individual participants is different than the overall disposition of the case If you do not close the Court Participants LIONS will move the disposition and disposition date from the Court History record to the Court Participant records Press the Exit icon and click Y Yes in the Save Dialog box to save changes and go to the CLOSE A CASE screen See Section 4 11 Court History for additional information on closing Court Disposition records 4 18 2 Close Relief The number of Relief records in the RECORDS DISPOSITION block will be 0 or 1 If the number in the field is 0 no action is required July 2012 4 47 Case 2 13 cv 00193 Document 798 3 Filed in TXSD on 11 20 14 Page 8 of 52 LIONS 5 4 1 User Manual
45. of 52 LIONS 5 4 User Manual Penalty Provision Press F9 and select a penalty provision code if applicable Category Press F9 and select one of the following a F Felony M Misdemeanor a P Petty Offense If Charge is from the Code of Federal Regulations CFR the Category MUST be P Petty Offense Count If the charge appears in only one count enter the number of that count If the charge appears in more than one count and the counts are sequential enter the first count followed by a dash and then the last count e g 3 9 If the Charge appears in multiple non sequential counts Enter the first count DOWN ARROW to the next field and enter the second count Repeat for each count in which the Charge appears To enter additional Charges in the Instrument Press CONTROL PAGE UP to go to the Charge Count field DOWN ARROW to a blank line or press F6 to insert additional blank lines Charge Count Press F9 and select a code or enter the charge code including section and subsection All characters are required Penalty Provision Press F9 and select a code for the penalty provision if applicable Category Press F9 and select F Felony M Misdemeanor or P Petty Offense a Count Enter the number of the count in which the charge appears ALL Charges Counts are automatically attached to ALL Participants in the Open Short form 5 5 9 Event The EVENT block is a scrollable block Th
46. of the controlled substance seized Fractions must be converted to one or two place decimals For example 22 1 4 22 25 Required if type is entered Measure Enter the code for the unit of measure of the controlled substance Measure is required if Quantity has been entered Controlled Substance Comments Enter text as you would in Word You can enter approximately 35 lines of text To see more of the comment screen press ALT E and select Edit from the menu If Court is NC Not in Court or PN Post Disposition Not in Court in the COURT HISTORY block LIONS will skip the INSTRUMENT and CHARGE COUNT blocks and move to the EVENT block July 2012 5 42
47. on code The pop up disappears and LIONS returns to the Criminal Immediate Declination screen Participant Job Positi July 2012 5 5 Case 2 13 cv 00193 Document 798 3 Filed in TXSD on 11 20 14 Page 16 of 52 LIONS 5 4 User Manual Figure 5 6 Job Position Pop up 5 2 3 Investigative Agency The following explains the values to be entered for the Investigative Agency screen LIST OF VALUES FOR AGENCY Figure 5 7 List of Values for Agency Agency Enter the investigative agency that referred the criminal action to the office If the Agency has more than one location select the appropriate one from the List of Values as shown in Figure 5 7 Agency Enter the file number assigned by the investigating agency that referred the criminal action 5 2 4 Assignment The following explains the values to be entered for the Assignment screen Lead AUSA Press F9 and select the name of the attorney who authorized the declination and press OK The name will automatically be filled in based on the initials selected Position will default to L Start Date The date the criminal action was received This field defaults to the current date If this is incorrect enter the correct date Date entered CANNOT be later than the current date 5 2 5 Dispositions The following explains the values to be entered for the Disposition block Date The date the referral was declined This field defaults to the cu
48. pant e g D Defendant At least one defendant with one of the following codes is required in a criminal matter or case D Defendant DJ Juvenile Defendant DP Public Official Defendant DG Gang Member Defendant Def Defendant Number Use this field to order Defendants as they were named in the charging Instrument Entering a number in this field will NOT change the order in which the Defendants were entered in the Participant block This field can only be populated when Role is D Defendant or P Plaintiff Name If Participant Type is Individual the pop up shown in Figure 5 36 prompts for the Participant s last name and first name Ee ee Figure 5 36 Name Pop up block Enter a first and last name If participant Type is B Business Organization or P Property enter the business or property name in the field as shown in Figure 5 37 ae Figure 5 37 Participant Name July 2012 5 29 Case 2 13 cv 00193 Document 798 3 Filed in TXSD on 11 20 14 Page 40 of 52 LIONS 5 4 User Manual lf the name search feature is activated LIONS will search the database to alert the user that another case involving the participant already exists To enable the search feature contact the System Manager Disposition READ ONLY Lower Court Appeal Court These READ ONLY fields include Di Disposition Disposition Reas Reason and Disp Date Disposition for both courts These READ
49. pant s Country of Citizenship is known Est Loss Estimated Loss Enter the estimated monetary loss to the United States if applicable Data in this field is used to track estimated losses to the U S Act Loss Actual Loss Enter the actual monetary loss to the United States if applicable Data in this field is used to track actual losses to the U S Office and Home Address Phone and Fax Numbers Enter as much information in these fields as is known When you have finished entering the Individual Participant information press CTRL PAGE DOWN or click the Next Page button to go to the DEFENDANT STATUS block When the Role of the Participant is Defendant the sequence of blocks is different than the sequence for other Participant Roles For example Defendant Status information is only applicable to Defendant Participants and consequently is not displayed for other Role types July 2012 5 31 Case 2 13 cv 00193 Document 798 3 Filed in TXSD on 11 20 14 Page 42 of 52 LIONS 5 4 User Manual 5 6 6 2 Defendant Status The Defendant Status block shown in Figure 5 39 is used to capture multiple status records for a Defendant as the matter or case progresses If Role is not a Defendant code LIONS will bypass this block and display the ALIAS block Ze EL ISR E Figure 5 39 Defendant Status Status Press F9 and select the code that designates the status of the defendant If Defendant is a juvenile
50. pert 1 2 Edi Figure 4 58 Expert Inits Initials Enter a unique set of initials for the Expert Init Stat Initials Status Press F9 and select Active to Indicate that the Expert is actively involved in cases within the district or Inactive if there is no involvement within the district Social Security Number SSN Enter the Expert s social security number Salutation Enter an appropriate salutation e g Ms Last Name Enter the Expert s last name First Name Enter the Expert s first name Type Enter the Type of expertise or press F9 and select a code for the Expert s area of expertise Title Enter an appropriate title e g Doctor of Forensics Phone Fax Enter the phone number of the Expert Firm Enter the name of the Expert s firm Address City State Zip Enter the Expert s address Press the TAB button to move to the Expert Comments Field Expert Comments A Comments block is provided for additional notes if applicable Enter text as you would in WordPerfect You can enter approximately 35 lines of text To enter another Expert press the DOWN ARROW to go to a blank record or press F6 to add a blank record and continue data entry e Press the Save icon to save the changes e Press Exit icon to exit the Opposing Attorney screen 4 17 4 Judge This option allows you to capture information about judges To add a Judge to the Judge Pickilist e Select Judge from the
51. plexity of the case for assignment purposes Weight is a Local Code assigned by the Districts SSN Social Security Number Enter the Participant s social security number DOB Date of Birth Enter the Participant s date of birth Juvenile Press F9 and select Y Yes or N No to identify Participant as a juvenile This indicator must be set to Y if the defendant was a juvenile at the time of the offense This includes juveniles who are to be prosecuted as adults LOV Crim Hist Criminal History Press F9 and select Y Yes if the Participant has a criminal history Enter N No if there is no known criminal history FBI Enter the number assigned to the case by the Federal Bureau of Investigation if applicable PDID Enter the Police Department Identification Number if applicable Marshal Enter the number assigned to the case by the U S Marshals Marshal is MANDATORY for any Defendant sentenced in a case where Vic Wit is Y Yes Tribe Press F9 and select the code for the Native American tribe of which the Participant is a member if applicable Reserv Reservation Enter Native American reservation or military installation where the offense occurred if applicable Cit Status Citizenship Status This field should already have default values from the previous page Country This field should already have default values from the previous page U Unknown should ONLY be used until the Partici
52. r Y if this is the Lead Agent 5 5 5 Participant In LIONS a participant is a defendant witness piece of property to be forfeited or any other individual organization or business associated with the case At a minimum one defendant participant must be entered When using the Short form enter only defendants Additional participants can be added through update See Chapter 6 Section 6 19 for additional participant information Participants are related to the Court History When a user initiates a criminal action LIONS automatically relates all of the participants to the current Court History stage Participant Court records are discussed in detail in Chapter 6 Criminal Updates and Closings 009R00005 Figure 5 15 Criminal Short Form Page 2 Enter the following information for each defendant in the matter or case Enter and select the code that best describes the participant Type Press F9 and select the code that best describes the participant Individual July 2012 5 14 Case 2 13 cv 00193 Document 798 3 Filed in TXSD on 11 20 14 Page 25 of 52 LIONS 5 4 User Manual B Business or organization P_ Property to be forfeited Role Enter the code that best describes the type of defendant At least one defendant is required in a criminal matter or case When using the Short form do not enter other types of participants D Defendant DJ Juvenile Defendant DP Pu
53. ransfer purchase or manufacture of a firearm or firearm accessories or ammunition Did the defendant s offense involve or implicate or was the offense discovered as a result of the National Instant Check System Brady e Press F9 and select Y Yes or N No for each of the questions in the Firearms Characteristics block shown in Figure 5 40 July 2012 5 32 Case 2 13 cv 00193 Document 798 3 Filed in TXSD on 11 20 14 Page 43 of 52 LIONS 5 4 User Manual Figure 5 40 Firearms Characteristics Block 5 6 6 4 Health Care Fraud Cases Only If Program Category is 03G Health Care Fraud the HEALTH CARE FRAUD CASES ONLY block shown in Figure 5 41 displays 05 ne ees cD ed ESS SENSES SEE STORE ERIS SSDS i Saget Figure 5 41 Health Care Fraud Cases Only NPI National Provider Identification Enter the National Provider Identification code Occupation Press F9 and select the code that identifies the Occupation Field of Licensure Other Occup Desc Enter other Occupations Fields of Licensure if applicable Employer Enter the name of Individual Participant s employer Employer Type Press F9 and select a code which describes the type of employer Other Employ Desc Enter other employer type description Employer Address Enter the employer s address Employer Phone Enter the employer s phone number Employer Fax Enter the employer s Fax number July 2012 5 33
54. re 5 13 the CASE block opens with default information in certain fields All default information in the CASE block can be changed H LIONS CRIMINAL OPEN SHORT crfast 1 38 Figure 5 13 Criminal Initiation Short Form 5 5 1 Case The following explains the values to be entered for the Case screen Recvd Date Received Date The field defaults to the current date If this is incorrect highlight the field and enter the date the criminal action was received in the office The date entered CANNOT be greater than the current date Priority Enter the code that indicates whether a referral falls into a category assigned a priority by the Attorney General and or the United States Attorney The description of each Program Category in Appendix A includes whether it is a National Priority LOV Spec Proj Special Project The EOUSA has established a series of codes to be used for certain types of cases being monitored by its Legal Programs Staff These codes are used to flag cases in order to produce special reports needed by the staff Enter the code that describes a special project category or enter N for none of the above LOV Lead Charge The substantive statute that is the primary basis for the referral using the U S code District of Columbia code Virgin Islands code Code of Federal Regulations CFR or State code All characters are required System Managers submit reque
55. riod of time enter the beginning date If the offense occurred on one day enter that date This information should be entered if known since it affects the collection of any fine that is imposed Offense To Offense to Date For a continuing offense enter an end date Security Press F9 and select a code for the level of security assigned the case Type Press F9 and select a code that further describes the nature of the criminal action Weight Press F9 and select a code to indicate the complexity of the case for assignment purposes The codes are established by district CV Pot Civil Potential If there is a possibility of a civil action arising out of the criminal action e g A Asset Forfeiture Potential or M Monetary Loss to U S enter the appropriate code Otherwise leave blank LOV Vic Wit Victim Witness This field is mandatory Press F9 and select Y Yes N No or W Witness When the Victim Witness flag is Y then the Victim Witness Coordinator is mandatory When the Victim Witness indicator is Y and the agency is U S Postal Service PSUS or Joint Postal Service State or Local Task Force PSUZ the agency number must be entered as 9999999 AAAA When the Victim Witness indicator is Y and the agency is Federal Bureau of Investigation JUFB or Joint FBI State or Local Task Force JUFZ the agency number must be entered as 9XXXX XX 99999999 July 2012 5 23 Case 2 13 cv 00193 Doc
56. rm Permanent Enter Y Yes or N No to indicate whether files are permanent Files are designated as permanent if either of the following criteria applies 1 The case has an impact on a statute rule regulation or law enforcement policy e g set a precedent or 2 the case received local regional or national media attention or the interest of a Congressional committee or the Executive Office of the President or widespread public interest See FOUSA Resource Manual 123 Collect Ind Press F9 and select Y Yes if the file will be referred to the Financial Litigation Unit R Referred to Agency if the file is being returned to the agency for post disposition collection activities N No if neither of these conditions applies In the RECORDS DISPOSITION block The number in the Record s to be Disposed column indicates the number of records of each type to be closed If Status is Completed no action is required If Status is Incomplete Press F3 to go to the COURT PARTICIPANTS block of the COURT HISTORY as shown in Figure 4 64 July 2012 4 46 Case 2 13 cv 00193 Document 798 3 Filed in TXSD on 11 20 14 Page 7 of 52 LIONS 5 4 1 User Manual ohn Smith vs HUD Figure 4 64 Close Court History Click in the COURT HISTORY block to select the appropriate Court Select the Participant from the COURT PARTICIPANTS block Di Disposition Click in the field and press F9 to access Dispositio
57. rrent date If this is incorrect enter the correct date Date entered CANNOT be later than the current date Reason Press F9 and select codes for up to three Disposition Reasons The first Reason should be the same as the Reason Code entered in the DEFENDANTS block 5 2 6 Case Comment At local option enter text as you would in WordPerfect Approximately 35 lines of text can be entered To expand the comment screen press ALT E and select Edit from the pull down menu 5 2 7 Exit Criminal Immediate Declination Screen Press the Save icon The pop up shown in Figure 5 8 will display Click OK July 2012 5 6 Case 2 13 cv 00193 Document 798 3 Filed in TXSD on 11 20 14 Page 17 of 52 LIONS 5 4 User Manual Figure 5 8 Transaction Confirmation Dialog Box Figure 5 9 Print Case Query Report Dialog Box Press Yes to print the report Press No then the Exit icon to exit the Criminal Immediate Declination screen Attempting to Exit without saving will cause the pop up shown in Figure 5 10 to display Figure 5 10 Save Changes Dialog Box July 2012 5 7 Case 2 13 cv 00193 Document 798 3 Filed in TXSD on 11 20 14 Page 18 of 52 LIONS 5 4 User Manual 5 3 When to Initiate a Criminal File General Rule Initiate a criminal matter case new USAO Number when An investigation is authorized and an attorney spends one hour or more working on the investigation A citation complaint information or in
58. s have been updated press F10 to accept save updates The dialog box shown in Figure 4 67 opens Figure 4 67 Save Click OK The Confirmation Dialog Box shown in Figure 4 68 opens July 2012 4 49 Case 2 13 cv 00193 Document 798 3 Filed in TXSD on 11 20 14 Page 10 of 52 LIONS 5 4 1 User Manual Figure 4 68 Confirmation Dialog Box Click OK The Case Query Report Dialog Box shown in Figure 4 69 will display Forms Press Y Yes to print a report Press N No to Exit As shown in Figure 4 70 the CASE block Status is C Completed The RECORDS DISPOSITION block Status is Completed and Records to be Disposed is 0 for each type of record LIONS CLOSE A CASE gnclose 1 19 Sane Figure 4 70 Closed Civil Case July 2012 4 50 Case 2 13 cv 00193 Document 798 3 Filed in TXSD on 11 20 14 Page 11 of 52 LIONS 5 4 User Manual 5 0 CRIMINAL INITIATION This chapter provides instructions for initiating and managing criminal cases in LIONS using a series of screens which collect detailed information concerning the following Case Provides an overview of the case It contains lead charge program category the U S role litigating responsibility security and access restrictions location and at the district s discretion the weight and complexity of the case Court History Creates a history of all court filings for each case A new Court
59. sor will skip the remainder of the COURT HISTORY block and move to the COURT STAFF ASSIGNMENT block Appeal Type This field is to be used for Appeal ONLY cases See Chapter 8 Appeals for instructions on entering an Appeal Filing Date Enter the date the criminal action was filed in court The date entered CANNOT be earlier than the Recvd Date or later than the current date Court Number Enter the docket number assigned to the criminal action by the court This field is required when a court code other than NC Not in Court or PN Post Disposition Not in Court has been entered Because the Victim Notification System VNS links with the Electronic Case Filing ECF system the following court number format will be enforced when the court selected is magistrate court or district court e Positions 1 2 are to be numeric 2 digits i e 11 Position 3 is to be a dash i e Positions 4 5 are to be alpha character 2 characters i e CR Position 6 is to be a dash i e Positions 7 11 are to be numeric all 5 positions must contain a digit If the number is less than 5 digits add leading zeros i e 01234 00123 00012 00001 e Values in positions 12 on are not looked at by VNS and are free for your use Examples 11 CR 01234 11 CR 01234 E 11 CR 01234 1 11 CR 01234 01 July 2012 5 24 Case 2 13 cv 00193 Document 798 3 Filed in TXSD on 11 20 14 Page 35 of 52 LIONS 5 4 User Manual Judge Press F9 and s
60. sts for new charge codes to TechOne LOV Follow these guidelines when selecting a Lead Charge The Lead Charge should be a substantive charge Do not use a statutory reference to a penalty jurisdiction or aiding and abetting as the lead charge The Lead Charge should be reviewed when charges are filed and modified as needed Do not assume that the Lead Charge is the charge in the first count It may be listed in a later count July 2012 5 10 Case 2 13 cv 00193 Document 798 3 Filed in TXSD on 11 20 14 Page 21 of 52 LIONS 5 4 User Manual While it is often the case do not assume that the charge with the greatest potential sentence is the Lead Charge Press F9 and select the code that applies or enter a code manually all characters are required To manually enter a code for the Lead Charge a Enter a two digit Title 08 21 etc Leave a blank space for U S Code D for D C Code R for Code of Federal Regulations S for State Code or T for Virgin Islands Code Enter a colon a Enter a five digit section number 00013 02113 etc Enter the subsection A 1 b etc Prog Cat Program Category Press F9 and select the code that best describes the type of criminal action Only one Program Category can be entered when using the Short form US Role LIONS defaults to P Plaintiff If this is incorrect press F9 and select the code that identifies the government s position in the case L
61. t Agency by one July 2012 5 27 Case 2 13 cv 00193 Document 798 3 Filed in TXSD on 11 20 14 Page 38 of 52 LIONS 5 4 User Manual EN LIONS CRIMINAL OPEN LONG cropen 1 50 ohn Smith vs US j Figure 5 34 Multiple Agent Records for a Single Agency When you have finished entering Agency and Agent information press CTRL PAGE DOWN to go to the PARTICIPANT block 5 6 6 Participant In LIONS a participant is a defendant witness piece of property to be forfeited or any other individual organization or business associated with the case The PARTICIPANT block is shown in Figure 5 35 Figure 5 35 Participant Participants are related to the Court History When a user initiates a criminal action LIONS automatically relates all of the participants to the current Court History stage Participant Court records are discussed in detail in Chapter 6 Criminal Updates and Closings July 2012 5 28 Case 2 13 cv 00193 Document 798 3 Filed in TXSD on 11 20 14 Page 39 of 52 LIONS 5 4 User Manual Enter the following information for each participant in a matter or case Press F6 to insert or the DOWN ARROW to go to a blank line to add each subsequent participant Type Press F9 and select the code that best describes the participant I Individual B Business or organization P Property to be forfeited Role Enter the code that best describes the partici
62. taff member s position LIONS will default the first entry to L Lead Only one Lead attorney may be open at atime LOV Victim Witness Coordinator Press F9 and enter the initials for the Victim Witness Coordinator This field is mandatory when Victim Witness flag is Y The name will automatically be filled in based on the initials entered LOV Failure to assign a Victim Witness Coordinator will cause the message shown in Figure 5 30 to display Figure 5 30 Victim Witness Coordinator Error Message Click OK and select a Victim Witness Coordinator Start Date LIONS defaults to the current date If this is incorrect enter the date the staff member was assigned July 2012 5 25 Case 2 13 cv 00193 Document 798 3 Filed in TXSD on 11 20 14 Page 36 of 52 LIONS 5 4 User Manual End Date Enter the date the staff member s involvement with the matter case ended This field should be blank when opening a new maiter or case If you have another staff member assignment to enter press F6 to insert or the DOWN ARROW to go to a blank line otherwise press ENTER or CTRL PAGE DOWN to go to the AGENCY block 5 6 4 Agency You can enter Agency information for one or more agencies e g investigative victim etc LIONS will default the Role of the first agency to IN investigative as shown in Figure 5 31 Every criminal matter or case MUST have at least one investigative agency
63. ument 798 3 Filed in TXSD on 11 20 14 Page 34 of 52 LIONS 5 4 User Manual Tribe Press F9 and select a Native American tribe if applicable This field should be completed when the United States has jurisdiction over a criminal offense which occurred on a Native American reservation Reserv Reservation Press F9 and select a code for the Native American reservation or military installation associated with the matter or case The codes are established by district Related FLU Flag Click in the check box to indicate that there is a related FLU case Leave unchecked if there is not a related FLU case Total Victims Enter the total number of victims for the case 5 6 2 Court History The following explains the values to be entered for the Court History screen Court and Court Location Press F9 and enter the appropriate court code e g DC District Court You can also enter the location of the court The court location codes are established by your district The Court Code is required but the Court Location is not LOV Use MG Magistrate Court if the defendant is to be tried before a Magistrate Judge REGARDLESS of the type of number assigned by the Clerk The following codes are commonly used when opening a criminal case DC District Court MG Magistrate Court MM Magistrate Court Miscellaneous NC Not in Court If the criminal action is NC Not in Court or PN Post Disposition Not in Court the cur

Case 2:13-cv-00193 Document 798-3 Filed in TXSD on 11/20/14

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