Commanding Officer U.S. Coast Guard Operations Systems Center Kearneysville, WV 25430

CASE Management System (CMS): Docket Management System (DMS) & Adjudication Functional Requirements Document (FRD).

Table of Contents 1. DOCUMENT PURPOSE ...... 2 2. INTRODUCTION...... 3 3. METHODOLOGY ...... 4 4. PROJECT OVERVIEW ...... 5 4.1 Project Summary ...... 5 4.2 Focus Areas ...... 6 4.3 Actors ...... 6 4.4 Stakeholders ...... 7 4.5 Assumptions and Constraints ...... 8 4.6 Key Terms and Definitions ...... 9 5. PROCESSES ...... 11 5.1 CMS - Docket Management System (DMS) Process ...... 11 5.2 CMS - Adjudication Process ...... 13 6. USE CASES ...... 15 6.1 Use Case Model: Case Management System ...... 15 6.1.1 Use Case - 420: Search Docket 15 6.1.2 Use Case - 421: Review/Update Docket 23 6.1.3 Use Case - 422: Review Complaint 46 6.1.4 Use Case - 423: Review / Update Answer 55 6.1.5 Use Case - 424: Review / Update Case Assignment 69 6.1.6 Use Case - 425: Edit / Print DMS Templates 107 6.1.7 Use Case - 426: Review / Update CG Unit 180 6.1.8 Use Case - 427: Review / Update Respondent 190 6.1.9 Use Case - 428: Review / Update All Players Served 204 6.1.10 Use Case - 429: Review / Update Interested Persons 210 6.1.11 Use Case - 430: Review Default Dates 215 6.1.12 Use Case - 431: Review / Update Settlement 218 6.1.13 Use Case - 433: Review / Edit / Print Appeal 227 6.1.14 Use Case - 434: Review / Add / Edit Exhibits & Transcripts 240 6.1.15 Use Case - 435: Review / Add / Edit Findings 256 6.1.16 Use Case - 436: Review /Add / Edit Sanctions 270 6.1.17 Use Case - 437: Review / Add / Edit Hearings & Conferences 304 6.1.18 Use Case - 438: Edit / Print Order Templates 320 6.1.19 Use Case - 439: Review / Add / Edit Time Keeping 343 6.1.20 Use Case - 440: Review / Add / Edit Notes 362

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6.1.21 Use Case - 453: Send Case Information 367 6.1.22 Use Case - 454: Receive Case Information 369 6.2 Picklist Values ...... 371 6.2.1 Unit / Owning Unit / Originating Unit 371 6.2.2 Role 398 6.2.3 State 398 6.2.4 Enforcement Type 399 6.2.5 Docket Search Status 399 6.2.6 Other Specific Status 399 6.2.7 Finding 399 6.2.8 Imposed Sanction Type 399 6.2.9 ALJ Status 399 6.2.10 Docket Type 400 6.2.11 Document Functional Sub-Area 400 6.2.12 Document Type 400 6.2.13 Submitter 403 6.2.14 Proposed Order 403 6.2.15 Jurisdictional Allegation Response 403 6.2.16 Factual Allegation Response 403 6.2.17 Proposed Respondent Location State 403 6.2.18 State 403 6.2.19 Hearing Type 403 6.2.20 Hearing Method 404 6.2.21 Hearing Location 404 6.2.22 Primary Judge 404 6.2.23 Hearing State 404 6.2.24 Unit 404 6.2.25 Judges State 405 6.2.26 Law Clerk Name 405 6.2.27 Docket Status 405 6.2.28 Method of Service 406 6.2.29 Comdt Disposition 406 6.2.30 NTSB Disposition 406

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6.2.31 ALJ Submitted By 406 6.2.32 serving as picklist1 406 6.2.33 serving as picklist2 406 6.2.34 serving as picklist3 406 6.2.35 jurisdictional picklist1 406 6.2.36 jurisdictional picklist2 406 6.2.37 jurisdictional picklist3 406 6.2.38 Time Keeping 406 6.2.39 Form Orders 407 7. REFERENCE MATERIAL ...... 407 7.1 USCG ALJ (Administrative Law Judge) Program comments on a COTS CMS...... 407 8. ARTIFACTS ...... 409 8.1 Sample DMS Templates: ...... 409 8.2 Sample Order Templates: ...... 409 9. APPROVAL ...... 410

List of Tables Table 1-1 Document Terms 2 Table 3-1 Authoritative Sources 4 Table 4-1 Actors 6 Table 4-2 Stakeholders 7 Table 4-3 Assumptions and Constraints 8 Table 4-4 Key Terms and Definitions 9 Table 5-1CMS - Docket Management System (DMS) Process Area Framework Table 11 Table 5-2CMS - Adjudication Process Area Framework Table 13 Table 6-1 Search Docket Functional Requirements 17 Table 6-2 Docket Search Data Elements 19 Table 6-3 Docket Search Results List Data Elements 21 Table 6-4 Review/Update Docket Functional Requirements 25 Table 6-5 The Docket Summary Results List Data Elements 37 Table 6-6 The Docket - Docket Item Details - Full Data Elements 38 Table 6-7 The Docket - Notice of Deficient Filing Letter Data Elements 39 Table 6-8 Add Docket Documentation - Full Data Elements 41 Table 6-9 The Docket - Docket Documentation & Documentation List - Read Only Data Elements 41 Table 6-10 The Docket - Docket Item Details - Ready Only Data Elements 42 Table 6-11 Add Docket Documentation - Read Only Data Elements 42

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Table 6-12 Adjudication General Information/Transfer Data Elements 42 Table 6-13 The Docket - Docket Document Information Data Elements 44 Table 6-14 Review Complaint Functional Requirements 47 Table 6-15 Complaint - Read Only Data Elements 51 Table 6-16 Adjudication General Information/Transfer Data Elements 53 Table 6-17 Review / Update Answer Functional Requirements 57 Table 6-18 Answer On Effective Complaint - Full Data Elements 63 Table 6-19 Answer - Sch Hearing Dates and Locations - List Data Elements 63 Table 6-20 Answer On Effective Complaint - Read Only Data Elements 64 Table 6-21 Answer Allegations - Full Data Elements 64 Table 6-22 Answer Allegations - Read Only Data Elements 65 Table 6-23 Answer Proposed Hearing Dates & Location - Read Only Data Elements 65 Table 6-24 Answer Proposed Hearing Dates & Location - Full Data Elements 66 Table 6-25 Adjudication General Information/Transfer Data Elements 66 Table 6-26 Review / Update Case Assignment Functional Requirements 71 Table 6-27 Case Assignment - Full Data Elements 99 Table 6-28 Case Assignment - Read Only Data Elements 102 Table 6-29 Case Assignment - Notice of Assignment Letter Data Elements 104 Table 6-30 Case Assignment - Notice of RE-Assignment Letter Data Elements 104 Table 6-31 Case Assignment - Docket Activity Log Data Elements 105 Table 6-32 Case Assignment - Add Manual Activity Action Log Entry Data Elements 105 Table 6-33 Case Assignment - Add Manual Activity Action Log Entry Data Elements 106 Table 6-34 Edit / Print DMS Templates Functional Requirements 109 Table 6-35 DMS Templates - Certificate Of Service (COS) Data Elements 157 Table 6-36 DMS Templates - Notice of Extension Data Elements 158 Table 6-37 DMS Templates - Contested Notice of Reassignment Data Elements 160 Table 6-38 DMS Templates - Uncontested Case Reassignment Data Elements 162 Table 6-39 DMS Templates - Uncontested Case Assignment Data Elements 164 Table 6-40 DMS Templates - Contested Notice of Assignment Data Elements 166 Table 6-41 DMS Templates - Administrative Withdrawal Data Elements 168 Table 6-42 DMS Templates - Amended COS Data Elements 169 Table 6-43 DMS Templates - Withdrawal Confirmation Data Elements 171 Table 6-44 DMS Templates - Temporary Suspension Data Elements 174 Table 6-45 DMS Templates - Notice of Deficient Filing Letter Data Elements 175 Table 6-46 Review / Update CG Unit Functional Requirements 182 Table 6-47 CG Unit - Read Only - ALJ Users Data Elements 185 Table 6-48 CG Unit - Full Data Elements 186 Table 6-49 CG Unit - Read Only - DMS Users Data Elements 187 Table 6-50 Adjudication General Information/Transfer Data Elements 187 Table 6-51 Review / Update Respondent Functional Requirements 192 Table 6-52 Respondent - Read Only - ALJ Users Data Elements 198 Table 6-53 Respondent - Full - Users Data Elements 199 Table 6-54 Respondent - Read Only - DMS Users Data Elements 201 Table 6-55 Adjudication General Information/Transfer Data Elements 202 Table 6-56 Review / Update All Players Served Functional Requirements 205 Table 6-57 All Players Receiving Service List Data Elements 208

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Table 6-58 Review / Update Interested Persons Functional Requirements 211 Table 6-59 Interested Persons Data Elements 213 Table 6-60 Interested Persons List Data Elements 214 Table 6-61 Interested Persons Display Docket Number Data Elements 214 Table 6-62 Review Default Dates Functional Requirements 216 Table 6-63 Default Data Elements 217 Table 6-64 Review / Update Settlement Functional Requirements 220 Table 6-65 Settlement - Docketing Center Only Data Elements 223 Table 6-66 Settlement - Docketing Center & ALJ Users Data Elements 224 Table 6-67 Adjudication General Information/Transfer Data Elements 225 Table 6-68 Review / Edit / Print Appeal Functional Requirements 228 Table 6-69 Appeal Data Elements 236 Table 6-70 Appeal - Notice of Appeal Letter Data Elements 238 Table 6-71 Appeal - Appellate Received Letter Data Elements 238 Table 6-72 Appeal - Transfer to CG-0941 Letter Data Elements 239 Table 6-73 Review / Add / Edit Exhibits & Transcripts Functional Requirements 242 Table 6-74 Add Docket Documentation - Full Data Elements 250 Table 6-75 Exhibits & Transcripts - List View Data Elements 251 Table 6-76 Add Docket Documentation - Read Only Data Elements 251 Table 6-77 Exhibits & Transcripts - Create Exhibit Data Elements 252 Table 6-78 Adjudication General Information/Transfer Data Elements 253 Table 6-79 Exhibits & Transcripts - Add Exhibit Data Elements 254 Table 6-80 Exhibits & Transcripts - Add Document List Data Elements 255 Table 6-81 Review / Add / Edit Findings Functional Requirements 257 Table 6-82 Findings - List - Read Only Data Elements 264 Table 6-83 Findings - Offense Details - Read Only Data Elements 265 Table 6-84 Findings - History Details Data Elements 265 Table 6-85 Findings - Violation - Read Only Data Elements 265 Table 6-86 Findings - Jurisdictional Elements (S&R Types) Data Elements 266 Table 6-87 Findings - Factual Elements (S&R Types) Data Elements 267 Table 6-88 Adjudication General Information/Transfer Data Elements 268 Table 6-89 Review /Add / Edit Sanctions Functional Requirements 271 Table 6-90 Sanctions - Proposed Sanctions - List Data Elements 293 Table 6-91 Sanctions - Imposed Sanctions - List Data Elements 294 Table 6-92 Sanctions - Proposed Sanctions - Revocation Data Elements 294 Table 6-93 Sanctions - Proposed Sanctions - Outright Suspension Data Elements 295 Table 6-94 Sanctions - Proposed Sanctions - Suspension on Probation Data Elements 295 Table 6-95 Sanctions - Proposed Sanctions - Suspension with Probation Data Elements 296 Table 6-96 Sanctions - Proposed Sanctions - Stayed Revocation Data Elements 297 Table 6-97 Sanctions - Proposed Sanctions - Admonition Data Elements 297 Table 6-98 Sanctions - Proposed Sanctions - Outright Suspension for Duration Data Elements 298 Table 6-99 Sanctions - Imposed Sanctions - Revocation Data Elements 298 Table 6-100 Sanctions - Imposed Sanctions - Stayed Revocation Data Elements 298 Table 6-101 Sanctions - Imposed Sanctions - Outright Suspension Data Elements 299 Table 6-102 Sanctions - Imposed Sanctions - Suspension on Probation Data Elements 299

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Table 6-103 Sanctions - Imposed Sanctions - Admonition Data Elements 300 Table 6-104 Sanctions - Imposed Sanctions - Suspension with Probation Data Elements 300 Table 6-105 Sanctions - Imposed Sanctions - Outright Suspension for Duration Data Elements 302 Table 6-106 Adjudication General Information/Transfer Data Elements 302 Table 6-107 Review / Add / Edit Hearings & Conferences Functional Requirements 305 Table 6-108 Hearings & Conferences - List Data Elements 313 Table 6-109 Hearings & Conferences - Add/Edit Data Elements 314 Table 6-110 Hearings & Conferences Details List Data Elements 316 Table 6-111 Adjudication General Information/Transfer Data Elements 317 Table 6-112 Hearings & Conferences - Hearing Report List Data Elements 319 Table 6-113 Hearings & Conferences - Add Hearing Report Information Data Elements 319 Table 6-114 Edit / Print Order Templates Functional Requirements 321 Table 6-115 Order Templates - Consent Order Data Elements 326 Table 6-116 DMS Templates - Amended COS Data Elements 327 Table 6-117 Order Templates - Admission Order Data Elements 329 Table 6-118 Order Templates - Decision and Order Data Elements 331 Table 6-119 Order Templates - Default Order Data Elements 332 Table 6-120 Order Templates - General Order Data Elements 334 Table 6-121 Order Templates - Hearing Scheduling Order Data Elements 335 Table 6-122 Order Templates - Pre-Hearing Scheduling Order Data Elements 336 Table 6-123 Order Templates - Order Rejecting Settlement Data Elements 338 Table 6-124 Order Templates - Withdrawal Order Data Elements 339 Table 6-125 Adjudication General Information/Transfer Data Elements 340 Table 6-126 Review / Add / Edit Time Keeping Functional Requirements 344 Table 6-127 Time Keeping - List Data Elements 353 Table 6-128 Adjudication General Information/Transfer Data Elements 354 Table 6-129 Time Keeping - Add/Edit/Delete Data Elements 355 Table 6-130 Time Keeping - Total Time Report Data Elements 358 Table 6-131 Review / Add / Edit Notes Functional Requirements 363 Table 6-132 Notes Data Elements 364 Table 6-133 Adjudication General Information/Transfer Data Elements 365 Table 6-134 Send Case Information Functional Requirements 368 Table 6-135 Receive Case Information Functional Requirements 370 Table 8-1 Reference Material Error! Bookmark not defined. Table 9-1 Artifacts 409

List of Figures

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Figure 5-1 Process Flow Diagram: CMS - Docket Management System (DMS) 11 Figure 5-2 Process Flow Diagram: CMS - Adjudication 13 Figure 6-1 Use Case Model: Case Management System 15

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1. DOCUMENT PURPOSE According to the Operations Systems Center (OSC) System Development Life Cycle (SDLC) Stage Gate Review Process, a Functional Requirements Document (FRD) must be created and approved through a Requirements Readiness Review (RRR) prior to entrance into the Design Phase. This FRD was designed to capture an understanding of the business needs from the business owner/user’s perspective as well as any constraints that may dictate how those requirements should be met. Additionally, this FRD captures functional requirements, use cases, data element groupings and data element definitions to assist the development team in their technical design efforts. This section defines some of the concepts critical to understanding the contents of this document. Table 1-1 Document Terms Term Definition Functional A definition of a function of a system and its components, to fulfill a Requirement business requirement. Use Case A list of steps, typically defining interactions between an actor and a system, to achieve a goal. Process Diagram A visual representation of how actor(s) and use case(s) interrelate towards achieving a common goal. Use Case Model A diagram of how different types of actors interact with the system to solve a problem, depicting the use cases (goals) of the actor, and the interrelationships of the use cases. Actor Something external that interacts with the system; a human, an external system, or time. Stakeholder A person, group or organization that has interest or concern in an organization. LRPP Laws, Regulations, Policies, and Procedures utilized by the Coast Guard to establish a framework of how daily operations will be executed within. Non-LRPP Decisions that drives rules or requirements received through other sources such as meeting minutes, email, etc.

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2. INTRODUCTION The Marine Information for Safety and Law Enforcement (MISLE) database is used to store data on marine accidents, pollution incidents, search and rescue cases, law enforcement activities, facility inspections, and vessel inspections/examinations. The database captures information on individuals, vessels, and certain facilities involved with each activity. Enforcement activities are generated by the enforcement Investigating Officers (IO) and in some instances the IO determines if a Suspension and Revocation (S&R) of a Merchant Mariner Credential (MMC) is warranted. When it has been determined that S&R of the MMC is required then the IO creates a case complaint generated by the IO in MISLE, is filed electronically to the Docket Management System (DMS), and provided to the Respondent. The Docket is updated with the complaint information once a Notice of Filing (NOF) has been completed by the Enforcement IO. When the Respondent receives the complaint from the IO they are provided an opportunity to file a response (i.e. – answer, settlement agreement, etc.) to the Docketing Center team about the complaint. Once the docket team receives Respondent’s response and all known documents related to the case have been accounted for, the case is assigned to a judge and the Adjudication team is in full control of a case. The litigation between the Judge and Respondent begins allowing the Adjudication team to issue orders, sets prehearing conferences, schedule hearings, upload respondent evidence, upload transcripts, enter findings, etc. Once a final order is issued, the Adjudication team transfers the case back to Docket Center for either appeal action or electronic record storage. This high level introduction demonstrates how the Docketing Center team receives legal information on cases and prepares the documents for the Adjudication team action.

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3. METHODOLOGY The requirements in this document are considered as an “as is” set of requirements gathered from Subject Matter Experts (SMEs), MISLE stakeholders and members of the technical staff team during Joint Application Design (JAD) sessions. This document is based on the current understanding of the system and the needs of the MISLE stakeholders. The following CGFixIT tickets were analyzed for this release: Table 3-1 Authoritative Sources ID Authoritative Description Source NLRPP_10 CRQ00000095755 Change Process Flow: Normal

Change Type: Enhancement

Reason for Change: Enhancement

Impact of Denial: Legacy system is only sustainable for a limited time. Active X controls are a high security risk and becoming more difficult to maintain.

Source: Customer; CG-761

Category of Change: Application Adjustment of the configuration or code of existing applications (includes changes to the desktop configuration standard)

Description: Rewrite legacy Enforcement to operate in the MISLE 5.0 framework. Evaluate/procure/integrate a COTS Adjudication and Docket Management System.

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4. PROJECT OVERVIEW The United States Coast Guard (USCG), the Docketing Center and the Administrative Law Judge (ALJ) branch have come to realize that over the past few years the litigation workload of the Docketing Center and ALJ are not only focused on USCG litigations but on other trial work that includes other government entities such as those found in the Department of Homeland Security (DHS). The USCG work is approximately half of the workload (please see the analysis document in the reference section related to these findings) that Docketing Center and ALJ users are responsible for completing. On this basis, the USCG, Docketing Center, and ALJ team members have decided to create a Functional Requirements Document (FRD) to enable vendors of litigation software to evaluate the FRD and use it as the baseline in understanding the Docketing Center/ALJ requirements. 4.1 Project Summary The focus of this project is to document the S&R requirements for the DMS and Adjudication system so that the USCG and ALJ may choose through a period analysis a COTS (Commercial Off The Shelf) or GOTS (Government Off The Shelf) package that would replace the two current systems (DMS and Adjudication). The client has determined that the DMS and Adjudication systems described above shall be called the Case Management System (CMS) (also to be known as the system in this document) when the final COTS application is chosen. The current operational concept of the above-described processes is depicted below:

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Figure 4-1 Case Management System Operational Concept Diagram 4.2 Focus Areas The focus of this document is the processes and requirements for the CMS supporting Docket Management and Adjudication activities. 4.3 Actors The following table lists the actors involved with this project. Table 4-1 Actors Actor Description Hearing and Docket Individuals responsible for preparing and updating schedules of Clerks trials and court appearances that lists the parties involved, the courtroom, the presiding judge, and the time of trial. Paralegal Specialist Paralegal specialists provide assistance to lawyers and do many of the same jobs that lawyers do. Researching cases for lawyers as well as introducing clients and submitting drafts could all be part of a paralegal’s job.

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Attorney Advisor Providing expert advice to the United States (U.S.) Attorneys and their staff in the interpretation, intent, and applicability of Federal laws, regulations, and programs in the assigned area(s) of law.  Responsibility for advising on questions of law involved in the operations of the organization.  Initiating and maintaining liaison and effective communications with Executive Office of United States Attorneys (EOUSA) management, United States Attorneys and their staff, Department officials and other federal agencies.  Representing the agency in administrative litigation and other proceedings and assist in Federal court proceedings. Administrative Law ALJ is a judge and reviewer of fact who both presides over trials and Judge (ALJ) adjudicates the claims or disputes (in other words, ALJ-controlled proceedings are bench trials) involving administrative law. For the USCG the ALJ is any person designated by the Commandant under paragraph 556(b)(3)of the Administrative Procedure Act (APA) to conduct hearings arresting under 33 U.S.C. 1321(b); 42 U.S.C. 9609(b); or 46 U.S.C. Chapter 77. Docketing Center The team of people who are the centralized office that accept filings and maintain case files related to Suspension and Revocation and Class II Penalty activities. ALJ Users The team of adjudicators for Suspension and Revocation and Class II actions, decides motions, holds hearings, and renders decision. Marine Information for MISLE is the USCG's resource for information for Marine Safety, Safety and Law Law Enforcement, Search and Rescue, Geographical Information Enforcement (MISLE) Systems, Commercial Fishing Vessel Safety and many other aspects System of USCG operations.

4.4 Stakeholders The following is a list of the stakeholders involved in this project and their related roles. Table 4-2 Stakeholders Name Organization Role

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4.5 Assumptions and Constraints The following table lists the Assumptions and Constraints used for this project. Table 4-3 Assumptions and Constraints Type Description Assumption The FRD for the DMS and Adjudication has been documented in the current “as is” state as found in MISLE 4.X. Assumption The FRD will be used as a basis to conduct an Alternatives Analysis of potential COTS or GOTS applications to be purchased for the Docketing Center and Adjudication users. Assumption The name of the of the new COTS or GOTS package to be purchased will be referred to as the Case Management System (CMS) and shall be composed of the DMS and Adjudication systems as documented in this FRD. The FRD will refer to the CMS as the system. Assumption The Send and Receive Case Information use cases are place holders to represent the ongoing identification of information that will be used in a case litigation between MISLE and CMS. Assumption It is understood that the Docketing Center and ALJ team members have renamed the legacy application CG Case area to Complaint area as recorded in this FRD. Assumption It is understood that the Docketing Center and ALJ team members have renamed the legacy applications Counsel & CG Unit areas to CG Unit area as recorded in this FRD. Assumption It is understood that the Docketing Center and ALJ team members have renamed the legacy applications Docket Center area to Case Assignment area as recorded in this FRD. Assumption It is understood that the Docketing Center and ALJ team members have renamed the legacy applications Notification area to All Players Served area as recorded in this FRD. Assumption It is understood that the Docketing Center and ALJ team members have renamed the legacy applications Allegations area to Findings area as recorded in this FRD. Assumption It is understood that the Docketing Center and ALJ team members have renamed the legacy applications Orders area to Sanctions area as recorded in this FRD. Assumption It is understood that the Docketing Center and ALJ team members have renamed the legacy applications Actions area to Time Keeping area as recorded in this FRD. Assumption It is understood that the Docketing Center and ALJ team members have renamed the legacy applications Summary area to Notes area as recorded in this FRD.

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Type Description Assumption It is understood that the Docketing Center and ALJ team members have added new functionality to the legacy applications called DMS Templates area as recorded in this FRD. Assumption The Order Template area was planned to be completed during a later phase, but in discussion sessions with the client, it is assumed that the DMS & Order Template area functionality in the new COTS or GOTS application will provide the ability to permit users from both areas (based on permissions) to create, share and maintain their own standard template letters through the application. The DMS & Order Template samples can be found in the artifact material section of this document. Constraint The artifacts on the DMS and Order Templates will have design constraints found within the letter templates please review this material in the artifact section of this document. Assumption The client requests that the case types in the DMS functionality found within the future CMS COTS or GOTS package to include the Docket Types of Admission, Admission with Request for Settlement, Contested Hearing, Default, Default Contested, Settlement, Temporary Suspension Hearing and Withdrawal. Assumption The client no longer requires the correspondence functionality found within the current adjudication functions.

4.6 Key Terms and Definitions This section defines many of the terms or central concepts critical to the functional activities described throughout this document. Table 4-4 Key Terms and Definitions Term Description Docket The current application is being used by the Docketing Center for Management processing litigation cases and works in conjunction with the System (DMS) Adjudication application currently in use. Notice Of Filing An option that is selected once the initial litigation document called the (NOF) complaint is electronically sent to the Docketing Center from the MISLE application. This NOF sets a system trigger creating the docket number that is then associated with the complaint (the case file). Return Of Service The ROS is a document that is sent back to the Docketing Center from the (ROS) respondent showing that the respondent received the complaint. Complaint The complaint is the file that is generated by the Investigating Officer (IO) during the enforcement activity. The complaint is comprised of offense allegations from the enforcement activity.

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Term Description Certificate Of The COS is a part of the complaint and any other documents that are sent Service (COS) to the respondent. It certifies the date on which the documents were sent out. Respondent The respondent is the individual under investigation or their representative. Commercial Off This term (in this instance) is used for the software product tailored to the The Shelf court systems and not requiring unnecessary software development. (COTS) Government Off This term (in this instance) is used for the software product owned by a The Shelf government entity and tailored to the court systems and not requiring (GOTS) unnecessary software development. Docket A summary listing of all cases available for a specific ALJ unit.

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5. Processes 5.1 CMS - Docket Management System (DMS) Process

Figure 5-1 Process Flow Diagram: CMS - Docket Management System (DMS) Table 5-1CMS - Docket Management System (DMS) Process Area Framework Table Process Element Description Element Scope Upon the selection of the case file the Docket Center team members may review and update the case file information up to the assignment and transfer of the case file to an Administrative Law Judge. The Docketing Center users may review and/or update parties information associated with the case. The Docketing Center users may review and/or update case types for a default, settlement or appeal. Trigger Start A Docketing Center user has selected a docket case file from the Docket Point Search.

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Process Element Description Element The Enforcement IO has initiated the complaint along with the NOF, COS and ROS. End Point The Docketing Center users have correctly identified all docket case file documents therefore enabling the proper litigation actions between the assigned ALJ, assigned IO, and respondent. The complaint is available for review and the answer sheet from the mariner has been received, scanned and uploaded to the internal docket. If all documentation has been updated then the docket case file has been assigned and transferred to an ALJ unit. Either the Respondent Counsel of Record or Coast Guard Counsel may have been updated. The information pertaining to the notification of persons via email may have been updated. Additional identified interested persons involved with the case have been updated in the case. The completed case from the judicial unit has been sent back to the Docketing Center where the users wait for the respondent and assigned IO to close or update the case. Assumptions All appropriate documentation has been received from the respondent and Enforcement IO. Constraints N/A Process Docket Search has been executed. Dependencies Impact/Priority The docket management process is critical in the path for preparing the ALJ users with accurate case information for litigation with the respondent. Applicability This process is used throughout the litigation process. Supporting Use ID - 420: Search Docket Cases ID - 421: Review/Update Docket ID - 422: Review Complaint ID - 423: Review / Update Answer ID - 424: Review / Update Case Assignment ID - 425: Edit / Print DMS Templates ID - 426: Review / Update CG Unit ID - 427: Review / Update Respondent ID - 428: Review / Update All Players Served ID - 429: Review / Update Interested Persons ID - 430: Review Default Dates

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Process Element Description Element ID - 431: Review / Update Settlement ID - 433: Review / Edit / Print Appeal ID - 453: Send Case Information

5.2 CMS - Adjudication Process

Figure 5-2 Process Flow Diagram: CMS - Adjudication Table 5-2CMS - Adjudication Process Area Framework Table Process Element Element Description Scope The Adjudication area supports the final decision by the ALJ. Trigger Start The DMS team has transferred the case to the ALJ unit. Point End Point The ALJ has made a decision against the respondent whether it is a settlement or judgment. The case is completed and transferred to the Docketing Center.

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Process Element Element Description Assumptions All information transferred from the DMS to the ALJ unit assigned to the case is accurate. Constraints N/A Process Primary Judge and Law Clerk have been assigned to the S&R case and the Dependencies S&R case file has been transferred from the DMS to the assigned ALJ team to start the litigation process. Impact/Priority The final judgment against the respondent is dependent on the legal decision made by the ALJ. Applicability The process enables the ALJ unit to communicate the litigation and final judgment to the respondent, assigned IO and Docketing Center team members. Supporting Use ID - 420: Search Docket Cases ID - 421: Review/Update Docket ID - 422: Review Complaint ID - 423: Review / Update Answer ID - 425: Edit / Print DMS Templates ID - 426: Review / Update CG Unit ID - 427: Review / Update Respondent ID - 431: Review / Update Settlement ID - 434: Review / Add / Edit Exhibits & Transcripts ID - 435: Review / Add / Edit Findings ID - 436: Review /Add / Edit Sanctions ID - 437: Review / Add / Edit Hearings & Conferences ID - 438: Edit / Print Order Templates ID - 439: Review / Add / Edit Time Keeping ID - 440: Review / Add / Edit Notes ID - 454: Receive Case Information

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6. Use Cases 6.1 Use Case Model: Case Management System

Figure 6-1 Use Case Model: Case Management System *NOTE: Please refer to the Assumption section for information related to the Order Templates.

6.1.1 Use Case - 420: Search Docket Overview: The capability to quickly locate a case in the docket is necessary in order to work on it. Purpose: Search Docket provides the ability to search and locate a docket for the users of the CMS. Primary Actors: Docketing Center

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Hearing and Docket Clerks Paralegal Specialist Attorney Advisor Administrative Law Judge (ALJ) Pre-Conditions: 1. The user has logged in as either a docket user or ALJ user with the proper permission set. 2. The user has selected a search option for the Docket area. 3. The case being searched for is or was a Suspension and Revocation case; or is or was a Class II Civil Penalty case. Scenario(s): Main Success Scenario 1. The user is presented with search criteria options. 2. The user must enter in at least one of the search criteria. 3. The user may execute the search and search results are displayed to the user. 4. The user may select one of the dockets from the results. 5. The user may open a docket case. 6. The user is presented with The Docket use case information.

Exceptions: 1. If the user is unable to locate the docket of interest, they have the option to clear the search criteria, and begin a new search. 2. The user may cancel and return to the calling workflow. Post-Conditions: 1. The user has selected a docket case which has opened the docket for review of that case.

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Table 6-1 Search Docket Functional Requirements Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_10373 261 The system shall provide the ability to search for a case in the docket. New MISLE_F_REQ_10267 261.1 The system shall support wildcard searches in open text data elements in the New Docket Search area when searching a case in the docket. MISLE_F_REQ_12857 261.2 The system shall prohibit wildcard searches for the Docket Number when New searching a case in the docket. MISLE_F_REQ_10212 261.3 The system shall provide the user the ability to search the docket by the New Docket Number. MISLE_F_REQ_10214 261.4 The system shall provide the user the ability to search the Docket by the New MISLE Activity ID. MISLE_F_REQ_10222 261.5 The system shall provide the user the ability to search the docket by the New Docket Type. MISLE_F_REQ_10223 261.6 The system shall provide the user the ability to search the docket by the New Owning Unit. MISLE_F_REQ_10224 261.7 The system shall provide the user the ability to search the docket by the New Docket Search Status. MISLE_F_REQ_10225 261.8 The system shall provide the user the ability to search the docket by the New Other Specific Status. MISLE_F_REQ_10226 261.9 The system shall provide the user the ability to search the docket by the First New Name. MISLE_F_REQ_10227 261.10 The system shall provide the user the ability to search the docket by the New Middle Name. MISLE_F_REQ_10228 261.11 The system shall provide the user the ability to search the docket by the Last New Name.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_10238 261.12 The system shall provide the user the ability to search the docket by a Use New Date Range. MISLE_F_REQ_10239 261.13 The system shall provide the user the ability to select a Docket Start Date To New date range. MISLE_F_REQ_10240 261.14 The system shall provide the user the ability to select a Docket Start Date New From date range. MISLE_F_REQ_10241 261.15 The system shall disable the Docket Start Dates To when the Use Date New Range has been set to 'No'. MISLE_F_REQ_10242 261.16 The system shall disable the Docket Start Dates From when the Use Date New Range has been set to 'No'. MISLE_F_REQ_10243 261.17 The system shall prevent users from selecting a future date in the Docket New Start Dates To date field when searching for a case in the docket. MISLE_F_REQ_10244 261.18 The system shall prevent users from selecting a future date in the Docket New Start Dates From date field when searching for a case in the docket. MISLE_F_REQ_10245 262 The system shall provide the ability for a user to lock a user selected search New criteria by selecting the indicator Lock Search when searching for a case in the docket. MISLE_F_REQ_10246 262.1 The system shall display the following statement when a user selects Lock New Search searching for a case in the docket: "---THESE RESULTS MAY NOT BE CURRENT---" MISLE_F_REQ_10248 262.2 The system shall prevent the user from entering docket search criteria when New the Lock Search indicator has been selected when searching for a case in the docket.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_10256 262.3 The system shall remove the following statement when a user de-selects Lock New Search when searching for a case in the docket: "---THESE RESULTS MAY NOT BE CURRENT---" MISLE_F_REQ_10258 263 The system shall provide the ability to export the docket search results list to New a Microsoft Excel format. MISLE_F_REQ_10259 264 The system shall provide the ability to access help topics when searching for a New case in the docket. MISLE_F_REQ_10261 265 The system shall display the following Docket Search list view results when New the user has searched for a case in the docket: Docket Number; Docket Type; Respondent; ALJ Owning Unit; Assigned ALJ; Owning Unit; MISLE Activity ID; Docket Search Status MISLE_F_REQ_10262 265.1 The system shall provide the ability to sort the list of information on the New Docket Search list view in ascending order when searching for a case in the docket. MISLE_F_REQ_10263 265.2 The system shall provide the ability to sort the list of information on the New Docket Search list view in descending order when searching for a case in the docket. MISLE_F_REQ_10264 265.3 The system shall limit the number of items in the list of the Docket Search list New view to 250 items per list when searching for a case in the docket. MISLE_F_REQ_10265 265.4 The system shall display the following message when no results were New returned from the search for a case in the docket "No records found." MISLE_F_REQ_10266 265.5 The system shall provide the ability to open an item from the Docket Search New list view to The Docket when searching for a case in the docket.

Table 6-2 Docket Search Data Elements

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ID Element Description Format Default Length Req 56 Owning Unit that has ownership of the activity. Picklist User's Unit n/a Unit 428 MISLE MISLE Enforcement Activity ID associated with the case. Numeric Null 0 – Yes Activity 2,147,483,647 ID 1857 Last Name Last name of the individual. Alpha n/a 50 Yes 1858 First First name of the individual. Alpha n/a 50 No Name 1859 Middle Middle name of the individual. Alpha n/a 50 No Name 3689 Docket The number generated by the system that gets assigned to a Numeric Null 9 No Number case file sent over to the CMS application. "YYYY"- "NNNN" where "Y"=current year & "N" is a system generated number. Only available for Enforcement activity searches related to current Suspension & Revocation and Administrative Civil Penalty Class II Enforcement activities. This number is assigned via the NOF during a submission of a Complaint by the IO in Enforcement. 5522 Docket A picklist for selecting different options to search the unit's Picklist 'All' n/a Yes Search docket. Status 5523 Other A picklist for selecting different options to search the unit's Picklist Null n/a No Specific docket. Status 5524 Use Date An indicator which allows the user select or deselect a date Yes/No No n/a No Range range

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ID Element Description Format Default Length Req 5525 Docket Ending of date range search on activity start date - A Date Current Date n/a Cond Start Date selectable calendar function Req To

5526 Docket Beginning of date range search on activity start date - A Date Current Date n/a Cond Start Date selectable calendar function less one year Req From of the current date. 5527 Lock A selectable indicator function that sets and keeps the Yes/No No n/a No Search search criteria. 5534 Docket A picklist with categories of how a case has been assigned Picklist Null N/A Cond Type out by the Docket Center team members. Req

Table 6-3 Docket Search Results List Data Elements ID Element Description 56 Owning Unit Unit that has ownership of the activity. 428 MISLE MISLE Enforcement Activity ID associated with the case. Activity ID 3689 Docket The number generated by the system that gets assigned to a case file sent over to the CMS application. Number "YYYY"-"NNNN" where "Y"=current year & "N" is a system generated number. Only available for Enforcement activity searches related to current Suspension & Revocation and Administrative Civil Penalty Class II Enforcement activities. This number is assigned via the NOF during a submission of a Complaint by the IO in Enforcement. 5522 Docket Search A picklist for selecting different options to search the unit's docket. Status 5528 Respondent The system displays as Last Name, First Name of the respondent.

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ID Element Description 5529 ALJ Owning Displays the short name for the ALJ unit that currently has control of the case information. Unit 5530 Assigned ALJ Displays the judge that is assigned to the case. Last Name "," First Name from the Docket Search Results List. 5534 Docket Type A picklist with categories of how a case has been assigned out by the Docket Center team members.

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6.1.2 Use Case - 421: Review/Update Docket Overview: The docket provides the Docketing Center and ALJ the ability to review the current status of the docket for an individual case. Purpose: The purpose is for the users to review and/or update different legal documents that make up the legal case stored electronically in the Docket area. The users have the ability to view, add or remove documents in the docket. The users have the ability to print the docket documents. Primary Actors: Docketing Center Hearing and Docket Clerks Paralegal Specialist Attorney Advisor Administrative Law Judge (ALJ) Pre-Conditions: 1. The complaint and NOF (Notice of Filing) have been sent from the MISLE system to the system. 2. The case being reviewed in the docket is a Suspension and Revocation related case or an Administrative Civil Penalty Class II. 3. The user has searched for and selected a case for review. 4. To remove an item from the Docket Summary Item list view or generate a Notice of Defect letter, the Docketing Center must be the owning unit. Scenario(s): Main Success Scenario 1. A Docketing Center user is presented with the Docket Summary list view. 2. A Docketing Center user may open, print, edit or export to Microsoft Excel for each or all documents in the Docket Summary list view. 3. A Docketing Center user may view a Docket Item details view by selecting a Docket Summary line item. 4. A Docketing Center user may edit Docket Item detail information. 5. A Docketing Center user may add an item to the Docket Summary list view. 6. A Docketing Center user may remove an item from the Docket Summary list view. 7. A Docketing Center user may generate a Notice of Defect letter.

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Scenario 2 1. The ALJ user is presented with a read-only Docket Summary list view. 2. The ALJ user may open, print or export to Microsoft Excel for each or all documents in the docket list. 3. The ALJ user is presented with a read-only Docket Item details view by selecting a Docket Summary line item.

Exceptions: 1. The user may cancel and return to the calling workflow.

Post-Conditions: 1. The user has reviewed the information in the docket. 2. The DMS user has added or deleted documents. 3. The user has printed a document from the docket.

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Table 6-4 Review/Update Docket Functional Requirements Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_12067 267 The system shall display the following data elements when the ALJ user is New managing adjudication activities: ADJ Activity Title; Enf Type; Docket Status; Adjudication Start Date; Originating unit; Owning Unit; Docket Number; Docket Type; MISLE Activity Id; Coast Guard Case Number; Assigned IO; Assigned ALJ; Assigned Law Clerk MISLE_F_REQ_12068 267.1 The system shall populate the ADJ Activity Title data element as "USCG vs" New in addition to the respondent's First Name + Middle Name + Last Name. MISLE_F_REQ_12069 267.2 The system shall populate the Assigned IO data element as First Name + New Last Name of the individual with an involved personnel Role equal to 'Investigating Officer - Assigned IO'. MISLE_F_REQ_12070 267.3 The system shall populate the Assigned ALJ data element as Judges First New Name + Judges Middle Name + Judges Last Name. MISLE_F_REQ_12071 267.4 The system shall display the value for the Assigned ALJ when the Judge New Active is set to 'Yes' in the Case Assignment area. MISLE_F_REQ_12072 267.5 The system shall populate the Assigned Law Clerk data element with Law New Clerk First Name + Law Clerk Middle Name + Law Clerk Last Name. MISLE_F_REQ_12073 267.6 The system shall display the value for the Assigned Law Clerk when the Law New Clerk Active is set to 'Yes' in the Case Assignment area. MISLE_F_REQ_12145 267.7 The system shall provide the ability for the ALJ user to transfer the case file to New the Docketing Center. MISLE_F_REQ_12146 267.7.1 The system shall provide the ability for the ALJ user to decline the transfer of New a case file to the Docketing Center.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_12147 267.7.2 The system shall provide the ability to confirm the transfer of a case file to the New Docketing Center when the ALJ user is transferring the case to the Docketing Center. MISLE_F_REQ_12774 267.7.3 The system shall display the following statement when the user confirms the New transfer of a case file to the Docketing Center: “Was a case hearing held?” MISLE_F_REQ_12148 267.7.4 The system shall provide the ability to decline that a hearing was held when New the ALJ user has confirmed the transfer of a case file to the Docketing Center. MISLE_F_REQ_12152 267.7.5 The system shall transfer the case file to the Docketing Center when the ALJ New user has selected to decline that a hearing was held. MISLE_F_REQ_12149 267.7.6 The system shall provide the ability to confirm that a hearing was held when New the ALJ user has confirmed the transfer of a case file to the Docketing Center. MISLE_F_REQ_12150 267.7.7 The system shall re-direct the ALJ user to the Report of Hearing detail view in New the Hearing & Conferences area when the ALJ user confirms that a hearing was held. MISLE_F_REQ_12153 267.7.8 The system shall transfer the case file to the Docketing Center when the ALJ New user has completed the entry of the Report of Hearing detail view in the Hearing & Conferences area. MISLE_F_REQ_10269 269 The system shall provide access to the Docket area through the Docket Search New area when the user has the permission set for the Docketing Center. MISLE_F_REQ_10377 270 The system shall disable the ability to edit the Docket area through the Docket New Search area when the user has the permission set for ALJ users. MISLE_F_REQ_10291 271 The system shall display a list of all legal documents filed in a case when the New user is in the Docket Item Summary list view of the Docket area.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_10276 271.1 The system shall display the following Docket Summary Item list view: New Docket Item ID; Document Description; Document Type; Defect; Document Date; Return Of Service Date MISLE_F_REQ_10300 271.2 The system shall default to an ascending order of the Docket Summary Item New list view by the Docket Item ID. MISLE_F_REQ_10278 271.3 The system shall provide the ability to sort the information on the Docket New Summary Item list view in ascending order when the user is reviewing Docket Item Summary list view. MISLE_F_REQ_10280 271.4 The system shall provide the ability to sort the information on the Docket New Summary Item list view in descending order when the user is reviewing Docket Item Summary list view. MISLE_F_REQ_10284 271.5 The system shall provide the ability to export the Docket Summary Item list New view to Microsoft Excel when the user is reviewing Docket Item Summary list view. MISLE_F_REQ_13266 271.6 The system shall provide the ability for the user to select multiple documents New for printing in the Docket Summary list view. MISLE_F_REQ_10294 271.7 The system shall provide the ability for the user to select one document for New printing in the Docket Summary list view. MISLE_F_REQ_10295 271.8 The system shall provide the ability for the user to print the selected New documents within the Docket Summary list view. MISLE_F_REQ_10296 273 The system shall display the Docket Item details view when a user selects a New list item from the Docket Summary list view. MISLE_F_REQ_10302 273.1 The system shall prohibit an Adjudication user all editing capability of Docket New Item details when the Adjudication user is reviewing the Docket Item details view.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_10304 273.2 The system shall display the Docket Item ID when the user is in the Docket New Item details view. MISLE_F_REQ_10305 273.3 The system shall display the Document Description when the user is in the New Docket Item details view. MISLE_F_REQ_10306 273.4 The system shall display the Document Type when the user is in the Docket New Item details view. MISLE_F_REQ_10307 273.5 The system shall provide the ability for the user to select a Submitter when New the user is in the Docket Item details view. MISLE_F_REQ_10308 273.6 The system shall display a 'No' in the System Generated of the Docket Item New details view when the document was not system generated by MISLE. MISLE_F_REQ_10320 273.7 The system shall display a 'Yes' in the System Generated of the Docket Item New details area when the document was system generated by MISLE. MISLE_F_REQ_10321 273.8 The system shall provide the ability for the Docketing Center user to select a New Notice of Deficient Filing letter when the Docketing Center user is in the Docket Item details view. MISLE_F_REQ_10309 273.8.1 The system shall display an editable Notice of Deficient Filing letter when the New Docketing Center user confirms the notice of defect. MISLE_F_REQ_10345 273.8.2 The system shall display the following as the header for the Notice of New Deficient Filing letter when the user is reviewing the Notice of Deficient Filing letter: "UNITED STATES OF AMERICA U.S. Department of Homeland Security UNITED STATES COAST GUARD" MISLE_F_REQ_10348 273.8.3 The system shall display the following when the user is reviewing the Notice New of Deficient Filing letter: "Address of Administrative Law Judge Docketing Center: Administrative Law Judge Docketing Center U.S. Coast Guard 40 South Gay Street, RM 412 Baltimore, MD 21202-4022 Phone: (410) 962-

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Hierarchy Functional Requirement Proposed ID Changes 5100 Toll Free: (866) 612-7524 Fax: (410) 962-1746 Toll Free Fax: (877) 243-3453" MISLE_F_REQ_10349 273.8.4 The system shall display the following in the Notice of Deficient Filing letter New when the user is reviewing the Notice of Deficient Filing letter: "FOR DOCKETING CENTER USE ONLY" MISLE_F_REQ_10350 273.8.5 The system shall display the following in the Notice of Deficient Filing letter New when the user is reviewing the Notice of Deficient Filing letter: "COMPLAINANT: UNITED STATES COAST GUARD" MISLE_F_REQ_10351 273.8.6 The system shall display the RESPONDENT in the Notice of Deficient Filing New letter when the user is reviewing the Notice of Deficient Filing letter. MISLE_F_REQ_10352 273.8.7 The system shall display the Docket Number in the Notice of Deficient Filing New letter when the user is reviewing the Notice of Deficient Filing letter. MISLE_F_REQ_10353 273.8.8 The system shall display the following in the Notice of Deficient Filing letter New when the user is reviewing the Notice of Deficient Filing letter: "Notice of Deficient Filing" MISLE_F_REQ_10354 273.8.9 The system shall display the MISLE Activity ID in the Notice of Deficient New Filing letter when the user is reviewing the Notice of Deficient Filing letter. MISLE_F_REQ_10355 273.8.10 The system shall display the following in the Notice of Deficient Filing letter New when the user is reviewing the Notice of Deficient Filing letter: "The Referenced filing does not comply with 33 CFR Part 20 Rules of Practice. Although the ALJ Docketing Center will accept the filing under 33 CFR 20.302(f), you are hereby advised to correct the defect(s) below:" MISLE_F_REQ_10322 273.8.11 The system shall provide the ability for the user to select an indicator of New Failure to Sign Complaint. 33 CFR 20.303(c) when the user is reviewing the Notice of Deficient Filing letter.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_10323 273.8.12 The system shall provide the ability for the user to select an indicator of New Failure to file Complaint with ALJ Docketing Center. 33 CFR 20.401 when the user is reviewing the Notice of Deficient Filing letter. MISLE_F_REQ_10324 273.8.13 The system shall provide the ability for the user to select an indicator of New Failure to complete Certificate of Service or serve party. 33 CFR 20.304(c). Per 33 CFR 20.302(f) the document has been accepted but the parties response period begins when properly served when the user is reviewing the Notice of Deficient Filing letter. MISLE_F_REQ_10325 273.8.14 The system shall provide the ability for the user to select an indicator of New Failure of party(s) to sign and/or date Settlement Agreement. 33 CFR 20.303(c) when the user is reviewing the Notice of Deficient Filing letter. MISLE_F_REQ_10326 273.8.15 The system shall provide the ability for the user to select an indicator of Fax New or attach photocopy filed with the ALJ Docketing Center is not legible or readable; please re-file and provide a better copy. 33 CFR 20.303. when properly served when the user is reviewing the Notice of Deficient Filing letter. MISLE_F_REQ_10327 273.8.16 The system shall provide the ability for the user to select an indicator of Other New when the user is reviewing the Notice of Deficient Filing letter. MISLE_F_REQ_10360 273.8.16.1 The system shall provide the ability for the user to Add Other Text New information when the user had selected the Other indicator. MISLE_F_REQ_10356 273.8.17 The system shall display Date when the user is reviewing the Notice of New Deficient Filing letter. MISLE_F_REQ_10357 273.8.18 The system shall display the following when the user is reviewing the Notice New of Deficient Filing letter: "Baltimore, Maryland" MISLE_F_REQ_10358 273.8.19 The system shall display a signature line when the user is reviewing the Notice New of Deficient Filing letter.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_10359 273.8.20 The system shall display the following when the user is reviewing the Notice New of Deficient Filing letter: "Paralegal Specialist ALJ Docketing Center". MISLE_F_REQ_10328 273.8.21 The system shall provide the ability for the user to submit the Notice of New Deficient Filing letter to the printer when the user has completed all required fields. MISLE_F_REQ_12501 273.8.22 The system shall provide the ability for the user to submit the Notice of New Deficient Filing letter to be saved to a PDF file when the user has completed all required fields. MISLE_F_REQ_10329 273.8.23 The system shall display the following message when the user has completed New in the Notice of Deficient Filing letter: "Document saved, printed and submitted to the Docket". MISLE_F_REQ_10347 273.8.24 The system shall update the indicator of the Defect value to 'Yes' in the New Docket Item Summary list view when the user had selected a Notice of Defect in the Docket Item details area. MISLE_F_REQ_10346 273.8.25 The system shall set the indicator of the Defect Notification to 'Yes' in the New Docket Item details area when the user has completed in the Notice of Deficient Filing letter.

MISLE_F_REQ_10332 273.8.26 The system shall provide the ability to send an email containing the Notice of New Deficient Filing letter to the Docketing Center when the user has completed in the Notice of Deficient Filing letter. MISLE_F_REQ_10333 273.8.26.1 The system shall provide the ability to send an email to the Docketing Center New containing the following data elements when the user has completed in the Notice of Deficient Filing letter: Docket Number; MISLE Activity ID; Title Description; Docket Type

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_10371 273.8.26.2 The system shall provide the ability populate email addresses containing the New most recent Docketing Center user email addresses when the user has completed in the Notice of Deficient Filing letter. MISLE_F_REQ_10337 273.8.26.3 The system shall provide the ability to send an email to the Docket Center New containing the following email message in the email subject line when the user has completed in the Notice of Deficient Filing letter: Notice of Defect MISLE_F_REQ_10310 273.9 The system shall provide the ability for the user to select Document Date New when the user is in the Docket Item details view of the Docket area. MISLE_F_REQ_10311 273.10 The system shall provide the ability for the user to select Return Of Service New Date when the user is in the Docket Item details view of the Docket area. MISLE_F_REQ_10312 273.11 The system shall provide the ability for the user to select Next Item Due Date New when the user is in the Docket Item details view of the Docket area. MISLE_F_REQ_10361 273.12 The system shall provide the ability for the user to select Certificate Of New Service Date when the user is in the Docket Item details view of the Docket area. MISLE_F_REQ_10314 273.13 The system shall provide the ability for the user to enter Docket Item Notes New when the user is in the Docket Item details view of the Docket area. MISLE_F_REQ_10319 273.14 The system shall provide the ability for the user to review information in the New Class II Publication area in the Docket Item details view of the Docket area. MISLE_F_REQ_10315 273.14.1 The system shall provide the ability for the user to enter Document Fed New Register Citation information when the user is in the Class II Publication area in the Docket Item details view of the Docket area. MISLE_F_REQ_10316 273.14.2 The system shall display the Effective Date when the user is in the Class II New Publication area in the Docket Item details view of the Docket area.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_10317 273.14.3 The system shall display the Fed Publish Date when the user is in the Class II New Publication area in the Docket Item details view of the Docket area. MISLE_F_REQ_10380 275 The system shall provide the ability for the Adjudication user to select New documents to view when the user is in the Docket Item Summary view. MISLE_F_REQ_10282 276 The system shall provide the ability for the Docketing Center user to add a New document in the Docket Document Information details view when the user is in the Docket Item Summary view. MISLE_F_REQ_10285 276.1 The system shall display the MISLE Activity ID in the Docket Document New Information details view when the user has selected to add a document from the Docket Item Summary view. MISLE_F_REQ_10286 276.2 The system shall display the Adjudication Start Date in the Docket New Document Information details view when the user has selected to add a document from the Docket Item Summary view. MISLE_F_REQ_10283 276.3 The system shall display the following Docket Document Information list New view when the user selected to add a document in the Docket Summary list view: Document Name; Document Type; Document Name Description; Originating Unit; Originating Unit User; Date Entered; Permanent MISLE_F_REQ_10288 276.4 The system shall provide the ability to sort the list of information in ascending New order when the user is reviewing Docket Document Information list view. MISLE_F_REQ_10289 276.5 The system shall provide the ability to sort the list of information in New descending order when the user is reviewing Docket Document Information list view. MISLE_F_REQ_13381 277 The system shall provide the ability for the user to filter the Docket Document New Information list view results by selecting the Document Functional Sub Area.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_13383 278 The system shall default filter the Docket Document Information list view New results when the Document Functional Sub Area is equal to 'General'. MISLE_F_REQ_13382 279 The system shall provide the ability for the user to filter the Docket Document New Information list view results by selecting the Document Type of the Document Functional Sub Area. MISLE_F_REQ_10298 280 The system shall provide the ability for the Docketing Center user to add a New new document by selecting the Add a New File details view when the Docketing Center user is in the Docket Document Information details view. MISLE_F_REQ_10387 280.1 The system shall provide the ability to browse for a Document Name to New upload in the Add a New File details view when the user has chosen to add a new document into the Docket Document Information details view. MISLE_F_REQ_10388 280.2 The system shall display the original uploaded Document Name in the Add a New New File details view when the user has uploaded the new document. MISLE_F_REQ_10435 280.3 The system shall provide the ability for the user to edit the Document Name New when the user is in the Add a New File details view. MISLE_F_REQ_13380 280.4 The system shall provide the ability for the user to select a Document Type New based on the Document Functional Sub Area that was selected in the Docket Document Information list view when the user is in the Add a New File details view. MISLE_F_REQ_10390 280.5 The system shall provide the ability for the user to enter a Document Name New Description when the user is in the Add a New File details view. MISLE_F_REQ_10391 280.6 The systems shall provide the ability for the user to select a spell-check for the New Document Name Description when the user has uploaded the new document in the Add a New File details view.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_10436 280.7 The systems shall provide the ability for the user to select a spell-check for the New Document Name when the user has uploaded the new document in the Add a New File details view. MISLE_F_REQ_10393 280.8 The system shall display the Current Date when the user is in the Add a New New File details view. MISLE_F_REQ_10394 280.9 The system shall display the User Last Name, User First, Name, User New Middle Initial when the user is in the Add a New File details view. MISLE_F_REQ_10395 280.10 The system shall display the Owning Unit when the user is in the Add a New New File details view. MISLE_F_REQ_10438 280.11 The system shall provide the ability for the user to save the additional files in New the Add a New File details view. MISLE_F_REQ_12435 280.12 The system shall provide the ability for the user to Compress Document the New document in the Add a New File details view. MISLE_F_REQ_12436 280.13 The system shall provide the ability for the user to indicate a Permanent New Document in the Add a New File details view. MISLE_F_REQ_12502 280.13.1 The system shall set Permanent to 'X' in the document information view New when the user indicates a Permanent Document in the Add a New File details view. MISLE_F_REQ_12437 280.14 The system shall provide the ability for the user to cancel the addition of a New document to the case returning to Docket Document Information details view. MISLE_F_REQ_10430 280.15 The system shall provide the ability to return to the Docket Document New Information details view when the Docketing Center user has completed adding a new document. MISLE_F_REQ_10369 282 The system shall prohibit the ability for the Adjudication user to delete docket New documents when the user is in the Docket Document Information details view.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_10370 283 The system shall provide the ability for the Docketing Center user to delete New docket documents when the user is in the Docket Document Information details view. MISLE_F_REQ_10363 283.1 The system shall display the following message when the user has selected to New remove a document setting the Permanent Document indicator to 'Yes' in the Docket Document Information details view: "This is a permanent document and cannot be deleted." MISLE_F_REQ_10385 283.2 The system shall provide the ability for the Docketing Center user to New acknowledge the message closing the message when the user is in the Docket Document Information details view. MISLE_F_REQ_10384 283.3 The system shall display the following message when the Docketing Center New user has selected to remove a non-permanent document in the Docket Document Information details view: "Are you sure you want to delete this document?" MISLE_F_REQ_10364 283.4 The system shall provide the ability for the Docketing Center user to confirm New the deletion when the user is in the Docket Document Information details view. MISLE_F_REQ_10365 283.7 The system shall provide the ability for the Docketing Center user to cancel New the deleting of a docket item when the user is in the Docket Document Information details view. MISLE_F_REQ_10378 284 The system shall prohibit the ability for the Docketing Center user to delete a New complaint document when the user is in the Docket Document Information details view. MISLE_F_REQ_10299 285 The system shall provide the ability for the Docketing Center users to open a New selected docket document when the user selects Open Document in the Docket Document Information details view.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_10440 287 The system shall provide the ability for the Adjudication users open a selected New docket document as a read only file when the user selects Open Document in the Docket Document Information details view. MISLE_F_REQ_10432 288 The system shall provide the ability to access help documents when the user is New in the Docket Document Information details view. MISLE_F_REQ_10431 289 The system shall provide the ability to return to the Docket Item Summary New area when the user selects close in the Docket Document Information details view. MISLE_F_REQ_11001 376.12 The system shall provide the ability for the Docketing Center user to select an New indicator of Failure to complete Certificate of Service or serve party. 33 CFR 20.304(c). Per 33 CFR 20.302(f) the document has been accepted but the parties response period begins when properly served when the user is reviewing the Notice of Deficient Filing letter. MISLE_F_REQ_11004 376.15 The system shall provide the ability for the Docketing Center user to select an New indicator of Other when the user is reviewing the Notice of Deficient Filing letter.

Table 6-5 The Docket Summary Results List Data Elements ID Element Description 5532 Docket Item ID A system assigned number that chronologically tracks all docket items. 5533 Document Displays as the Document Type + MISLE Activity ID + Docket Number. Description 5534 Docket Type A picklist with categories of how a case has been assigned out by the Docket Center team members.

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ID Element Description 5535 Defect Upon the generation of the Notice of Defect by the Docketing Center users the system changes the indicator from 'No' to 'Yes' in the Docket Item Details area. 5536 Document Date This field displays a date of the document when the filing was submitted to the Docket Center Docket. 5537 Return Of Service Return Of Service (ROS) - This field displays date that the Return of Service date was recorded (on any Date Green Card). Date Field

Table 6-6 The Docket - Docket Item Details - Full Data Elements ID Element Description Format Default Length Req 5536 Document Date This field displays a date of the document when the filing Date Null 10 Cond was submitted to the Docket Center Docket. Req 5537 Return Of Service Return Of Service (ROS) - This field displays date that Date Null 10 Cond Date the Return of Service date was recorded (on any Green Req Card). Date Field 5539 Submitter List of entities who filed the document. Picklist Null N/A Cond Req 5541 Next Item Due The date the next item is due. Date Null 10 Cond Date Req 5542 Certificate of Date Certificate of Service is filed. Date Null 10 Cond Service Date Req 5544 Docket Item Notes Area for the Docketing Center to put comments or notes. Alphanumeric Null 2000 Cond Req 5548 Document Fed Note area where Class II Publication Federal Register Alphanumeric Null 60 Cond Register Citation citation information may be entered. Future use indicated Req in use case.

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ID Element Description Format Default Length Req 5550 Effective Date Date the federal register citation became effective. Date Null 10 Cond Req 5551 Fed Publish Date Date published to Federal Register. Date Null 10 Cond Req

Table 6-7 The Docket - Notice of Deficient Filing Letter Data Elements ID Element Description Format Default Length Req 428 MISLE Activity ID MISLE Enforcement Activity ID Numeric Null 0 – Yes associated with the case. 2,147,483,647

3689 Docket Number The number generated by the system that Numeric Null 9 No gets assigned to a case file sent over to the CMS application. "YYYY"-"NNNN" where "Y"=current year & "N" is a system generated number. Only available for Enforcement activity searches related to current Suspension & Revocation and Administrative Civil Penalty Class II Enforcement activities. This number is assigned via the NOF during a submission of a Complaint by the IO in Enforcement. 5528 Respondent The system displays as Last Name, First Read-Only Null 50 Yes Name of the respondent. 5556 Failure to Sign Complaint An indicator showing that the user has Yes/No Null N/A No 33 CFR 20.303(c) selected a deficiency option in the Notice of Deficient Filing document.

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ID Element Description Format Default Length Req 5557 Failure to file Complaint An indicator showing that the user has Yes/No Null N/A No with ALJ Docketing Center selected a deficiency option in the Notice 33 CFR 20.401 of Deficient Filing document. 5558 Failure to complete An indicator showing that the user has Yes/No Null N/A No Certificate of Service or selected a deficiency option in the Notice serve party. 33 CFR of Deficient Filing document. 20.304(c) Per 33 CFR 20.302(f) the document has been accepted but the parties response period begins when properly served 5559 Failure of party(s) to sign An indicator showing that the user has Yes/No Null N/A No and/or date Settlement selected a deficiency option in the Notice Agreement 33 CFR of Deficient Filing document. 20.303(c) 5560 Fax or attach photocopy An indicator showing that the user has Yes/No Null N/A No filed with the ALJ selected a deficiency option in the Notice Docketing Center is not of Deficient Filing document. legible or readable; please re-file and provide a better copy 33 CFR 20.303 when properly served 5561 Other An indicator showing that the user has Yes/No Null N/A No selected a deficiency option in the Notice of Deficient Filing document. 5966 Add Other Text The user may enter additional information Alphanumeric Null 2000 Cond once the Other indicator has been selected. Req

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Table 6-8 Add Docket Documentation - Full Data Elements ID Element Description Format Default Length Req 5567 Document Name Description of a document. Alphanumeric Null 3000 No Description 5569 Document Name Name of a document selected from the add New Alphanumeric Null 100 Yes Document functionality. 5578 Permanent Document An identifier indicating that either the docket document Yes/No N/A N/A Yes is a permanent document or not. 5585 Compress Document An indicator that the docket document shall be Yes/No YES N/A Yes compressed.

Table 6-9 The Docket - Docket Documentation & Documentation List - Read Only Data Elements ID Element Description 66 Originating Unit Unit that originated the case. 428 MISLE Activity ID MISLE Enforcement Activity ID associated with the case. 548 Permanent An indicator that specifies if the document is permanent. 5554 Adjudication Start Date The date on which the Complaint was sent over from the MISLE Enforcement Referral. 5567 Document Name Description of a document. Description 5569 Document Name Name of a document selected from the add New Document functionality. 5571 Document Type Type of documents assigned by the Docketing Center users during the addition of a new document and filtering in the Docket Document Information list view. 5579 Date Entered The date that the document was entered into the Docket. 5580 Originating Unit User The name of the user who originated the Complaint Document

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ID Element Description 5994 Document Functional The list of additional sub functional areas associated with the Docket Type used in the Docket Sub-Area Document Information list view.

Table 6-10 The Docket - Docket Item Details - Ready Only Data Elements ID Element Description 5532 Docket Item ID A system assigned number that chronologically tracks all docket items. 5533 Document Displays as the Document Type + MISLE Activity ID + Docket Number. Description 5534 Docket Type A picklist with categories of how a case has been assigned out by the Docket Center team members. 5538 Defect Notification An indicator that is set by the system denotes a defect after the Notice of Deficient Filing letter has been sent. 5540 System Generated Indicator that shows whether the document was system generated or not by displaying a 'Yes' or 'No' (typically a indicator checkbox)

Table 6-11 Add Docket Documentation - Read Only Data Elements ID Element Description 56 Owning Unit Unit that has ownership of the activity. 5563 User Last Name Last Name of user entering information. 5564 User First Name First Name of user entering information. 5565 User Middle Initial Middle Initial of user entering information. 5566 Current Date Current date

Table 6-12 Adjudication General Information/Transfer Data Elements

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ID Element Description 24 Last Name The last name of the Team Lead identified for the Activity 25 First Name The first name of the Team Lead identified for the Activity 428 MISLE Activity MISLE Enforcement Activity ID associated with the case. ID 434 Owning Unit Unit that owns the activity and can transfer control of the activity 438 Originating Unit Unit that created the activity. 458 Role Role of the associated organization for the selected activity 1857 Last Name Last name of the individual. 1858 First Name First name of the individual. 1859 Middle Name Middle name of the individual. 3689 Docket Number The number generated by the system that gets assigned to a case file sent over to the CMS application. "YYYY"-"NNNN" where "Y"=current year & "N" is a system generated number. Only available for Enforcement activity searches related to current Suspension & Revocation and Administrative Civil Penalty Class II Enforcement activities. This number is assigned via the NOF during a submission of a Complaint by the IO in Enforcement. 5534 Docket Type A picklist with categories of how a case has been assigned out by the Docket Center team members. 5554 Adjudication The date on which the Complaint was sent over from the MISLE Enforcement Referral. Start Date 5588 Coast Guard The ID number assigned by the USCG to the case. Case Number 5630 Judges First Judge's first name. Name 5631 Judges Middle Judge's middle name. Name

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ID Element Description 5632 Judges Last Judge's last name. Name 5634 Judge Active An indicator that show whether the judge is active or not. 5652 Law Clerk First Displays the First Name of the Law Clerk who is assigned to the case activity. Name 5653 Law Clerk Last Displays the Last Name of the Law Clerk who is assigned to the case activity. Name 5654 Law Clerk Displays the Middle initial of the Law Clerk who is assigned to the case activity. Middle Initial 5655 Law Clerk An indicator that show whether the law clerk is active or not. Active 5659 Docket Status Auto populated by the selection of the Docket Type but allows user to select what the status should be. In adjudication this is the last update the docket center did before transferring the case.

Table 6-13 The Docket - Docket Document Information Data Elements ID Element Description Format Default Length Req 5532 Docket Item ID A system assigned number that chronologically tracks all Numeric Null 3 Cond docket items. Req 5533 Document Displays as the Document Type + MISLE Activity ID + Alphanumeric Null 100 Cond Description Docket Number. Req

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ID Element Description Format Default Length Req 5534 Docket Type A picklist with categories of how a case has been assigned Picklist Null N/A Cond out by the Docket Center team members. Req 5540 System Indicator that shows whether the document was system Yes/No Null N/A Cond Generated generated or not by displaying a 'Yes' or 'No' (typically a Req indicator checkbox)

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6.1.3 Use Case - 422: Review Complaint Overview: The complaint provides a snapshot of all information contained within the complaint that was sent to the system to ensure all information needed within the complaint has been entered. Purpose: The capability for the users to review and print a Coast Guard case (complaint) file sent from the IO. Primary Actors: Docketing Center ALJ Users Hearing and Docket Clerks Paralegal Specialist Attorney Advisor Administrative Law Judge (ALJ) Pre-Conditions: 1. The complaint and NOF (Notice of Filing) have been sent from the MISLE system to the system. Scenario(s): Main Success Scenario 1. The user is presented with a read-only display that provides the details of the complaint. This information is broken down into three general areas of information, to include: a. General Information b. Complaint/Sanctions Information c. Allegations Information. 2. The user may print the complaint. Exceptions: 1. The user may cancel and return to the calling workflow.

Post-Conditions: 1. The user has reviewed the complaint information for accuracy. 2. The user may have printed the complaint out.

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Table 6-14 Review Complaint Functional Requirements Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_12067 267 The system shall display the following data elements when the ALJ user is New managing adjudication activities: ADJ Activity Title; Enf Type; Docket Status; Adjudication Start Date; Originating unit; Owning Unit; Docket Number; Docket Type; MISLE Activity Id; Coast Guard Case Number; Assigned IO; Assigned ALJ; Assigned Law Clerk MISLE_F_REQ_12068 267.1 The system shall populate the ADJ Activity Title data element as "USCG vs" New in addition to the respondent's First Name + Middle Name + Last Name. MISLE_F_REQ_12069 267.2 The system shall populate the Assigned IO data element as First Name + New Last Name of the individual with an involved personnel Role equal to 'Investigating Officer - Assigned IO'. MISLE_F_REQ_12070 267.3 The system shall populate the Assigned ALJ data element as Judges First New Name + Judges Middle Name + Judges Last Name. MISLE_F_REQ_12071 267.4 The system shall display the value for the Assigned ALJ when the Judge New Active is set to 'Yes' in the Case Assignment area. MISLE_F_REQ_12072 267.5 The system shall populate the Assigned Law Clerk data element with Law New Clerk First Name + Law Clerk Middle Name + Law Clerk Last Name. MISLE_F_REQ_12073 267.6 The system shall display the value for the Assigned Law Clerk when the Law New Clerk Active is set to 'Yes' in the Case Assignment area. MISLE_F_REQ_12145 267.7 The system shall provide the ability for the ALJ user to transfer the case file to New the Docketing Center. MISLE_F_REQ_12146 267.7.1 The system shall provide the ability for the ALJ user to decline the transfer of New a case file to the Docketing Center.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_12147 267.7.2 The system shall provide the ability to confirm the transfer of a case file to the New Docketing Center when the ALJ user is transferring the case to the Docketing Center. MISLE_F_REQ_12774 267.7.3 The system shall display the following statement when the user confirms the New transfer of a case file to the Docketing Center: “Was a case hearing held?” MISLE_F_REQ_12148 267.7.4 The system shall provide the ability to decline that a hearing was held when New the ALJ user has confirmed the transfer of a case file to the Docketing Center. MISLE_F_REQ_12152 267.7.5 The system shall transfer the case file to the Docketing Center when the ALJ New user has selected to decline that a hearing was held. MISLE_F_REQ_12149 267.7.6 The system shall provide the ability to confirm that a hearing was held when New the ALJ user has confirmed the transfer of a case file to the Docketing Center. MISLE_F_REQ_12150 267.7.7 The system shall re-direct the ALJ user to the Report of Hearing detail view in New the Hearing & Conferences area when the ALJ user confirms that a hearing was held. MISLE_F_REQ_12153 267.7.8 The system shall transfer the case file to the Docketing Center when the ALJ New user has completed the entry of the Report of Hearing detail view in the Hearing & Conferences area. MISLE_F_REQ_10441 291 The system shall provide the ability to review the complaint referred to by the New IO when the user enters the Complaint area. MISLE_F_REQ_10442 292 The system shall display the Title/Description when the user is reviewing the New Complaint area. MISLE_F_REQ_10444 294 The system shall display the Owning Unit when the user is reviewing the New Complaint area. MISLE_F_REQ_10445 295 The system shall display the CG Proposed Order when the user is reviewing New the Complaint area.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_10542 296 The system shall notify the Docketing Center user when the CG Proposed New Order is a 'Temporary Suspension' in the Complaint area. MISLE_F_REQ_10446 297 The system shall display the Sanction for Successful Completion when the New user is reviewing the Complaint area. MISLE_F_REQ_10447 298 The system shall display the Coast Guard Case Number when the user is New reviewing the Complaint area. MISLE_F_REQ_10448 299 The system shall display the Temporary Suspension Date referred when the New user is reviewing the Complaint area. MISLE_F_REQ_10450 300 The system shall display the MISLE Activity ID referred when the user is New reviewing the Complaint area. MISLE_F_REQ_10452 302 The system shall display the Complaint Document Date when the user is New reviewing the Complaint/Sanctions details view. MISLE_F_REQ_10453 303 The system shall display the Complaint Certification of Service Date when New the user is reviewing the Complaint/Sanctions details view. MISLE_F_REQ_10454 304 The system shall display the Complaint Return of Service Date when the New user is reviewing the Complaint/Sanctions details view. MISLE_F_REQ_10455 305 The system shall display the Complaint File Date when the user is reviewing New the Complaint/Sanctions details view. MISLE_F_REQ_10456 306 The system shall display the Months of Outright Suspension when the user New is reviewing the Complaint/Sanctions details view. MISLE_F_REQ_10457 307 The system shall display the Months Suspension/Probation when the user is New reviewing the Complaint/Sanctions details view. MISLE_F_REQ_10458 308 The system shall display the Months on Probation when the user is New reviewing the Complaint/Sanctions details view.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_10459 309 The system shall display the Civil Penalty Amount when the user is New reviewing the Complaint/Sanctions details view. MISLE_F_REQ_10473 310 The system shall provide the system generated message when changing the New complaint Sanction after the last Complaint submission within the Complaint area of the Complaint/Sanctions details view: "The Sanction information on the latest complaint submitted to correspondence does not match the current Sanction information defined in the Enforcement activity. This was a result of changing the Sanction after the last Complaint submission. Please notify Assigned IO to create and submit a new complaint." MISLE_F_REQ_10461 312 The system shall display the Type of Case when the user is reviewing the New Complaint/Allegations details view. MISLE_F_REQ_10462 313 The system shall display the Penalty Amount when the user is reviewing the New Complaint/Allegations details view. MISLE_F_REQ_10463 314 The system shall display the Statue when the user is reviewing the New Complaint/Allegations details view. MISLE_F_REQ_10464 315 The system shall display the CFR when the user is reviewing the New Complaint/Allegations details view. MISLE_F_REQ_10467 316 The system shall display the Jurisdictional Allegations when the user is New reviewing the Complaint/Allegations details view. MISLE_F_REQ_10471 316.1 The system shall provide the ability for the user to view multiple displayed New Jurisdictional Allegations when the user is reviewing the Complaint/Allegations details view. MISLE_F_REQ_10472 317 The system shall display the Factual Allegations when the user is reviewing New the Complaint/Allegations details view.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_10468 318 The system shall provide the ability for the user to view multiple Factual New Allegations when the user is reviewing the Complaint/Allegations details view. MISLE_F_REQ_10538 319 The system shall provide the ability for the user to view multiple allegations New when the user is reviewing the Complaint/Allegations details view. MISLE_F_REQ_10474 320 The system shall provide the ability to view the Complaint in a PDF format New from the Complaint details view. MISLE_F_REQ_10475 320.1 The system shall provide the ability to print the Complaint from Complaint New details view.

Table 6-15 Complaint - Read Only Data Elements ID Element Description 56 Owning Unit Unit that has ownership of the activity. 427 Activity Title The title of a MISLE Activity 5586 CG Proposed Order What the type of order the US Coast Guard is proposing (suspension, revocation, admonishment, etc.). 5587 Sanction for Successful Sanction based on the settlement agreement. Completion 5588 Coast Guard Case Number The ID number assigned by the USCG to the case. 5589 Temporary Suspension Date Date the temporary suspension was filed. 5590 Complaint Document Date Displays the actual submitted document date of the complaint via the NOF (Notice Of Filing) action. 5591 Complaint Certification of Date the complaint’s certificate of service was submitted by the IO. Service Date

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ID Element Description 5592 Complaint Return of Service Displays the date the complaint’s certificate of service was returned by the respondent. Date 5593 Complaint File Date Displays the date the complaint was filed via the NOF action. 5594 Months of Outright Months the complaint proposes for outright suspension which comes from the Recommended Suspension Sanctions area of the Offense area. 5595 Months Months the complaint proposes for a suspension that is on probation which comes from the Suspension/Probation Recommended Sanctions area of the Offense area. 5596 Months on Probation Months the complaint proposes the respondent is put on probation which comes from the Recommended Sanctions area of the Offense area. 5597 Proposed Civil Penalty Amount of civil penalty proposed. Future enhancement field to be used in the future for Amount Administrative Civil Penalties Class II. 5598 Type of Case Type of offense (violation of law, negligence, misconduct, etc.) provided by the Offense description area. This information is part of the Complaint filed by the IO. Also known as the Cite Description or Cite Type. 5599 Penalty Amount Displays the civil penalty amount as null. This field is intended for future use for Administrative Civil Penalties Class II. This information is part of the Complaint filed by the IO. 5600 Statue Displays the statutory cite associated with the Offense. The Statue is carried over from the Complaint filed by IO. 5601 CFR This displays the CFR number associated with the regulation the offense is based on. This information is part of the Complaint filed by the IO.

5602 Jurisdictional Allegations Displays the list of Jurisdictional elements found in the Complaint. 5603 Factual Allegations Displays the list of Factual elements found in the Complaint.

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Table 6-16 Adjudication General Information/Transfer Data Elements ID Element Description 24 Last Name The last name of the Team Lead identified for the Activity 25 First Name The first name of the Team Lead identified for the Activity 428 MISLE Activity ID MISLE Enforcement Activity ID associated with the case. 434 Owning Unit Unit that owns the activity and can transfer control of the activity 438 Originating Unit Unit that created the activity. 458 Role Role of the associated organization for the selected activity 1857 Last Name Last name of the individual. 1858 First Name First name of the individual. 1859 Middle Name Middle name of the individual. 5534 Docket Type A picklist with categories of how a case has been assigned out by the Docket Center team members. 5554 Adjudication Start The date on which the Complaint was sent over from the MISLE Enforcement Referral. Date 5588 Coast Guard Case The ID number assigned by the USCG to the case. Number 5630 Judges First Name Judge's first name. 5631 Judges Middle Judge's middle name. Name 5632 Judges Last Name Judge's last name. 5634 Judge Active An indicator that show whether the judge is active or not. 5652 Law Clerk First Displays the First Name of the Law Clerk who is assigned to the case activity. Name

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ID Element Description 5653 Law Clerk Last Displays the Last Name of the Law Clerk who is assigned to the case activity. Name 5654 Law Clerk Middle Displays the Middle initial of the Law Clerk who is assigned to the case activity. Initial 5655 Law Clerk Active An indicator that show whether the law clerk is active or not. 5659 Docket Status Auto populated by the selection of the Docket Type but allows user to select what the status should be. In adjudication this is the last update the docket center did before transferring the case.

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6.1.4 Use Case - 423: Review / Update Answer Overview: The ability for the docketing center and ALJ to view, modify and/or record answer information from the Respondent's returned answer sheet is necessary. The answer sheet also provides the docketing center the ability to generate a Notice of Extension via the DMS Templates use case functionality. Purpose: To allow users to review answer information. To allow the Docketing Center users the ability to fill in all of the requirements for submitting an Answer and to generate a Notice of Extension if requested by the Respondent. Primary Actors: Docketing Center Hearing and Docket Clerks Paralegal Specialist Attorney Advisor Administrative Law Judge (ALJ) Pre-Conditions: 1. The Complaint and NOF transaction has occurred from the IO and received by the system. 2. The answer sheet has been received by the docketing center. 3. To update the Answer area the owning unit must be the Docketing Center. 4. To print the documents from the DMS Template option area the owning unit must be the Docketing Center. Scenario(s): Main Success Scenario 1. A Docketing Center user is presented with an area Answer On Effective Complaint for updating the essential information based on the Answer sheet. 2. A Docketing Center user may review the Offenses or Allegations against the Respondent. 3. A Docketing Center user may enter the respondent's proposed hearing dates and location. 4. A Docketing Center user has the ability to view Pre-hearing Conference and Scheduled Hearing Date information submitted by the ALJ.

Scenario 2 1. A Docketing Center user can generate respondent responses by selecting the DMS Template option.

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Scenario 3 1. The ALJ user may review the Answer. 2. The ALJ user may review the Offenses or Allegations against the Respondent. Exceptions: 1. The user may cancel and return to the calling workflow. Post-Conditions: 1. The Answer actions by a Docketing Center user may include: a. Updates to the Answer area for Answer On Effective Complaint b. Review of the Allegations c. Entered Proposed Hearing Dates and Location d. Review of the Scheduled Hearing Dates and Location set by a Judge e. The selection and printing of any of the DMS Templates in response to a respondents request. 2. The ALJ users may have reviewed any area of the Answer.

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Table 6-17 Review / Update Answer Functional Requirements Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_12067 267 The system shall display the following data elements when the ALJ user is New managing adjudication activities: ADJ Activity Title; Enf Type; Docket Status; Adjudication Start Date; Originating unit; Owning Unit; Docket Number; Docket Type; MISLE Activity Id; Coast Guard Case Number; Assigned IO; Assigned ALJ; Assigned Law Clerk MISLE_F_REQ_12068 267.1 The system shall populate the ADJ Activity Title data element as "USCG vs" New in addition to the respondent's First Name + Middle Name + Last Name. MISLE_F_REQ_12069 267.2 The system shall populate the Assigned IO data element as First Name + New Last Name of the individual with an involved personnel Role equal to 'Investigating Officer - Assigned IO'. MISLE_F_REQ_12070 267.3 The system shall populate the Assigned ALJ data element as Judges First New Name + Judges Middle Name + Judges Last Name. MISLE_F_REQ_12071 267.4 The system shall display the value for the Assigned ALJ when the Judge New Active is set to 'Yes' in the Case Assignment area. MISLE_F_REQ_12072 267.5 The system shall populate the Assigned Law Clerk data element with Law New Clerk First Name + Law Clerk Middle Name + Law Clerk Last Name. MISLE_F_REQ_12073 267.6 The system shall display the value for the Assigned Law Clerk when the New Law Clerk Active is set to 'Yes' in the Case Assignment area. MISLE_F_REQ_12145 267.7 The system shall provide the ability for the ALJ user to transfer the case file to New the Docketing Center. MISLE_F_REQ_12146 267.7.1 The system shall provide the ability for the ALJ user to decline the transfer of New a case file to the Docketing Center.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_12147 267.7.2 The system shall provide the ability to confirm the transfer of a case file to the New Docketing Center when the ALJ user is transferring the case to the Docketing Center. MISLE_F_REQ_12774 267.7.3 The system shall display the following statement when the user confirms the New transfer of a case file to the Docketing Center: “Was a case hearing held?” MISLE_F_REQ_12148 267.7.4 The system shall provide the ability to decline that a hearing was held when New the ALJ user has confirmed the transfer of a case file to the Docketing Center. MISLE_F_REQ_12152 267.7.5 The system shall transfer the case file to the Docketing Center when the ALJ New user has selected to decline that a hearing was held. MISLE_F_REQ_12149 267.7.6 The system shall provide the ability to confirm that a hearing was held when New the ALJ user has confirmed the transfer of a case file to the Docketing Center. MISLE_F_REQ_12150 267.7.7 The system shall re-direct the ALJ user to the Report of Hearing detail view in New the Hearing & Conferences area when the ALJ user confirms that a hearing was held. MISLE_F_REQ_12153 267.7.8 The system shall transfer the case file to the Docketing Center when the ALJ New user has completed the entry of the Report of Hearing detail view in the Hearing & Conferences area. MISLE_F_REQ_10466 322 The system shall provide management of the answer information in the New Answer area when the Docketing Center user is responding to the respondents returned answer sheet. MISLE_F_REQ_10476 322.1 The system shall disable the edit functionality for the Answer area when the New user is the Adjudication team. MISLE_F_REQ_10484 322.2 The system shall provide access to the Answer area when the user is the New Docket Center team.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_10485 322.3 The system shall provide the ability for user to enter the Answer Rec Date in New the Answer on Effective Complaint details view when user has received the answer sheet from the Respondent. MISLE_F_REQ_10517 322.4 The system shall provide the ability for the user to enter a Proposed Order in New the Answer on Effective Complaint details view when the user has received the answer sheet from the Respondent. MISLE_F_REQ_10520 322.5 The system shall provide the ability for the user to enter a Settlement New Discussions in the Answer on Effective Complaint details view when the user has received the answer sheet from the Respondent. MISLE_F_REQ_10519 322.6 The system shall provide the ability for the user to enter an Answer Signed New Date in the Answer on Effective Complaint details view when the user has received the answer sheet from the Respondent. MISLE_F_REQ_10518 322.7 The system shall provide a date as the date for the Answer Due Date in the New Answer on Effective Complaint details view after 25 days of receiving the ROS when the user has received the answer sheet from the Respondent. MISLE_F_REQ_10521 322.8 The system shall provide the ability for the user to grant extensions to the New Answer Due Date by entering the Extension Grant Date in the Answer on Effective Complaint details view when the Respondent requests an extension to the Answer Due Date. MISLE_F_REQ_10522 322.9 The system shall provide the ability for the user to grant extensions to the New Answer Due Date by entering the Extension Due Date in the Answer on Effective Complaint details view when the Respondent requests an extension to file the Answer Due Date. MISLE_F_REQ_10523 322.10 The system shall provide the ability to calculate the number of Extension New Days for the Respondent by subtracting the Answer Due Date from the Extension Due Date when the user is in the Answer on Effective Complaint details view.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_10524 322.11 The system shall display the following message when the user sets the New Extension Due Date less than the Answer Due Date in the Answer on Effective Complaint details view: "Extension Due Date must be greater than Answer Due Date." MISLE_F_REQ_10579 323 The system shall provide the ability for the user to review the Allegations New details view in the Answer area. MISLE_F_REQ_10526 323.1 The system shall provide the ability for the user to view the type of offense New description when the user views the Type of Case in the Allegations details view. MISLE_F_REQ_10527 323.2 The system shall provide the ability for the user to view a Penalty Amount New when the user is in the Allegations details view. MISLE_F_REQ_10528 323.3 The system shall provide the ability for the user to view the Statue that the New offense was based when the user is in the Allegations details view of the Answer area. MISLE_F_REQ_10529 323.4 The system shall provide the ability for the user to view the CFR that the New offense regulation was based when the user is in the Allegations details view of the answer area. MISLE_F_REQ_10530 323.5 The system shall display the Jurisdictional Allegations when the user is in New the Allegations details view of the Answer area. MISLE_F_REQ_10531 323.6 The system shall provide the ability for the user to view multiple New Jurisdictional Allegations when the user is in the Allegations details view. MISLE_F_REQ_10532 323.7 The system shall display the Factual Allegations when the user is in the New Allegations details view.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_10533 323.8 The system shall provide the ability for the user to display multiple displayed New Factual Allegations when the user is in the Allegations details view. MISLE_F_REQ_10534 323.9 The system shall provide the ability for the user to select a Jurisdictional New Allegation Response when the Docketing Center user is in the Allegations details view. MISLE_F_REQ_10535 323.10 The system shall provide the ability for the Docketing Center user to select a New Factual Allegation Response when the Docketing Center user is in the Allegations details view. MISLE_F_REQ_10536 323.11 The system shall provide the ability for the user to view multiple allegations New when the user is in the Allegations details view. MISLE_F_REQ_10537 324 The system shall provide the management of the Proposed Hearing New Dates/Location details view when the user is in the Proposed Hearing Dates/Location details view of the Answer area. MISLE_F_REQ_10544 324.1 The system shall display the First Proposed Coast Guard Hearing Date New when the user is in the Proposed Hearing Dates/Location details view. MISLE_F_REQ_10546 324.2 The system shall display the Second Proposed Coast Guard Hearing Date New when the user is in the Proposed Hearing Dates/Location details view. MISLE_F_REQ_10547 324.3 The system shall display the Third Proposed Coast Guard Hearing Date New when the user is in the Proposed Hearing Dates/Location details view. MISLE_F_REQ_10549 324.4 The system shall display the Fourth Proposed Coast Guard Hearing Date New when the user is in the Proposed Hearing Dates/Location details view. MISLE_F_REQ_10550 324.5 The system shall display the Proposed Coast Guard Hearing Location when New the user is in the Proposed Hearing Dates/Location details view.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_10551 324.6 The system shall provide the ability for the user to enter a First Proposed New Respondent Date when the user is in the Proposed Hearing Dates/Location details view. MISLE_F_REQ_10552 324.7 The system shall provide the ability for the user to enter a Second Proposed New Respondent Date when the user is in the Proposed Hearing Dates/Location details view. MISLE_F_REQ_10553 324.8 The system shall provide the ability for the user to enter a Third Proposed New Respondent Date when the user is in the Proposed Hearing Dates/Location details view. MISLE_F_REQ_10554 324.9 The system shall provide the ability for the Docketing Center user to enter a New Fourth Proposed Respondent Date when the user is in the Proposed Hearing Dates/Location details view. MISLE_F_REQ_12506 324.10 The system shall prohibit the entry of duplicate dates for any of the proposed New respondent dates when the user is in the Proposed Hearing Dates/Location details view. MISLE_F_REQ_10555 324.11 The system shall provide the ability for the user to enter a Proposed New Respondent Location City when the user is in the Proposed Hearing Dates/Location details view. MISLE_F_REQ_10556 324.12 The system shall provide the ability for the user to enter a Proposed New Respondent Location State when the user is in the Proposed Hearing Dates/Location details view. MISLE_F_REQ_12507 325 The system shall provide the review of the Scheduled Hearing Dates/Location New details view when the user is in the Scheduled Hearing Dates/Location details view of the Answer area. MISLE_F_REQ_10558 325.1 The system shall display the following in the Scheduled Hearing New Dates/Location details view data elements when the Docketing Center user has selected to review this list: Schd Date/Time; Hearing Type; Hearing

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Hierarchy Functional Requirement Proposed ID Changes Method; Hearing Loc/Phone; Hearing Special Instructions; Commenced Date; Primary Judge

Table 6-18 Answer On Effective Complaint - Full Data Elements ID Element Description Format Default Length Req 5607 Answer Rec Date Selectable date picker for entering the date when a respondent's Date N/A 10 No Answer was received at the Docket Center. 5608 Proposed Order Displays a selectable picklist which shows how the respondent Picklist Null N/A No responded to the requested order sent to them. 5609 Settlement An indicator which shows whether a settlement agreement has been Yes/No No N/A No Discussions requested. 5610 Answer Sign date Selectable date picker for entering the date when a respondent had Date N/A 10 No signed the Answer. 5611 Answer Due Date Selectable date picker for entering the date a respondent has to file Date N/A 10 No an Answer. Required for creation of the NOE. 5612 Extension Grant Selectable date picker for entering the date an extension is granted Date N/A 10 No Date for the case. 5613 Extension Due Selectable date picker for entering the date an Answer must be filed Date N/A 10 No Date by for the case.

Table 6-19 Answer - Sch Hearing Dates and Locations - List Data Elements

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ID Element Description 5624 Hearing Type Type of hearings selected and set by the Adjudication team members in the Hearings/Conferences area of Adjudication. 5627 Hearing Special The Adjudication team member records any special instructions in the Hearings/Conferences area of Instructions Adjudication. 5628 Commenced The Adjudication team member records the date the hearing started. Date 5629 Primary Judge The Adjudication team member assigns the Primary Judge through the Case Assignment area. Displays the Judge who is assigned to the case. 5643 Hearing Method The Adjudication team member sets the method by which the hearing is completed. The picklist is conditional so that if the Hearing Type is set to 'null' or 'Pre Hearing Conference' then all methods are displayed otherwise if the Hearing Type is set to 'Hearing' the methods available are 'Live' or 'Other' in the Hearings/Conferences area of Adjudication. 5667 Schd Date/Time The Schd Date/Time is equal to Hearing Sched Date + Hearing Sch Time. 5669 Hearing Hearing Loc/Phone = Hearing Location + Hearing Phone Number Loc/Phone

Table 6-20 Answer On Effective Complaint - Read Only Data Elements ID Element Description 5614 Extension Days Displays how many days were granted by the Docket Center.

Table 6-21 Answer Allegations - Full Data Elements ID Element Description 5616 Jurisdictional Allegation Response Displays a selectable picklist. 5617 Factual Allegation Response Displays a selectable picklist.

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Table 6-22 Answer Allegations - Read Only Data Elements ID Element Description 5598 Type of Case Type of offense (violation of law, negligence, misconduct, etc.) provided by the Offense description area. This information is part of the Complaint filed by the IO. Also known as the Cite Description or Cite Type. 5599 Penalty Amount Displays the civil penalty amount as null. This field is intended for future use for Administrative Civil Penalties Class II. This information is part of the Complaint filed by the IO. 5600 Statue Displays the statutory cite associated with the Offense. The Statue is carried over from the Complaint filed by IO. 5601 CFR This displays the CFR number associated with the regulation the offense is based on. This information is part of the Complaint filed by the IO.

5602 Jurisdictional Displays the list of Jurisdictional elements found in the Complaint. Allegations 5603 Factual Displays the list of Factual elements found in the Complaint. Allegations

Table 6-23 Answer Proposed Hearing Dates & Location - Read Only Data Elements ID Element Description 5618 First Proposed Coast Displays the first date of the IO proposed hearing date. This data is from the Proposed Dates Guard Hearing Date section of the Hearings area in Enforcement and is captured via the Complaint when the NOF is selected. 5619 Second Proposed Coast Displays the second date of the IO proposed hearing date. This data is from the Proposed Dates Guard Hearing Date section of the Hearings area in Enforcement and is captured via the Complaint when the NOF is selected.

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ID Element Description 5620 Proposed Coast Guard Displays the Hearing Location set by the IO and sent over with the complaint information. Hearing Location 5665 Third Proposed Coast Displays the third date of the IO proposed hearing date. This data is from the Proposed Dates Guard Hearing Date section of the Hearings area in Enforcement and is captured via the Complaint when the NOF is selected.

Table 6-24 Answer Proposed Hearing Dates & Location - Full Data Elements ID Element Description Format Default Length Req 5621 Proposed Respondent Editable free form text box for entry of where the Alpha Null 35 Yes Location City Respondent City location is found. 5622 Proposed Respondent Picklist of the State abbreviations. Picklist Null N/A Yes Location State 5644 First Proposed The Respondent responds on the answer sheet and is Date Null 10 Cond Respondent Date recorded in this field. Req 5645 Third Proposed The Respondent responds on the answer sheet and is Date Null 10 Cond Respondent Date recorded in this field. Req 5646 Fourth Proposed The Respondent responds on the answer sheet and is Date Null 10 Cond Respondent Date recorded in this field. Req 5647 Second Proposed The Respondent responds on the answer sheet and is Date Null 10 Cond Respondent Date recorded in this field. Req

Table 6-25 Adjudication General Information/Transfer Data Elements ID Element Description 24 Last Name The last name of the Team Lead identified for the Activity

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ID Element Description 25 First Name The first name of the Team Lead identified for the Activity 428 MISLE Activity ID MISLE Enforcement Activity ID associated with the case. 434 Owning Unit Unit that owns the activity and can transfer control of the activity 438 Originating Unit Unit that created the activity. 458 Role Role of the associated organization for the selected activity 1857 Last Name Last name of the individual. 1858 First Name First name of the individual. 1859 Middle Name Middle name of the individual. 5534 Docket Type A picklist with categories of how a case has been assigned out by the Docket Center team members. 5554 Adjudication Start The date on which the Complaint was sent over from the MISLE Enforcement Referral. Date 5588 Coast Guard Case The ID number assigned by the USCG to the case. Number 5630 Judges First Name Judge's first name. 5631 Judges Middle Judge's middle name. Name 5632 Judges Last Name Judge's last name. 5634 Judge Active An indicator that show whether the judge is active or not. 5652 Law Clerk First Displays the First Name of the Law Clerk who is assigned to the case activity. Name 5653 Law Clerk Last Displays the Last Name of the Law Clerk who is assigned to the case activity. Name

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ID Element Description 5654 Law Clerk Middle Displays the Middle initial of the Law Clerk who is assigned to the case activity. Initial 5655 Law Clerk Active An indicator that show whether the law clerk is active or not. 5659 Docket Status Auto populated by the selection of the Docket Type but allows user to select what the status should be. In adjudication this is the last update the docket center did before transferring the case.

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6.1.5 Use Case - 424: Review / Update Case Assignment Overview: In order for a case to be litigated, it must be assigned to an ALJ and law clerk. Respondents must be notified when such assignments occur. Purpose: Case Assignment provides the users the ability to assign an ALJ and law clerk to a case. The users can select from the Docket Type to assign the case out. The user is provided with the ability to generate a response to a Respondent. Primary Actors: Docketing Center Hearing and Docket Clerks Paralegal Specialist Attorney Advisor Pre-Conditions: 1. Complaint, NOF, Answer, COS and ROS had been filed (sent electronically via MISLE). 2. To update the Case Assignment area, the owning unit must be the Docketing Center. 3. To print out DMS Templates the owning unit must be the Docketing Center. Scenario(s): Main Success Scenario 1. The user may view the Case Assignment. a. The user may view who: i. The assigned judge is and associated information. ii. The assigned law clerk is and associated information. iii. The Docket Type or Docket Status of the case is. iv. The ALJ Owning Unit is. 2. The user may select Amended COS 3. The user may select Transfer To ALJ. 4. The user may select assign and re-assign cases out to an ALJ. 5. The user may select Administrative Withdrawal 6. The user may select Docket Activity Log 7. The user may select Withdrawal Confirmation 8. The user may generate responses to the Respondent by using the DMS Templates. Exceptions:

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1. The user may cancel and return to the calling workflow. Post-Conditions: 1. The user has reviewed and updated any Case Assignment details. 2. The user has assigned and transferred an ALJ and law clerk to the case. 3. The user may have initiated a formal letter of response to the respondent via the DMS Templates use case.

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Table 6-26 Review / Update Case Assignment Functional Requirements Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_10620 327 The system shall provide management of the case assignment information in New the Case Assignment area when the Docketing Center user is assigning a case to an ALJ unit. MISLE_F_REQ_10667 328 The system shall provide the ability for the Docketing Center user to view the New assigned Primary Judge when the Docketing Center user is in the case assignment view of the Case Assignment area. MISLE_F_REQ_10698 329 The system shall provide the ability for the Docketing Center user to select New Primary Judge when the Docketing Center user is in the Case Assignment area. MISLE_F_REQ_10699 329.1 The system shall prohibit the Docketing Center user from selecting a Primary New Judge when an ALJ unit is the owning unit of the case activity. MISLE_F_REQ_10621 330 The system shall provide the ability for the Docketing Center user to update the New primary judge information in the Judge details view when the Docketing Center user selects the Primary Judge Indicator from the Case Assignment area.

MISLE_F_REQ_10623 330.1 The system shall prohibit the Docketing Center user from updating the primary New judge information when an ALJ unit has control of the case activity. MISLE_F_REQ_10622 331.1 The system shall prohibit the Docketing Center user from adding primary New judge information when an ALJ unit is the owning unit of the case activity. MISLE_F_REQ_10646 331.2 The system shall provide the ability for the Docketing Center user to select a New Unit being displayed in the Judge details view. MISLE_F_REQ_10647 331.3 The system shall provide the ability for the Docketing Center user to enter a New Judges First Name being displayed in the Judge details view.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_10648 331.4 The system shall provide the ability for the Docketing Center user to enter a New Judges Middle Name being displayed in the Judge details view. MISLE_F_REQ_10649 331.5 The system shall provide the ability for the Docketing Center user to enter a New Judges Last Name being displayed in the Judge details view. MISLE_F_REQ_10650 331.6 The system shall provide the ability for the Docketing Center user to make the New judge available for case work in the Judge details view when the Docketing Center user selects the Judge Active indicator in the Judge details view. MISLE_F_REQ_10651 331.7 The system shall provide the ability for the Docketing Center user to enter a New Judges Title being displayed in the Judge details view. MISLE_F_REQ_10652 331.8 The system shall provide the ability for the Docketing Center user to enter a New Judges Address being displayed in the Judge details view. MISLE_F_REQ_10654 331.9 The system shall provide the ability for the Docketing Center user to enter a New Judges City being displayed in the Judge details view. MISLE_F_REQ_10655 331.10 The system shall provide the ability for the Docketing Center user to select a New Judges State being displayed in the Judge details view. MISLE_F_REQ_10656 331.11 The system shall provide the ability for the Docketing Center user to enter a New Judges Zip being displayed in the Judge details view. MISLE_F_REQ_10657 331.12 The system shall provide the ability for the Docketing Center user to enter a New Judges Work Phone being displayed in the Judge details view. MISLE_F_REQ_10658 331.13 The system shall provide the ability for the Docketing Center user to enter a New Judges Fax Number being displayed in the Judge details view. MISLE_F_REQ_10659 331.14 The system shall provide the ability for the Docketing Center user to enter a New Judges Email being displayed in the Judge details view. MISLE_F_REQ_10660 331.15 The system shall provide the ability for the Docketing Center user to enter a New Judges Paralegal Specialist being displayed in the Judge details view.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_10661 331.16 The system shall provide the ability for the Docketing Center user to enter a New Judges Paralegal Specialist being displayed in the Judge details view. MISLE_F_REQ_10662 331.17 The system shall provide the ability for the Docketing Center user to enter a New Judges Notes being displayed in the Judge details view. MISLE_F_REQ_10626 332.1 The system shall display the selected Primary Judge in the Judge details view New when the Docketing Center user has selected the Primary Judge. MISLE_F_REQ_10627 332.2 The system shall provide the ability for the Docketing Center user to select a New different Unit being displayed in the Judge details view when the Unit was populated by the user's selection of the Primary Judge. MISLE_F_REQ_10628 332.3 The system shall provide the ability for the Docketing Center user to update a New different Judges First Name being displayed in the Judge details view when the Judges First Name was populated by the user's selection of the Primary Judge. MISLE_F_REQ_10629 332.4 The system shall provide the ability for the Docketing Center user to update a New different Judges Middle Name being displayed in the Judge details view when the Judges Middle Name was populated by the user's selection of the Primary Judge. MISLE_F_REQ_10630 332.5 The system shall provide the ability for the Docketing Center user to update a New different Judges Last Name being displayed in the Judge details view when the Judges Last Name was populated by the user's selection of the Primary Judge. MISLE_F_REQ_10631 332.6 The system shall provide the ability for the Docketing Center user to inactivate New the displayed judge in the Judge details view when the Docketing Center user selects the Judge Active indicator in the Judge details view.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_10632 332.7 The system shall provide the ability for the Docketing Center user to update a New different Judges Title being displayed in the Judge details view when the Judges Title was populated by the user's selection of the Primary Judge. MISLE_F_REQ_10633 332.8 The system shall provide the ability for the Docketing Center user to update a New different Judges Address being displayed in the Judge details view when the Judges Address was populated by the user's selection of the Primary Judge. MISLE_F_REQ_10634 332.9 The system shall provide the ability for the Docketing Center user to update a New different Judges City being displayed in the Judge details view when the Judges City was populated by the user's selection of the Primary Judge. MISLE_F_REQ_10635 332.10 The system shall provide the ability for the Docketing Center user to select a New different Judges State being displayed in the Judge details view when the Judges State was populated by the user's selection of the Primary Judge. MISLE_F_REQ_10636 332.11 The system shall provide the ability for the Docketing Center user to update a New different Judges Zip being displayed in the Judge details view when the Judges Zip was populated by the user's selection of the Primary Judge. MISLE_F_REQ_10637 332.12 The system shall provide the ability for the Docketing Center user to update a New different Judges Work Phone being displayed in the Judge details view when the Judges Work Phone was populated by the user's selection of the Primary Judge. MISLE_F_REQ_10638 332.13 The system shall provide the ability for the Docketing Center user to update a New different Judges Fax Number being displayed in the Judge details view when the Judges Fax Number was populated by the user's selection of the Primary Judge. MISLE_F_REQ_10639 332.14 The system shall provide the ability for the Docketing Center user to update a New different Judges Email being displayed in the Judge details view when the Judges Email was populated by the user's selection of the Primary Judge.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_10640 332.15 The system shall provide the ability for the Docketing Center user to update a New different Judges Paralegal Specialist being displayed in the Judge details view when the Judges Paralegal Specialist was populated by the user's selection of the Primary Judge. MISLE_F_REQ_10641 332.16 The system shall provide the ability for the Docketing Center user to update a New different Judges Paralegal Specialist E-Mail being displayed in the Judge details view when the Judges Paralegal Specialist E-Mail was populated by the user's selection of the Primary Judge. MISLE_F_REQ_10642 332.17 The system shall provide the ability for the Docketing Center user to update a New different Judges Notes being displayed in the Judge details view when the Judges Notes was populated by the user's selection of the Primary Judge. MISLE_F_REQ_10643 333 The system shall provide the ability for the Docketing Center user to save the New judge's information in the Judge details view when the Docketing Center user has completed the Judge details view informational entries. MISLE_F_REQ_10644 334 The system shall provide the ability for the Docketing Center user to cancel the New updates to the judge's information in the Judge details view when the Docketing Center user prefers to exit without keeping the Judge details view information. MISLE_F_REQ_12508 335 The system shall provide the ability for the Docketing Center user to manage New the law clerks information when the user is in the Law Clerk details view. MISLE_F_REQ_10668 335.1 The system shall prohibit the Docketing Center user from managing any law New clerk activities when an ALJ unit has control of the case activity. MISLE_F_REQ_10664 336 The system shall provide the ability for the Docketing Center user to view the New assigned Law Clerk Name when the Docketing Center user is in the Case Assignment area.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_10671 337 The system shall provide the ability for the Docketing Center user to select a New Law Clerk Name when the Docketing Center user is in the Case Assignment area. MISLE_F_REQ_10672 338 The system shall provide the ability for the Docketing Center user to select a New Law Clerk Name Indicator to add a new law clerk when the Docketing Center user is in the Case Assignment area. MISLE_F_REQ_10673 338.1 The system shall provide the ability for the Docketing Center user to select an New add new in the Law Clerk details view when the Docketing Center user is in the Law Clerk details view. MISLE_F_REQ_10674 338.2 The system shall provide the ability for the Docketing Center user to enter a New Law Clerk First Name when in the Law Clerk details view. MISLE_F_REQ_10675 338.3 The system shall provide the ability for the Docketing Center user to enter a New Law Clerk Last Name when in the Law Clerk details view. MISLE_F_REQ_10677 338.4 The system shall provide the ability for the Docketing Center user to enter a New Law Clerk Middle Initial when in the Law Clerk details view. MISLE_F_REQ_10678 338.5 The system shall provide the ability for the Docketing Center user to select the New Law Clerk Active indicator showing that the law clerk is available for case work when the Docketing Center user is in the Law Clerk details view. MISLE_F_REQ_10679 338.6 The system shall provide the ability for the Docketing Center user to enter a New Law Clerk E-Mail when in the Law Clerk details view. MISLE_F_REQ_10680 338.7 The system shall provide the ability for the Docketing Center user to enter Law New Clerk Notes when in the Law Clerk details view. MISLE_F_REQ_10676 339 The system shall provide the ability for the Docketing Center user to select a New Law Clerk Name Indicator to update a law clerk when the Docketing Center user is in the Case Assignment area.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_10681 339.1 The system shall provide the ability for the Docketing Center user to select a New Law Clerk Name to update a law clerk when the Docketing Center user is in the Law Clerk details view. MISLE_F_REQ_10682 339.2 The system shall provide the ability for the Docketing Center user to update the New selected Law Clerk First Name in the Law Clerk details view when the Law Clerk First Name was populated by the Docketing Center user's selection of the Law Clerk Name. MISLE_F_REQ_10683 339.3 The system shall provide the ability for the Docketing Center user to update the New selected Law Clerk Last Name in the Law Clerk details view when the Law Clerk Last Name was populated by the Docketing Center user's selection of the Law Clerk Name. MISLE_F_REQ_10684 339.4 The system shall provide the ability for the Docketing Center user to update the New selected Law Clerk Middle Name in the Law Clerk details view when the Law Clerk Middle Name was populated by the Docketing Center user's selection of the Law Clerk Name. MISLE_F_REQ_10685 339.5 The system shall provide the ability for the Docketing Center user to select the New Law Clerk Active indicator to make the law clerk de-activated when the Docketing Center user is in the Law Clerk details view. MISLE_F_REQ_10686 339.6 The system shall provide the ability for the Docketing Center user to update the New selected Law Clerk E-Mail in the Law Clerk details view when the Law Clerk E-Mail was populated by the Docketing Center user's selection of the Law Clerk Name. MISLE_F_REQ_10687 339.7 The system shall provide the ability for the Docketing Center user to update the New Law Clerk Notes when the Docketing Center user is in the Law Clerk details view.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_10688 340 The system shall provide the ability for the Docketing Center user to save the New law clerk's information in the Law Clerk details view the Docketing Center user has completed the Law Clerk details view informational entries. MISLE_F_REQ_10689 341 The system shall provide the ability for the Docketing Center user to cancel the New law clerk's updates to the law clerk information in the Law Clerk details view when the Docketing Center user prefers to exit without keeping the Law Clerk details view information. MISLE_F_REQ_10690 342 The system shall provide the ability for the Docketing Center user to select the New Date Assigned when the Docketing Center user is in the Case Assignment area. MISLE_F_REQ_10691 343 The system shall provide the ability for the Docketing Center user to select the New Docket Type when the Docketing Center user is in the Case Assignment area. MISLE_F_REQ_10693 343.1 The system shall pre-populate Docket Status from the Docketing Center user's New selection of the Docket Type when the Docketing Center user is in the Case Assignment area. MISLE_F_REQ_10692 343.2 The system shall provide the ability for the Docketing Center user to select the New Docket Status when the Docketing Center user has determined a different status for the case in the Case Assignment area. MISLE_F_REQ_10900 344 The system shall display the following message when the Docket Type has New been changed to 'Default' with less than 20 days of assignment to the judge: "The Docket Type selected does not meet all the conditions required to generate ALJ Assignment Notice. Do you wish to proceed?" MISLE_F_REQ_10901 344.1 The system shall provide the ability for the Docketing Center user to confirm New to proceed when the Docket Type has been changed to 'Default' with less than 20 days of assignment to the judge.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_10902 344.2 The system shall provide the ability for the Docketing Center user to decline to New proceed when the Docket Type has been changed to 'Default' with less than 20 days of assignment to the judge. MISLE_F_REQ_10694 345 The system shall provide the ability for the Docketing Center user to view the New Transfer From ALJ Date when the Docketing Center user is in the Case Assignment area. MISLE_F_REQ_10695 346 The system shall provide the ability for the Docketing Center user to view the New ALJ Owning Unit when the Docketing Center user is in the Case Assignment area. MISLE_F_REQ_10696 347 The system shall provide the ability for the Docketing Center user to enter the New Docket Center Notes when the Docketing Center user is in the Case Assignment area. MISLE_F_REQ_10697 348 The system shall provide the ability for the Docketing Center user to select the New Amended COS when the Docketing Center user is in the Case Assignment area. MISLE_F_REQ_10700 348.1 The system shall display to the Docketing Center user the following message New when the Docketing Center user is in the Case Assignment area: "The Amended COS should only be used if either the manner of service or Respondent's address, please go to MISLE Party Details via Involved Subjects. Only the address indicated as Preferred will display in the document. Do you wish to continue?" MISLE_F_REQ_10702 348.2 The system shall provide the ability for the Docketing Center user to decline New the progression of generating the Amended COS letter when the Docketing Center user is in the Case Assignment area. MISLE_F_REQ_10701 348.3 The system shall provide the ability for the Docketing Center user to confirm New the progression of generating the Amended COS letter when the Docketing Center user is in the Case Assignment area.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_10705 348.6 The system shall display an editable Amended COS letter when the Docketing New Center user selects the Amended COS. MISLE_F_REQ_10706 348.7 The system shall display the following as the header for the Amended COS New letter when the user is reviewing the Amended COS letter: "UNITED STATES OF AMERICA U.S. Department of Homeland Security UNITED STATES COAST GUARD" MISLE_F_REQ_10707 348.8 The system shall display the following when the user selects the Amended New COS is reviewing the Amended COS letter: "Address of Administrative Law Judge Docketing Center: Administrative Law Judge Docketing Center U.S. Coast Guard 40 South Gay Street, RM 412 Baltimore, MD 21202-4022 Phone: (410) 962-5100 Toll Free: (866) 612-7524 Fax: (410) 962-1746 Toll Free Fax: (877) 243-3453" MISLE_F_REQ_10708 348.9 The system shall display the following in the Amended COS letter when the New user is reviewing the Amended COS letter: "FOR DOCKETING CENTER USE ONLY" MISLE_F_REQ_10709 348.10 The system shall display the following in the Amended COS letter when the New user is reviewing the Amended COS letter: "COMPLAINANT: UNITED STATES COAST GUARD" MISLE_F_REQ_10710 348.11 The system shall display the following in the Amended COS letter when the New user is reviewing the Amended COS letter: "RESPONDENT:" First Name + Last Name MISLE_F_REQ_10711 348.12 The system shall display the following in the Amended COS letter when the New user is reviewing the Amended COS letter: "Docket Number" Docket Number MISLE_F_REQ_10712 348.13 The system shall display the following in the Amended COS letter when the New user is reviewing the Amended COS letter "Amended Certificate of Service"

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_10713 348.14 The system shall display the following in the Amended COS letter when the New user is reviewing the Amended COS letter: "MISLE Activity ID" MISLE Activity ID MISLE_F_REQ_10715 348.15 The system shall display the following when the Docketing Center user is New reviewing the Amended COS letter: "I hereby certify that I have served the foregoing document upon the following parties (or designated representatives) to this proceeding at the addresses indicated by {Method of Service.}" MISLE_F_REQ_10716 348.16 The system shall display the following when the Docketing Center user is New reviewing the Amended COS letter: "Respondent" First Name + Last Name MISLE_F_REQ_10717 348.17 The system shall display the following when the Docketing Center user is New reviewing the Amended COS letter: "Respondent Counsel" Counsel of Record MISLE_F_REQ_10718 348.18 The system shall display the following when the Docketing Center user is New reviewing the Amended COS letter: "I hereby certify that I have filed the foregoing documents with {Assigned IO} and {Owning Unit}, electronically." MISLE_F_REQ_10719 348.19 The system shall display the following when the Docketing Center user is New reviewing the Amended COS letter: "For the ALJ Docketing Center" MISLE_F_REQ_10720 348.20 The system shall display signature line when the Docketing Center user is New reviewing the Amended COS letter. MISLE_F_REQ_10721 348.21 The system shall display the following when the Docketing Center user is New reviewing the Amended COS letter: "Paralegal Specialist" MISLE_F_REQ_10722 348.22 The system shall display the following when the Docketing Center user is New reviewing the Amended COS letter: "Date:" Date MISLE_F_REQ_10723 348.23 The system shall display the following footer information when the Docketing New Center user is reviewing the Amended COS letter: "ORIGINAL-ALJ

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Hierarchy Functional Requirement Proposed ID Changes Docketing Center; COPY-ROBERT B MONTGOMERY; COPY- Administrative Law Judge Docketing Center" MISLE_F_REQ_10724 348.24 The system shall provide the ability for the Docketing Center user to send the New Amended COS letter to all the parties involved when the Docketing Center user confirms the letter is complete. MISLE_F_REQ_10733 348.25 The system shall provide the ability for the user to save a PDF of the Amended New COS letter when the Docketing Center user confirms the letter is complete. MISLE_F_REQ_10734 348.26 The system shall print the Amended COS letter when the Docketing Center New user confirms the letter is complete. MISLE_F_REQ_10735 348.27 The system shall update the Docket that an Amended COS letter was submitted New when the Docketing Center user confirms the letter is complete. MISLE_F_REQ_10732 348.28 The system shall display the following message when the Docketing Center New user confirms the letter is complete: "Document saved, printed and submitted to the Docket." MISLE_F_REQ_10725 348.29 The system shall provide the ability for the user to email the completed New Amended COS letter in a PDF format to the docket center team members when the user confirms the letter is complete. MISLE_F_REQ_10726 348.30 The system shall display in the subject area of the email for the Amended COS New letter: "Amended Certificate of Service" MISLE_F_REQ_10727 348.31 The system shall provide the ability to send an email to the Docketing Center New containing the following data elements when the user has completed in the Amended COS letter: Docket Number; MISLE Activity ID; Title Description; Docket Type MISLE_F_REQ_10731 348.32 The system shall provide the ability for the Docketing Center user to add notes New in the message area of the email for the Amended COS letter.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_10736 348.33 The system shall provide the ability for the Docketing Center user to send the New email for the Amended COS. MISLE_F_REQ_10738 349 The system shall provide the ability for a Docketing Center user to transfer a New case back to the original assigned ALJ unit when the Docketing Center user selects transfer to an ALJ unit in the Case Assignment area. MISLE_F_REQ_10737 349.1 The system shall require a Primary Judge be assigned to a case before the New Docketing Center user may transfer the case to an ALJ. MISLE_F_REQ_10739 349.1.1 The system shall display the following message when the Docketing Center New user tries to transfer the case to an ALJ unit without assigning a case: "A Judge has not been assigned to the case." MISLE_F_REQ_10740 349.1.2 The system shall provide the ability for the Docketing Center user to confirm New the message to remove the message when the Docketing Center user is in the Case Assignment area. MISLE_F_REQ_10741 350 The system shall update the Transfer From ALJ Date when the ALJ unit user New transfers a case back to the ALJ Docketing Center. MISLE_F_REQ_10742 351 The system shall update the ALJ Owning Unit to 'ALJ Docketing Center' New when the ALJ unit has transferred the case back to the ALJ Docketing Center. MISLE_F_REQ_10743 352 The system shall update the ALJ Owning Unit to the Primary Judges unit New location when the Docketing Center user has completed the ALJ Assignment Notice in the Case Assignment area. MISLE_F_REQ_10744 353 The system shall update the ALJ Owning Unit to the Primary Judges unit New location when the Docketing Center user has completed the ALJ Re- Assignment Notice in the Case Assignment area. MISLE_F_REQ_10745 354 The system shall provide the ability for the user to assign a Primary Judge to New a case when the Docketing Center user selects ALJ Assignment Notice is in the Case Assignment area.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_10746 354.1 The system shall display the following message when the Docketing Center New user has not selected a Docket Type in the Case Assignment area: "A docket type other than closed must be selected prior to selecting ALJ Assignment Notice." MISLE_F_REQ_10747 354.2 The system shall provide the ability for the Docketing Center user to confirm New the message to remove the message when the Docketing Center user is in the Case Assignment area. MISLE_F_REQ_10748 354.3 The system shall provide an email to the Originating Unit User with an New activity status update for the Docket Type change when the Docketing Center user confirms the Docket Type change in the Case Assignment area: “Docket Activity Status Change.” MISLE_F_REQ_10749 354.4 The system shall provide an email to the Originating Unit User with the New activity status update for the Docket Type change in the Message area when the Docketing Center user confirms the Docket Type change in the Case Assignment area: “The Activity Status for Docket Number {Docket Number}, {MISLE Activity ID} has been changed to {Docket Status} by the Docket Center.” MISLE_F_REQ_10750 355 The system shall provide the Docketing Center user the ability to select the New Primary Judge when the Docketing Center user has selected the ALJ Assignment Notice in the Case Assignment area. MISLE_F_REQ_10752 355.1 The system shall provide the Docketing Center user the ability to cancel the New Primary Judge selection when the Docketing Center user has selected the ALJ Assignment Notice in the Case Assignment area. MISLE_F_REQ_10751 355.2 The system shall provide the Docketing Center user the ability to confirm the New Primary Judge selection in the when the Docketing Center user has selected the ALJ Assignment Notice in the Case Assignment area.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_10754 356 The system shall display an editable Notice of Assignment letter for the New Docketing Center user when the Docketing Center user has selected a Primary Judge. MISLE_F_REQ_10755 356.1 The system shall display the following as the header for the Notice of New Assignment letter when the Docketing Center user is reviewing the Notice of Assignment letter: "UNITED STATES OF AMERICA U.S. Department of Homeland Security UNITED STATES COAST GUARD" MISLE_F_REQ_10756 356.2 The system shall display the following when the Docketing Center user selects New the notice of defect is reviewing the Notice of Assignment letter: "Address of Administrative Law Judge Docketing Center: Administrative Law Judge Docketing Center U.S. Coast Guard 40 South Gay Street, RM 412 Baltimore, MD 21202-4022 Phone: (410) 962-5100 Toll Free: (866) 612-7524 Fax: (410) 962-1746 Toll Free Fax: (877) 243-3453" MISLE_F_REQ_10757 356.3 The system shall display the following in the Notice of Assignment letter when New the Docketing Center user is reviewing the Notice of Assignment letter: "FOR DOCKETING CENTER USE ONLY" MISLE_F_REQ_10758 356.4 The system shall display the following in the Notice of Assignment letter when New the Docketing Center user is reviewing the Notice of Assignment letter: "COMPLAINANT: UNITED STATES COAST GUARD" MISLE_F_REQ_10759 356.5 The system shall display the following in the Notice of Assignment letter when New the Docketing Center user is reviewing the Notice of Assignment letter: "RESPONDENT:" First Name + Last Name MISLE_F_REQ_10760 356.6 The system shall display the following in the Notice of Assignment letter when New the Docketing Center user is reviewing the Notice of Assignment letter: "Docket Number" Docket Number MISLE_F_REQ_10761 356.7 The system shall display “Notice of Assignment” in the Notice of Assignment New letter when the Docketing Center user is reviewing the letter.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_10762 356.8 The system shall display the following in the Notice of Assignment letter when New the Docketing Center user is reviewing the Notice of Assignment: "MISLE Activity ID" MISLE Activity ID MISLE_F_REQ_10763 356.9 The system shall display the following when the user is reviewing the Notice New of Assignment: "To the Administrative Law Judge {Primary Judge}: You have been assigned this {Docket Type} case. Please review and issue the appropriate order." MISLE_F_REQ_10764 356.10 The system shall display the following when the Docketing Center user is New reviewing the Notice of Assignment: "Done and Dated {Date} Baltimore, Maryland" MISLE_F_REQ_10765 356.11 The system shall display the following when the Docketing Center user is New reviewing the Notice of Assignment: "BY ORDER OF THE CHIEF ADMINISTRATIVE LAW JUDGE:______••••••••••• Paralegal Specialist ALJ Docketing Center" MISLE_F_REQ_10766 356.12 The system shall provide the ability for the Docketing Center user to send the New Notice of Assignment letter to all the parties involved when the Docketing Center user confirms the letter is complete. MISLE_F_REQ_10767 356.13 The system shall provide the ability for the Docketing Center user to save a New PDF of the Notice of Assignment letter when the Docketing Center user confirms the letter is complete. MISLE_F_REQ_10768 356.14 The system shall print the Notice of Assignment letter when the Docketing New Center user confirms the letter is complete. MISLE_F_REQ_10769 356.15 The system shall update the Docket that a Notice of Assignment letter was New submitted when the Docketing Center user confirms the letter is complete.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_10770 356.16 The system shall display the following message when the Docketing Center New user confirms the letter is complete: "Document saved, printed and submitted to Docket" MISLE_F_REQ_10771 356.17 The system shall provide the ability for the user to email the completed Notice New of Assignment letter in a PDF format to the docket center team members when the Docketing Center user confirms the letter is complete. MISLE_F_REQ_10772 356.18 The system shall display "Notice of Assignment" in the subject area of the New email for the Notice of Assignment letter. MISLE_F_REQ_10778 356.19 The system shall display the following in the message area of the email for the New Notice of Assignment letter: "Docket Number:" Docket Number MISLE_F_REQ_10779 356.20 The system shall display the following in the message area of the email for the New Notice of Assignment letter: "MISLE Activity ID:" MISLE Activity ID MISLE_F_REQ_10780 356.21 The system shall display the following in the message area of the email for the New Notice of Assignment letter: "Enforcement Title:" Title/Description MISLE_F_REQ_10781 356.22 The system shall display the following in the message area of the email for the New Notice of Assignment letter: "Docket Type:" Docket Type MISLE_F_REQ_10782 356.23 The system shall provide the ability for the Docketing Center user to add notes New in the message area of the email for the Notice of Assignment letter. MISLE_F_REQ_10783 356.24 The system shall provide the ability for the Docketing Center user to send the New email for the Notice of Assignment. MISLE_F_REQ_10773 357 The system shall provide the user the ability to re-assign a Primary Judge with New another case when the Docketing Center user is in the Case Assignment area. MISLE_F_REQ_10808 357.1 The system shall provide the user the ability to select the Primary Judge when New the Docketing Center user has selected the ALJ Re-Assignment Notice in the Case Assignment area.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_10809 357.2 The system shall provide the user the ability to cancel the Primary Judge New selection when the Docketing Center user has selected the ALJ Re-Assignment Notice in the Case Assignment area. MISLE_F_REQ_10810 357.3 The system shall provide the user the ability to confirm the Primary Judge New selection when the Docketing Center user has selected the ALJ Re-Assignment Notice in the case assignment area. MISLE_F_REQ_10774 358 The system shall display an editable Notice of Re-Assignment letter for the New user when the Docketing Center user had selected a Primary Judge from the pick judge area. MISLE_F_REQ_10784 358.1 The system shall display the following as the header for the Notice of New Assignment letter when the user is reviewing the Re-Assignment letter: "UNITED STATES OF AMERICA U.S. Department of Homeland Security UNITED STATES COAST GUARD" MISLE_F_REQ_10785 358.2 The system shall display the following when the Docketing Center user selects New the ALJ Re-Assignment Notice is reviewing the Notice of Re-Assignment letter: "Address of Administrative Law Judge Docketing Center: Administrative Law Judge Docketing Center U.S. Coast Guard 40 South Gay Street, RM 412 Baltimore, MD 21202-4022 Phone: (410) 962-5100 Toll Free: (866) 612-7524 Fax: (410) 962-1746 Toll Free Fax: (877) 243-3453." MISLE_F_REQ_10786 358.3 The system shall display the following in the Notice of Re-Assignment letter New when the user is reviewing the Notice of Re-Assignment letter: "FOR DOCKETING CENTER USE ONLY" MISLE_F_REQ_10787 358.4 The system shall display the following in the Notice of Re-Assignment letter New when the user is reviewing the Notice of Re-Assignment letter: "COMPLAINANT: UNITED STATES COAST GUARD"

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_10788 358.5 The system shall display the following in the Notice of Re-Assignment letter New when the Docketing Center user is reviewing the Notice of Re-Assignment letter: "RESPONDENT:" First Name + Last Name MISLE_F_REQ_10789 358.6 The system shall display the following in the Notice of Re-Assignment letter New when the Docketing Center user is reviewing the Notice of Re-Assignment letter: "Docket Number" Docket Number MISLE_F_REQ_10790 358.7 The system shall display the following in the Notice of Re-Assignment letter New when the Docketing Center user is reviewing the Notice of Re-Assignment: "Notice of Assignment" MISLE_F_REQ_10791 358.8 The system shall display the following in the Notice of Re-Assignment letter New when the Docketing Center user is reviewing the Notice of Re-Assignment: "MISLE Activity ID" MISLE Activity ID MISLE_F_REQ_10792 358.9 The system shall display the following when the Docketing Center user is New reviewing the Notice of Re-Assignment: "To the Administrative Law Judge {Primary Judge}: You have been reassigned this {Docket Type} case. Please review and issue the appropriate order." MISLE_F_REQ_10793 358.10 The system shall display the following when the Docketing Center user is New reviewing the Notice of Re-Assignment: "Done and Dated {Date} Baltimore, Maryland" MISLE_F_REQ_10794 358.11 The system shall display the following when the Docketing Center user is New reviewing the Notice of Re-Assignment: "BY ORDER OF THE CHIEF ADMINISTRATIVE LAW JUDGE:______••••••••••• Paralegal Specialist ALJ Docketing Center" MISLE_F_REQ_10795 358.12 The system shall provide the ability for the Docketing Center user to send the New Notice of Re-Assignment letter to all the parties involved when the Docketing Center user confirms the letter is complete.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_10796 358.13 The system shall provide the ability for the user to save a PDF of the Notice of New Re-Assignment letter when the Docketing Center user confirms the letter is complete. MISLE_F_REQ_10797 358.14 The system shall print the Notice of Re-Assignment letter when the Docketing New Center user confirms the letter is complete. MISLE_F_REQ_10798 358.15 The system shall update the Docket with the Notice of Re-Assignment letter New that was submitted when the Docketing Center user confirms the letter is complete. MISLE_F_REQ_10799 358.16 The system shall display the following message when the Docketing Center New user confirms the letter is complete: "Document saved, printed and submitted to Docket" MISLE_F_REQ_10800 358.17 The system shall provide the ability for the Docketing Center user to email the New completed Notice of Re-Assignment letter in a PDF format to the Docket Center users when Docketing Center user confirms the letter is complete. MISLE_F_REQ_10801 358.18 The system shall display the following in the subject area of the email for the New Notice of Assignment letter: "Notice of Re-Assignment" MISLE_F_REQ_10802 358.19 The system shall display the following data elements in the message area of the New email for the Notice of Re-Assignment letter: Docket Number; MISLE Activity ID; Title/Description; Docket Type MISLE_F_REQ_10806 358.20 The system shall provide the ability for the Docketing Center user to add notes New in the message area of the email for the Notice of Re-Assignment letter. MISLE_F_REQ_10807 358.21 The system shall provide the ability for the Docketing Center user to send the New email for the Notice of Re-Assignment. MISLE_F_REQ_10813 359 The system shall provide the Docketing Center user the ability to create an New Administrative Withdrawal document when the Docketing Center user is in the Case Assignment area.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_10817 360 The system shall display an editable Administrative Withdrawal letter for the New user when the Docketing Center user had selected Administrative Withdrawal from Case Assignment area. MISLE_F_REQ_10818 360.1 The system shall display the following as the header for the Administrative New Withdrawal letter when the Docketing Center user is reviewing the Administrative Withdrawal letter: "UNITED STATES OF AMERICA U.S. Department of Homeland Security UNITED STATES COAST GUARD" MISLE_F_REQ_10819 360.2 The system shall display the following when the user selects the New Administrative Withdrawal is reviewing the Administrative Withdrawal letter: "Address of Administrative Law Judge Docketing Center: Administrative Law Judge Docketing Center U.S. Coast Guard 40 South Gay Street, RM 412 Baltimore, MD 21202-4022 Phone: (410) 962-5100 Toll Free: (866) 612-7524 Fax: (410) 962-1746 Toll Free Fax: (877) 243-3453" MISLE_F_REQ_10820 360.3 The system shall display the following in the Administrative Withdrawal letter New when the Docketing Center user is reviewing the Administrative Withdrawal letter: "FOR DOCKETING CENTER USE ONLY" MISLE_F_REQ_10821 360.4 The system shall display the following in the Administrative Withdrawal letter New when the Docketing Center user is reviewing the Administrative Withdrawal letter: "COMPLAINANT: UNITED STATES COAST GUARD" MISLE_F_REQ_10822 360.5 The system shall display the following in the Administrative Withdrawal letter New when the Docketing Center user is reviewing the Administrative Withdrawal letter: "RESPONDENT:" {First Name + Last Name} MISLE_F_REQ_10823 360.6 The system shall display the following in the Administrative Withdrawal letter New when the Docketing Center user is reviewing the Administrative Withdrawal letter: "Docket Number" {Docket Number}

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_10824 360.7 The system shall display the following in the Administrative Withdrawal letter New when the Docketing Center user is reviewing the Administrative Withdrawal: "Administrative Withdrawal" MISLE_F_REQ_10825 360.8 The system shall display the following in the Administrative Withdrawal letter New when the Docketing Center user is reviewing the Administrative Withdrawal: "MISLE Activity ID" {MISLE Activity ID} MISLE_F_REQ_10826 360.9 The system shall display the following when the Docketing Center user is New viewing the Administrative Withdrawal letter: "The Coast Guard initiated an administrative proceeding by filing a Complaint on {Complaint File Date}, seeking sanctions on Respondent's credentials. The ALJ Docketing Center has terminated this proceeding with an administrative withdrawal as there has been no action taken to date. No answer, default notice or other filing has been received by the Docketing Center. This matter has been removed from the docket and this case is closed effective this date. The Coast Guard may file a new Complaint in this matter as this withdrawal is done without prejudice." MISLE_F_REQ_10827 360.10 The system shall display the following when the Docketing Center user is New reviewing the Administrative Withdrawal: "Done and Dated {Date} Baltimore, Maryland" MISLE_F_REQ_10828 360.11 The system shall display the following when the Docketing Center user is New reviewing the Administrative Withdrawal:"______Paralegal Specialist ALJ Docketing Center" MISLE_F_REQ_10829 360.12 The system shall provide the ability for the Docketing Center user to send the New Administrative Withdrawal letter to all the parties involved when the Docketing Center user confirms the letter is complete.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_10830 360.13 The system shall provide the ability for the user to save a PDF of the New Administrative Withdrawal letter when the Docketing Center user confirms the letter is complete. MISLE_F_REQ_10831 360.14 The system shall print the Administrative Withdrawal letter when the New Docketing Center user confirms the letter is complete. MISLE_F_REQ_10832 360.15 The system shall update the Docket that an Administrative Withdrawal letter New was submitted when the Docketing Center user confirms the letter is complete. MISLE_F_REQ_10833 360.16 The system shall display the following message when the Docketing Center New user confirms the letter is complete: "Document saved, printed and submitted to Docket" MISLE_F_REQ_10834 360.17 The system shall provide the ability for the user to email the completed New Administrative Withdrawal letter in a PDF format to the docket center team members when the Docketing Center user confirms the letter is complete. MISLE_F_REQ_10835 360.18 The system shall display the following in the subject area of the email for the New Administrative Withdrawal letter: "Administrative Withdrawal" MISLE_F_REQ_10836 360.19 The system shall display the following data elements in the message area of the New email for the Administrative Withdrawal letter: Docket Number; MISLE Activity ID; Title/Description; Docket Type MISLE_F_REQ_10840 360.20 The system shall provide the ability for the Docketing Center user to add notes New in the message area of the email for the Administrative Withdrawal letter. MISLE_F_REQ_10841 360.21 The system shall provide the ability for the Docketing Center user to send the New email for the Administrative Withdrawal. MISLE_F_REQ_10776 361 The system shall provide the user the ability to create a Withdrawal New Confirmation document when the user is in the Case Assignment area.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_10777 362 The system shall display this message: "No Notice of Withdrawal has been New submitted. Do you wish to continue?" MISLE_F_REQ_10844 362.1 The system shall provide the ability for the Docketing Center user to decline to New continue with the Withdrawal Confirmation when the user is in the Notice of Withdrawal area. MISLE_F_REQ_10843 362.2 The system shall provide the ability for the Docketing Center user to confirm New the Withdrawal Confirmation when the user is in the Notice of Withdrawal area. MISLE_F_REQ_10846 363 The system shall provide the Docketing Center user the ability to create a New Withdrawal Confirmation document when the user is in the Case Assignment area. MISLE_F_REQ_10847 364 The system shall display an editable Withdrawal Confirmation letter for the New user when the Docketing Center user had selected Withdrawal Confirmation from Case Assignment area. MISLE_F_REQ_10848 364.1 The system shall display the following as the header for the Withdrawal New Confirmation letter when the Docketing Center user is reviewing the Withdrawal Confirmation letter: "UNITED STATES OF AMERICA U.S. Department of Homeland Security UNITED STATES COAST GUARD" MISLE_F_REQ_10849 364.2 The system shall display the following when the Docketing Center user selects New the Withdrawal Confirmation is reviewing the Withdrawal Confirmation letter: “Address of Administrative Law Judge Docketing Center: Administrative Law Judge Docketing Center U.S. Coast Guard 40 South Gay Street, RM 412 Baltimore, MD 21202-4022 Phone: (410) 962-5100 Toll Free: (866) 612-7524 Fax: (410) 962-1746 Toll Free Fax: (877) 243-3453” MISLE_F_REQ_10850 364.3 The system shall display the following in the Withdrawal Confirmation letter New when the Docketing Center user is reviewing the Withdrawal Confirmation letter: "FOR DOCKETING CENTER USE ONLY"

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_10851 364.4 The system shall display the following in the Withdrawal Confirmation letter New when the Docketing Center user is reviewing the Withdrawal Confirmation letter: "COMPLAINANT: UNITED STATES COAST GUARD" MISLE_F_REQ_10852 364.5 The system shall display the following in the Withdrawal Confirmation letter New when the Docketing Center user is reviewing the Withdrawal Confirmation letter: "RESPONDENT:" First Name + Last Name MISLE_F_REQ_10853 364.6 The system shall display the following in the Withdrawal Confirmation letter New when the Docketing Center user is reviewing the Withdrawal Confirmation letter: "Docket Number" Docket Number MISLE_F_REQ_10854 364.7 The system shall display the following in the Withdrawal Confirmation letter New when the Docketing Center user is reviewing the Withdrawal Confirmation: "Withdrawal from Docket" MISLE_F_REQ_10855 364.8 The system shall display the following in the Withdrawal Confirmation letter New when the Docketing Center user is reviewing the Withdrawal Confirmation: "MISLE Activity ID" MISLE Activity ID MISLE_F_REQ_10856 364.9 The system shall display the following when the Docketing Center user is New viewing the Withdrawal Confirmation letter: "The Coast Guard initiated an administrative proceeding by filing a Complaint on {Complaint File Date}, seeking {Proposed Order on Complaint} of the respondents {Identification Number}. On {Date of Withdrawal}, the Coast Guard filed a Notice of Withdrawal from docket as {insert why withdrawing}. This matter is removed from the docket and this case is closed effective this date. The Coast Guard may file a new Complaint in this matter." MISLE_F_REQ_10858 364.10 The system shall display the following when the Docketing Center user is New reviewing the Withdrawal Confirmation: "Done and Dated {Date} Baltimore, Maryland"

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_10859 364.11 The system shall display a signature line area above "Paralegal Specialist ALJ New Docketing Center" when the user is reviewing the Withdrawal Confirmation. MISLE_F_REQ_10860 364.12 The system shall provide the ability for the Docketing Center user to send the New Withdrawal Confirmation letter to all the parties involved when the Docketing Center user confirms the letter is complete. MISLE_F_REQ_10861 364.13 The system shall provide the ability for the DMS user to save a PDF of the New Withdrawal Confirmation letter when the Docketing Center user confirms the letter is complete. MISLE_F_REQ_10862 364.14 The system shall print the Withdrawal Confirmation letter when the Docketing New Center user confirms the letter is complete. MISLE_F_REQ_10863 364.15 The system shall update the Docket that a Withdrawal Confirmation letter was New submitted when the Docketing Center user confirms the letter is complete. MISLE_F_REQ_10864 364.16 The system shall display the message: 'Document saved, printed and submitted New to Docket' when the Docketing Center user confirms the letter is complete. MISLE_F_REQ_10865 364.17 The system shall provide the ability for the user to email the completed New Withdrawal Confirmation letter in a PDF format to the docket center team members when the Docketing Center user confirms the letter is complete. MISLE_F_REQ_10866 364.17.1 The system shall display the following in the subject area of the email for the New Withdrawal Confirmation letter: "Withdrawal Confirmation" MISLE_F_REQ_10867 364.17.2 The system shall display the following in the message area of the email for the New Withdrawal Confirmation letter: Docket Number; MISLE Activity ID; Title/Description; Docket Type MISLE_F_REQ_10871 364.17.3 The system shall provide the ability for the user to add notes in the message New area of the email for the Withdrawal Confirmation letter.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_10872 364.17.4 The system shall provide the ability for the user to send the email for the New Withdrawal Confirmation. MISLE_F_REQ_10845 365 The system shall provide the user with the ability to review a Docket Activity New Log list view when the user has selected the Docket Activity Log area. MISLE_F_REQ_10882 365.1 The system shall display the MISLE Activity ID in the Docket Activity Log New list view when the Docketing Center user has selected the Docket Activity Log area. MISLE_F_REQ_10877 365.2 The system shall display the following in Docket Activity Log list view when New the Docketing Center user has selected the Docket Activity Log area: Date Entered; Date Effective; Unit; Initials; Action MISLE_F_REQ_10878 365.2.1 The system shall provide the ability for the Docketing Center user to sort the New Docket Activity Log list view in ascending order. MISLE_F_REQ_10879 365.2.2 The system shall provide the ability for the Docketing Center user to sort the New Docket Activity Log list view in descending order. MISLE_F_REQ_10880 365.3 The system shall provide the ability for the Docketing Center user to export the New Docket Activity Log list view to Microsoft Excel. MISLE_F_REQ_10891 365.4 The system shall provide the ability for the Docketing Center user to remove New manually entered docket activity log information when the user selects a line item from the Docket Activity Log list view. MISLE_F_REQ_10895 365.5 The system shall display the following message when the Docketing Center New user selects a manually generated line item from the Docket Activity Log list view to be removed: "Are you sure you want to delete this entry?" MISLE_F_REQ_10896 365.6 The system shall provide the ability for the user to decline the deletion of the New manual entry when the user selects a manually generated line item from the Docket Activity Log list view to be removed.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_10897 365.7 The system shall provide the ability for the user to confirm the deletion of the New manual entry when the user selects a manually generated line item from the Docket Activity Log list view to be removed. MISLE_F_REQ_10892 365.8 The system shall prohibit the removal of system generated line item when the New user selects from the Docket Activity Log list view to remove. MISLE_F_REQ_10893 365.9 The system shall prohibit the removal of system generated line item displaying New the following message when the user selects from the Docket Activity Log list view for removal: "That is a System-Generated Entry. It cannot be deleted." MISLE_F_REQ_10894 365.10 The system shall provide the ability for the user to confirm that they may not New remove a system generated entry when the user selects from the Docket Activity Log list view for removal. MISLE_F_REQ_10881 365.11 The system shall provide the ability for the user to add a manual entry into the New docket activity log when the user selects add in the Docket Activity Log list view. MISLE_F_REQ_10883 365.11.1 The system shall display the Unit in the Add Manual Activity Action Log New Entry area when the Docketing Center user has selected to add a manual entry in the Docket Activity Log list view. MISLE_F_REQ_10884 365.11.2 The system shall display the User in the Add Manual Activity Action Log New Entry area when the Docketing Center user has selected to add a manual entry in the Docket Activity Log list view. MISLE_F_REQ_10885 365.11.3 The system shall provide the ability for the user to enter a Date Effective in the New Add Manual Activity Action Log Entry area when the Docketing Center user has selected to add a manual entry in the Docket Activity Log list view. MISLE_F_REQ_10886 365.11.4 The system shall provide the ability for the user to enter a Date Effective for New entering the time in the Add Manual Activity Action Log Entry area when the

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Hierarchy Functional Requirement Proposed ID Changes Docketing Center user has selected to add a manual entry in the Docket Activity Log list view. MISLE_F_REQ_10887 365.11.5 The system shall provide the ability for the user to enter a Narrative in the New Add Manual Activity Action Log Entry area when the Docketing Center user has selected to add a manual entry in the Docket Activity Log list view. MISLE_F_REQ_10888 365.11.6 The system shall provide the ability for the user to exit from the in the Add New Manual Activity Action Log Entry area when the Docketing Center user has selected to decline a manual entry in the Docket Activity Log list view. MISLE_F_REQ_10889 365.11.7 The system shall provide the ability for the user to confirm the entries in the New Add Manual Activity Action Log Entry area when the Docketing Center user has selected to confirm a manual entry in the Docket Activity Log list view. MISLE_F_REQ_10898 365.12 The system shall provide the ability for the user to access an Online Help area New for the Docket Activity Log area when the Docketing Center user is in the Docket Activity Log list view. MISLE_F_REQ_10899 365.13 The system shall provide the ability for the user to exit the Docket Activity New Log area.

Table 6-27 Case Assignment - Full Data Elements ID Element Description Format Default Length Req 5534 Docket Type A picklist with categories of how a case has been assigned Picklist Null N/A Cond out by the Docket Center team members. Req 5629 Primary Judge The Adjudication team member assigns the Primary Judge Picklist Null N/A Yes through the Case Assignment area. Displays the Judge who is assigned to the case. 5630 Judges First Judge's first name. Alpha Null 20 Yes Name

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ID Element Description Format Default Length Req 5631 Judges Middle Judge's middle name. Alpha Null 12 Yes Name 5632 Judges Last Judge's last name. Alpha Null 20 Yes Name 5633 Judges Title Judge's title Alpha Null 50 Yes 5634 Judge Active An indicator that show whether the judge is active or not. Yes/No Yes N/A Yes 5635 Judges Address Street, Building Name and Room Number Alphanumeric Null 5000 Yes 5636 Judges City Name of City where the judge's office is located. Alpha Null 50 Yes 5637 Judges State Name of state where the judge's office is located. Picklist Null N/A Yes 5638 Judges Zip Zip Code for the location of the judge's address location. Numeric Null 10 Yes 5639 Judges Work Work phone number for the judge who will be presiding Numeric Null 12 Yes Phone over the case. 5640 Judges Fax Fax number for the judge who will be presiding over the Numeric Null 12 Yes Number case.

5641 Judges Email Email for the judge who will be presiding over the case. Alphanumeric Null 25 Yes 5648 Judges Paralegal Specialist for the judge who will be presiding Alpha Null 25 Yes Paralegal over the case. Specialist 5649 Judges Paralegal Specialist E-Mail for the judge who will be Alphanumeric Null 25 Yes Paralegal presiding over the case. Specialist E- Mail 5650 Judges Notes Notes for the judge who will be presiding over the case. Alphanumeric Null 2000 No

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ID Element Description Format Default Length Req 5651 Law Clerk Displays the Law Clerk who is assigned to the case Picklist Null N/A Cond Name activity. Req 5652 Law Clerk First Displays the First Name of the Law Clerk who is assigned Alpha Null 30 Yes Name to the case activity. 5653 Law Clerk Last Displays the Last Name of the Law Clerk who is assigned Alpha Null 30 Yes Name to the case activity. 5654 Law Clerk Displays the Middle initial of the Law Clerk who is Alpha Null 5 Yes Middle Initial assigned to the case activity. 5655 Law Clerk An indicator that show whether the law clerk is active or Yes/No No N/A Yes Active not. 5656 Law Clerk E- The email available for the Law Clerk. Alphanumeric Null 30 Yes Mail 5657 Law Clerk An area where the Law Clerk may make notes. Alphanumeric Null 2000 No Notes 5658 Date Assigned Auto populates the date reflecting the date the case was Date Current 10 Yes assigned to a judge. Date 5659 Docket Status Auto populated by the selection of the Docket Type but Picklist Null N/A Yes allows user to select what the status should be. In adjudication this is the last update the docket center did before transferring the case. 5660 Transfer From Allows the user to view what date the case was transferred Date Null 12 Cond ALJ Date back to the Docket Center Req 5661 ALJ Owning Allows the user to know what ALJ unit the case is assigned Alpha N/A 80 Yes Unit to. 5662 Docket Center Area where Docket Center put notes regarding the case. Alphanumeric Null 8000 Yes Notes

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ID Element Description Format Default Length Req 5666 Unit The unit to which the judge is assigned. Picklist Null N/A Yes 5849 Primary Judge The selection of this indicator allows the user to add or edit Yes/No No N/A Cond Indicator a Primary Judge in a new Judge area. Req

Table 6-28 Case Assignment - Read Only Data Elements ID Element Description 5534 Docket Type A picklist with categories of how a case has been assigned out by the Docket Center team members. 5629 Primary Judge The Adjudication team member assigns the Primary Judge through the Case Assignment area. Displays the Judge who is assigned to the case. 5630 Judges First Name Judge's first name. 5631 Judges Middle Name Judge's middle name. 5632 Judges Last Name Judge's last name. 5633 Judges Title Judge's title 5634 Judge Active An indicator that show whether the judge is active or not. 5635 Judges Address Street, Building Name and Room Number 5636 Judges City Name of City where the judge's office is located. 5637 Judges State Name of state where the judge's office is located. 5638 Judges Zip Zip Code for the location of the judge's address location. 5639 Judges Work Phone Work phone number for the judge who will be presiding over the case. 5640 Judges Fax Number Fax number for the judge who will be presiding over the case.

5641 Judges Email Email for the judge who will be presiding over the case.

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ID Element Description 5648 Judges Paralegal Paralegal Specialist for the judge who will be presiding over the case. Specialist 5649 Judges Paralegal Paralegal Specialist E-Mail for the judge who will be presiding over the case. Specialist E-Mail 5650 Judges Notes Notes for the judge who will be presiding over the case. 5651 Law Clerk Name Displays the Law Clerk who is assigned to the case activity. 5652 Law Clerk First Displays the First Name of the Law Clerk who is assigned to the case activity. Name 5653 Law Clerk Last Name Displays the Last Name of the Law Clerk who is assigned to the case activity. 5654 Law Clerk Middle Displays the Middle initial of the Law Clerk who is assigned to the case activity. Initial 5655 Law Clerk Active An indicator that show whether the law clerk is active or not. 5656 Law Clerk E-Mail The email available for the Law Clerk. 5657 Law Clerk Notes An area where the Law Clerk may make notes. 5658 Date Assigned Auto populates the date reflecting the date the case was assigned to a judge. 5659 Docket Status Auto populated by the selection of the Docket Type but allows user to select what the status should be. In adjudication this is the last update the docket center did before transferring the case. 5660 Transfer From ALJ Allows the user to view what date the case was transferred back to the Docket Center Date 5661 ALJ Owning Unit Allows the user to know what ALJ unit the case is assigned to. 5662 Docket Center Notes Area where Docket Center put notes regarding the case. 5666 Unit The unit to which the judge is assigned.

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Table 6-29 Case Assignment - Notice of Assignment Letter Data Elements ID Element Description Format Default Length Req 428 MISLE MISLE Enforcement Activity ID associated with the case. Numeric Null 0 – Yes Activity 2,147,483,647 ID 1434 Date The current date. Date Current n/a Yes Date 1857 Last Last name of the individual. Alpha n/a 50 Yes Name 1858 First First name of the individual. Alpha n/a 50 No Name 3689 Docket The number generated by the system that gets assigned to a case Numeric Null 9 No Number file sent over to the CMS application. "YYYY"-"NNNN" where "Y"=current year & "N" is a system generated number. Only available for Enforcement activity searches related to current Suspension & Revocation and Administrative Civil Penalty Class II Enforcement activities. This number is assigned via the NOF during a submission of a Complaint by the IO in Enforcement. 5534 Docket A picklist with categories of how a case has been assigned out Picklist Null N/A Cond Type by the Docket Center team members. Req 5629 Primary The Adjudication team member assigns the Primary Judge Picklist Null N/A Yes Judge through the Case Assignment area. Displays the Judge who is assigned to the case.

Table 6-30 Case Assignment - Notice of RE-Assignment Letter Data Elements

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ID Element Description Format Default Length Req 5534 Docket A picklist with categories of how a case has been assigned out by the Picklist Null N/A Cond Type Docket Center team members. Req

Table 6-31 Case Assignment - Docket Activity Log Data Elements ID Element Description 428 MISLE MISLE Enforcement Activity ID associated with the case. Activity ID 618 Date Date/time the log entry is effective. Effective 5579 Date The date that the document was entered into the Docket. Entered 5858 Action Describes what action was taken place in from what the User had done. (Currently a stored procedure occurs for each different action type: e.g. the insert for a Docket Status change is: 'Status changed to ' + ActivityStatusDescription corresponding to the status of the Id passed in.) 5859 Initials Initials are equal to Unit Users User Name which is the name (last, first, mi) of the user (Name of person who took the action.). 5860 Unit The unit recorded as the unit that took an action in the case activity and recorded in the Docket Activity Log.

Table 6-32 Case Assignment - Add Manual Activity Action Log Entry Data Elements ID Element Description Format Default Length Req 446 Narrative Any general notes associated with the activity. This narrative Alphanumeric n/a 100,000 No text is used in the Enforcement Activity to populate the

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ID Element Description Format Default Length Req Enforcement Summary Report (Activity Summary Report). Any narrative written in the enforcement referral populates this data element. 618 Date Date/time the log entry is effective. Date/Time Current n/a Yes Effective Date/Time

Table 6-33 Case Assignment - Add Manual Activity Action Log Entry Data Elements ID Element Description 5860 Unit The unit recorded as the unit that took an action in the case activity and recorded in the Docket Activity Log. 5861 User User is equal to Unit Users User Name which is the name (last, first, mi) of the user (Name of person who took the action in making a change.).

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6.1.6 Use Case - 425: Edit / Print DMS Templates Overview: The docketing center requires pre-fabricated, highly-templated documents which adhere to legal correspondence standards in a timely manner. Purpose: DMS Templates allow the Docketing Center users the option of creating and sending out documents from pre-determined templates, automatically populating them with pertinent case information. All templates are editable. Primary Actors: Docketing Center Hearing and Docket Clerks Paralegal Specialist Attorney Advisor Pre-Conditions: 1. Complaint, NOF, Answer, COS and ROS had been filed (sent electronically via MISLE). 2. The user of either the answer or case assignment workflow for the DMS has selected the DMS Templates option. 3. To print the DMS Templates the owning unit must be the Docketing Center.

Scenario(s): Main Success Scenario 1. The user is presented with the available DMS Templates. 2. The user may generate and print the following document templates:  Administrative Withdrawal document  Amended COS document  Contested Notice of Assignment document  Contested Notice of Reassignment document  Notice of Deficient Filing document  Notice of Extension document  Temporary Suspension document  Uncontested Case Assignment document  Uncontested Case Reassignment document

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 Withdrawal Confirmation document. Exceptions: 1. The user may cancel and return to the calling workflow. Post-Conditions: 1. The user may have printed out and mailed any one of the DMS Templates.

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Table 6-34 Edit / Print DMS Templates Functional Requirements Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_10903 368 The system shall provide the ability for the user to select DMS Templates area New in Docket Activity Log area when the Docketing Center user is required to correspond with the respondent with other legal types of DMS documents. MISLE_F_REQ_10873 368.1 The system shall provide the ability for the Docketing Center user to select an New editable Amended COS document when the Docketing Center user is in the DMS Templates workflow. MISLE_F_REQ_10906 368.1.1 The system shall display the following as the header for the Amended COS New letter when the user is reviewing the Amended COS letter: "UNITED STATES OF AMERICA U.S. Department of Homeland Security UNITED STATES COAST GUARD" MISLE_F_REQ_10907 368.1.2 The system shall display the following when the Docketing Center user selects New the Amended COS is reviewing the Amended COS letter: "Address of Administrative Law Judge Docketing Center: Administrative Law Judge Docketing Center U.S. Coast Guard 40 South Gay Street, RM 412 Baltimore, MD 21202-4022 Phone: (410) 962-5100 Toll Free: (866) 612-7524 Fax: (410) 962-1746 Toll Free Fax: (877) 243-3453" MISLE_F_REQ_10908 368.1.3 The system shall display the following in the Amended COS letter when the New Docketing Center user is reviewing the Amended COS letter: "FOR DOCKETING CENTER USE ONLY" MISLE_F_REQ_10909 368.1.4 The system shall display the following in the Amended COS letter when the New Docketing Center user is reviewing the Amended COS letter: "COMPLAINANT: UNITED STATES COAST GUARD" MISLE_F_REQ_10910 368.1.5 The system shall display the following in the Amended COS letter when the New Docketing Center user is reviewing the Amended COS letter: "RESPONDENT:" First Name + Last Name

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_10911 368.1.6 The system shall display the following in the Amended COS letter when the New Docketing Center user is reviewing the Amended COS letter: "Docket Number" Docket Number MISLE_F_REQ_10912 368.1.7 The system shall display the following in the Amended COS letter when the New Docketing Center user is reviewing the Amended COS letter: "Amended Certificate of Service" MISLE_F_REQ_10913 368.1.8 The system shall display the following in the Amended COS letter when the New Docketing Center user is reviewing the Amended COS letter: "MISLE Activity ID" MISLE Activity ID MISLE_F_REQ_10914 368.1.9 The system shall display the following in the Amended COS letter when the New Docketing Center user is reviewing the Amended COS letter: "Amended Certificate of Service" MISLE_F_REQ_10915 368.1.10 The system shall display the following when the Docketing Center user is New reviewing the Amended COS letter: "I hereby certify that I have served the foregoing document upon the following parties (or designated representatives) to this proceeding at the addresses indicated by {Method of Service.}" MISLE_F_REQ_10916 368.1.11 The system shall display the following when the Docketing Center user is New reviewing the Amended COS letter: "Respondent" First Name + Last Name MISLE_F_REQ_10917 368.1.12 The system shall display the following when the Docketing Center user is New reviewing the Amended COS letter: "Respondent Counsel" Counsel of Record MISLE_F_REQ_10918 368.1.13 The system shall display the following when the Docketing Center user is New reviewing the Amended COS letter: "I hereby certify that I have filed the foregoing documents with {Assigned IO} and {Owning Unit}, electronically."

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_10919 368.1.14 The system shall display the following when the Docketing Center user is New reviewing the Amended COS letter: "For the ALJ Docketing Center" MISLE_F_REQ_10920 368.1.15 The system shall display a display a signature line when the Docketing Center New user is reviewing the Amended COS letter. MISLE_F_REQ_10921 368.1.16 The system shall display the following when the Docketing Center user is New reviewing the Amended COS letter: "Paralegal Specialist" MISLE_F_REQ_10922 368.1.17 The system shall display the following when the Docketing Center user is New reviewing the Amended COS letter: "Date:" Date MISLE_F_REQ_10923 368.1.18 The system shall display the following footer information when the Docketing New Center user is reviewing the Amended COS letter: "ORIGINAL-ALJ Docketing Center; COPY-ROBERT B MONTGOMERY; COPY- Administrative Law Judge Docketing Center" MISLE_F_REQ_10924 368.2 The system shall provide the ability for the Docketing Center user to send the New Amended COS letter to all the parties involved when the Docketing Center user confirms the letter is complete. MISLE_F_REQ_10925 368.3 The system shall provide the ability for the user to save a PDF of the Amended New COS letter when the Docketing Center user confirms the letter is complete. MISLE_F_REQ_10926 368.4 The system shall print the Amended COS letter when the Docketing Center New user confirms the letter is complete. MISLE_F_REQ_10927 368.5 The system shall update the Docket that an Amended COS letter was New submitted when the Docketing Center user confirms the letter is complete. MISLE_F_REQ_10928 368.6 The system shall display the following message when the Docketing Center New user confirms the letter is complete: "Document saved, printed and submitted to Docket"

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_10929 368.7 The system shall provide the ability for the user to email the completed New Amended COS letter in a PDF format to the docket center team members when the Docketing Center user confirms the letter is complete. MISLE_F_REQ_10930 368.8 The system shall display in the subject area of the email for the Amended COS New letter: "Amended Certificate of Service" MISLE_F_REQ_10931 368.9 The system shall display following data elements in the message area of the New email for the Amended COS letter: Docket Number; MISLE Activity ID; Title/Description; Docket Type MISLE_F_REQ_10935 368.10 The system shall provide the ability for the user to add notes in the message New area of the email for the Amended COS letter. MISLE_F_REQ_10936 368.11 The system shall provide the ability for the user to send the email for the New Amended COS. MISLE_F_REQ_10937 370 The system shall provide the user the ability to create an Administrative New Withdrawal document when the user is in the DMS Template area. MISLE_F_REQ_10938 371 The system shall display an editable Administrative Withdrawal letter for the New user when the user had selected Administrative Withdrawal from Administrative Withdrawal area. MISLE_F_REQ_10939 371.1 The system shall display the following as the header for the Administrative New Withdrawal letter when the user is reviewing the Administrative Withdrawal letter: "UNITED STATES OF AMERICA U.S. Department of Homeland Security UNITED STATES COAST GUARD" MISLE_F_REQ_10940 371.2 The system shall display the following when the user selects the New Administrative Withdrawal is reviewing the Administrative Withdrawal letter: "Address of Administrative Law Judge Docketing Center: Administrative Law Judge Docketing Center U.S. Coast Guard 40 South Gay Street, RM 412

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Hierarchy Functional Requirement Proposed ID Changes Baltimore, MD 21202-4022 Phone: (410) 962-5100 Toll Free: (866) 612- 7524 Fax: (410) 962-1746 Toll Free Fax: (877) 243-3453" MISLE_F_REQ_10941 371.3 The system shall display the following in the Administrative Withdrawal letter New when the user is reviewing the Administrative Withdrawal letter: "FOR DOCKETING CENTER USE ONLY" MISLE_F_REQ_10942 371.4 The system shall display the following in the Administrative Withdrawal letter New when the user is reviewing the Administrative Withdrawal letter: "COMPLAINANT: UNITED STATES COAST GUARD" MISLE_F_REQ_10943 371.5 The system shall display the following in the Administrative Withdrawal letter New when the user is reviewing the Administrative Withdrawal letter: "RESPONDENT:" First Name + Last Name MISLE_F_REQ_10944 371.6 The system shall display the following in the Administrative Withdrawal letter New when the user is reviewing the Administrative Withdrawal letter: "Docket Number" Docket Number MISLE_F_REQ_10945 371.7 The system shall display the following in the Administrative Withdrawal letter New when the user is reviewing the Administrative Withdrawal letter: "Administrative Withdrawal" MISLE_F_REQ_10946 371.8 The system shall display the following in the Administrative Withdrawal letter New when the user is reviewing the Administrative Withdrawal: "MISLE Activity ID" MISLE Activity ID MISLE_F_REQ_10947 371.9 The system shall display the following when the user is view the New Administrative Withdrawal letter: "The Coast Guard initiated an administrative proceeding by filing a Complaint on {Complaint File Date}, seeking sanctions on Respondent's credentials. The ALJ Docketing Center has terminated this proceeding with an administrative withdrawal as there has been no action taken to date. No answer, default notice or other filing has been received by the Docketing Center. This matter has been removed from the

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Hierarchy Functional Requirement Proposed ID Changes docket and this case is closed effective this date. The Coast Guard may file a new Complaint in this matter as this withdrawal is done without prejudice." MISLE_F_REQ_10948 371.10 The system shall display the following when the user is reviewing the New Administrative Withdrawal letter: "Done and Dated {Date} Baltimore, Maryland" MISLE_F_REQ_10949 371.11 The system shall display a signature line above "Paralegal Specialist ALJ New Docketing Center" when the user is reviewing the Administrative Withdrawal letter. MISLE_F_REQ_11290 371.12 The system shall display the following when the user is reviewing the last New page of the Administrative Withdrawal letter: "Certificate of Service" MISLE_F_REQ_11291 371.13 The system shall display the following when the user is reviewing the last New page of the Administrative Withdrawal letter: "I hereby certify that I have served the foregoing document upon the following parties (or their designated representatives) to this proceeding at the addresses indicated by {Method of Service}." MISLE_F_REQ_11292 371.14 The system shall display the following when the user is reviewing the last New page of the Administrative Withdrawal letter: "Respondent:" First Name + Last Name MISLE_F_REQ_11293 371.15 The system shall display the following when the user is reviewing the last New page of the Administrative Withdrawal letter: "Respondent Counsel: {Counsel of Record}" MISLE_F_REQ_11294 371.16 The system shall display the following respondent name when the user is New reviewing the last page of the Administrative Withdrawal letter: First Name + Last Name MISLE_F_REQ_11295 371.17 The system shall display the following respondent address when the user is New reviewing the last page of the Administrative Withdrawal letter: Address

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_11296 371.18 The system shall display the following respondent email address when the user New is reviewing the last page of the Administrative Withdrawal letter: Email Address MISLE_F_REQ_11298 371.19 The system shall display the following when the user is reviewing the last New page of the Administrative Withdrawal letter: "I hereby certify that I have filed the foregoing documents {Assigned IO}, {Owning Unit}, {Method of Service}." MISLE_F_REQ_11301 371.20 The system shall display the following when the user is reviewing the last New page of the Administrative Withdrawal letter: "I hereby certify that I have filed the foregoing documents with the Honorable {Primary Judge}, {Method of Service}." MISLE_F_REQ_11302 371.21 The system shall display the following when the user is reviewing the last New page of the Administrative Withdrawal letter: "For the ALJ Docketing Center" MISLE_F_REQ_11303 371.22 The system shall display a signature line when the user is reviewing the last New page of the Administrative Withdrawal letter. MISLE_F_REQ_11304 371.23 The system shall display the following when the user is reviewing the last New page of the Administrative Withdrawal letter: "Paralegal Specialist" MISLE_F_REQ_11305 371.24 The system shall display the following when the user is reviewing the last New page of the Administrative Withdrawal letter: "Date:" Date MISLE_F_REQ_10950 371.25 The system shall provide the ability for the Docketing Center user to send the New Administrative Withdrawal letter to all the parties involved when the Docketing Center user confirms the letter is complete. MISLE_F_REQ_10951 371.26 The system shall provide the ability for the user to save a PDF of the New Administrative Withdrawal letter when the Docketing Center user confirms the letter is complete.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_10952 371.27 The system shall print the Administrative Withdrawal letter when the New Docketing Center user confirms the letter is complete. MISLE_F_REQ_10953 371.28 The system shall update the Docket that an Administrative Withdrawal letter New was submitted when the Docketing Center user confirms the letter is complete. MISLE_F_REQ_10954 371.29 The system shall display the following message when the Docketing Center New user confirms the letter is complete: "Document saved, printed and submitted to Docket" MISLE_F_REQ_10955 371.30 The system shall provide the ability for the user to email the completed New Administrative Withdrawal letter in a PDF format to the docket center team members when the Docketing Center user confirms the letter is complete. MISLE_F_REQ_10956 371.31 The system shall display the following in the subject area of the email for the New Administrative Withdrawal letter: "Administrative Withdrawal" MISLE_F_REQ_10957 371.32 The system shall display the following data elements in the message area of New the email for the Administrative Withdrawal letter. Docket Number; MISLE Activity ID; Title/Description; Docket Type MISLE_F_REQ_10961 371.33 The system shall provide the ability for the Docketing Center user to add notes New in the message area of the email for the Administrative Withdrawal letter. MISLE_F_REQ_10962 371.34 The system shall provide the ability for the Docketing Center user to send the New email for the Administrative Withdrawal letter. MISLE_F_REQ_10963 373 The system shall provide the user the ability to create a Withdrawal New Confirmation letter when the user is in the Case Assignment area. MISLE_F_REQ_10964 374 The system shall display an editable Withdrawal Confirmation letter for the New user when the user had selected Withdrawal Confirmation from Case Assignment area. MISLE_F_REQ_10965 374.1 The system shall display the following as the header for the Withdrawal New Confirmation letter when the user is reviewing the Withdrawal Confirmation

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Hierarchy Functional Requirement Proposed ID Changes letter: "UNITED STATES OF AMERICA U.S. Department of Homeland Security UNITED STATES COAST GUARD" MISLE_F_REQ_10966 374.2 The system shall display the following when the user selects the Withdrawal New Confirmation is reviewing the Withdrawal Confirmation letter: "Address of Administrative Law Judge Docketing Center: Administrative Law Judge Docketing Center U.S. Coast Guard 40 South Gay Street, RM 412 Baltimore, MD 21202-4022 Phone: (410) 962-5100 Toll Free: (866) 612-7524 Fax: (410) 962-1746 Toll Free Fax: (877) 243-3453." MISLE_F_REQ_10967 374.3 The system shall display the following in the Withdrawal Confirmation letter New when the user is reviewing the Withdrawal Confirmation letter: "FOR DOCKETING CENTER USE ONLY" MISLE_F_REQ_10968 374.4 The system shall display the following in the Withdrawal Confirmation letter New when the user is reviewing the Withdrawal Confirmation letter: "COMPLAINANT: UNITED STATES COAST GUARD" MISLE_F_REQ_10969 374.5 The system shall display the following in the Withdrawal Confirmation letter New when the user is reviewing the Withdrawal Confirmation letter: "RESPONDENT:" First Name + Last Name MISLE_F_REQ_10970 374.6 The system shall display the following in the Withdrawal Confirmation letter New when the user is reviewing the Withdrawal Confirmation letter: "Docket Number" Docket Number MISLE_F_REQ_10971 374.7 The system shall display the following in the Withdrawal Confirmation letter New when the user is reviewing the Withdrawal Confirmation: "Withdrawal from Docket" MISLE_F_REQ_10972 374.8 The system shall display the following in the Withdrawal Confirmation letter New when the user is reviewing the Withdrawal Confirmation: "MISLE Activity ID" MISLE Activity ID

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_10973 374.9 The system shall display the following when the user is viewing the New Withdrawal Confirmation letter: "The Coast Guard initiated an administrative proceeding by filing a Complaint on {Complaint File Date}, seeking {Proposed Order on Complaint} of the respondents {Identification Number}. On {Date of Withdrawal}, the Coast Guard filed a Notice of Withdrawal from docket as {WhyWithdrawing}. This matter is removed from the docket and this case is closed effective this date. The Coast Guard may file a new Complaint in this matter." MISLE_F_REQ_10974 374.10 The system shall display the following when the user is reviewing the New Withdrawal Confirmation: "Done and Dated {Date} Baltimore, Maryland" MISLE_F_REQ_10975 374.11 The system shall provide a display a signature line above the 'Paralegal New Specialist ALJ Docketing Center' when the user is reviewing the Withdrawal Confirmation. MISLE_F_REQ_11306 374.12 The system shall display the following when the user is reviewing the last New page of the Withdrawal Confirmation: "Certificate of Service" MISLE_F_REQ_11307 374.13 The system shall display the following when the user is reviewing the last New page of the Withdrawal Confirmation: "I hereby certify that I have served the foregoing document upon the following parties (or their designated representatives) to this proceeding at the addresses indicated by {Method of Service}." MISLE_F_REQ_11308 374.14 The system shall display the following when the user is reviewing the last New page of the Withdrawal Confirmation: "Respondent:" First Name + Last Name MISLE_F_REQ_11309 374.15 The system shall display the following when the user is reviewing the last New page of the Withdrawal Confirmation: "Respondent Counsel: {Counsel of Record}"

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_11310 374.16 The system shall display the following respondent name when the Docketing New Center user is reviewing the last page of the Withdrawal Confirmation: First Name + Last Name MISLE_F_REQ_11311 374.17 The system shall display Address when the user is reviewing the last page of New the Withdrawal Confirmation. MISLE_F_REQ_11312 374.18 The system shall display the following respondent email address when the New Docketing Center user is reviewing the last page of the Withdrawal Confirmation: Email Address MISLE_F_REQ_11313 374.19 The system shall display the following when the Docketing Center user is New reviewing the last page of the Withdrawal Confirmation: "I hereby certify that I have filed the foregoing documents {Assigned IO}, {Owning Unit}, {Method of Service}" MISLE_F_REQ_11314 374.20 The system shall display the following when the user is reviewing the last New page of the Withdrawal Confirmation: "I hereby certify that I have filed the foregoing documents with the Honorable {Primary Judge}, {Method of Service}." MISLE_F_REQ_11315 374.21 The system shall display the following when the Docketing Center user is New reviewing the last page of the Withdrawal Confirmation: "For the ALJ Docketing Center" MISLE_F_REQ_11316 374.22 The system shall display a signature line when the Docketing Center user is New reviewing the last page of the Withdrawal Confirmation. MISLE_F_REQ_11317 374.23 The system shall display the following when the Docketing Center user is New reviewing the last page of the Withdrawal Confirmation "Paralegal Specialist" MISLE_F_REQ_11318 374.24 The system shall display when the Docketing Center user is reviewing the last New page of the Withdrawal Confirmation: "Date: {Date}"

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_10976 374.25 The system shall provide the ability for the Docketing Center user to send the New Withdrawal Confirmation letter to all the parties involved when the Docketing Center user confirms the letter is complete. MISLE_F_REQ_10977 374.26 The system shall provide the ability for the user to save a PDF of the New Withdrawal Confirmation letter when the Docketing Center user confirms the letter is complete. MISLE_F_REQ_10978 374.27 The system shall print the Withdrawal Confirmation letter when the Docketing New Center user confirms the letter is complete. MISLE_F_REQ_10979 374.28 The system shall update the Docket that a Withdrawal Confirmation letter was New submitted when the Docketing Center user confirms the letter is complete. MISLE_F_REQ_10980 374.29 The system shall display the following message when the Docketing Center New user confirms the letter is complete: "Document saved, printed and submitted to Docket" MISLE_F_REQ_10981 374.30 The system shall provide the ability for the user to email the completed New Withdrawal Confirmation letter in a PDF format to the docket center team members when the Docketing Center user confirms the letter is complete. MISLE_F_REQ_10982 374.31 The system shall display the following in the subject area of the email for the New Withdrawal Confirmation letter: "Withdrawal Confirmation" MISLE_F_REQ_10983 374.32 The system shall display following data elements in the message area of the New email for the Withdrawal Confirmation letter: Docket Number; MISLE Activity ID; Title/Description; Docket Type MISLE_F_REQ_10987 374.33 The system shall provide the ability for the Docketing Center user to add notes New in the message area of the email for the Withdrawal Confirmation letter. MISLE_F_REQ_10988 374.34 The system shall provide the ability for the Docketing Center user to send the New email for the Withdrawal Confirmation.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_11023 376 The system shall display an editable Notice of Deficient Filing letter when the New user selects the Notice of Deficient Filing in the DMS Template area. MISLE_F_REQ_10990 376.1 The system shall display the following as the header for the Notice of New Deficient Filing letter when the user is reviewing the Notice of Deficient Filing letter: "UNITED STATES OF AMERICA U.S. Department of Homeland Security UNITED STATES COAST GUARD" MISLE_F_REQ_10991 376.2 The system shall display the following when the user selects the Notice of New Deficient Filing in the DMS Template area is reviewing the Notice of Deficient Filing letter: "Address of Administrative Law Judge Docketing Center: Administrative Law Judge Docketing Center U.S. Coast Guard 40 South Gay Street, RM 412 Baltimore, MD 21202-4022 Phone: (410) 962- 5100 Toll Free: (866) 612-7524 Fax: (410) 962-1746 Toll Free Fax: (877) 243-3453" MISLE_F_REQ_10992 376.3 The system shall display the following in the Notice of Deficient Filing letter New when the user is reviewing the Notice of Deficient Filing letter: "FOR DOCKETING CENTER USE ONLY" MISLE_F_REQ_10993 376.4 The system shall display the following in the Notice of Deficient Filing letter New when the user is reviewing the Notice of Deficient Filing letter: "COMPLAINANT: UNITED STATES COAST GUARD" MISLE_F_REQ_10994 376.5 The system shall display the following in the Notice of Deficient Filing letter New when the Docketing Center user is reviewing the Notice of Deficient Filing letter: First Name + Last Name MISLE_F_REQ_10995 376.6 The system shall display the following in the Notice of Deficient Filing letter New when the Docketing Center user is reviewing the Notice of Deficient Filing letter: Docket Number

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_10996 376.7 The system shall display the following in the Notice of Deficient Filing letter New when the Docketing Center user is reviewing the Notice of Deficient Filing letter: "Notice of Deficient Filing" MISLE_F_REQ_10997 376.8 The system shall display the following in the Notice of Deficient Filing letter New when the Docketing Center user is reviewing the Notice of Deficient Filing letter: MISLE Activity ID MISLE_F_REQ_10998 376.9 The system shall display the following in the Notice of Deficient Filing letter New when the Docketing Center user is reviewing the Notice of Deficient Filing letter: "The Referenced filing does not comply with 33 CFR Part 20 Rules of Practice. Although the ALJ Docketing Center will accept the filing under 33 CFR 20.302(f), you are hereby advised to correct the defect(s) below:" MISLE_F_REQ_10999 376.10 The system shall provide the ability for the Docketing Center user to select an New indicator of Failure to sign Complaint. 33 CFR 20.303(c) when the user is reviewing the Notice of Deficient Filing letter. MISLE_F_REQ_11000 376.11 The system shall provide the ability for the Docketing Center user to select an New indicator of Failure to file Complaint with ALJ Docketing Center. 33 CFR 20.401 when the user is reviewing the Notice of Deficient Filing letter. MISLE_F_REQ_11001 376.12 The system shall provide the ability for the Docketing Center user to select an New indicator of Failure to complete Certificate of Service or serve party. 33 CFR 20.304(c). Per 33 CFR 20.302(f) the document has been accepted but the parties response period begins when properly served when the user is reviewing the Notice of Deficient Filing letter. MISLE_F_REQ_11002 376.13 The system shall provide the ability for the Docketing Center user to select an New indicator of Failure of party(s) to sign and/or date Settlement Agreement. 33 CFR 20.303(c) when the user is reviewing the Notice of Deficient Filing letter.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_11003 376.14 The system shall provide the ability for the Docketing Center user to select an New indicator of Fax or attach photocopy filed with the ALJ Docketing Center is not legible or readable; please re-file and provide a better copy. 33 CFR 20.303. when properly served when the user is reviewing the Notice of Deficient Filing letter. MISLE_F_REQ_11004 376.15 The system shall provide the ability for the Docketing Center user to select an New indicator of Other when the user is reviewing the Notice of Deficient Filing letter. MISLE_F_REQ_11005 376.16 The system shall provide the ability for the Docketing Center user to Add New Other Text information when the user had selected the Other indicator. MISLE_F_REQ_11006 376.17 The system shall display the following when the Docketing Center user is New reviewing the Notice of Deficient Filing letter: Date MISLE_F_REQ_11007 376.18 The system shall display the following when the Docketing Center user is New reviewing the Notice of Deficient Filing letter: "Baltimore, Maryland" MISLE_F_REQ_11008 376.19 The system shall display a signature line when the Docketing Center user is New reviewing the Notice of Deficient Filing letter. MISLE_F_REQ_11009 376.20 The system shall display the following when the Docketing Center user is New reviewing the Notice of Deficient Filing letter: "Paralegal Specialist ALJ Docketing Center" MISLE_F_REQ_11319 376.21 The system shall display the following when the Docketing Center user is New reviewing the last page of the Notice of Deficient Filing letter: "Certificate of Service" MISLE_F_REQ_11320 376.22 The system shall display the following when the Docketing Center user is New reviewing the last page of the Notice of Deficient Filing letter: "I hereby certify that I have served the foregoing document upon the following parties

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Hierarchy Functional Requirement Proposed ID Changes (or their designated representatives) to this proceeding at the addresses indicated by {Method of Service}." MISLE_F_REQ_11321 376.23 The system shall display the following respondent name when the Docketing New Center user is reviewing the last page of the Notice of Deficient Filing letter: "Respondent:" First Name + Last Name MISLE_F_REQ_11322 376.24 The system shall display the following when the Docketing Center user is New reviewing the last page of the Notice of Deficient Filing letter: "Respondent Counsel: {Counsel of Record}" MISLE_F_REQ_11323 376.25 The system shall display the following respondent name when the Docketing New Center user is reviewing the last page of the Notice of Deficient Filing letter: First Name + Last Name MISLE_F_REQ_11324 376.26 The system shall display the following respondent address when the New Docketing Center user is reviewing the last page of the Notice of Deficient Filing letter: Address MISLE_F_REQ_11325 376.27 The system shall display the following respondent email address when the New Docketing Center user is reviewing the last page of the Notice of Deficient Filing letter: Email Address MISLE_F_REQ_11326 376.28 The system shall display the following when the Docketing Center user is New reviewing the last page of the Notice of Deficient Filing letter: "I hereby certify that I have filed the foregoing documents {Assigned IO}, {Owning Unit}, {Method of Service}." MISLE_F_REQ_11327 376.29 The system shall display the following when the Docketing Center user is New reviewing the last page of the Notice of Deficient Filing letter: "I hereby certify that I have filed the foregoing documents with the Honorable {Primary Judge}, {Method of Service}."

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_11328 376.30 The system shall display the following when the Docketing Center user is New reviewing the last page of the Notice of Deficient Filing letter: "For the ALJ Docketing Center" MISLE_F_REQ_11329 376.31 The system shall display a signature line when the Docketing Center user is New reviewing the last page of the Notice of Deficient Filing letter. MISLE_F_REQ_11330 376.32 The system shall display the following when the Docketing Center user is New reviewing the last page of the Notice of Deficient Filing letter: "Paralegal Specialist" MISLE_F_REQ_11331 376.33 The system shall display the following when the Docketing Center user is New reviewing the last page of the Notice of Deficient Filing letter: "Date:" Date MISLE_F_REQ_11010 376.34 The system shall provide the ability for the Docketing Center user to select New submit when the Docketing Center user has completed filing out of the Notice of Deficient Filing letter. MISLE_F_REQ_11011 376.35 The system shall display the following message when the Docketing Center New user has confirmed to submit the Notice of Deficient Filing letter: "Document saved, printed and submitted to the Docket" MISLE_F_REQ_11012 376.36 The system shall provide the ability for the Docketing Center user to close the New message when the Docketing Center user has confirmed to submit the Notice of Deficient Filing letter. MISLE_F_REQ_11013 376.37 The system shall update the indicator of the Defect Notification when the New Docketing Center user had selected to create the Notice of Deficient Filing letter. MISLE_F_REQ_11014 376.38 The system shall update the indicator of the Defect value to 'Yes' in the New Docket Item Summary list area when the Docketing Center user had selected to created the Notice of Deficient Filing letter from the Docket Item details view.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_11015 376.39 The system shall provide the ability to send an email containing the Notice of New Deficient Filing letter to the Docketing Center when the Docketing Center user had selected submit in the Notice of Deficient Filing letter. MISLE_F_REQ_11016 376.40 The system shall display in the indicator of the Defect Notification when the New Docketing Center user had had selected submit in the Notice of Deficient Filing letter. MISLE_F_REQ_11017 376.41 The system shall display following data elements in the message area of the New email for the Notice of Deficient Filing letter: Docket Number; MISLE Activity ID; Title Description; Docket Type MISLE_F_REQ_11021 376.42 The system shall provide the ability populate email addresses containing the New most recent docket user's email addresses to the Docketing Center when the Docketing Center user had selected submit in the Notice of Deficient Filing letter. MISLE_F_REQ_11022 376.43 The system shall provide the ability to send an email containing the "Notice of New Defect" in the subject line of the email going to the Docketing Center when the Docketing Center user has submitted the Notice of Deficient Filing letter. MISLE_F_REQ_10874 378 The system shall provide the ability to generate a Notice of Extension letter New when the Docketing Center user receives a request from the respondent is requesting an extension to the response on the answer sheet. MISLE_F_REQ_11061 379 The system shall provide a warning message when the Docketing Center user New is generating an answer sheet extension for a respondent: "Both an Answer Due Date and an Extension Due Date that is greater that the Answer Due Date must be present in order to generate a Notice of Extension." MISLE_F_REQ_13011 380 The system shall require the entry of the Answer Due Date when the New Docketing Center user is generating a Notice Of Extension letter.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_11025 381 The system shall display an editable Notice of Extension letter when the New Docketing Center user selects the Notice of Extension letter in the DMS Template area. MISLE_F_REQ_11026 381.1 The system shall display the following "UNITED STATES OF AMERICA New U.S. Department of Homeland Security UNITED STATES COAST GUARD" as the header for the Notice of Extension letter when the Docketing Center user is reviewing the Notice of Extension letter. MISLE_F_REQ_11027 381.2 The system shall display the following "Address of Administrative Law Judge New Docketing Center: Administrative Law Judge Docketing Center U.S. Coast Guard 40 South Gay Street, RM 412 Baltimore, MD 21202-4022 Phone: (410) 962-5100 Toll Free: (866) 612-7524 Fax: (410) 962-1746 Toll Free Fax: (877) 243-3453" when the Docketing Center user selects the Notice of Extension in the DMS Template area is reviewing the Notice of Extension letter. MISLE_F_REQ_11028 381.3 The system shall display the following in the Notice of Extension letter when New the Docketing Center user is reviewing the Notice of Extension letter: "FOR DOCKETING CENTER USE ONLY" MISLE_F_REQ_11029 381.4 The system shall display the following in the Notice of Extension letter when New the Docketing Center user is reviewing the Notice of Extension letter: "COMPLAINANT: UNITED STATES COAST GUARD" MISLE_F_REQ_11030 381.5 The system shall display the following respondent name in the Notice of New Extension letter when the Docketing Center user is reviewing the Notice of Extension letter: First Name + Last Name MISLE_F_REQ_11031 381.6 The system shall display the following in the Notice of Extension letter when New the Docketing Center user is reviewing the Notice of Extension letter: Docket Number

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_11032 381.7 The system shall display the following in the Notice of Extension letter when New the Docketing Center user is reviewing the Notice of Extension letter: "Notice of Extension" MISLE_F_REQ_11033 381.8 The system shall display the following in the Notice of Extension letter when New the Docketing Center user is reviewing the Notice of Extension letter: MISLE Activity ID MISLE_F_REQ_11034 381.9 The system shall display the following in the Notice of Extension letter when New the Docketing Center user is reviewing the Notice of Extension letter: "NOTICE GRANTING REQUEST FOR EXTENSION OF TIME" MISLE_F_REQ_11035 381.10 The system shall display the following text when the Docketing Center user is New reviewing the Notice of Extension letter: "On {Complaint Document Date}, the ALJ Docketing Center received a Complaint from the United States Coast Guard, {ALJ Owning Unit}, initiating the above-captioned matter. The Coast Guard seeks {Proposed Order} for the respondent's ({First Name + Last Name}) Merchant Mariner Credential (MMC) for {Citation Description}. See {Statue} and {CFR}." MISLE_F_REQ_11036 381.11 The system shall display the following text when the Docketing Center user is New reviewing the Notice of Extension letter: "On {Date Respondent Requests Extension} Respondent by {Method of Request} requested an Extension of Time to file an Answer indicating that {Reason for Request}. Respond seeks an extension of additional 30 days. Under 33 CFR 20.360 (c) (1), an extension for additional time to file a response can be requested by telephone, letter or motion." MISLE_F_REQ_11037 381.12 The system shall display the following text when the Docketing Center user is New reviewing the Notice of Extension letter: "Notice is hereby given that the date to file an answer has been extended {Extension Days} days from the original due date of {Answer Due Date} to and including {Extension Due Date}. If the respondent seeks additional time to file an answer, this request must be

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Hierarchy Functional Requirement Proposed ID Changes filed in the form of a motion and provide good cause for the continued extension. SEE 33 CFR 20.309." MISLE_F_REQ_11042 381.13 The system shall display the following when the Docketing Center user is New reviewing the Notice of Extension letter: Date MISLE_F_REQ_11043 381.14 The system shall display the following when the Docketing Center user is New reviewing the Notice of Extension letter: "Baltimore, Maryland" MISLE_F_REQ_11062 381.15 The system shall display the following when the Docketing Center user is New reviewing the Notice of Extension letter: "By Order of the Chief Administrative Law Judge: {Primary Judge}"

MISLE_F_REQ_11044 381.16 The system shall display a signature line when the Docketing Center user is New reviewing the Notice of Extension letter.

MISLE_F_REQ_11045 381.17 The system shall display the following when the Docketing Center user is New reviewing the Notice of Extension letter: "Paralegal Specialist ALJ Docketing Center" MISLE_F_REQ_11332 381.18 The system shall display the following when the Docketing Center user is New reviewing the last page of the Notice of Deficient Filing letter: "Certificate of Service" MISLE_F_REQ_11333 381.19 The system shall display the following when the Docketing Center user is New reviewing the last page of the Notice of Extension letter: "I hereby certify that I have served the foregoing document upon the following parties (or their designated representatives) to this proceeding at the addresses indicated by {Method of Service}."

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_11334 381.20 The system shall display the following when the Docketing Center user is New reviewing the last page of the Notice of Extension letter: "Respondent:" First Name + Last Name MISLE_F_REQ_11335 381.21 The system shall display when the Docketing Center user is reviewing the last New page of the Notice of Extension letter: "Respondent Counsel: {Counsel of Record}" MISLE_F_REQ_11336 381.22 The system shall display the following respondent name when the Docketing New Center user is reviewing the last page of the Notice of Extension letter: First Name + Last Name MISLE_F_REQ_11337 381.23 The system shall display the following respondent address when the New Docketing Center user is reviewing the last page of the Notice of Extension letter: Address MISLE_F_REQ_11338 381.24 The system shall display the following respondent email address when the New Docketing Center user is reviewing the last page of the Notice of Extension letter: Email Address MISLE_F_REQ_11339 381.25 The system shall display the following when the Docketing Center user is New reviewing the last page of the Notice of Extension letter: " I hereby certify that I have filed the foregoing documents {Assigned IO}, {Owning Unit}, {Method of Service}." MISLE_F_REQ_11340 381.26 The system shall display the following when the Docketing Center user is New reviewing the last page of the Notice of Extension letter: "I hereby certify that I have filed the foregoing documents with the Honorable {Primary Judge}, {Method of Service}." MISLE_F_REQ_11341 381.27 The system shall display the following when the Docketing Center user is New reviewing the last page of the Notice of Extension letter: "For the ALJ Docketing Center"

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_11342 381.28 The system shall display a signature line when the Docketing Center user is New reviewing the last page of the Notice of Extension letter. MISLE_F_REQ_11343 381.29 The system shall display the following when the Docketing Center user is New reviewing the last page of the Notice of Extension letter: "Paralegal Specialist" MISLE_F_REQ_11344 381.30 The system shall display the following when the Docketing Center user is New reviewing the last page of the Notice of Extension letter: "Date:" Date. MISLE_F_REQ_11046 381.31 The system shall provide the ability for the Docketing Center user to select New submit when the Docketing Center user has completed filing out of the Notice of Extension letter. MISLE_F_REQ_11047 381.32 The system shall display the following message when the Docketing Center New user has submitted the Notice of Extension letter: "Document saved, printed and submitted to the Docket" MISLE_F_REQ_11048 381.33 The system shall provide the ability for the Docketing Center user to close the New message when the Docketing Center user has submitted the Notice of Extension letter. MISLE_F_REQ_11051 381.34 The system shall provide the ability to send an email containing the Notice of New Extension letter to the Docketing Center when the Docketing Center user has submitted the Notice of Extension letter. MISLE_F_REQ_11063 381.35 The system shall provide the ability to send an email containing the "Notice of New Extension" in the subject line of the email when the Docketing Center user has submitted the Notice of Extension letter. MISLE_F_REQ_11053 381.36 The system shall display following data elements in the message area of the New email for the Notice of Extension letter: Docket Number; MISLE Activity ID; Title Description; Docket Type

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_11057 381.37 The system shall provide the ability populate email addresses containing the New most recent docket user's email addresses to the Docketing Center when the Docketing Center user has submitted the Notice of Extension letter. MISLE_F_REQ_11058 381.38 The system shall provide the ability to send an email containing the "Notice of New Defect" in the subject line of the email going to the Docketing Center when the Docketing Center user had selected submit in the Notice of Extension letter. MISLE_F_REQ_13012 382 The system shall update the docket with the following data elements when the New user submits the system generated email for the Notice Of Extension: Docket Item ID; Document Description; Document Type; Defect; Document Date; Return Of Service Date MISLE_F_REQ_11064 384 The system shall provide the ability to generate a Temporary Suspension New Notice Of Assignment letter when it has been determined that a temporary suspension notice shall be communicated to the respondent. MISLE_F_REQ_11066 385 The system shall display an editable Temporary Suspension Notice Of New Assignment letter when the user selects the Temporary Suspension Notice Of Assignment letter in the DMS Template area. MISLE_F_REQ_11067 385.1 The system shall display the following as the header for the Notice of New Extension letter when the user is reviewing the Temporary Suspension Notice Of Assignment letter: "UNITED STATES OF AMERICA U.S. Department of Homeland Security UNITED STATES COAST GUARD" MISLE_F_REQ_11068 385.2 The system shall display the following when the user selects the Notice of New Extension in the DMS Template area is reviewing the Temporary Suspension Notice Of Assignment letter: "Address of Administrative Law Judge Docketing Center: Administrative Law Judge Docketing Center U.S. Coast Guard 40 South Gay Street, RM 412 Baltimore, MD 21202-4022 Phone:

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Hierarchy Functional Requirement Proposed ID Changes (410) 962-5100 Toll Free: (866) 612-7524 Fax: (410) 962-1746 Toll Free Fax: (877) 243-3453" MISLE_F_REQ_11069 385.3 The system shall display the following in the Temporary Suspension Notice New Of Assignment letter when the user is reviewing the Temporary Suspension Notice Of Assignment letter: "FOR DOCKETING CENTER USE ONLY" MISLE_F_REQ_11070 385.4 The system shall display the following in the Temporary Suspension Notice New Of Assignment letter when the user is reviewing the Temporary Suspension Notice Of Assignment letter: "COMPLAINANT: UNITED STATES COAST GUARD" MISLE_F_REQ_11071 385.5 The system shall display the following in the Temporary Suspension Notice New Of Assignment letter when the user is reviewing the Temporary Suspension Notice Of Assignment letter: First Name + Last Name MISLE_F_REQ_11072 385.6 The system shall display the following in the Temporary Suspension Notice New Of Assignment letter when the user is reviewing the Temporary Suspension Notice Of Assignment letter: Docket Number MISLE_F_REQ_11073 385.7 The system shall display the following in the Temporary Suspension Notice New Of Assignment letter when the user is reviewing the Temporary Suspension Notice Of Assignment letter: "Temporary Suspension Notice Of Assignment" MISLE_F_REQ_11074 385.8 The system shall display the following in the Temporary Suspension Notice New Of Assignment letter when the user is reviewing the Temporary Suspension Notice Of Assignment letter: MISLE Activity ID MISLE_F_REQ_11075 385.9 The system shall display the following in the Temporary Suspension Notice New Of Assignment letter when the Docketing Center user is reviewing the Temporary Suspension Notice Of Assignment letter: "IT IS HEREBY ORDERED that this TEMPORARY SUSPENSION PROCEEDING has been assigned to the Administrative Law Judge {Primary Judge}. All future pleadings, motions and communications are to be addressed as follows:

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Hierarchy Functional Requirement Proposed ID Changes COPIES of all correspondence and pleadings shall also be simultaneously filed with the Hearing Docket Clerk. The address for the Hearing Docket Clerk is as follows: Administrative Law Judge Docketing Center U.S. Coast Guard 40 South Gay Street, Room 412 Baltimore, MD 21202-4022 Phone: (410) 962-5100 Toll Free: (866) 612-7524 Fax: (410) 962-1746 Toll Free Fax: (877) 243-3453" MISLE_F_REQ_11076 385.10 The system shall display the following when the Docketing Center user is New reviewing the Temporary Suspension Notice Of Assignment letter: "IT IS FURTHER ORDERED that the expedited hearing will be held 30 days or less after the Temporary Suspension was initiated which was on {Date of Temp Suspension Complaint}. Parties will be notified of a pre-hearing conference which will be held as early as practicable wherein Respondent will enter an answer. IT IS FURTHER ORDERED that the expedited hearing shall be held on a date, time and location agreed upon by both parties." MISLE_F_REQ_11079 385.11 The system shall display the following when the Docketing Center user is New reviewing the Temporary Suspension Notice Of Assignment letter: "Done and Dated {Date}" MISLE_F_REQ_11080 385.12 The system shall display the following when the Docketing Center user is New reviewing the Temporary Suspension Notice Of Assignment letter: "Baltimore, Maryland" MISLE_F_REQ_11081 385.13 The system shall display the following when the Docketing Center user is New reviewing the Temporary Suspension Notice Of Assignment letter: "BY ORDER OF THE CHIEF ADMINISTRATIVE LAW JUDGE:" MISLE_F_REQ_11082 385.14 The system shall display a signature line when the Docketing Center user is New reviewing the Temporary Suspension Notice Of Assignment letter.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_11083 385.15 The system shall display the following when the Docketing Center user is New reviewing the Temporary Suspension Notice Of Assignment letter: "Paralegal Specialist ALJ Docketing Center" MISLE_F_REQ_11345 385.16 The system shall display the following when the Docketing Center user is New reviewing the last page of the Temporary Suspension Notice Of Assignment letter: "Certificate of Service" MISLE_F_REQ_11346 385.17 The system shall display the following when the Docketing Center user is New reviewing the last page of the Temporary Suspension Notice Of Assignment letter: "I hereby certify that I have served the foregoing document upon the following parties (or their designated representatives) to this proceeding at the addresses indicated by {Method of Service}." MISLE_F_REQ_11347 385.18 The system shall display the following respondent name when the Docketing New Center user is reviewing the last page of the Temporary Suspension Notice Of Assignment letter: "Respondent:" First Name + Last Name MISLE_F_REQ_11348 385.19 The system shall display the following when the Docketing Center user is New reviewing the last page of the Temporary Suspension Notice Of Assignment letter: "Respondent Counsel: {Counsel of Record}" MISLE_F_REQ_11349 385.20 The system shall display the following respondent name when the Docketing New Center user is reviewing the last page of the Temporary Suspension Notice Of Assignment letter: First Name + Last Name MISLE_F_REQ_11350 385.21 The system shall display the following respondent address when the New Docketing Center user is reviewing the last page of the Temporary Suspension Notice Of Assignment letter: Address MISLE_F_REQ_11351 385.22 The system shall display the following respondent email address when the New Docketing Center user is reviewing the last page of the Temporary Suspension Notice Of Assignment letter: Email Address

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_11352 385.23 The system shall display the following when the Docketing Center user is New reviewing the last page of the Temporary Suspension Notice Of Assignment letter: "I hereby certify that I have filed the foregoing documents {Assigned IO}, {Owning Unit}, {Method of Service}." MISLE_F_REQ_11353 385.24 The system shall display the following when the Docketing Center user is New reviewing the last page of the Temporary Suspension Notice Of Assignment letter: "I hereby certify that I have filed the foregoing documents with the Honorable {Primary Judge}, {Method of Service}." MISLE_F_REQ_11354 385.25 The system shall display the following when the Docketing Center user is New reviewing the last page of the Temporary Suspension Notice Of Assignment letter: "For the ALJ Docketing Center" MISLE_F_REQ_11355 385.26 The system shall display a signature line when the Docketing Center user is New reviewing the last page of the Temporary Suspension Notice Of Assignment letter. MISLE_F_REQ_11356 385.27 The system shall display the following when the Docketing Center user is New reviewing the last page of the Temporary Suspension Notice Of Assignment letter: "Paralegal Specialist" MISLE_F_REQ_11357 385.28 The system shall display the following when the Docketing Center user is New reviewing the last page of the Temporary Suspension Notice Of Assignment letter: "Date:" Date MISLE_F_REQ_11084 385.29 The system shall provide the ability for the Docketing Center user to confirm New when the Docketing Center user has completed filing out of the Temporary Suspension Notice Of Assignment letter. MISLE_F_REQ_11085 385.30 The system shall display the following message when the Docketing Center New user confirms the letter is complete for the Temporary Suspension Notice Of Assignment letter: "Document saved, printed and submitted to the Docket"

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_11086 385.31 The system shall provide the ability for the Docketing Center user to close the New message when the Docketing Center user confirms the letter is complete for the Temporary Suspension Notice Of Assignment letter. MISLE_F_REQ_11087 385.32 The system shall provide the ability to send an email containing the New Temporary Suspension Notice Of Assignment letter to the Docketing Center when the Docketing Center user confirms the letter is complete for the Temporary Suspension Notice Of Assignment letter. MISLE_F_REQ_11088 385.33 The system shall provide the ability to send an email containing the New "Temporary Suspension Notice Of Assignment" in the subject line of the email when the Docketing Center user has submitted the Temporary Suspension Notice Of Assignment letter. MISLE_F_REQ_11089 385.34 The system shall display following data elements in the message area of the New email for the Temporary Suspension Notice Of Assignment letter: Docket Number; MISLE Activity ID; Title Description; Docket Type. MISLE_F_REQ_11093 385.35 The system shall provide the ability populate email addresses containing the New most recent docket user's email addresses to the Docketing Center when the Docketing Center user confirms the letter is complete for the Temporary Suspension Notice Of Assignment letter. MISLE_F_REQ_11094 385.36 The system shall provide the ability to send an email containing the New "Temporary Suspension Notice Of Assignment" in the subject line of the email going to the Docketing Center when the Docketing Center user confirms the letter is complete for the Temporary Suspension Notice Of Assignment letter. MISLE_F_REQ_13013 385.37 The system shall update the Docket with the following data elements when the New user submits the system generated email for the Temporary Suspension Notice Of Assignment: Docket Item ID; Document Description; Document Type; Defect; Document Date; Return Of Service Date

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_11358 387 The system shall display an editable Contested Notice Of Assignment letter New when the Docketing Center user selects the Contested Notice Of Assignment letter in the DMS Template area. MISLE_F_REQ_11359 387.1 The system shall display the following as the header for the Contested Notice New Of Assignment letter when the Docketing Center user is reviewing the Contested Notice Of Assignment letter: "UNITED STATES OF AMERICA U.S. Department of Homeland Security UNITED STATES COAST GUARD." MISLE_F_REQ_11360 387.2 The system shall display the following when the Docketing Center user selects New the Contested Notice Of Assignment in the DMS Template area is reviewing the Contested Notice Of Assignment letter: "Address of Administrative Law Judge Docketing Center: Administrative Law Judge Docketing Center U.S. Coast Guard 40 South Gay Street, RM 412 Baltimore, MD 21202-4022 Phone: (410) 962-5100 Toll Free: (866) 612-7524 Fax: (410) 962-1746 Toll Free Fax: (877) 243-3453." MISLE_F_REQ_11361 387.3 The system shall display the following in the Contested Notice Of Assignment New letter when the Docketing Center user is reviewing the Contested Notice Of Assignment letter: "FOR DOCKETING CENTER USE ONLY" MISLE_F_REQ_11362 387.4 The system shall display the following in the Contested Notice Of Assignment New letter when the Docketing Center user is reviewing the Contested Notice Of Assignment letter: "COMPLAINANT: UNITED STATES COAST GUARD" MISLE_F_REQ_11363 387.5 The system shall display the following in the Contested Notice Of Assignment New letter when the Docketing Center user is reviewing the Contested Notice Of Assignment letter: First Name + Last Name. MISLE_F_REQ_11364 387.6 The system shall display the following in the Contested Notice Of Assignment New letter when the Docketing Center user is reviewing the Contested Notice Of Assignment letter: Docket Number.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_11365 387.7 The system shall display the following in the Contested Notice Of Assignment New letter when the Docketing Center user is reviewing the Contested Notice Of Assignment letter: "Contested Notice Of Assignment" MISLE_F_REQ_11366 387.8 The system shall display the following in the Contested Notice Of Assignment New letter when the Docketing Center user is reviewing the Contested Notice Of Assignment letter: MISLE Activity ID. MISLE_F_REQ_11367 387.9 The system shall display the following when the Docketing Center user is New reviewing the Contested Notice Of Assignment letter: 'Issued by Order of: Walter J. Brudzinski, Chief Administrative Law Judge'. MISLE_F_REQ_11368 387.10 The system shall display the following when the Docketing Center user is New reviewing the Contested Notice Of Assignment letter: "PLEASE TAKE NOTICE that this case has been assigned to: {Primary Judge}." MISLE_F_REQ_11369 387.11 The system shall display the following when the Docketing Center user is New reviewing the Contested Notice Of Assignment letter: "PLEASE TAKE FURTHER NOTICE that the filings of all pleadings, motions and communications remain with the ALJ Docketing Center at the address indicated below: Administrative Law Judge Docketing Center U.S. Coast Guard 40 South Gay Street, Room 412 Baltimore, MD 21202-4022 Phone: (410) 962-5100 Toll Free: (866) 612-7524 FAX: (410) 962-1746 Toll Free Fax: (877) 243-3453." MISLE_F_REQ_11401 387.12 The system shall display the following when the Docketing Center user is New reviewing the Contested Notice Of Assignment letter: "COPIES of all correspondence and pleadings shall be simultaneously served on Administrative Law Judge {Primary Judge} and the opposing party (or its' designated representative) in accordance with 33 CFR 20.304(b)." MISLE_F_REQ_11400 387.13 The system shall display the following when the Docketing Center user is New reviewing the Contested Notice Of Assignment letter: "PLEASE TAKE FURTHER NOTICE that the hearing location and date in this matter will be

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Hierarchy Functional Requirement Proposed ID Changes designated by the assigned Administrative Law Judge in accordance with 33 CFR 20.704(a). The Administrative Law Judge will issue a scheduling order or contact the parties to schedule the hearing." MISLE_F_REQ_11402 387.14 The system shall display the following when the Docketing Center user is New reviewing the Contested Notice Of Assignment letter: "Baltimore, Maryland" MISLE_F_REQ_11370 387.15 The system shall display the following when the Docketing Center user is New reviewing the Contested Notice Of Assignment letter: "BY ORDER OF THE CHIEF ADMINISTRATIVE LAW JUDGE:" MISLE_F_REQ_11372 387.16 The system shall display a signature line when the Docketing Center user is New reviewing the Contested Notice Of Assignment letter. MISLE_F_REQ_11373 387.17 The system shall display the following when the Docketing Center user is New reviewing the Contested Notice Of Assignment letter: "Paralegal Specialist ALJ Docketing Center" MISLE_F_REQ_11403 387.18 The system shall display the following when the Docketing Center user is New reviewing the last page of the Contested Notice Of Assignment letter: "Date and Donated {Date} Baltimore, MD" MISLE_F_REQ_11374 387.19 The system shall display the following when the Docketing Center user is New reviewing the last page of the Contested Notice Of Assignment letter: "Certificate of Service" MISLE_F_REQ_11375 387.20 The system shall display when the Docketing Center user is reviewing the last New page of the Contested Notice Of Assignment letter: "I hereby certify that I have served the foregoing document upon the following parties (or their designated representatives) to this proceeding at the addresses indicated by {Method of Service}."

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_11376 387.21 The system shall display the following respondent name when the Docketing New Center user is reviewing the last page of the Contested Notice Of Assignment letter: 'Respondent:' First Name + Last Name MISLE_F_REQ_11377 387.22 The system shall display the following when the Docketing Center user is New reviewing the last page of the Contested Notice Of Assignment letter: "Respondent Counsel: {Counsel of Record}" MISLE_F_REQ_11378 387.23 The system shall display the following respondent name when the Docketing New Center user is reviewing the last page of the Contested Notice Of Assignment letter: First Name + Last Name MISLE_F_REQ_11379 387.24 The system shall display the following respondent address when the New Docketing Center user is reviewing the last page of the Contested Notice Of Assignment letter: Address MISLE_F_REQ_11380 387.25 The system shall display the following respondent email address when the New Docketing Center user is reviewing the last page of the Contested Notice Of Assignment letter: Email Address MISLE_F_REQ_11381 387.26 The system shall display the following when the Docketing Center user is New reviewing the last page of the Contested Notice Of Assignment letter: "I hereby certify that I have filed the foregoing documents {Assigned IO}, {Owning Unit}, {Method of Service}." MISLE_F_REQ_11382 387.27 The system shall display the following when the Docketing Center user is New reviewing the last page of the Contested Notice Of Assignment letter: "I hereby certify that I have filed the foregoing documents with the Honorable {Primary Judge}, {Method of Service}." MISLE_F_REQ_11383 387.28 The system shall display the following when the Docketing Center user is New reviewing the last page of the Contested Notice Of Assignment letter: "For the ALJ Docketing Center"

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_11384 387.29 The system shall display a signature line when the Docketing Center user is New reviewing the last page of the Contested Notice Of Assignment letter. MISLE_F_REQ_11385 387.30 The system shall display when the Docketing Center user is reviewing the last New page of the Contested Notice Of Assignment letter: "Paralegal Specialist" MISLE_F_REQ_11386 387.31 The system shall display the following when the Docketing Center user is New reviewing the last page of the Contested Notice Of Assignment letter: "Date:" Date MISLE_F_REQ_11387 387.32 The system shall provide the ability for the Docketing Center user to select New submit when the Docketing Center user has completed filing out of the Contested Notice Of Assignment letter. MISLE_F_REQ_11388 387.33 The system shall display the following message when the Docketing Center New user has submitted the Contested Notice Of Assignment letter: "Document saved, printed and submitted to the Docket." MISLE_F_REQ_11389 387.34 The system shall provide the ability for the Docketing Center user to close the New message when the Docketing Center user has submitted the Contested Notice Of Assignment letter. MISLE_F_REQ_11390 387.35 The system shall provide the ability to send an email containing the Contested New Notice Of Assignment letter to the Docketing Center when the Docketing Center user has submitted the Contested Notice Of Assignment letter. MISLE_F_REQ_11391 387.36 The system shall provide the ability to send an email containing the 'Contested New Notice Of Assignment' in the subject line of the email when the Docketing Center user has submitted the Contested Notice Of Assignment letter. MISLE_F_REQ_11392 387.37 The system shall display following data elements in the message area of the New email for the Contested Notice Of Assignment letter: Docket Number; MISLE Activity ID; Title Description; Docket Type

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_11396 387.38 The system shall provide the ability populate email addresses containing the New most recent docket user's email addresses to the Docketing Center when the Docketing Center user has submitted the Contested Notice Of Assignment letter. MISLE_F_REQ_11397 387.39 The system shall provide the ability to send an email containing the New "Contested Notice Of Assignment" in the subject line of the email going to the Docketing Center when the Docketing Center user has submitted the Contested Notice Of Assignment letter. MISLE_F_REQ_13014 387.40 The system shall update the Docket with the following data elements when the New user submits the system generated email for the Contested Notice Of Assignment letter: Docket Item ID; Document Description; Document Type; Defect; Document Date; Return Of Service Date MISLE_F_REQ_11404 389 The system shall display an editable Uncontested Case Assignment letter New when the Docketing Center user selects the Uncontested Case Assignment letter in the DMS Template area. MISLE_F_REQ_11405 389.1 The system shall display the following as the header for the Uncontested Case New Assignment letter when the Docketing Center user is reviewing the Uncontested Case Assignment letter: "UNITED STATES OF AMERICA U.S. Department of Homeland Security UNITED STATES COAST GUARD" MISLE_F_REQ_11406 389.2 The system shall display the following when the Docketing Center user selects New the Uncontested Case Assignment letter in the DMS Template area is reviewing the Uncontested Case Assignment letter: "Address of Administrative Law Judge Docketing Center: Administrative Law Judge Docketing Center U.S. Coast Guard 40 South Gay Street, RM 412 Baltimore, MD 21202-4022 Phone: (410) 962-5100 Toll Free: (866) 612-7524 Fax: (410) 962-1746 Toll Free Fax: (877) 243-3453"

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_11407 389.3 The system shall display the following in the Uncontested Case Assignment New letter when the user is reviewing the Uncontested Case Assignment letter: "FOR DOCKETING CENTER USE ONLY" MISLE_F_REQ_11408 389.4 The system shall display the following in the Uncontested Case Assignment New letter when the user is reviewing the Uncontested Case Assignment letter: "COMPLAINANT: UNITED STATES COAST GUARD" MISLE_F_REQ_11409 389.5 The system shall display the following respondent name in the Uncontested New Case Assignment letter when the user is reviewing the Uncontested Case Assignment letter: First Name + Last Name MISLE_F_REQ_11410 389.6 The system shall display the following associated case Docket Number in the New Uncontested Case Assignment letter when the user is reviewing the Uncontested Case Assignment letter: Docket Number MISLE_F_REQ_11411 389.7 The system shall display the following in the Uncontested Case Assignment New letter when the user is reviewing the Uncontested Case Assignment letter: "Notice Of Assignment" MISLE_F_REQ_11412 389.8 The system shall display the following in the Uncontested Case Assignment New letter when the user is reviewing the Uncontested Case Assignment letter: MISLE Activity ID MISLE_F_REQ_11413 389.9 The system shall display the following when the user is reviewing the New Uncontested Case Assignment letter: "To the Administrative Law Judge: {Primary Judge}." MISLE_F_REQ_11414 389.10 The system shall display the following when the user is reviewing the New Uncontested Case Assignment letter: "You have been assigned this ({Docket Type} Default, Settlement, Admission, or Admission with Request for Settlement) case. Please review and issue the appropriate order."

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_11419 389.11 The system shall display the following when the user is reviewing the New Uncontested Case Assignment letter: "BY ORDER OF THE CHIEF ADMINISTRATIVE LAW JUDGE:"

MISLE_F_REQ_11420 389.12 The system shall display a signature line when the user is reviewing the New Uncontested Case Assignment letter.

MISLE_F_REQ_11421 389.13 The system shall display the following when the user is reviewing the New Uncontested Case Assignment letter: "Paralegal Specialist ALJ Docketing Center" MISLE_F_REQ_11422 389.14 The system shall display when the user is reviewing the last page of the New Uncontested Case Assignment letter: "Date and Donated {Date} Baltimore, MD" MISLE_F_REQ_11423 389.15 The system shall display the following when the user is reviewing the last New page of the Uncontested Case Assignment letter: "Certificate of Service" MISLE_F_REQ_11424 389.16 The system shall display the following when the user is reviewing the last New page of the Uncontested Case Assignment letter: "I hereby certify that I have served the foregoing document upon the following parties (or their designated representatives) to this proceeding at the addresses indicated by {Method of Service}." MISLE_F_REQ_11425 389.17 The system shall display the following when the user is reviewing the last New page of the Uncontested Case Assignment letter: "Respondent:" First Name + Last Name MISLE_F_REQ_11426 389.18 The system shall display the following when the user is reviewing the last New page of the Uncontested Case Assignment letter: "Respondent Counsel: {Counsel of Record}"

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_11427 389.19 The system shall display the following respondent name when the user is New reviewing the last page of the Uncontested Case Assignment letter: First Name + Last Name MISLE_F_REQ_11428 389.20 The system shall display the following respondent address when the user is New reviewing the last page of the Uncontested Case Assignment letter: Address MISLE_F_REQ_11429 389.21 The system shall display the following respondent email address when the user New is reviewing the last page of the Uncontested Case Assignment letter: Email Address MISLE_F_REQ_11430 389.22 The system shall display ' I hereby certify that I have filed the foregoing New documents {Assigned IO}, {Owning Unit}, {Method of Service}.' when the user is reviewing the last page of the Uncontested Case Assignment. MISLE_F_REQ_11431 389.23 The system shall display when the user is reviewing the last page of the New Uncontested Case Assignment letter: "I hereby certify that I have filed the foregoing documents with the Honorable {Primary Judge}, {Method of Service}." MISLE_F_REQ_11432 389.24 The system shall display the following when the user is reviewing the last New page of the Uncontested Case Assignment letter: "For the ALJ Docketing Center" MISLE_F_REQ_11433 389.25 The system shall display a signature line when the user is reviewing the last New page of the Uncontested Case Assignment letter. MISLE_F_REQ_11434 389.26 The system shall display the following when the user is reviewing the last New page of the Uncontested Case Assignment letter: "Paralegal Specialist" MISLE_F_REQ_11435 389.27 The system shall display the following when the user is reviewing the last New page of the Uncontested Case Assignment letter: "Date:" Date MISLE_F_REQ_11436 389.28 The system shall provide the ability for the user to select submit when the user New has completed filing out of the Uncontested Case Assignment letter.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_11437 389.29 The system shall display the following message when the user has submitted New the Uncontested Case Assignment letter: "Document saved, printed and submitted to the Docket" MISLE_F_REQ_11438 389.30 The system shall provide the ability for the user to close the message when the New user has submitted the Uncontested Case Assignment letter. MISLE_F_REQ_11439 389.31 The system shall provide the ability to send an email containing the New Uncontested Case Assignment letter to the Docketing Center when the user had selected submit in the Uncontested Case Assignment letter. MISLE_F_REQ_11440 389.32 The system shall provide the ability to send an email containing the New "Uncontested Case Assignment" in the subject line of the email when the user had selected submit in the Uncontested Case Assignment letter. MISLE_F_REQ_11441 389.33 The system shall display following data elements in the message area of the New email for the Uncontested Case Assignment letter: Docket Number; MISLE Activity ID; Title Description; Docket Type. MISLE_F_REQ_11445 389.34 The system shall provide the ability populate email addresses containing the New most recent docket user's email addresses to the Docketing Center when the user has submitted the Uncontested Case Assignment letter. MISLE_F_REQ_11446 389.35 The system shall provide the ability to send an email containing the New "Uncontested Case Assignment" in the subject line of the email going to the Docketing Center when the user has submitted the Uncontested Case Assignment letter. MISLE_F_REQ_13015 389.36 The system shall update the Docket with the following data elements when the New user submits the system generated email for the Uncontested Case Assignment letter: Docket Item ID; Document Description; Document Type; Defect; Document Date; Return Of Service Date

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_11448 391 The system shall display an editable Uncontested Case Reassignment letter New when the user selects the Uncontested Case Reassignment letter in the DMS Template area. MISLE_F_REQ_11449 391.1 The system shall display the following as the header for the Uncontested Case New Reassignment letter when the user is reviewing the Uncontested Case Reassignment letter: “'UNITED STATES OF AMERICA U.S. Department of Homeland Security UNITED STATES COAST GUARD.” MISLE_F_REQ_11450 391.2 The system shall display the following when the user selects the Uncontested New Case Reassignment letter in the DMS Template area is reviewing the Uncontested Case Reassignment letter: "Address of Administrative Law Judge Docketing Center: Administrative Law Judge Docketing Center U.S. Coast Guard 40 South Gay Street, RM 412 Baltimore, MD 21202-4022 Phone: (410) 962-5100 Toll Free: (866) 612-7524 Fax: (410) 962-1746 Toll Free Fax: (877) 243-3453" MISLE_F_REQ_11451 391.3 The system shall display the following in the Uncontested Case Reassignment New letter when the user is reviewing the Uncontested Case Reassignment letter: "FOR DOCKETING CENTER USE ONLY" MISLE_F_REQ_11452 391.4 The system shall display the following in the Notice of Extension letter when New the user is reviewing the Uncontested Case Reassignment letter: "COMPLAINANT: UNITED STATES COAST GUARD" MISLE_F_REQ_11453 391.5 The system shall display the following respondent name in the Uncontested New Case Reassignment letter when the user is reviewing the Uncontested Case Reassignment letter: First Name + Last Name MISLE_F_REQ_11454 391.6 The system shall display the following associated case Docket Number in the New Uncontested Case Reassignment letter when the user is reviewing the Uncontested Case Reassignment letter: Docket Number

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_11455 391.7 The system shall display the following in the Uncontested Case Reassignment New letter when the user is reviewing the Uncontested Case Reassignment letter: "Notice Of Re-Assignment" MISLE_F_REQ_11456 391.8 The system shall display the following in the Uncontested Case Reassignment New letter when the user is reviewing the Uncontested Case Reassignment letter: MISLE Activity ID MISLE_F_REQ_11457 391.9 The system shall display the following when the user is reviewing the New Uncontested Case Reassignment letter: "To the Administrative Law Judge: {Primary Judge}." MISLE_F_REQ_11458 391.10 The system shall display the following when the user is reviewing the New Uncontested Case Reassignment letter: "You have been re-assigned this case to {Docket Number}. Please review and issue the appropriate order." MISLE_F_REQ_11459 391.11 The system shall display the following when the user is reviewing the New Uncontested Case Reassignment letter: "BY ORDER OF THE CHIEF ADMINISTRATIVE LAW JUDGE:"

MISLE_F_REQ_11460 391.12 The system shall display a signature line when the user is reviewing the New Uncontested Case Reassignment letter.

MISLE_F_REQ_11461 391.13 The system shall display the following when the user is reviewing the New Uncontested Case Reassignment letter: "Paralegal Specialist ALJ Docketing Center" MISLE_F_REQ_11462 391.14 The system shall display the following when the user is reviewing the last New page of the Uncontested Case Reassignment letter: "Date and Donated {Date} Baltimore, MD"

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_11463 391.15 The system shall display the following when the user is reviewing the last New page of the Uncontested Case Reassignment: "Certificate of Service" MISLE_F_REQ_11464 391.16 The system shall display the following when the user is reviewing the last New page of the Uncontested Case Reassignment letter: "I hereby certify that I have served the foregoing document upon the following parties (or their designated representatives) to this proceeding at the addresses indicated by {Method of Service}." MISLE_F_REQ_11465 391.17 The system shall display the following when the user is reviewing the last New page of the Uncontested Case Reassignment letter: "Respondent:" First Name + Last Name MISLE_F_REQ_11466 391.18 The system shall display when the user is reviewing the last page of the New Uncontested Case Reassignment letter: "Respondent Counsel: {Counsel of Record}" MISLE_F_REQ_11467 391.19 The system shall display the following respondent name when the user is New reviewing the last page of the Uncontested Case Reassignment letter: First Name + Last Name MISLE_F_REQ_11468 391.20 The system shall display the following respondent address when the user is New reviewing the last page of the Uncontested Case Reassignment letter: Address MISLE_F_REQ_11469 391.21 The system shall display the following respondent email address when the user New is reviewing the last page of the Uncontested Case Reassignment letter: Email Address MISLE_F_REQ_11470 391.22 The system shall display the following when the user is reviewing the last New page of the Uncontested Case Reassignment letter: "I hereby certify that I have filed the foregoing documents {Assigned IO}, {Owning Unit}, {Method of Service}." MISLE_F_REQ_11471 391.23 The system shall display when the user is reviewing the last page of the New Uncontested Case Reassignment letter: "I hereby certify that I have filed the

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Hierarchy Functional Requirement Proposed ID Changes foregoing documents with the Honorable {Primary Judge}, {Method of Service}." MISLE_F_REQ_11472 391.24 The system shall display the following when the user is reviewing the last New page of the Uncontested Case Reassignment letter: "For the ALJ Docketing Center" MISLE_F_REQ_11473 391.25 The system shall display a signature line when the user is reviewing the last New page of the Uncontested Case Reassignment letter. MISLE_F_REQ_11474 391.26 The system shall display the following when the user is reviewing the last New page of the Uncontested Case Reassignment letter: "Paralegal Specialist" MISLE_F_REQ_11475 391.27 The system shall display the following when the user is reviewing the last New page of the Uncontested Case Reassignment letter: "Date:" Date MISLE_F_REQ_11476 391.28 The system shall provide the ability for the user to select submit when the user New has completed filing out of the Uncontested Case Reassignment letter. MISLE_F_REQ_11477 391.29 The system shall display the following message when the user has submitted New the Uncontested Case Reassignment letter: "Document saved, printed and submitted to the Docket" MISLE_F_REQ_11478 391.30 The system shall provide the ability for the user to close the message when the New user has submitted the Uncontested Case Reassignment letter. MISLE_F_REQ_11479 391.31 The system shall provide the ability to send an email containing the New Uncontested Case Reassignment letter to the Docketing Center when the user had selected submit in the Uncontested Case Reassignment letter. MISLE_F_REQ_11480 391.32 The system shall provide the ability to send an email containing the New "Uncontested Case Reassignment" in the subject line of the email when the user has submitted the Uncontested Case Reassignment letter.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_11481 391.33 The system shall display following data elements in the message area of the New email for the Reassignment letter: Docket Number; MISLE Activity ID; Title Description; Docket Type. MISLE_F_REQ_11485 391.34 The system shall provide the ability populate email addresses containing the New most recent docket user's email addresses to the Docketing Center when the user has submitted the Uncontested Case Reassignment letter. MISLE_F_REQ_11486 391.35 The system shall provide the ability to send an email containing the New 'Uncontested Notice Of Reassignment' in the subject line of the email going to the Docketing Center when the user has submitted the Uncontested Notice Of Reassignment letter. MISLE_F_REQ_13016 391.36 The system shall update the Docket with the following data elements when the New user submits the system generated email for the Uncontested Notice Of Reassignment: Docket Item ID; Document Description; Document Type; Defect; Document Date; Return Of Service Date MISLE_F_REQ_11526 393 The system shall display an editable Contested Notice Of Reassignment letter New when the user selects the Contested Notice Of Reassignment letter in the DMS Template area. MISLE_F_REQ_11527 393.1 The system shall display the following as the header for the Contested Notice New Of Reassignment letter when the user is reviewing the Contested Notice Of Reassignment letter: “'UNITED STATES OF AMERICA U.S. Department of Homeland Security UNITED STATES COAST GUARD.” MISLE_F_REQ_11528 393.2 The system shall display the following when the user selects the Contested New Notice Of Reassignment in the DMS Template area is reviewing the Contested Notice Of Reassignment letter: "Address of Administrative Law Judge Docketing Center: Administrative Law Judge Docketing Center U.S. Coast Guard 40 South Gay Street, RM 412 Baltimore, MD 21202-4022 Phone:

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Hierarchy Functional Requirement Proposed ID Changes (410) 962-5100 Toll Free: (866) 612-7524 Fax: (410) 962-1746 Toll Free Fax: (877) 243-3453" MISLE_F_REQ_11529 393.3 The system shall display the following in the Contested Notice Of New Reassignment letter when the user is reviewing the Contested Notice Of Reassignment letter: "FOR DOCKETING CENTER USE ONLY" MISLE_F_REQ_11530 393.4 The system shall display the following in the Notice of Extension letter when New the user is reviewing the Contested Notice Of Reassignment letter: "COMPLAINANT: UNITED STATES COAST GUARD" MISLE_F_REQ_11531 393.5 The system shall display the following respondent name in the Contested New Notice Of Reassignment letter when the user is reviewing the Contested Notice Of Reassignment letter: First Name + Last Name MISLE_F_REQ_11532 393.6 The system shall display the following associated case Docket Number in the New Contested Notice Of Reassignment letter when the user is reviewing the Contested Notice Of Reassignment letter: Docket Number MISLE_F_REQ_11533 393.7 The system shall display the following in the Contested Notice Of New Reassignment letter when the user is reviewing the Contested Notice Of Reassignment letter: "Notice Of Re-Assignment" MISLE_F_REQ_11534 393.8 The system shall display the following in the Contested Notice Of New Reassignment letter when the user is reviewing the Contested Notice Of Reassignment letter: MISLE Activity ID MISLE_F_REQ_11535 393.9 The system shall display the following when the user is reviewing the New Contested Notice Of Reassignment letter: "PLEASE TAKE NOTICE that this case has been re-assigned to {Primary Judge} to rule on." MISLE_F_REQ_13276 393.9.1 The system shall provide the ability for the user to enter CNORL Text New information when reviewing the Contested Notice Of Reassignment letter.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_11536 393.10 The system shall display the following ALJ Owning Unit when the user is New reviewing the Contested Notice Of Reassignment letter. MISLE_F_REQ_11565 393.11 The system shall display when the user is reviewing the Contested Notice Of New Reassignment letter: "PLEASE NOTE that the filings of all pleadings, motions, and communications remain with the ALJ Docketing Center at the address indicated below: Administrative Law Judge Docketing Center U.S. Coast Guard 40 South Gay Street, RM 412 Baltimore, MD 21202-4022 Phone: (410) 962-5100 Toll Free: (866) 612-7524 Fax: (410) 962-1746 Toll Free Fax: (877) 243-3453" MISLE_F_REQ_11537 393.12 The system shall display the following when the user is reviewing the New Contested Notice Of Reassignment letter: "BY ORDER OF THE CHIEF ADMINISTRATIVE LAW JUDGE:"

MISLE_F_REQ_11538 393.13 The system shall display a signature line when the user is reviewing the New Contested Notice Of Reassignment letter.

MISLE_F_REQ_11539 393.14 The system shall display the following when the user is reviewing the New Contested Notice Of Reassignment letter: "Paralegal Specialist ALJ Docketing Center" MISLE_F_REQ_11540 393.15 The system shall display the following when the user is reviewing the last New page of the Contested Notice Of Reassignment letter: "Date and Donated {Date} Baltimore, MD" MISLE_F_REQ_11541 393.16 The system shall display the following when the user is reviewing the last New page of the Contested Notice Of Reassignment letter: "Certificate of Service" MISLE_F_REQ_11542 393.17 The system shall display the following when the user is reviewing the last New page of the Contested Notice Of Reassignment letter: "I hereby certify that I

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Hierarchy Functional Requirement Proposed ID Changes have served the foregoing document upon the following parties (or their designated representatives) to this proceeding at the addresses indicated by {Method of Service}." MISLE_F_REQ_11543 393.18 The system shall display the following when the user is reviewing the last New page of the Contested Notice Of Reassignment letter: "Respondent:" First Name + Last Name MISLE_F_REQ_11544 393.19 The system shall display the following when the user is reviewing the last New page of the Contested Notice Of Reassignment letter: "Respondent Counsel: {Counsel of Record}" MISLE_F_REQ_11545 393.20 The system shall display the following respondent name when the user is New reviewing the last page of the Contested Notice Of Reassignment letter: First Name + Last Name MISLE_F_REQ_11546 393.21 The system shall display the following respondent address when the user is New reviewing the last page of the Contested Notice Of Reassignment letter: Address MISLE_F_REQ_11547 393.22 The system shall display the following respondent email address when the user New is reviewing the last page of the Contested Notice Of Reassignment letter: Email Address MISLE_F_REQ_11548 393.23 The system shall display the following when the user is reviewing the last New page of the Contested Notice Of Reassignment letter: "I hereby certify that I have filed the foregoing documents {Assigned IO}, {Owning Unit}, {Method of Service}." MISLE_F_REQ_11549 393.24 The system shall display the following when the user is reviewing the last New page of the Contested Notice Of Reassignment letter: "I hereby certify that I have filed the foregoing documents with the Honorable {Primary Judge}, {Method of Service}."

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_11550 393.25 The system shall display the following when the user is reviewing the last New page of the Contested Notice Of Reassignment letter: "For the ALJ Docketing Center" MISLE_F_REQ_11551 393.26 The system shall display a signature line when the user is reviewing the last New page of the Contested Notice Of Reassignment letter. MISLE_F_REQ_11552 393.27 The system shall display the following when the user is reviewing the last New page of the Contested Notice Of Reassignment letter: "Paralegal Specialist" MISLE_F_REQ_11553 393.28 The system shall display the following when the user is reviewing the last New page of the Contested Notice Of Reassignment letter: "Date:" Date MISLE_F_REQ_11554 393.29 The system shall provide the ability for the user to select submit when the user New has completed filing out of the Contested Notice Of Reassignment letter. MISLE_F_REQ_11555 393.30 The system shall display the following message when the user has submitted New the Contested Notice Of Reassignment letter: "Document saved, printed and submitted to the Docket." MISLE_F_REQ_11556 393.31 The system shall provide the ability for the user to close the message when the New user has submitted the Contested Notice Of Reassignment letter. MISLE_F_REQ_11557 393.32 The system shall provide the ability to send an email containing the Contested New Notice Of Reassignment letter to the Docketing Center when the user has submitted the Contested Notice Of Reassignment letter. MISLE_F_REQ_11558 393.33 The system shall provide the ability to send an email containing the New "Contested Notice Of Reassignment" in the subject line of the email when the user has submitted the Contested Notice Of Reassignment letter. MISLE_F_REQ_11559 393.34 The system shall display following data elements in the message area of the New email for the Contested Notice Of Reassignment letter: Docket Number; MISLE Activity ID; Title Description; Docket Type

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_11563 393.35 The system shall provide the ability populate email addresses containing the New most recent docket user's email addresses to the Docketing Center when the user had selected submit in the Contested Notice Of Reassignment letter. MISLE_F_REQ_11564 393.36 The system shall provide the ability to send an email containing the New "Contested Notice Of Reassignment" in the subject line of the email going to the Docketing Center when the user has submitted the Contested Notice Of Reassignment letter. MISLE_F_REQ_13017 393.37 The system shall update the Docket with the following data elements when the New user submits the system generated email for the Contested Notice Of Reassignment: Docket Item ID; Document Description; Document Type; Defect; Document Date; Return Of Service Date

Table 6-35 DMS Templates - Certificate Of Service (COS) Data Elements ID Element Description Format Default Length Req 428 MISLE MISLE Enforcement Activity ID associated with the case. Numeric Null 0 – Yes Activity 2,147,483,647 ID 717 Last The last name of the Involved Person(s). Alphanumeric Null 50 Yes Name 718 First The first name of the Involved Person(s). Alphanumeric Null 30 No Name 1434 Date The current date. Date Current n/a Yes Date 2876 Counsel Involved Persons or an Involved Organization who will act Read-Only N/A of Record as a representative for the Subject Of Investigation and is used for display in the Charged/Respondent Party area.

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ID Element Description Format Default Length Req 2992 Owning Unit that owns the activity and can transfer control of the Picklist Unit activity 3689 Docket The number generated by the system that gets assigned to a Numeric Null 9 No Number case file sent over to the CMS application. "YYYY"- "NNNN" where "Y"=current year & "N" is a system generated number. Only available for Enforcement activity searches related to current Suspension & Revocation and Administrative Civil Penalty Class II Enforcement activities. This number is assigned via the NOF during a submission of a Complaint by the IO in Enforcement. 5479 Assigned In a Suspense and Recommendation Enforcement Activity Alpha n/a n/a Cond IO it is required to have an Assign IO. Req

Table 6-36 DMS Templates - Notice of Extension Data Elements ID Element Description Format Default Length Req 428 MISLE MISLE Enforcement Activity ID associated Numeric Null 0 – Yes Activity ID with the case. 2,147,483,647

434 Owning Unit that owns the activity and can transfer Picklist Unit of the user 100 Yes Unit control of the activity when the user has only one unit association / NULL when the user has multiple unit associations 717 Last Name The last name of the Involved Person(s). Alphanumeric Null 50 Yes

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ID Element Description Format Default Length Req 718 First Name The first name of the Involved Person(s). Alphanumeric Null 30 No 729 E-Mail The E-Mail address of the involved person. Alphanumeric Null 50 No Address For a referential person, used the preferred e- mail address. 734 Address The address of the involved person, including Alphanumeric n/a No No street, city, state, and zip. Address = Respondent's Address 1434 Date The current date. Date Current Date n/a Yes 2876 Counsel of Involved Persons or an Involved Organization Read-Only N/A Record who will act as a representative for the Subject Of Investigation and is used for display in the Charged/Respondent Party area. 2992 Owning Unit that owns the activity and can transfer Picklist Unit control of the activity 3689 Docket The number generated by the system that gets Numeric Null 9 No Number assigned to a case file sent over to the CMS application. "YYYY"-"NNNN" where "Y"=current year & "N" is a system generated number. Only available for Enforcement activity searches related to current Suspension & Revocation and Administrative Civil Penalty Class II Enforcement activities. This number is assigned via the NOF during a submission of a Complaint by the IO in Enforcement. 4996 Citation A description of the regulation, statute, or a Read-Only N/A N/A Yes Description common violation associated with the citation. Also known as the citation type.

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ID Element Description Format Default Length Req 5479 Assigned In a Suspense and Recommendation Alpha n/a n/a Cond IO Enforcement Activity it is required to have an Req Assign IO. 5608 Proposed Displays a selectable picklist which shows Picklist Null N/A No Order how the respondent responded to the requested order sent to them. 5629 Primary The Adjudication team member assigns the Picklist Null N/A Yes Judge Primary Judge through the Case Assignment area. Displays the Judge who is assigned to the case. 5857 Method of The method of service for the delivery of a Picklist Null N/A Yes Service document correspondence.

Table 6-37 DMS Templates - Contested Notice of Reassignment Data Elements ID Element Description Format Default Length Req 428 MISLE MISLE Enforcement Activity ID associated Numeric Null 0 – Yes Activity with the case. 2,147,483,647 ID 434 Owning Unit that owns the activity and can transfer Picklist Unit of the user 100 Yes Unit control of the activity when the user has only one unit association / NULL when the user has multiple unit associations

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ID Element Description Format Default Length Req 717 Last The last name of the Involved Person(s). Alphanumeric Null 50 Yes Name 718 First The first name of the Involved Person(s). Alphanumeric Null 30 No Name 729 E-Mail The E-Mail address of the involved person. For Alphanumeric Null 50 No Address a referential person, used the preferred e-mail address. 734 Address The address of the involved person, including Alphanumeric n/a No No street, city, state, and zip. Address = Respondent's Address 1434 Date The current date. Date Current Date n/a Yes 2876 Counsel Involved Persons or an Involved Organization Read-Only N/A of Record who will act as a representative for the Subject Of Investigation and is used for display in the Charged/Respondent Party area. 3689 Docket The number generated by the system that gets Numeric Null 9 No Number assigned to a case file sent over to the CMS application. "YYYY"-"NNNN" where "Y"=current year & "N" is a system generated number. Only available for Enforcement activity searches related to current Suspension & Revocation and Administrative Civil Penalty Class II Enforcement activities. This number is assigned via the NOF during a submission of a Complaint by the IO in Enforcement. 5479 Assigned In a Suspense and Recommendation Alpha n/a n/a Cond IO Enforcement Activity it is required to have an Req Assign IO.

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ID Element Description Format Default Length Req 5529 ALJ Displays the short name for the ALJ unit that Read-Only Null 15 Yes Owning currently has control of the case information. Unit 5629 Primary The Adjudication team member assigns the Picklist Null N/A Yes Judge Primary Judge through the Case Assignment area. Displays the Judge who is assigned to the case. 5857 Method The method of service for the delivery of a Picklist Null N/A Yes of Service document correspondence. 5990 CNORL Free text space available for the end user to Alphanumeric Null 100 No Text type text about the judge reassignment. CNORL = Contested Notice Of Reassignment Letter

Table 6-38 DMS Templates - Uncontested Case Reassignment Data Elements ID Element Description Format Default Length Req 428 MISLE MISLE Enforcement Activity ID associated Numeric Null 0 – Yes Activity with the case. 2,147,483,647 ID 434 Owning Unit that owns the activity and can transfer Picklist Unit of the user 100 Yes Unit control of the activity when the user has only one unit association / NULL when the user has multiple unit associations

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ID Element Description Format Default Length Req 717 Last The last name of the Involved Person(s). Alphanumeric Null 50 Yes Name 718 First The first name of the Involved Person(s). Alphanumeric Null 30 No Name 729 E-Mail The E-Mail address of the involved person. For Alphanumeric Null 50 No Address a referential person, used the preferred e-mail address. 734 Address The address of the involved person, including Alphanumeric n/a No No street, city, state, and zip. Address = Respondent's Address 1434 Date The current date. Date Current Date n/a Yes 2876 Counsel Involved Persons or an Involved Organization Read-Only N/A of Record who will act as a representative for the Subject Of Investigation and is used for display in the Charged/Respondent Party area. 3689 Docket The number generated by the system that gets Numeric Null 9 No Number assigned to a case file sent over to the CMS application. "YYYY"-"NNNN" where "Y"=current year & "N" is a system generated number. Only available for Enforcement activity searches related to current Suspension & Revocation and Administrative Civil Penalty Class II Enforcement activities. This number is assigned via the NOF during a submission of a Complaint by the IO in Enforcement. 5479 Assigned In a Suspense and Recommendation Alpha n/a n/a Cond IO Enforcement Activity it is required to have an Req Assign IO.

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ID Element Description Format Default Length Req 5629 Primary The Adjudication team member assigns the Picklist Null N/A Yes Judge Primary Judge through the Case Assignment area. Displays the Judge who is assigned to the case. 5857 Method The method of service for the delivery of a Picklist Null N/A Yes of Service document correspondence.

Table 6-39 DMS Templates - Uncontested Case Assignment Data Elements ID Element Description Format Default Length Req 428 MISLE MISLE Enforcement Activity ID associated Numeric Null 0 – Yes Activity with the case. 2,147,483,647 ID 434 Owning Unit that owns the activity and can transfer Picklist Unit of the user 100 Yes Unit control of the activity when the user has only one unit association / NULL when the user has multiple unit associations 717 Last The last name of the Involved Person(s). Alphanumeric Null 50 Yes Name 718 First The first name of the Involved Person(s). Alphanumeric Null 30 No Name 729 E-Mail The E-Mail address of the involved person. For Alphanumeric Null 50 No Address a referential person, used the preferred e-mail address.

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ID Element Description Format Default Length Req 734 Address The address of the involved person, including Alphanumeric n/a No No street, city, state, and zip. Address = Respondent's Address 1434 Date The current date. Date Current Date n/a Yes 2876 Counsel Involved Persons or an Involved Organization Read-Only N/A of Record who will act as a representative for the Subject Of Investigation and is used for display in the Charged/Respondent Party area. 3689 Docket The number generated by the system that gets Numeric Null 9 No Number assigned to a case file sent over to the CMS application. "YYYY"-"NNNN" where "Y"=current year & "N" is a system generated number. Only available for Enforcement activity searches related to current Suspension & Revocation and Administrative Civil Penalty Class II Enforcement activities. This number is assigned via the NOF during a submission of a Complaint by the IO in Enforcement. 5479 Assigned In a Suspense and Recommendation Alpha n/a n/a Cond IO Enforcement Activity it is required to have an Req Assign IO. 5534 Docket A picklist with categories of how a case has Picklist Null N/A Cond Type been assigned out by the Docket Center team Req members. 5629 Primary The Adjudication team member assigns the Picklist Null N/A Yes Judge Primary Judge through the Case Assignment area. Displays the Judge who is assigned to the case.

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ID Element Description Format Default Length Req 5857 Method The method of service for the delivery of a Picklist Null N/A Yes of Service document correspondence.

Table 6-40 DMS Templates - Contested Notice of Assignment Data Elements ID Element Description Format Default Length Req 428 MISLE MISLE Enforcement Activity ID associated Numeric Null 0 – Yes Activity with the case. 2,147,483,647 ID 434 Owning Unit that owns the activity and can transfer Picklist Unit of the user 100 Yes Unit control of the activity when the user has only one unit association / NULL when the user has multiple unit associations 717 Last The last name of the Involved Person(s). Alphanumeric Null 50 Yes Name 718 First The first name of the Involved Person(s). Alphanumeric Null 30 No Name 729 E-Mail The E-Mail address of the involved person. For Alphanumeric Null 50 No Address a referential person, used the preferred e-mail address.

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ID Element Description Format Default Length Req 734 Address The address of the involved person, including Alphanumeric n/a No No street, city, state, and zip. Address = Respondent's Address 1434 Date The current date. Date Current Date n/a Yes 2876 Counsel Involved Persons or an Involved Organization Read-Only N/A of Record who will act as a representative for the Subject Of Investigation and is used for display in the Charged/Respondent Party area. 3689 Docket The number generated by the system that gets Numeric Null 9 No Number assigned to a case file sent over to the CMS application. "YYYY"-"NNNN" where "Y"=current year & "N" is a system generated number. Only available for Enforcement activity searches related to current Suspension & Revocation and Administrative Civil Penalty Class II Enforcement activities. This number is assigned via the NOF during a submission of a Complaint by the IO in Enforcement. 5479 Assigned In a Suspense and Recommendation Alpha n/a n/a Cond IO Enforcement Activity it is required to have an Req Assign IO. 5629 Primary The Adjudication team member assigns the Picklist Null N/A Yes Judge Primary Judge through the Case Assignment area. Displays the Judge who is assigned to the case. 5857 Method The method of service for the delivery of a Picklist Null N/A Yes of Service document correspondence.

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Table 6-41 DMS Templates - Administrative Withdrawal Data Elements ID Element Description Format Default Length Req 428 MISLE MISLE Enforcement Activity ID associated Numeric Null 0 – Yes Activity with the case. 2,147,483,647 ID 434 Owning Unit that owns the activity and can transfer Picklist Unit of the user 100 Yes Unit control of the activity when the user has only one unit association / NULL when the user has multiple unit associations 717 Last Name The last name of the Involved Person(s). Alphanumeric Null 50 Yes 718 First Name The first name of the Involved Person(s). Alphanumeric Null 30 No 729 E-Mail The E-Mail address of the involved person. Alphanumeric Null 50 No Address For a referential person, used the preferred e- mail address. 734 Address The address of the involved person, including Alphanumeric n/a No No street, city, state, and zip. Address = Respondent's Address 1434 Date The current date. Date Current Date n/a Yes 2876 Counsel of Involved Persons or an Involved Organization Read-Only N/A Record who will act as a representative for the Subject Of Investigation and is used for display in the Charged/Respondent Party area. 3689 Docket The number generated by the system that gets Numeric Null 9 No Number assigned to a case file sent over to the CMS application. "YYYY"-"NNNN" where

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ID Element Description Format Default Length Req "Y"=current year & "N" is a system generated number. Only available for Enforcement activity searches related to current Suspension & Revocation and Administrative Civil Penalty Class II Enforcement activities. This number is assigned via the NOF during a submission of a Complaint by the IO in Enforcement. 5479 Assigned In a Suspense and Recommendation Alpha n/a n/a Cond IO Enforcement Activity it is required to have an Req Assign IO. 5593 Complaint Displays the date the complaint was filed via Read-Only N/A N/A Cond File Date the NOF action. Req 5629 Primary The Adjudication team member assigns the Picklist Null N/A Yes Judge Primary Judge through the Case Assignment area. Displays the Judge who is assigned to the case. 5857 Method of The method of service for the delivery of a Picklist Null N/A Yes Service document correspondence.

Table 6-42 DMS Templates - Amended COS Data Elements ID Element Description Format Default Length Req 427 Activity The title of a MISLE Activity Alphanumeric N/A 50 Yes Title 428 MISLE MISLE Enforcement Activity ID associated Numeric Null 0 – Yes Activity with the case. 2,147,483,647 ID

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ID Element Description Format Default Length Req

434 Owning Unit that owns the activity and can transfer Picklist Unit of the user 100 Yes Unit control of the activity when the user has only one unit association / NULL when the user has multiple unit associations 717 Last The last name of the Involved Person(s). Alphanumeric Null 50 Yes Name 718 First The first name of the Involved Person(s). Alphanumeric Null 30 No Name 729 E-Mail The E-Mail address of the involved person. For Alphanumeric Null 50 No Address a referential person, used the preferred e-mail address. 734 Address The address of the involved person, including Alphanumeric n/a No No street, city, state, and zip. Address = Respondent's Address 1434 Date The current date. Date Current Date n/a Yes 1857 Last Last name of the individual. Alpha n/a 50 Yes Name 1858 First First name of the individual. Alpha n/a 50 No Name 2876 Counsel Involved Persons or an Involved Organization Read-Only N/A of Record who will act as a representative for the Subject Of Investigation and is used for display in the Charged/Respondent Party area.

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ID Element Description Format Default Length Req 2992 Owning Unit that owns the activity and can transfer Picklist Unit control of the activity 3689 Docket The number generated by the system that gets Numeric Null 9 No Number assigned to a case file sent over to the CMS application. "YYYY"-"NNNN" where "Y"=current year & "N" is a system generated number. Only available for Enforcement activity searches related to current Suspension & Revocation and Administrative Civil Penalty Class II Enforcement activities. This number is assigned via the NOF during a submission of a Complaint by the IO in Enforcement. 5479 Assigned In a Suspense and Recommendation Alpha n/a n/a Cond IO Enforcement Activity it is required to have an Req Assign IO. 5629 Primary The Adjudication team member assigns the Picklist Null N/A Yes Judge Primary Judge through the Case Assignment area. Displays the Judge who is assigned to the case. 5857 Method The method of service for the delivery of a Picklist Null N/A Yes of Service document correspondence.

Table 6-43 DMS Templates - Withdrawal Confirmation Data Elements ID Element Description Format Default Length Req 428 MISLE Activity MISLE Enforcement Activity ID Numeric Null 0 – Yes ID associated with the case. 2,147,483,647

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ID Element Description Format Default Length Req 434 Owning Unit Unit that owns the activity and can Picklist Unit of the user 100 Yes transfer control of the activity when the user has only one unit association / NULL when the user has multiple unit associations 717 Last Name The last name of the Involved Person(s). Alphanumeric Null 50 Yes 718 First Name The first name of the Involved Person(s). Alphanumeric Null 30 No 729 E-Mail Address The E-Mail address of the involved Alphanumeric Null 50 No person. For a referential person, used the preferred e-mail address. 734 Address The address of the involved person, Alphanumeric n/a No No including street, city, state, and zip. Address = Respondent's Address 1434 Date The current date. Date Current Date n/a Yes 1447 Identification Identification number or name. This Read-Only n/a n/a Yes Number information is related to the number or name of the Identification Type. 2876 Counsel of Record Involved Persons or an Involved Read-Only N/A Organization who will act as a representative for the Subject Of Investigation and is used for display in the Charged/Respondent Party area. 3689 Docket Number The number generated by the system that Numeric Null 9 No gets assigned to a case file sent over to the CMS application. "YYYY"-"NNNN" where "Y"=current year & "N" is a

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ID Element Description Format Default Length Req system generated number. Only available for Enforcement activity searches related to current Suspension & Revocation and Administrative Civil Penalty Class II Enforcement activities. This number is assigned via the NOF during a submission of a Complaint by the IO in Enforcement. 5479 Assigned IO In a Suspense and Recommendation Alpha n/a n/a Cond Enforcement Activity it is required to Req have an Assign IO. 5593 Complaint File Displays the date the complaint was filed Read-Only N/A N/A Cond Date via the NOF action. Req 5629 Primary Judge The Adjudication team member assigns Picklist Null N/A Yes the Primary Judge through the Case Assignment area. Displays the Judge who is assigned to the case. 5857 Method of Service The method of service for the delivery of Picklist Null N/A Yes a document correspondence. 5865 Proposed Order Proposed Order on Complaint equals Read-Only Null N/A Cond on Complaint Proposed Sanction Type on the Req Complaint that was transferred. 5866 Date of The date that ALJ release the respondent Date N/A 10 Cond Withdrawal from the case against them and all docket Req information has been removed and the case is closed.

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ID Element Description Format Default Length Req 5993 WhyWithdrawing Open text for the user to enter a short Alphanumeric null 50 Cond reason why the CG is withdrawing the Req confirmation letter.

Table 6-44 DMS Templates - Temporary Suspension Data Elements ID Element Description Format Default Length Req 428 MISLE MISLE Enforcement Activity ID associated Numeric Null 0 – Yes Activity with the case. 2,147,483,647 ID 434 Owning Unit that owns the activity and can transfer Picklist Unit of the user 100 Yes Unit control of the activity when the user has only one unit association / NULL when the user has multiple unit associations 717 Last The last name of the Involved Person(s). Alphanumeric Null 50 Yes Name 718 First The first name of the Involved Person(s). Alphanumeric Null 30 No Name 729 E-Mail The E-Mail address of the involved person. For Alphanumeric Null 50 No Address a referential person, used the preferred e-mail address. 734 Address The address of the involved person, including Alphanumeric n/a No No street, city, state, and zip. Address = Respondent's Address

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ID Element Description Format Default Length Req 1434 Date The current date. Date Current Date n/a Yes 2876 Counsel Involved Persons or an Involved Organization Read-Only N/A of Record who will act as a representative for the Subject Of Investigation and is used for display in the Charged/Respondent Party area. 3689 Docket The number generated by the system that gets Numeric Null 9 No Number assigned to a case file sent over to the CMS application. "YYYY"-"NNNN" where "Y"=current year & "N" is a system generated number. Only available for Enforcement activity searches related to current Suspension & Revocation and Administrative Civil Penalty Class II Enforcement activities. This number is assigned via the NOF during a submission of a Complaint by the IO in Enforcement. 5479 Assigned In a Suspense and Recommendation Alpha n/a n/a Cond IO Enforcement Activity it is required to have an Req Assign IO. 5629 Primary The Adjudication team member assigns the Picklist Null N/A Yes Judge Primary Judge through the Case Assignment area. Displays the Judge who is assigned to the case. 5857 Method The method of service for the delivery of a Picklist Null N/A Yes of Service document correspondence.

Table 6-45 DMS Templates - Notice of Deficient Filing Letter Data Elements

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ID Element Description Format Default Length Req 428 MISLE Activity ID MISLE Enforcement Activity ID Numeric Null 0 – Yes associated with the case. 2,147,483,647

434 Owning Unit Unit that owns the activity and can Picklist Unit of the user 100 Yes transfer control of the activity when the user has only one unit association / NULL when the user has multiple unit associations 717 Last Name The last name of the Involved Alphanumeric Null 50 Yes Person(s). 718 First Name The first name of the Involved Alphanumeric Null 30 No Person(s). 729 E-Mail Address The E-Mail address of the involved Alphanumeric Null 50 No person. For a referential person, used the preferred e-mail address. 734 Address The address of the involved person, Alphanumeric n/a No No including street, city, state, and zip. Address = Respondent's Address 1434 Date The current date. Date Current Date n/a Yes 2876 Counsel of Record Involved Persons or an Involved Read-Only N/A Organization who will act as a representative for the Subject Of Investigation and is used for display in the Charged/Respondent Party area.

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ID Element Description Format Default Length Req 3689 Docket Number The number generated by the system Numeric Null 9 No that gets assigned to a case file sent over to the CMS application. "YYYY"-"NNNN" where "Y"=current year & "N" is a system generated number. Only available for Enforcement activity searches related to current Suspension & Revocation and Administrative Civil Penalty Class II Enforcement activities. This number is assigned via the NOF during a submission of a Complaint by the IO in Enforcement. 5479 Assigned IO In a Suspense and Recommendation Alpha n/a n/a Cond Enforcement Activity it is required to Req have an Assign IO. 5556 Failure to Sign An indicator showing that the user has Yes/No Null N/A No Complaint 33 CFR selected a deficiency option in the 20.303(c) Notice of Deficient Filing document. 5557 Failure to file An indicator showing that the user has Yes/No Null N/A No Complaint with ALJ selected a deficiency option in the Docketing Center 33 Notice of Deficient Filing document. CFR 20.401 5558 Failure to complete An indicator showing that the user has Yes/No Null N/A No Certificate of Service selected a deficiency option in the or serve party. 33 Notice of Deficient Filing document. CFR 20.304(c) Per 33 CFR 20.302(f) the document has been accepted but the

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ID Element Description Format Default Length Req parties response period begins when properly served 5559 Failure of party(s) to An indicator showing that the user has Yes/No Null N/A No sign and/or date selected a deficiency option in the Settlement Notice of Deficient Filing document. Agreement 33 CFR 20.303(c) 5560 Fax or attach An indicator showing that the user has Yes/No Null N/A No photocopy filed with selected a deficiency option in the the ALJ Docketing Notice of Deficient Filing document. Center is not legible or readable; please re-file and provide a better copy 33 CFR 20.303 when properly served 5561 Other An indicator showing that the user has Yes/No Null N/A No selected a deficiency option in the Notice of Deficient Filing document. 5629 Primary Judge The Adjudication team member Picklist Null N/A Yes assigns the Primary Judge through the Case Assignment area. Displays the Judge who is assigned to the case. 5857 Method of Service The method of service for the delivery Picklist Null N/A Yes of a document correspondence.

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ID Element Description Format Default Length Req 5966 Add Other Text The user may enter additional Alphanumeric Null 2000 Cond information once the Other indicator Req has been selected.

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6.1.7 Use Case - 426: Review / Update CG Unit Overview: The docketing center and ALJ both require up-to-date contact information about which CG Unit and assigned IO are responsible for the case. The current CG counselor information is also pertinent and updated when a notice of appearance or withdrawal is submitted. Purpose: To view contact information for the Coast Guard Enforcement Owning Unit information, and also provides the docket center users the ability to update CG counsel information.

CG Unit provides the ALJ users the ability to view the information for the CG Unit areas. Primary Actors: Docketing Center Hearing and Docket Clerks Paralegal Specialist Attorney Advisor Administrative Law Judge (ALJ) Pre-Conditions: 1. The complaint and NOF transaction has occurred from the IO and received by the system. 2. To update the CG Counsel area the owning unit must be the Docketing Center. Scenario(s): Main Success Scenario 1. The Docketing Center user may review the pre-populated enforcement owning unit area. 2. The Docketing Center user may update the coast guard counsel area.

Scenario 2 1. The ALJ users may review the pre-populated enforcement owning unit area. 2. The ALJ users may view any populated coast guard counsel area information.

Exceptions: 1. The user may cancel and return to the calling workflow. Post-Conditions: 1. The Docketing Center user has updated the CG counsel area with any legal counsel information.

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2. After saving the information, the system has updated the All Players Receiving Service in the All Players Served area, and has sent out an email indicating to all parties of any CG counselor updates. 3. The ALJ user may have reviewed the information.

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Table 6-46 Review / Update CG Unit Functional Requirements Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_12067 267 The system shall display the following data elements when the ALJ user is New managing adjudication activities: ADJ Activity Title; Enf Type; Docket Status; Adjudication Start Date; Originating unit; Owning Unit; Docket Number; Docket Type; MISLE Activity Id; Coast Guard Case Number; Assigned IO; Assigned ALJ; Assigned Law Clerk MISLE_F_REQ_12068 267.1 The system shall populate the ADJ Activity Title data element as "USCG vs" New in addition to the respondent's First Name + Middle Name + Last Name. MISLE_F_REQ_12069 267.2 The system shall populate the Assigned IO data element as First Name + New Last Name of the individual with an involved personnel Role equal to 'Investigating Officer - Assigned IO'. MISLE_F_REQ_12070 267.3 The system shall populate the Assigned ALJ data element as Judges First New Name + Judges Middle Name + Judges Last Name. MISLE_F_REQ_12071 267.4 The system shall display the value for the Assigned ALJ when the Judge New Active is set to 'Yes' in the Case Assignment area. MISLE_F_REQ_12072 267.5 The system shall populate the Assigned Law Clerk data element with Law New Clerk First Name + Law Clerk Middle Name + Law Clerk Last Name. MISLE_F_REQ_12073 267.6 The system shall display the value for the Assigned Law Clerk when the New Law Clerk Active is set to 'Yes' in the Case Assignment area. MISLE_F_REQ_12145 267.7 The system shall provide the ability for the ALJ user to transfer the case file to New the Docketing Center. MISLE_F_REQ_12146 267.7.1 The system shall provide the ability for the ALJ user to decline the transfer of New a case file to the Docketing Center.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_12147 267.7.2 The system shall provide the ability to confirm the transfer of a case file to the New Docketing Center when the ALJ user is transferring the case to the Docketing Center. MISLE_F_REQ_12774 267.7.3 The system shall display the following statement when the user confirms the New transfer of a case file to the Docketing Center: “Was a case hearing held?” MISLE_F_REQ_12148 267.7.4 The system shall provide the ability to decline that a hearing was held when New the ALJ user has confirmed the transfer of a case file to the Docketing Center. MISLE_F_REQ_12152 267.7.5 The system shall transfer the case file to the Docketing Center when the ALJ New user has selected to decline that a hearing was held. MISLE_F_REQ_12149 267.7.6 The system shall provide the ability to confirm that a hearing was held when New the ALJ user has confirmed the transfer of a case file to the Docketing Center. MISLE_F_REQ_12150 267.7.7 The system shall re-direct the ALJ user to the Report of Hearing detail view in New the Hearing & Conferences area when the ALJ user confirms that a hearing was held. MISLE_F_REQ_12153 267.7.8 The system shall transfer the case file to the Docketing Center when the ALJ New user has completed the entry of the Report of Hearing detail view in the Hearing & Conferences area. MISLE_F_REQ_11567 395 The system shall provide the users with the ability to review the pre-populated New Coast Guard enforcement owning unit information when the user has selected the CG Unit area. MISLE_F_REQ_11568 395.1 The system shall provide the ability for the users to view the following Coast New Guard information related to the enforcement unit that submitted the complaint when the user is reviewing this information in the Enforcement Owning Unit section of the CG Unit area: CG Unit; CG Address; CG City; CG State; CG Zip Code; CG Phone; CG Fax; IO Name; IO Phone; IO Fax; IO Email; SIO Name; SIO Phone; SIO Email.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_11569 395.2 The system shall provide ALJ users the ability to review following the Coast New Guard counsel information when the ALJ users are in the Coast Guard details view of the CG Unit area: CG Counsel Name; CG Counsel Phone; CG Counsel E-Mail; CG Appearance date; CG Withdrawal date. MISLE_F_REQ_11575 395.3 The system shall provide Docketing Center users with the ability to edit the New displayed CG counsel information when the Docket Center user selects the CG Appearance date indicator in the CG Counsel details view. MISLE_F_REQ_11581 395.5 The system shall provide Docketing Center users with the ability to edit the New displayed CG counsel information when the Docketing Center user selects the CG Withdrawal date indicator in the CG Counsel details view. MISLE_F_REQ_11580 395.7 The system shall provide Docketing Center users with the ability to edit the New displayed CG Counsel Name when the Docketing Center user is in the CG Counsel details view of the CG Unit area. MISLE_F_REQ_11576 395.9 The system shall provide Docketing Center users with the ability to edit the New displayed CG Counsel Phone when the Docketing Center user is in the CG Counsel details view of the CG Unit area. MISLE_F_REQ_11577 395.11 The system shall provide Docketing Center users with the ability to edit the New displayed CG Counsel E-Mail when the Docketing Center user is in the CG Counsel details view of the CG Unit area. MISLE_F_REQ_11578 395.13 The system shall provide docket center users with the ability to edit the New displayed CG Appearance date when the Docketing Center user is in the CG Counsel details view of the CG Unit area. MISLE_F_REQ_11579 395.15 The system shall provide docket center users with the ability to edit the New displayed CG Withdrawal date when the docket center user is in the CG Counsel details view of the CG Unit area.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_11582 395.17 The system shall update the all players receiving service list in the all players New served area when the Docketing Center users have added a CG Counsel in the CG Counsel details view of the CG Unit area. MISLE_F_REQ_11583 395.18 The system shall update the All Players Receiving Service list view in the All New Players Served area when the Docketing Center user has removed any CG counsel information in the CG counsel section of the CG Unit area.

Table 6-47 CG Unit - Read Only - ALJ Users Data Elements ID Element Description 5670 CG Unit The sector from which the current IO is assigned. 5671 CG Address The address from which the current IO is assigned. 5672 CG City The city where current IO is assigned. 5673 CG State The state where current IO is assigned. 5674 CG Zip Code The zip code where current IO is assigned. 5675 CG phone The unit phone number where the current IO is assigned. 5676 CG Fax The unit fax number where the current IO is assigned. 5677 IO Name Name of Primary IO assigned. 5678 IO Phone The direct phone number for the Primary IO assigned. 5679 SIO Phone Direct phone number for SIO assigned to the Unit 5680 CG Counsel Name CG Counsel appearing for the CG. 5681 CG Counsel Phone CG Counsel phone number appearing for the CG. 5682 CG Counsel E-mail CG Counsel e-mail address.

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ID Element Description 5683 CG Appearance date CG Counsel appearance date. 5684 CG Withdrawal date CG Counsel withdrawal date. 5892 IO Fax The fax to the unit. 5893 IO E-mail The email address for the Primary IO assigned. 5894 SIO Name Name of SIO assigned to the Unit 5895 SIO E-Mail The email address for SIO assigned to the unit.

Table 6-48 CG Unit - Full Data Elements ID Element Description Format Default Length Req 5680 CG Counsel Name CG Counsel appearing for the CG. Alpha Null 50 Cond Req 5681 CG Counsel Phone CG Counsel phone number appearing for the CG. Numeric Null 12 Cond Req 5682 CG Counsel E- CG Counsel e-mail address. Alphanumeric Null 50 Cond mail Req 5683 CG Appearance CG Counsel appearance date. Date Null 50 Cond date Req 5684 CG Withdrawal CG Counsel withdrawal date. Date Null 12 Cond date Req 5872 CG Appearance CG Counsel appearance date indicator for selecting date Yes/No No N/A Cond date indicator and allowing entry of the counsel information and Req appearance date.

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Table 6-49 CG Unit - Read Only - DMS Users Data Elements ID Element Description 5670 CG Unit The sector from which the current IO is assigned. 5671 CG Address The address from which the current IO is assigned. 5672 CG City The city where current IO is assigned. 5673 CG State The state where current IO is assigned. 5674 CG Zip Code The zip code where current IO is assigned. 5675 CG phone The unit phone number where the current IO is assigned. 5676 CG Fax The unit fax number where the current IO is assigned. 5677 IO Name Name of Primary IO assigned. 5678 IO Phone The direct phone number for the Primary IO assigned. 5679 SIO Phone Direct phone number for SIO assigned to the Unit 5892 IO Fax The fax to the unit. 5893 IO E-mail The email address for the Primary IO assigned. 5894 SIO Name Name of SIO assigned to the Unit 5895 SIO E-Mail The email address for SIO assigned to the unit.

Table 6-50 Adjudication General Information/Transfer Data Elements

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ID Element Description 24 Last Name The last name of the Team Lead identified for the Activity 25 First Name The first name of the Team Lead identified for the Activity 428 MISLE Activity ID MISLE Enforcement Activity ID associated with the case. 434 Owning Unit Unit that owns the activity and can transfer control of the activity 438 Originating Unit Unit that created the activity. 458 Role Role of the associated organization for the selected activity 1857 Last Name Last name of the individual. 1858 First Name First name of the individual. 1859 Middle Name Middle name of the individual. 5534 Docket Type A picklist with categories of how a case has been assigned out by the Docket Center team members. 5554 Adjudication Start The date on which the Complaint was sent over from the MISLE Enforcement Referral. Date 5588 Coast Guard Case The ID number assigned by the USCG to the case. Number 5630 Judges First Name Judge's first name. 5631 Judges Middle Judge's middle name. Name 5632 Judges Last Name Judge's last name. 5634 Judge Active An indicator that show whether the judge is active or not. 5652 Law Clerk First Displays the First Name of the Law Clerk who is assigned to the case activity. Name 5653 Law Clerk Last Displays the Last Name of the Law Clerk who is assigned to the case activity. Name

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ID Element Description 5654 Law Clerk Middle Displays the Middle initial of the Law Clerk who is assigned to the case activity. Initial 5655 Law Clerk Active An indicator that show whether the law clerk is active or not. 5659 Docket Status Auto populated by the selection of the Docket Type but allows user to select what the status should be. In adjudication this is the last update the docket center did before transferring the case.

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6.1.8 Use Case - 427: Review / Update Respondent Overview: The docketing center and ALJ both require up-to-date contact information about the respondent for the case. Current respondent counsel information is also pertinent and updated when a notice of appearance or withdrawal is submitted by a counselor. Purpose: 1. To provide the users the ability to view contact information for the Coast Guard Enforcement Owning Unit information and associated Coast Guard counsel. 2. Provides the Docketing Center users the ability to update Coast Guard counsel information. Primary Actors: Docketing Center Hearing and Docket Clerks Paralegal Specialist Attorney Advisor Administrative Law Judge (ALJ) Pre-Conditions: 1. The complaint and NOF transaction has occurred from the IO and received by the system. 2. To update the respondent counsel information the owning unit must be the Docketing Center. Scenario(s): Main Success Scenario 1. The Docketing Center user may review the pre-populated respondent information area. 2. The Docketing Center user may update the counsel information area.

Scenario 2 1. The ALJ users may review the pre-populated respondent information area. 2. The ALJ users may view any populated counsel information area. Exceptions: 1. The user may cancel and return to the calling workflow. Post-Conditions: 1. The Docketing Center user has updated the Respondent counsel area with any legal counsel information. 2. After saving the information, the system has updated the All Players Receiving Service in the All Players Served area and has sent out an email indicating to all parties of any Respondent counselor updates.

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3. The ALJ user may have reviewed the information.

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Table 6-51 Review / Update Respondent Functional Requirements Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_12067 267 The system shall display the following data elements when the ALJ user is New managing adjudication activities: ADJ Activity Title; Enf Type; Docket Status; Adjudication Start Date; Originating unit; Owning Unit; Docket Number; Docket Type; MISLE Activity Id; Coast Guard Case Number; Assigned IO; Assigned ALJ; Assigned Law Clerk MISLE_F_REQ_12068 267.1 The system shall populate the ADJ Activity Title data element as "USCG vs" New in addition to the respondent's First Name + Middle Name + Last Name. MISLE_F_REQ_12069 267.2 The system shall populate the Assigned IO data element as First Name + New Last Name of the individual with an involved personnel Role equal to 'Investigating Officer - Assigned IO'. MISLE_F_REQ_12070 267.3 The system shall populate the Assigned ALJ data element as Judges First New Name + Judges Middle Name + Judges Last Name. MISLE_F_REQ_12071 267.4 The system shall display the value for the Assigned ALJ when the Judge New Active is set to 'Yes' in the Case Assignment area. MISLE_F_REQ_12072 267.5 The system shall populate the Assigned Law Clerk data element with Law New Clerk First Name + Law Clerk Middle Name + Law Clerk Last Name. MISLE_F_REQ_12073 267.6 The system shall display the value for the Assigned Law Clerk when the Law New Clerk Active is set to 'Yes' in the Case Assignment area. MISLE_F_REQ_12145 267.7 The system shall provide the ability for the ALJ user to transfer the case file to New the Docketing Center. MISLE_F_REQ_12146 267.7.1 The system shall provide the ability for the ALJ user to decline the transfer of New a case file to the Docketing Center.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_12147 267.7.2 The system shall provide the ability to confirm the transfer of a case file to the New Docketing Center when the ALJ user is transferring the case to the Docketing Center. MISLE_F_REQ_12774 267.7.3 The system shall display the following statement when the user confirms the New transfer of a case file to the Docketing Center: “Was a case hearing held?” MISLE_F_REQ_12148 267.7.4 The system shall provide the ability to decline that a hearing was held when New the ALJ user has confirmed the transfer of a case file to the Docketing Center. MISLE_F_REQ_12152 267.7.5 The system shall transfer the case file to the Docketing Center when the ALJ New user has selected to decline that a hearing was held. MISLE_F_REQ_12149 267.7.6 The system shall provide the ability to confirm that a hearing was held when New the ALJ user has confirmed the transfer of a case file to the Docketing Center. MISLE_F_REQ_12150 267.7.7 The system shall re-direct the ALJ user to the Report of Hearing detail view in New the Hearing & Conferences area when the ALJ user confirms that a hearing was held. MISLE_F_REQ_12153 267.7.8 The system shall transfer the case file to the Docketing Center when the ALJ New user has completed the entry of the Report of Hearing detail view in the Hearing & Conferences area. MISLE_F_REQ_11584 397 The system shall provide the users with the ability to review the pre-populated New respondent information when the user has selected the Respondent area. MISLE_F_REQ_11585 397.1 The system shall provide the ability for the user's to view the following New respondent information related to the enforcement unit that submitted the complaint when the user are reviewing this information in the Respondent details view of the Respondent area: Respondent First Name; Respondent Last Name; Respondent Address; Respondent City; Respondent State/Province; Respondent Zip Code; Respondent County; Respondent

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Hierarchy Functional Requirement Proposed ID Changes Phone; Respondent Fax; Respondent E-Mail Address; Respondent Credential Info

MISLE_F_REQ_11586 397.2 The system shall provide ALJ users the ability to view following the New respondent counsel information when the ALJ users are in the Respondent Counsel details view of the Respondent area: Counsel First Name; Counsel Last Name; Counsel Firm Name; Counsel Address; Counsel City; Counsel State / Province; Counsel Zip Code; Counsel County; Counsel Phone; Counsel E-Mail; Counsel Role; Appearance date; Withdrawal date MISLE_F_REQ_11587 397.3 The system shall provide Docketing Center users with the ability to edit the New displayed CG Counsel details view information when the Docketing Center user selects the Counsel Appearance Date Indicator in the Respondent Counsel details view. MISLE_F_REQ_11588 397.5 The system shall provide Docketing Center users with the ability to edit the New displayed respondent counsel information when the Docketing Center user selects the Counsel Withdrawal Date Indicator in the Respondent Counsel details view. MISLE_F_REQ_11589 397.7 The system shall provide Docketing Center users with the ability to edit the New displayed Counsel First Name when the Docket Center user is in the Respondent Counsel details view of the Respondent area. MISLE_F_REQ_11590 397.9 The system shall provide Docketing Center users with the ability to edit the New displayed Counsel Last Name when the Docketing Center user is in the Respondent Counsel details view of the Respondent area.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_11591 397.11 The system shall provide Docketing Center users with the ability to edit the New displayed Counsel Firm Name when the Docketing Center user is in the Respondent Counsel details view of the Respondent area. MISLE_F_REQ_11592 397.13 The system shall provide Docketing Center users with the ability to edit the New displayed Counsel Address when the Docketing Center user is in the Respondent Counsel details view of the Respondent area. MISLE_F_REQ_11593 397.15 The system shall provide Docketing Center users with the ability to edit the New displayed Counsel City when the Docketing Center user is in the Respondent Counsel details view of the Respondent area. MISLE_F_REQ_11594 397.17 The system shall provide Docketing Center users with the ability to edit the New displayed Counsel State / Province when the Docketing Center user is in the Respondent Counsel details view of the Respondent area. MISLE_F_REQ_11596 397.19 The system shall provide Docketing Center users with the ability to edit the New displayed Zip Code when the Docketing Center user is in the Respondent Counsel details view of the Respondent area. MISLE_F_REQ_11595 397.21 The system shall provide Docketing Center users with the ability to edit the New displayed Counsel County when the Docketing Center user is in the Respondent Counsel details view of the Respondent area. MISLE_F_REQ_11597 397.23 The system shall provide Docketing Center users with the ability to edit the New displayed Counsel Phone when the Docketing Center user is in the Respondent Counsel details view of the Respondent area. MISLE_F_REQ_11598 397.25 The system shall provide Docketing Center users with the ability to edit the New displayed Counsel Email when the Docketing Center user is in the Respondent Counsel details view of the Respondent area.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_11599 397.27 The system shall provide Docket Center users with the ability to edit the New displayed Counsel Role when the Docketing Center user is in the Respondent Counsel details view of the Respondent area. MISLE_F_REQ_11600 397.29 The system shall provide Docketing Center users with the ability to edit the New displayed Counsel Appearance Date when the Docketing Center user is in the Respondent Counsel details view of the Respondent area.

MISLE_F_REQ_11601 397.31 The system shall provide Docket Center users with the ability to edit the New displayed Counsel Withdrawal Date when the Docketing Center user is in the Respondent Counsel details view of the Respondent area. MISLE_F_REQ_11602 397.33 The system shall update the All Players Receiving Service list view in the All New Players Served area when the Docketing Center user has added any respondent counsel information in the Respondent Counsel details view of the Respondent area. MISLE_F_REQ_11603 397.35 The system shall update the All Players Receiving Service list view in the All New Players Served area when the Docketing Center user has removed any respondent counsel information in the Respondent Counsel details view of the Respondent area. MISLE_F_REQ_11573 398 The system shall auto-generate a Microsoft email when the respondent New counsel has been updated through the Respondent area. MISLE_F_REQ_11604 398.1 The system shall email the users from the All Players Receiving Service list New view in the All Players Served area for notifications of additions of counselors in the Respondent Counsel details view when the Docketing Center users have confirmed the addition of the respondent. MISLE_F_REQ_11610 398.4 The system shall email the users from the All Players Receiving Service list New view in the All Players Served area for notifications of removal of a counselor

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Hierarchy Functional Requirement Proposed ID Changes in the Respondent Counsel details view when the Docketing Center users have confirmed the addition of the respondent. MISLE_F_REQ_11633 398.5 The system shall display the following statement in the subject line of the New auto-generated email when the user has updated the respondent counsel information: "Primary Counsel Added or Changed" MISLE_F_REQ_11634 398.6 The system shall display the following message area of the auto-generated New email when the user has added the respondent counsel information: "Docket Number:" Docket Number MISLE_F_REQ_11635 398.7 The system shall display in the following message area of the auto-generated New email when the MISLE user has updated the respondent counsel information: "MISLE Activity ID:" MISLE Activity ID MISLE_F_REQ_11636 398.8 The system shall display the following in the message area of the auto- New generated email when the user has updated the respondent counsel information: "The Docketing Clerk has added or updated the following person as the Respondent's Counsel:" Counsel First Name and Counsel Last Name Counsel Firm Name Counsel Address Counsel City Counsel State / Province Counsel Zip Code Counsel Phone Counsel E-Mail "Per regulation, you are instructed to update your Enforcement activity to reflect the addition of Primary Counsel." MISLE_F_REQ_11637 398.9 The system shall display the following in the message area of the auto- New generated email when the MISLE user has removed the respondent counsel information: "The following Docket Number,{Docket Number}; MISLE Activity ID, {MISLE Activity ID}, has been withdrawn by the Docketing

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Hierarchy Functional Requirement Proposed ID Changes Clerk: {Counsel First Name} {Counsel Last Name} Please note for your records." MISLE_F_REQ_11638 398.10 The system shall display the following in the message area of the auto- New generated email when the non-MISLE user has removed the respondent counsel information: "The following Docket Number,{Docket Number} has been withdrawn by the Docketing Clerk: {Counsel First Name} {Counsel Last Name} Please note for your records." MISLE_F_REQ_11639 398.11 The system shall provide the ability for the user to send the email when the New user has completed the email message.

Table 6-52 Respondent - Read Only - ALJ Users Data Elements ID Element Description 5500 Respondent First Name The first name of the respondent 5502 Respondent Last Name The last name of the respondent 5503 Respondent Address The street address of the respondent 5504 Respondent City The city the respondent lives in 5505 Respondent State/Province The state/province respondent lives in 5506 Respondent Zip Code The zip code of the respondent 5507 Respondent Phone Respondent phone number 5509 Respondent Credential Info Respondent Credential Info = Identification Type + Identification Number 5510 Counsel First Name Respondent counsel first name 5511 Counsel Last Name Respondent counsel last name 5512 Counsel Address Respondent counsel address

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ID Element Description 5513 Counsel State / Province Respondent counsel state 5514 Counsel Zip Code Respondent counsel zip code 5515 Counsel Phone Respondent counsel phone number 5516 Counsel Role Respondent counsel type of role which is carried over from the enforcement referral if available. 5517 Counsel Email Respondent counsel email 5518 Counsel Appearance Date Date respondent counsel entered appearance 5519 Counsel Withdrawal Date Date respondent counsel withdrew appearance 5520 Respondent E-mail Respondent E-mail address for respondent

5686 Counsel Firm Name Respondent counsel firm name 5687 Counsel City Respondent counsel city 5690 Counsel County Respondent counsel county location. 5899 Respondent Fax Respondent fax number 5900 Respondent County Respondent County the respondent is located in.

Table 6-53 Respondent - Full - Users Data Elements ID Element Description Format Default Length Req 2596 MISLE Unique Id for the Activity in the MISLE database Numeric n/a 0 – No Activity Id 2,147,483,647 3689 Docket The number generated by the system that gets assigned Numeric Null 9 No Number to a case file sent over to the CMS application. "YYYY"-"NNNN" where "Y"=current year & "N" is a

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ID Element Description Format Default Length Req system generated number. Only available for Enforcement activity searches related to current Suspension & Revocation and Administrative Civil Penalty Class II Enforcement activities. This number is assigned via the NOF during a submission of a Complaint by the IO in Enforcement. 5510 Counsel First Respondent counsel first name Alpha Null 25 Cond Name Req 5511 Counsel Last Respondent counsel last name Alpha Null 25 Cond Name Req 5512 Counsel Respondent counsel address Alphanumeric Null 200 Cond Address Req 5513 Counsel State Respondent counsel state Alpha Null 20 Cond / Province Req 5514 Counsel Zip Respondent counsel zip code Numeric Null 9 Cond Code Req 5515 Counsel Respondent counsel phone number Numeric Null 10 Cond Phone Req 5516 Counsel Role Respondent counsel type of role which is carried over Alpha Null 20 Cond from the enforcement referral if available. Req 5517 Counsel Email Respondent counsel email Alphanumeric Null 50 Cond Req 5518 Counsel Date respondent counsel entered appearance Date Null 10 Cond Appearance Req Date

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ID Element Description Format Default Length Req 5519 Counsel Date respondent counsel withdrew appearance Date Null 10 Cond Withdrawal Req Date 5686 Counsel Firm Respondent counsel firm name Alphanumeric Null 75 Cond Name Req 5687 Counsel City Respondent counsel city Alpha Null 50 Cond Req 5690 Counsel Respondent counsel county location. Alpha Null 40 Cond County Req 5901 Counsel Counsel appearance date indicator for selecting date Yes/No No N/A Cond Appearance and allowing entry of the counsel information and Req Date Indicator appearance date for the respondent. 5902 Counsel Counsel withdrawal date indicator for selecting date Yes/No No N/A Cond Withdrawal and prohibiting entry of the counsel information. Req Date Indicator

Table 6-54 Respondent - Read Only - DMS Users Data Elements ID Element Description 5500 Respondent First Name The first name of the respondent 5502 Respondent Last Name The last name of the respondent 5503 Respondent Address The street address of the respondent 5504 Respondent City The city the respondent lives in 5505 Respondent State/Province The state/province respondent lives in 5506 Respondent Zip Code The zip code of the respondent

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ID Element Description 5507 Respondent Phone Respondent phone number 5509 Respondent Credential Info Respondent Credential Info = Identification Type + Identification Number 5520 Respondent E-mail Respondent E-mail address for respondent 5899 Respondent Fax Respondent fax number 5900 Respondent County Respondent County the respondent is located in.

Table 6-55 Adjudication General Information/Transfer Data Elements ID Element Description 24 Last Name The last name of the Team Lead identified for the Activity 25 First Name The first name of the Team Lead identified for the Activity 428 MISLE Activity MISLE Enforcement Activity ID associated with the case. ID 434 Owning Unit Unit that owns the activity and can transfer control of the activity 438 Originating Unit Unit that created the activity. 458 Role Role of the associated organization for the selected activity 1857 Last Name Last name of the individual. 1858 First Name First name of the individual. 1859 Middle Name Middle name of the individual. 3689 Docket Number The number generated by the system that gets assigned to a case file sent over to the CMS application. "YYYY"-"NNNN" where "Y"=current year & "N" is a system generated number. Only available for Enforcement activity searches related to current Suspension & Revocation and Administrative Civil Penalty Class II Enforcement activities. This number is assigned via the NOF during a submission of a Complaint by the IO in Enforcement.

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ID Element Description 5534 Docket Type A picklist with categories of how a case has been assigned out by the Docket Center team members. 5554 Adjudication The date on which the Complaint was sent over from the MISLE Enforcement Referral. Start Date 5588 Coast Guard The ID number assigned by the USCG to the case. Case Number 5630 Judges First Judge's first name. Name 5631 Judges Middle Judge's middle name. Name 5632 Judges Last Judge's last name. Name 5634 Judge Active An indicator that show whether the judge is active or not. 5652 Law Clerk First Displays the First Name of the Law Clerk who is assigned to the case activity. Name 5653 Law Clerk Last Displays the Last Name of the Law Clerk who is assigned to the case activity. Name 5654 Law Clerk Displays the Middle initial of the Law Clerk who is assigned to the case activity. Middle Initial 5655 Law Clerk An indicator that show whether the law clerk is active or not. Active 5659 Docket Status Auto populated by the selection of the Docket Type but allows user to select what the status should be. In adjudication this is the last update the docket center did before transferring the case.

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6.1.9 Use Case - 428: Review / Update All Players Served Overview: All players served with the case must be notified when certain events occur, such as an Order from a judge. The list of all players served must be maintainable.

Purpose: To add or remove the people in an email list that is used by the system when the docket center or ALJ members generate legal documents during the litigation process. Primary Actors: Docketing Center Hearing and Docket Clerks Paralegal Specialist Attorney Advisor Administrative Law Judge (ALJ) Pre-Conditions: 1. The complaint and NOF transaction has occurred from the IO and received by the system. Scenario(s): Main Success Scenario 1. The user is presented with an All Players Receiving Service list. a. The user may add a new contact into the All Players Receiving Service list. b. The user may remove a contact from the All Players Receiving Service list. 2. The user may select all or individual involved parties’ from the All Players Receiving Service list. 3. The user may review the selected individual in the Selected Email Address (es) detail list area. 4. The user may select “Start Email” to send a Notification email for those that have been selected. 5. The user may enter the All Players Served within the email and select send on the Microsoft/Outlook application. Exceptions: 1. The user may cancel and return to the calling workflow. Post-Conditions: 1. The user may have added or removed a party. 2. The user may have sent an email notifying the people who are involved with the case activity.

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Table 6-56 Review / Update All Players Served Functional Requirements Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_11686 402.1 The system shall display the following Involved Players Served list view New when the user is in the All Players Served area: APRS Role; APRS Name; APRS Email. MISLE_F_REQ_12842 402.1.1 The system shall provide the APRS Role to be populated by the Role when New the user is viewing the All Players Served list view. MISLE_F_REQ_12843 402.1.2 The system shall provide the APRS Name to be populated by the First New Name + Last Name when the user is viewing the All Players Served list view. MISLE_F_REQ_12844 402.1.3 The system shall provide the APRS Email to be populated by the E-mail New Address when the user is viewing the All Players Served list view. MISLE_F_REQ_11672 402.2 The system shall update All Players list view in the All Players Served Area New when the Interested Persons have been updated in the Interested Persons area. MISLE_F_REQ_12845 402.2.1 The system shall provide the APRS Role to be populated by the Interested New Persons Role when the user is viewing the All Players Served list view. MISLE_F_REQ_12846 402.2.2 The system shall provide the APRS Name to be populated by the Interested New Person when the user is viewing the All Players Served list view. MISLE_F_REQ_12847 402.2.3 The system shall provide the APRS Email to be populated by the Interested New Person Email when the user is viewing the All Players Served list view. MISLE_F_REQ_11673 402.3 The system shall update All Players Receiving Service details view in the All New Players Served area when the CG Unit Counsel details view has been updated in the CG Unit area.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_11688 402.3.1 The system shall provide the CG Unit Counsel details view data element of New APRS Role is equal to 'CG Counsel' when updating All Players Receiving Service list view in the All Players Served area.

MISLE_F_REQ_12904 402.3.2 The system shall provide the CG Unit Counsel details view data element of New APRS Name is equal to CG Counsel Name when updating All Players Receiving Service list view in the All Players Served area.

MISLE_F_REQ_12905 402.3.3 The system shall provide the CG Unit Counsel details view data element of New APRS Email is equal to CG Counsel E-mail when updating All Players Receiving Service list view in the All Players Served area.

MISLE_F_REQ_11674 402.4 The system shall update All Players Receiving Service details view in the All New Players Served area when the Respondent Counsel details view has been updated Respondent area. MISLE_F_REQ_11689 402.5 The system shall provide the APRS Role is equal to Counsel Role when New updating All Players Receiving Service list view in the All Players Served area. MISLE_F_REQ_12907 402.6 The system shall provide the APRS Name is equal to Counsel First Name + New Counsel Last Name when updating All Players Receiving Service list view in the All Players Served area. MISLE_F_REQ_12908 402.7 The system shall provide the APRS Email is equal to Counsel Email when New updating All Players Receiving Service list view in the All Players Served area.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_11666 403 The system shall display the following when the user is reviewing the All New Players Receiving Service list view in the All Players Served area: APRS Role; APRS Name; APRS E-Mail Address. MISLE_F_REQ_11677 404 The system shall provide the ability for the user to search for a party to be New added to the All Players Receiving Service list view. MISLE_F_REQ_11667 405 The system shall provide the ability for the user to add a party to the All New Players Receiving Service list view after completing the search for the party. MISLE_F_REQ_11670 405.1 The system shall populate the APRS Role of the party when the user has New completed the addition of the party to the All Players Receiving Service list view. MISLE_F_REQ_11675 405.2 The system shall populate the APRS Name of the party when the user has New completed the addition of the party to the All Players Receiving Service list view. MISLE_F_REQ_11676 405.3 The system shall populate the APRS E-Mail Address of the party when the New user has completed the addition of the party to the All Players Receiving Service list view. MISLE_F_REQ_11678 406 The system shall provide the ability for the users to manage the selection of New individuals in the All Players Receiving Service list view. MISLE_F_REQ_13004 406.1 The system shall provide the ability for the users in the selection of New individuals in the All Players Receiving Service list view to be added to the Selected E-mail Address(s) list view. MISLE_F_REQ_11668 406.2 The system shall provide the ability for the user to remove a party from the New All Players Receiving Service list view upon the user's selection of a party in the list.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_11669 406.3 The system shall provide the ability for the user to email individuals from the New All Players Served list view when the user confirms to send selected contacts in the All Players Served list view. MISLE_F_REQ_11679 406.3.1 The system shall provide the ability for a user to add all parties from the All New Players Receiving Service list view to the Selected E-mail Address(s) list view. MISLE_F_REQ_11680 406.3.2 The system shall provide the ability for a user to send a Microsoft Outlook New email to all of the individuals updated in the Selected E-mail Address(s) list view. MISLE_F_REQ_11681 406.3.3 The system shall populate the selected user's email addresses in the New Microsoft Outlook email when the user has selected to send an email to the parties selected. MISLE_F_REQ_11682 406.4 The system shall display the following in the subject line of the Microsoft New Outlook email when the user has selected to send an email to the parties selected: "Notification" MISLE_F_REQ_11683 406.5 The system shall provide the ability for the user to edit any area of the New generated email when the user has selected to generate an email to the parties selected. MISLE_F_REQ_11684 407 The system shall provide the ability for the user to send the generated New Microsoft Outlook email when the user has selected to send an email to the parties selected. MISLE_F_REQ_11685 408 The system shall provide the ability for the user to cancel the sending of the New Microsoft Outlook email when the user has selected to send an email to the parties selected.

Table 6-57 All Players Receiving Service List Data Elements

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ID Element Description 5906 APRS All Party Receiving Service roles may come from various sources to be displayed in the All Players Service Role area. For Involved Persons: APRS Role=Role 5907 APRS All Party Receiving Service name may come from various sources to be displayed in the All Players Service Name area. For Involved Persons: APRS Name=First Name + Last Name 5908 APRS All Party Receiving Service roles may come from various sources to be displayed in the All Players Service Email area. For Involved Persons: APRS Email=Email Address

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6.1.10 Use Case - 429: Review / Update Interested Persons Overview: When litigating an Administrative Civil Penalty Class II it is important to keep track of all persons associated with the case activities. Purpose: To manage additional interested persons involved with the case. Primary Actors: Docketing Center Hearing and Docket Clerks Paralegal Specialist Attorney Advisor Pre-Conditions: 1. The complaint and NOF transaction has occurred from the IO and received by the system. 2. The complaint is an Administrative Civil Penalty Class II. 3. To update Interested Persons the owning unit must be the Docketing Center. Scenario(s): Main Success Scenario 1. The user may add an interested person involved with the case. 2. The user may remove an interested person involved with the case. 3. The user may update the interested person involved with the case. Exceptions: 1. The user may cancel and return to the calling workflow. Post-Conditions: 1. The user has added, removed or updated the interested persons' information. 2. After saving the information, the system has updated the All Players Receiving Service in the All Players Served area.

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Table 6-58 Review / Update Interested Persons Functional Requirements Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_11574 400 The system shall provide the Docketing Center users with the ability to New update the Interested Persons area. MISLE_F_REQ_11642 400.1 The system shall display the following when the user is in the Interested New Persons area: Docket Number MISLE_F_REQ_11641 400.2 The system shall display the following data elements related to all the New interested persons within the case when the user is reviewing the Interested Persons list view: Interested Person; Appearance Date; Withdrawal Date; E-Mail Address MISLE_F_REQ_11643 400.3 The system shall provide the ability to add an Interested Person when the New user is in the Interested Persons details view. MISLE_F_REQ_11644 400.4 The system shall provide the ability to add an Interested Person New Organization when the user is in the Interested Persons details view. MISLE_F_REQ_11645 400.5 The system shall provide the ability to add an Interested Person Address New when the user is in the Interested Persons details view. MISLE_F_REQ_11646 400.6 The system shall provide the ability to add an Interested Person Phone New Number when the user is in the Interested Persons details view. MISLE_F_REQ_11647 400.7 The system shall provide the ability to add an Interested Person Email when New the user is in the Interested Persons details view. MISLE_F_REQ_11648 400.8 The system shall provide the ability to add an Interested Person New Appearance Date when the user is in the Interested Persons details view. MISLE_F_REQ_11649 400.9 The system shall provide the ability to add an Interested Person New Withdrawal Date when the user is in the Interested Persons details view. MISLE_F_REQ_11650 400.10 The system shall provide the ability to add an Interested Person Notes when New the user is in the Interested Persons details view.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_11652 400.11 The system shall provide the ability for the user to add the entered values of New Interested Persons list view when the user confirms the request for adding the interested person in the Interested Person details view of the Interested Persons area. MISLE_F_REQ_11654 400.12 The system shall display the Interested Persons details view when the user New selects a data element item from the Interested Persons list view. MISLE_F_REQ_11656 400.13 The system shall provide the ability for the user to edit the Interested Persons New details view when the user is reviewing the Interested Persons details view. MISLE_F_REQ_11657 400.13.1 The system shall provide the ability to edit an Interested Person when the New user is in the Interested Persons details view. MISLE_F_REQ_11658 400.13.2 The system shall provide the ability to edit an Interested Person New Organization when the user is in the Interested Persons details view. MISLE_F_REQ_11659 400.13.3 The system shall provide the ability to edit an Interested Person Address New when the user is in the Interested Persons details view. MISLE_F_REQ_11660 400.13.4 The system shall provide the ability to add an Interested Person Phone New Number when the user is in the Interested Persons details view. MISLE_F_REQ_11661 400.13.5 The system shall provide the ability to add an Interested Person Email when New the user is in the Interested Persons details view. MISLE_F_REQ_11662 400.13.6 The system shall provide the ability to edit an Interested Person New Appearance Date when the user is in the Interested Persons details view. MISLE_F_REQ_11663 400.13.7 The system shall provide the ability to add edit Interested Person New Withdrawal Date when the user is in the Interested Persons details view. MISLE_F_REQ_11664 400.13.8 The system shall provide the ability to add an Interested Person Notes when New the user is in the Interested Persons details view.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_11651 400.14 The system shall provide the ability for the user to remove a person from the New Interested Persons list view when the user is in the Interested Persons details view. MISLE_F_REQ_11655 400.15 The system shall prompt the user to save any changes that were made when New the user updates the Interested Persons area. MISLE_F_REQ_11653 400.15.1 The system shall update the all players receiving service list in the all players New served area data when the user confirms the request for updating the Interested Persons area.

Table 6-59 Interested Persons Data Elements ID Element Description Format Default Length Req 5704 Interested Person Name of the Interested Person. Alpha Null N/A Yes 5706 Interested Person Organization that Interested Person belongs to. Alphanumeric Null N/A Yes Organization 5707 Interested Person Address of Interested Person. Alphanumeric Null N/A Yes Address 5708 Interested Person Phone Phone number for Interested Person. (NNN) NNN- Numeric Null N/A Yes Number NNNN where "N" is a number. 5709 Interested Person Date Interested Person entered appearance. Date current N/A Yes Appearance Date date 5710 Interested Person Date Interested Person withdrew appearance. Date current N/A Yes Withdrawal Date date 5711 Interested Person Notes An area to enter notes on the Interested Person. Alphanumeric Null 2000 No 5712 Interested Person Email Email of the Interested Person. Alphanumeric Null N/A Yes

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Table 6-60 Interested Persons List Data Elements ID Element Description 5704 Interested Person Name of the Interested Person. 5709 Interested Person Appearance Date Date Interested Person entered appearance. 5710 Interested Person Withdrawal Date Date Interested Person withdrew appearance. 5712 Interested Person Email Email of the Interested Person.

Table 6-61 Interested Persons Display Docket Number Data Elements ID Element Description 3689 Docket The number generated by the system that gets assigned to a case file sent over to the CMS application. Number "YYYY"-"NNNN" where "Y"=current year & "N" is a system generated number. Only available for Enforcement activity searches related to current Suspension & Revocation and Administrative Civil Penalty Class II Enforcement activities. This number is assigned via the NOF during a submission of a Complaint by the IO in Enforcement.

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6.1.11 Use Case - 430: Review Default Dates Overview: The docketing center needs the system to alert them to instances where a Default Motion Reply Date has passed as well as the capability to review important default date information related to a case. Purpose: To provide alerts and/or important dates associated with default cases. Primary Actors: Docketing Center Hearing and Docket Clerks Paralegal Specialist Attorney Advisor Pre-Conditions: 1. The complaint and NOF transaction has occurred from the IO and received by the system. 2. A Motion of Default has been sent by the IO. 3. The IO has filed a ROS for Motion for Default Order. 4. Information herein has been updated according to Motion of Default dates sent by the IO. Scenario(s): Main Success Scenario 1. The user may review the following Default areas associated with the Default Dates of: a. Default Motion b. Default Reply c. Default Assignment d. Default Order Exceptions: 1. The user may cancel and return to the calling workflow. Post-Conditions: 1. The user has reviewed the Default Dates. 2. The system has notified the user when the Default Motion Filed Date is passed due by one day.

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Table 6-62 Review Default Dates Functional Requirements Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_11640 410 The system shall provide the ability for the user to update the default dates New when the user is in the Default area. MISLE_F_REQ_12821 411 The system shall provide the ability for the user to review the Default New Motion Return of Service Date when the user is in the Defaults Motion details view of the Default area. MISLE_F_REQ_11697 411.1 The system shall populate the Default Motion Return of Service Date in the New Default Motion details view when the enforcement unit user has generated default motion reply from the Letters and Filings area in Enforcement. MISLE_F_REQ_11692 412 The system shall provide the ability for the user to update the Default Reply New when the user is in the Defaults Motion details view of the Default area. MISLE_F_REQ_11698 412.1 The system shall populate the Default Reply in the Defaults Motion details New view when the enforcement unit user has generated default motion replies from the Letters and Filings area in Enforcement. MISLE_F_REQ_11693 413 The system shall provide the ability for the user to update the Default New Motion Reply Due Date when the user is in the Defaults Reply details view of the Default area. MISLE_F_REQ_11699 413.1 The system shall populate the Default Motion Reply Due Date in the New Default Reply details view when the enforcement unit user has filed a Return Of Service (ROS) for Motion for Default Order from the Letters and Filings area in Enforcement. MISLE_F_REQ_11694 414 The system shall provide the ability for the user to update the Default New Assignment Judge Date when the user is in the Default Assignment details view of the Default area.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_11700 414.1 The system shall populate the Default Assignment Judge Date in the New Default Assignment details area when the Docketing Center user has assigned a judge to the case from the Case Assignment area. MISLE_F_REQ_11695 415 The system shall provide the ability for the user to update the Default Order New Filed Date when the user is in the Default Order details view of the Default area. MISLE_F_REQ_11701 415.1 The system shall populate the Default Order Filed Date when the ALJ user New has generates a default order for the case in the Default Order details view of the Default area. MISLE_F_REQ_11712 417.10 The system shall provide the ability for the user to review the Settlement New Type when the user is in the Settlement area.

Table 6-63 Default Data Elements ID Element Description 5713 Default Motion Return of Service Displays the date on which the Default Motion’s return of service was received. Date 5714 Default Motion Reply Due Date Displays the date on which Default Motion’s Reply is due. 5717 Default Assigned to Judge Date Displays the date on which the Default case was assigned to a judge. 5718 Default Order Filed Date Displays the date on which the Default Order was filed. 5912 Default Reply Displays the date on which the Default Motion’s return of service reply was received.

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6.1.12 Use Case - 431: Review / Update Settlement Overview: The docketing center and ALJ must have the capability to review settlement information, which is provided by the investigating officer. Furthermore, the docketing center must have the capability to perform extension date updates. Purpose: 1. To enable the users to review the settlement activity. 2. To provide the Docketing Center users the ability to update extension dates.

Primary Actors: Docketing Center ALJ Users Hearing and Docket Clerks Paralegal Specialist Attorney Advisor Administrative Law Judge (ALJ) Pre-Conditions: 1. The complaint and NOF transaction has occurred from the IO and received by the system. 2. The complaint transaction has an associated settlement. 3. To update extension dates, the Docketing Center must be the owning unit. Scenario(s): Main Success Scenario 1. The Docketing Center users may review the dates and sanctions for the case settlement information. 2. The Docketing Center users may update the: a. IO Notification Extension Date. b. ALJ Extension Date.

Scenario 2 1. The users may review the settlement information. Exceptions: 1. The user may cancel and return to the calling workflow. Post-Conditions:

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1. The user may have reviewed the settlement information. 2. The Docketing Center user may have updated the extension dates for the IO Notification or ALJ Extension.

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Table 6-64 Review / Update Settlement Functional Requirements Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_12067 267 The system shall display the following data elements when the ALJ user is New managing adjudication activities: ADJ Activity Title; Enf Type; Docket Status; Adjudication Start Date; Originating unit; Owning Unit; Docket Number; Docket Type; MISLE Activity Id; Coast Guard Case Number; Assigned IO; Assigned ALJ; Assigned Law Clerk MISLE_F_REQ_12068 267.1 The system shall populate the ADJ Activity Title data element as "USCG vs" New in addition to the respondent's First Name + Middle Name + Last Name. MISLE_F_REQ_12069 267.2 The system shall populate the Assigned IO data element as First Name + New Last Name of the individual with an involved personnel Role equal to 'Investigating Officer - Assigned IO'. MISLE_F_REQ_12070 267.3 The system shall populate the Assigned ALJ data element as Judges First New Name + Judges Middle Name + Judges Last Name. MISLE_F_REQ_12071 267.4 The system shall display the value for the Assigned ALJ when the Judge New Active is set to 'Yes' in the Case Assignment area. MISLE_F_REQ_12072 267.5 The system shall populate the Assigned Law Clerk data element with Law New Clerk First Name + Law Clerk Middle Name + Law Clerk Last Name. MISLE_F_REQ_12073 267.6 The system shall display the value for the Assigned Law Clerk when the New Law Clerk Active is set to 'Yes' in the Case Assignment area. MISLE_F_REQ_12145 267.7 The system shall provide the ability for the ALJ user to transfer the case file to New the Docketing Center. MISLE_F_REQ_12146 267.7.1 The system shall provide the ability for the ALJ user to decline the transfer of New a case file to the Docketing Center.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_12147 267.7.2 The system shall provide the ability to confirm the transfer of a case file to the New Docketing Center when the ALJ user is transferring the case to the Docketing Center. MISLE_F_REQ_12774 267.7.3 The system shall display the following statement when the user confirms the New transfer of a case file to the Docketing Center: “Was a case hearing held?” MISLE_F_REQ_12148 267.7.4 The system shall provide the ability to decline that a hearing was held when New the ALJ user has confirmed the transfer of a case file to the Docketing Center. MISLE_F_REQ_12152 267.7.5 The system shall transfer the case file to the Docketing Center when the ALJ New user has selected to decline that a hearing was held. MISLE_F_REQ_12149 267.7.6 The system shall provide the ability to confirm that a hearing was held when New the ALJ user has confirmed the transfer of a case file to the Docketing Center. MISLE_F_REQ_12150 267.7.7 The system shall re-direct the ALJ user to the Report of Hearing detail view in New the Hearing & Conferences area when the ALJ user confirms that a hearing was held. MISLE_F_REQ_12153 267.7.8 The system shall transfer the case file to the Docketing Center when the ALJ New user has completed the entry of the Report of Hearing detail view in the Hearing & Conferences area. MISLE_F_REQ_11696 417 The system shall provide the ability for the user to review the settlement New information when the user is in the Settlement area. MISLE_F_REQ_11705 417.1 The system shall provide the ability for the user to review the Settlement New Filing Date when the user is in the Settlement area. MISLE_F_REQ_11706 417.2 The system shall provide the ability for the user to review the Date of New Approval when the user is in the Settlement area. MISLE_F_REQ_11707 417.3 The system shall provide the ability for the user to review the Notice of New Failure when the user is in the Settlement area.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_11708 417.4 The system shall provide the ability for the user to review the Notice of New Completion when the user is in the Settlement area. MISLE_F_REQ_11709 417.5 The system shall provide the ability for the ALJ user to review the IO New Notification of Extension Date when the user is in the Settlement area. MISLE_F_REQ_11749 417.6 The system shall provide the ability for the Docketing Center user to enter an New IO Notification of Extension Date when the user is in the Settlement area. MISLE_F_REQ_11710 417.7 The system shall provide the ability for the ALJ user to review the ALJ New Extension Date when the user is in the Settlement area. MISLE_F_REQ_11750 417.8 The system shall provide the ability for the Docketing Center user to enter an New ALJ Extension Date when the user is in the Settlement area. MISLE_F_REQ_11711 417.9 The system shall provide the ability for the user to review the Agreement New Order when the user is in the Settlement area. MISLE_F_REQ_11712 417.10 The system shall provide the ability for the user to review the Settlement New Type when the user is in the Settlement area. MISLE_F_REQ_11713 417.10.1 The system shall provide the ability for the user to review the Completion New Date for a settlement agreement associated with a drug violation when the IO submitted a complaint with a settlement to the Docketing Center. MISLE_F_REQ_11714 417.10.2 The system shall provide the ability for the user to review the Deadline for New Rehab Enrollment for a settlement agreement associated with a drug violation when the IO submitted a complaint with a settlement to the Docketing Center. MISLE_F_REQ_11715 417.10.3 The system shall provide the ability for the user to review the Deadline for New Rehab Completion for a settlement agreement associated with a drug violation when the IO submitted a complaint with a settlement to the Docketing Center.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_11723 417.10.4 The system shall provide the ability for the user to review the mitigated New settlement agreement Sanction when the IO submitted a complaint with a settlement to the Docketing Center. MISLE_F_REQ_11725 417.10.5 The system shall provide the ability for the user to review the mitigated New w/conditions settlement agreement Sanction for Successful Completion when the IO submitted a complaint with a settlement to the Docketing Center. MISLE_F_REQ_11726 417.10.6 The system shall provide the ability for the user to review the mitigated New w/conditions settlement agreement Sanction for Failure to Complete when the IO submitted a complaint with a settlement to the Docketing Center. MISLE_F_REQ_11732 417.10.7 The system shall provide the ability for the user to review the mitigated New w/conditions settlement agreement Completion Date when the IO submitted a complaint with a settlement to the Docketing Center. MISLE_F_REQ_11733 417.10.8 The system shall provide the ability for the user to review the mitigated New w/conditions settlement agreement Settlement Conditions when the IO submitted a complaint with a settlement to the docketing center. MISLE_F_REQ_11736 417.10.9 The system shall provide the ability for the user to review the Settlement New Notes about the settlement type displayed when the IO submitted a complaint with a settlement to the docketing center.

Table 6-65 Settlement - Docketing Center Only Data Elements ID Element Description Format Default Length Req 5724 IO Notification of The date of a settlement extension requested by the Date Current 10 No Extension Date respondent and submitted via MISLE by the IO to the Date Docketing Center. 5725 ALJ Extension Date The date of extension entered when the ALJ requests an Date Current 10 No extension for a settlement agreement. Date

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ID Element Description Format Default Length Req 5736 Settlement Notes Notes section. Alphanumeric NULL 8000 No

Table 6-66 Settlement - Docketing Center & ALJ Users Data Elements ID Element Description 5720 Settlement Filing Date Date the IO filed the settlement agreement via MISLE application. 5721 Date of Approval Date Judge approves the settlement agreement. 5722 Notice of Failure Date IO filed Notice of Failure of settlement agreement. 5723 Notice of Completion Date IO filed Notice of Completion of settlement agreement. 5724 IO Notification of Extension The date of a settlement extension requested by the respondent and submitted via MISLE by Date the IO to the Docketing Center. 5725 ALJ Extension Date The date of extension entered when the ALJ requests an extension for a settlement agreement. 5726 Agreement Order Order approved by the ALJ. 5727 Settlement Type Type of case IO has filed (Drug, Non Drug). 5729 Deadline for Rehab Date respondent must enroll for rehab for a Drug Settlement. Enrollment 5730 Deadline for Rehab Date respondent must complete rehab for a Drug Settlement. Completion 5731 Sanction Length of sanction in a mitigated settlement agreement. 5732 Sanction for Successful The mitigated with conditions sanctions displays when the respondent completes settlement Completion sanction. 5733 Sanction for Failure to The sanction associated with mitigation with conditions when the respondent fails to Complete complete the settlement action.

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ID Element Description 5734 Completion Date The date the respondent should complete the settlement agreement when it has been mitigated with conditions. 5735 Settlement Conditions The condition that the respondent must complete in accordance with the settlement that was mitigated with conditions. 5736 Settlement Notes Notes section.

Table 6-67 Adjudication General Information/Transfer Data Elements ID Element Description 24 Last Name The last name of the Team Lead identified for the Activity 25 First Name The first name of the Team Lead identified for the Activity 428 MISLE Activity ID MISLE Enforcement Activity ID associated with the case. 434 Owning Unit Unit that owns the activity and can transfer control of the activity 438 Originating Unit Unit that created the activity. 458 Role Role of the associated organization for the selected activity 1857 Last Name Last name of the individual. 1858 First Name First name of the individual. 1859 Middle Name Middle name of the individual. 5534 Docket Type A picklist with categories of how a case has been assigned out by the Docket Center team members. 5554 Adjudication Start The date on which the Complaint was sent over from the MISLE Enforcement Referral. Date 5588 Coast Guard Case The ID number assigned by the USCG to the case. Number

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ID Element Description 5630 Judges First Name Judge's first name. 5631 Judges Middle Judge's middle name. Name 5632 Judges Last Name Judge's last name. 5634 Judge Active An indicator that show whether the judge is active or not. 5652 Law Clerk First Displays the First Name of the Law Clerk who is assigned to the case activity. Name 5653 Law Clerk Last Displays the Last Name of the Law Clerk who is assigned to the case activity. Name 5654 Law Clerk Middle Displays the Middle initial of the Law Clerk who is assigned to the case activity. Initial 5655 Law Clerk Active An indicator that show whether the law clerk is active or not. 5659 Docket Status Auto populated by the selection of the Docket Type but allows user to select what the status should be. In adjudication this is the last update the docket center did before transferring the case.

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6.1.13 Use Case - 433: Review / Edit / Print Appeal Overview: The appeal provides an overview for the docketing center of the status of a case's appeal which is critical to the litigation process. Purpose: To provide the ability to review and update the status of an appeal that has come from the IO. Primary Actors: Docketing Center Hearing and Docket Clerks Paralegal Specialist Attorney Advisor Pre-Conditions: 1. The complaint and NOF transaction has occurred from the IO and received by the system. 2. A judicial order must be issued for an appeal to be filed by the users. 3. To print the Appeal Templates the owning unit must be the Docketing Center. Scenario(s): Main Success Scenario 1. The user may review the appeal dates. 2. The user may select the Appeal Templates: a. Notice of Appeal Letter b. Appellate Received Letter c. Transfer to CG-0941 Letter

Exceptions: 1. The user may cancel and return to the calling workflow. Post-Conditions: 1. The user may have reviewed the appeal dates. 2. The user may have printed out any of the Appeal Template Letters.

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Table 6-68 Review / Edit / Print Appeal Functional Requirements Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_11789 419 The system shall provide the ability for the Docketing Center users to review New date information based an appeal. MISLE_F_REQ_11807 419.1 The system shall auto populate the Appeals area with date information with New the IO's filings from the Letters and Filings area of the Enforcement area. MISLE_F_REQ_11808 419.2 The system shall provide the ability for the Docketing Center user to update New any information in the Appeals information area. MISLE_F_REQ_11791 419.3 The system shall provide the ability for the Docketing Center user to enter a New Notice of Appeal Due Date when the user is in the Appeals area. MISLE_F_REQ_11809 419.3.1 The system shall populate a date into Notice of Appeal Due Date that is 35 New days after the judge's Decision and Order (D&O) issuance date. MISLE_F_REQ_11792 419.4 The system shall provide the ability for the Docketing Center user to review New the CG Notice of Appeal File Date when the user is in the Appeal area. MISLE_F_REQ_11793 419.5 The system shall provide the ability for the Docketing Center user to enter a New Resp Notice of Appeal File Date when the user is in the Appeal area. MISLE_F_REQ_11794 419.6 The system shall provide the ability for the Docketing Center user to enter an New Appellate Brief Due Date when the user is in the Appeal area. MISLE_F_REQ_11810 419.6.1 The system shall populate a date into Appellate Brief Due Date that is 65 New days past the judge's Decision and Order (D&O) issuance date. MISLE_F_REQ_11795 419.7 The system shall provide the ability for the Docketing Center user to enter an New Appellate Brief File Date when the user is in the Appeal area. MISLE_F_REQ_11796 419.8 The system shall provide the ability for the Docketing Center user to enter a New Reply Brief Due Date when the user is in the Appeal area.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_11811 419.8.1 The system shall auto populate a Reply Brief Due Date when the date New generated is 40 days after the Appellate Brief File Date. MISLE_F_REQ_11797 419.9 The system shall provide the ability for the Docketing Center user to enter a New Reply Brief File Date when the user is in the Appeal area. MISLE_F_REQ_11798 419.10 The system shall provide the ability for the Docketing Center user to enter a New Date Case Sent to CG-941 when the user is in the Appeal area. MISLE_F_REQ_11799 419.11 The system shall provide the ability for the Docketing Center user to enter a New Comdt Appeal Decision Date when the user is in the Appeal area. MISLE_F_REQ_11800 419.12 The system shall provide the ability for the Docketing Center user to select a New Comdt Disposition when the user is in the Appeal area. MISLE_F_REQ_11801 419.13 The system shall provide the ability for the Docketing Center user to enter a New Received Case File Back Date when the user is in the Appeal area. MISLE_F_REQ_11802 419.14 The system shall provide the ability for the Docketing Center user to enter a New NTSB Appeal Decision Date when the user is in the Appeal area. MISLE_F_REQ_11803 419.15 The system shall provide the ability for the Docketing Center user to enter a New NTSB Appeal No when the user is in the Appeal area. MISLE_F_REQ_11804 419.16 The system shall provide the ability for the Docketing Center user to select a New NTSB Disposition when the user is in the Appeal area. MISLE_F_REQ_11805 419.17 The system shall provide the ability for the Docketing Center user to enter an New Appeal Notes when the user is in the Appeal area. MISLE_F_REQ_11867 420 The system shall provide the ability for the Docketing Center user to submit a New Notice of Appeal letter when the user is in the Appeal area.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_11812 421 The system shall provide the ability for the Docketing Center user to edit a New Notice of Appeal letter when the user is reviewing the Notice of Appeal letter. MISLE_F_REQ_11828 421.1 The system shall display the following information next to an USCG icon New when the user is reviewing the Notice of Appeal letter: "U.S. Department of Homeland Security"

MISLE_F_REQ_13278 421.2 The system shall display the following information next to an USCG icon New when the user is reviewing the Notice of Appeal letter: "United States Coast Guard"

MISLE_F_REQ_11816 421.3 The system shall display the following when the user is reviewing the Notice New of Appeal letter: "Administrative Law Judge Docketing Center U.S. Coast Guard 40 South Gay Street, Room 412 Baltimore, MD 21202-4022 Phone: (410) 962-5100 Toll Free: (866) 612-7524 Fax: (410) 962-1746 Toll Free Fax: (877) 243-3453." MISLE_F_REQ_11817 421.4 The system shall display the when the user is reviewing the Notice of Appeal New letter: Date MISLE_F_REQ_11818 421.5 The system shall display the following respondent name when the user is New reviewing the Notice of Appeal letter: First Name + Last Name MISLE_F_REQ_11819 421.6 The system shall display the following respondent address when the user is New reviewing the Notice of Appeal letter: Address MISLE_F_REQ_11820 421.7 The system shall display the following associated case Docket Number when New the user is reviewing the Notice of Appeal letter: "Re: Docket No. Docket Number"

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_11821 421.8 The system shall display the following respondent name when the user is New reviewing the Notice of Appeal letter: "Dear: First Name + Last Name" MISLE_F_REQ_11822 421.9 The system shall display when the user is reviewing the Notice of Appeal New letter: "Your Notice of Appeal was received at the Docketing Center in Baltimore, Maryland." MISLE_F_REQ_11823 421.10 The system shall display when the user is reviewing the Notice of Appeal New letter: "Your appellate brief is due at the ALJ Docketing Center no later than 4:30pm Eastern Time on {Appellate Brief Due Date}. Appellate briefs are due within 60 after the ALJ's decision is issued. See 33 C.F.R. § 20.1003(a)(3). Unless filed within the time specified within this letter, or other time authorized in writing by the Docketing Center, the brief will be untimely." MISLE_F_REQ_11824 421.11 The system shall display the following when the user is reviewing the Notice New of Appeal letter: "You are required to follow the Procedures for appeal as outlined in 33 C.F.R. § 20.1003. This includes serving a copy of your appellate brief on every party in this matter." MISLE_F_REQ_11825 421.12 The system shall display "Sincerely," when the user is reviewing the Notice of New Appeal letter. MISLE_F_REQ_11826 421.13 The system shall display the following when the user is reviewing the Notice New of Appeal letter: "DEBRA M. GUNDY Paralegal Specialist Office of the Administrative Law Judge U.S. Coast Guard" MISLE_F_REQ_11827 421.14 The system shall display the following when the user is reviewing the Notice New of Appeal letter: "Copy:" MISLE_F_REQ_11866 422 The system shall provide the ability for the user to generate an Appellate New Received Letter containing the following information when the user is in the Appeal area.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_11813 422.1 The system shall provide the ability for the Docketing Center user to edit an New Appellate Received letter when the user is reviewing the Appellate Received letter. MISLE_F_REQ_11829 422.1.1 The system shall display the following information next to an USCG icon New when the user is reviewing the Appellate Received letter: "U.S. Department of Homeland Security"

MISLE_F_REQ_13277 422.1.2 The system shall display the following information next to an USCG icon New when the user is reviewing the Appellate Received letter: "United States Coast Guard" MISLE_F_REQ_11830 422.1.3 The system shall display the following when the user is reviewing the New Appellate Received letter: "Administrative Law Judge Docketing Center U.S. Coast Guard 40 South Gay Street, Room 412 Baltimore, MD 21202-4022 Phone: (410) 962-5100 Toll Free: (866) 612-7524 Fax: (410) 962-1746 Toll Free Fax: (877) 243-3453" MISLE_F_REQ_11831 422.1.4 The system shall display the following when the user is reviewing the New Appellate Received letter: Date MISLE_F_REQ_11832 422.1.5 The system shall display the following respondent name when the user is New reviewing the Appellate Received letter: First Name + Last Name MISLE_F_REQ_11833 422.1.6 The system shall display the following respondent address when the user is New reviewing the Appellate Received letter: Address MISLE_F_REQ_11834 422.1.7 The system shall display the following associated case Docket Number when New the user is reviewing the Appellate Received letter: "Re: Docket No. Docket Number" MISLE_F_REQ_11835 422.1.8 The system shall display the following respondent name when the user is New reviewing the Appellate Received letter: "Dear: First Name + Last Name"

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_11836 422.1.9 The system shall display the following when the user is reviewing the New Appellate Received letter: "On ______, the ALJ Docketing Center received your Appellate Brief in the above subject matter." MISLE_F_REQ_11837 422.1.10 The system shall display the following when the user is reviewing the New Appellate Received letter: "The U.S. Coast Guard/ Respondent/Respondent’s counsel may file a Reply brief with the ALJ Docketing Center no later than close of business on ______. See 33 C.F.R. 1003(b)" MISLE_F_REQ_11838 422.1.11 The system shall display the following when the user is reviewing the New Appellate Received letter: "Should you have questions regarding this matter, you may contact the Hearing Docket Clerk at the ALJ Docketing Center at (410) 962-5100." MISLE_F_REQ_11839 422.1.12 The system shall display the following when the user is reviewing the New Appellate Received letter: "Sincerely," MISLE_F_REQ_11840 422.1.13 The system shall display the following when the user is reviewing the New Appellate Received letter: "DEBRA M. GUNDY Paralegal Specialist Office of the Administrative Law Judge U.S. Coast Guard" MISLE_F_REQ_11841 422.1.14 The system shall display the following when the user is reviewing the New Appellate Received letter: "Copy:" MISLE_F_REQ_11868 423 The system shall provide the ability for the Docketing Center user to select a New Transfer to CG-0941 letter when the user is in the appeals area. MISLE_F_REQ_11814 424 The system shall provide the ability for the Docketing Center user to edit a New Transfer to CG-0941 letter when the user is reviewing the Transfer To CGD- 0941 letter. MISLE_F_REQ_11842 424.1 The system shall display the following information next to an USCG icon New when the user is reviewing the Transfer To CG-0941 letter: "U.S. Department of Homeland Security"

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_13280 424.2 The system shall display the following information next to an USCG icon New when the user is reviewing the Transfer To CG-0941 letter: "United States Coast Guard" MISLE_F_REQ_11843 424.3 The system shall display the following when the user is reviewing the Transfer New To CG-0941 letter: "Commandant, U.S. Coast Guard 2703 Martin Luther King Jr. Ave. SE STOP 7794 Washington, DC 20593-7794" MISLE_F_REQ_11844 424.4 The system shall display the following when the user is reviewing the Transfer New To CG-0941 letter: Date MISLE_F_REQ_11845 424.5 The system shall display the following when the user is reviewing the Transfer New To CG-0941 letter: "MEMORANDUM" MISLE_F_REQ_11846 424.6 The system shall display the following when the user is reviewing the Transfer New To CG-0941 letter: "From: Debra M. Gundy Paralegal Specialist, ALJ Docketing Center" MISLE_F_REQ_11847 424.7 The system shall display the following when the user is reviewing the Transfer New To CG-0941 letter: "Reply to: CG-00J Attn of: D. Gundy" MISLE_F_REQ_11848 424.8 The system shall display the following when the user is reviewing the Transfer New To CG-0941 letter: "To: Hanna LeBond Attorney, COMDT-ARL (CG-094C)" MISLE_F_REQ_11849 424.9 The system shall display the following when the user is reviewing the Transfer New To CG-0941 letter: "Subject: APPEAL-U.S.C.G. v. ______Docket No. {Docket Number}" MISLE_F_REQ_11850 424.10 The system shall display the following when the user is reviewing the Transfer New To CG-0941 letter: "Ref: 33 C.F.R. Part 20, Subpart J" MISLE_F_REQ_11851 424.11 The system shall display the following when the user is reviewing the Transfer New To CG-0941 letter: "1. Enclosed, please find the original record for the subject the Part 20 proceeding that was heard by the Honorable ______, Administrative Law Judge for the U.S. Coast Guard. The Respondent/U.S.

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Hierarchy Functional Requirement Proposed ID Changes Coast Guard is appealing Judge______Decision and Order issued on ______." MISLE_F_REQ_11852 424.12 The system shall display the following when the user is reviewing the Transfer New To CG-0941 letter: "2. The original record consists of the following documents." MISLE_F_REQ_11853 424.13 The system shall display the following when the user is reviewing the Transfer New To CG-0941 letter: "a. Original Case Record, including all orders, motions, exhibits, etc. filed in this proceeding. b. Respondent's/U.S.Coast Guard’s Notice of Appeal dated ______." MISLE_F_REQ_11854 424.14 The system shall display the following when the user is reviewing the Transfer New To CG-0941 letter: "b. Notification of Receipt of Appeals Brief dated ______." MISLE_F_REQ_11855 424.15 The system shall display the following when the user is reviewing the Transfer New To CG-0941 letter: "c. Respondent's/U.S. Coast Guard’s Appeal Brief dated ______." MISLE_F_REQ_11856 424.16 The system shall display the following when the user is reviewing the Transfer New To CD-0941 letter: "d. Reply Brief Due Letter to parties dated ______." MISLE_F_REQ_11857 424.17 The system shall display the following when the user is reviewing the Transfer New To CG-0941 letter: "e. Complainant's Reply Brief dated ______" MISLE_F_REQ_11858 424.18 The system shall display the following when the user is reviewing the Transfer New To CG-0941 letter: "f. Respondent did/did not request a temporary license." MISLE_F_REQ_11860 424.19 The system shall display the following when the user is reviewing the Transfer New To CG-0941 letter: "3. These records are being forwarded to Commandant- ARL (CG-094C) pursuant to 33 C.F.R. Part 20, Subpart J. All parties to this matter are directed to address any appellate inquiries to:"

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_11859 424.20 The system shall display the following when the user is reviewing the Transfer New To CG-0941 letter: "U.S. Coast Guard 4200 Wilson Blvd Suite 790 Arlington, VA 20598 (Phone: 202 493-6978)" MISLE_F_REQ_11861 424.21 The system shall display the following when the user is reviewing the Transfer New To CG-0941 letter: "4. If you require any additional information regarding these records, please contact the Hearing Docket Clerk at the ALJ Docketing Center at (410) 962-5100." MISLE_F_REQ_11862 424.22 The system shall display the following when the user is reviewing the Transfer New To CG-0941 letter: "Encl: Appeal Record" MISLE_F_REQ_11863 424.23 The system shall display the following when the user is reviewing the Transfer New To CG-0941 letter: "Copy:" MISLE_F_REQ_11864 424.24 The system shall display the following when the user is reviewing the Transfer New To CG-0941 letter header information: "Subj: APPEAL-U.S.C.G. v. ______{Date} Docket No. {Docket Number}" MISLE_F_REQ_11865 424.25 The system shall display a page number when the user is reviewing the New Transfer To CG-0941 letter header information.

Table 6-69 Appeal Data Elements ID Element Description Format Default Length Req 5737 Notice of Appeal Provides the date by which the Notice of Appeal is due. This Date NULL 10 No Due Date date is automatically generated with a date 35 days after the D&O was served. It remains editable. 5738 CG Notice of Displays the date the Investigating Officer files a Notice of Date NULL 10 No Appeal File Date Appeal. 5739 Resp Notice of Displays the date the Respondent or Respondent’s counsel Date NULL 10 No Appeal File Date files a Notice of Appeal

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ID Element Description Format Default Length Req 5740 Appellate Brief Date the Appellate Brief is Due. This date is automatically Date NULL 10 No Due Date generated with a date 65 days after the D&O was filed. It remains editable. 5741 Appellate Brief Displays the date the Appellate Brief was filed. Date NULL 10 No File Date 5742 Reply Brief Due Date the Reply Brief is Due. This date is automatically Date NULL 10 No Date generated with a date 40 from the Appellate Brief File Date. It remains editable. 5743 Reply Brief File Displays the date the Reply Brief was filed. Date NULL 10 No Date 5744 Date Case Sent to Date original case file is sent to Commandant’s office to Date NULL 10 No CG-941 review Appeal. 5745 Comdt Appeal Decision Issue date of CDOA (Commandant Decision On Date NULL 10 No Decision Date Appeal). 5747 Comdt The ruling of the Dispositive Order issued by the Picklist NULL N/A No Disposition Commandant’s office 5748 Received Case Date case file is returned from the Commandant’s office. If Date NULL 10 No File Back Date appeal to NTSB, Commandant’s office will forward file to them 5749 NTSB Appeal Decision Issue date by NTSB (National Transportation Date NULL 10 No Decision Date Safety Board) 5750 NTSB Appeal No Number assigned to Dispositive Order by NTSB (National Alphanumeric NULL 20 No Transportation Safety Board). 5751 NTSB The ruling of the Dispositive Order issued by NTSB Picklist NULL N/A No Disposition (National Transportation Safety Board). 5752 Appeal Notes Notes Section Alphanumeric NULL N/A No

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Table 6-70 Appeal - Notice of Appeal Letter Data Elements ID Element Description Format Default Length Req 717 Last Name The last name of the Involved Person(s). Alphanumeric Null 50 Yes 718 First Name The first name of the Involved Person(s). Alphanumeric Null 30 No 734 Address The address of the involved person, including street, city, state, Alphanumeric n/a No No and zip. Address = Respondent's Address 1434 Date The current date. Date Current n/a Yes Date 3689 Docket The number generated by the system that gets assigned to a case Numeric Null 9 No Number file sent over to the CMS application. "YYYY"-"NNNN" where "Y"=current year & "N" is a system generated number. Only available for Enforcement activity searches related to current Suspension & Revocation and Administrative Civil Penalty Class II Enforcement activities. This number is assigned via the NOF during a submission of a Complaint by the IO in Enforcement. 5740 Appellate Date the Appellate Brief is Due. This date is automatically Date NULL 10 No Brief Due generated with a date 65 days after the D&O was filed. It remains Date editable.

Table 6-71 Appeal - Appellate Received Letter Data Elements

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ID Element Description Format Default Length Req 717 Last The last name of the Involved Person(s). Alphanumeric Null 50 Yes Name 718 First The first name of the Involved Person(s). Alphanumeric Null 30 No Name 734 Address The address of the involved person, including street, city, state, and Alphanumeric n/a No No zip. Address = Respondent's Address 1434 Date The current date. Date Current n/a Yes Date 3689 Docket The number generated by the system that gets assigned to a case file Numeric Null 9 No Number sent over to the CMS application. "YYYY"-"NNNN" where "Y"=current year & "N" is a system generated number. Only available for Enforcement activity searches related to current Suspension & Revocation and Administrative Civil Penalty Class II Enforcement activities. This number is assigned via the NOF during a submission of a Complaint by the IO in Enforcement.

Table 6-72 Appeal - Transfer to CG-0941 Letter Data Elements ID Element Description Format Default Length Req 1434 Date The current date. Date Current n/a Yes Date 3689 Docket The number generated by the system that gets assigned to a case file sent Numeric Null 9 No Number over to the CMS application. "YYYY"-"NNNN" where "Y"=current year & "N" is a system generated number. Only available for Enforcement activity searches related to current Suspension & Revocation and Administrative Civil Penalty Class II Enforcement activities. This number is assigned via the NOF during a submission of a Complaint by the IO in Enforcement.

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6.1.14 Use Case - 434: Review / Add / Edit Exhibits & Transcripts Overview: Managing the exhibits and transcripts are a critical activity for the ALJ during the litigation process.

Purpose: To display the exhibits and transcripts that have been uploaded or submitted by the original Enforcement Complaint into the Exhibits and Transcript area. To provide the ability to add exhibits and transcripts not already captured the IO. Primary Actors: Paralegal Specialist Attorney Advisor Administrative Law Judge (ALJ) Pre-Conditions: 1. The complaint and NOF transaction has occurred from the IO and received by the system. 2. To update the Exhibits & Transcripts the owning unit must be the ALJ users. Scenario(s): Main Success Scenario 1. The user is presented with the Exhibits & Transcripts list for review. 2. The user may select individual Exhibits & Transcripts list item revealing the Exhibits & Transcripts details for that item. 3. The user may select individual or multiple line items from the Exhibits & Transcripts details area to print. 4. The user may add a document. 5. The user may edit part of the Exhibits & Transcripts details area. 6. The user may export the Exhibits & Transcripts to a Microsoft Excel formatted spreadsheet.

Exceptions: 1. The user may cancel and return to the calling workflow. Post-Conditions: 1. The user may have reviewed the Exhibits & Transcripts information. 2. The user may have printed Exhibits & Transcripts documents. 3. The user may have added more documentation. 4. The user may have edited the Exhibits & Transcripts document details.

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5. The user may have exported Exhibits & Transcripts information to Microsoft Excel.

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Table 6-73 Review / Add / Edit Exhibits & Transcripts Functional Requirements Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_12067 267 The system shall display the following data elements when the ALJ user is New managing adjudication activities: ADJ Activity Title; Enf Type; Docket Status; Adjudication Start Date; Originating unit; Owning Unit; Docket Number; Docket Type; MISLE Activity Id; Coast Guard Case Number; Assigned IO; Assigned ALJ; Assigned Law Clerk MISLE_F_REQ_12068 267.1 The system shall populate the ADJ Activity Title data element as "USCG vs" New in addition to the respondent's First Name + Middle Name + Last Name. MISLE_F_REQ_12069 267.2 The system shall populate the Assigned IO data element as First Name + New Last Name of the individual with an involved personnel Role equal to 'Investigating Officer - Assigned IO'. MISLE_F_REQ_12070 267.3 The system shall populate the Assigned ALJ data element as Judges First New Name + Judges Middle Name + Judges Last Name. MISLE_F_REQ_12071 267.4 The system shall display the value for the Assigned ALJ when the Judge New Active is set to 'Yes' in the Case Assignment area. MISLE_F_REQ_12072 267.5 The system shall populate the Assigned Law Clerk data element with Law New Clerk First Name + Law Clerk Middle Name + Law Clerk Last Name. MISLE_F_REQ_12073 267.6 The system shall display the value for the Assigned Law Clerk when the New Law Clerk Active is set to 'Yes' in the Case Assignment area. MISLE_F_REQ_12145 267.7 The system shall provide the ability for the ALJ user to transfer the case file to New the Docketing Center. MISLE_F_REQ_12146 267.7.1 The system shall provide the ability for the ALJ user to decline the transfer of New a case file to the Docketing Center.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_12147 267.7.2 The system shall provide the ability to confirm the transfer of a case file to the New Docketing Center when the ALJ user is transferring the case to the Docketing Center. MISLE_F_REQ_12774 267.7.3 The system shall display the following statement when the user confirms the New transfer of a case file to the Docketing Center: “Was a case hearing held?” MISLE_F_REQ_12148 267.7.4 The system shall provide the ability to decline that a hearing was held when New the ALJ user has confirmed the transfer of a case file to the Docketing Center. MISLE_F_REQ_12152 267.7.5 The system shall transfer the case file to the Docketing Center when the ALJ New user has selected to decline that a hearing was held. MISLE_F_REQ_12149 267.7.6 The system shall provide the ability to confirm that a hearing was held when New the ALJ user has confirmed the transfer of a case file to the Docketing Center. MISLE_F_REQ_12150 267.7.7 The system shall re-direct the ALJ user to the Report of Hearing detail view in New the Hearing & Conferences area when the ALJ user confirms that a hearing was held. MISLE_F_REQ_12153 267.7.8 The system shall transfer the case file to the Docketing Center when the ALJ New user has completed the entry of the Report of Hearing detail view in the Hearing & Conferences area. MISLE_F_REQ_12057 452 The system shall provide the ability for the ALJ user to manage the uploading New of respondent Exhibits when the ALJ user is required to review the Exhibits & Transcripts area. MISLE_F_REQ_13005 453 The system shall provide the ability for the ALJ user to manage the uploading New of respondent Transcripts when the ALJ user is required to review the Exhibits & Transcripts area. MISLE_F_REQ_12812 454 The system shall provide the ability for the ALJ user to review United States New Coast Guard Exhibits that have been submitted for a hearing when the ALJ user is required to review the Exhibits & Transcripts area.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_12814 455 The system shall provide the ability for the ALJ user to review the Exhibits & New Transcripts list view data elements in the Exhibits & Transcripts area: Identifier; Description; ALJ Status; ALJ Exhibit #; IO Comments. MISLE_F_REQ_12815 455.1 The system shall provide the updates to the following Exhibits & Transcripts New list view data elements when the enforcement complaint document is transferred to the CMS populating the Exhibits & Transcripts list view: Identifier; Description; ALJ Status; ALJ Exhibit #; IO Comments . MISLE_F_REQ_12816 455.2 The system shall provide the ability for the ALJ user to sort in ascending order New the Exhibits & Transcripts list data elements: Identifier; Description; ALJ Status; ALJ Exhibit #; IO Comments. MISLE_F_REQ_12817 455.3 The system shall provide the ability for the user to sort in descending order the New Exhibits & Transcripts list data elements: Identifier; Description; ALJ Status; ALJ Exhibit #; IO Comments. MISLE_F_REQ_12409 455.4 The system shall provide the ability for the user to print multiple selected New Exhibits & Transcripts line items when the ALJ user selects the line items from the Exhibits & Transcripts list view. MISLE_F_REQ_12414 455.5 The system shall provide the ability for the ALJ user to open an Exhibits & New Transcripts document when the ALJ user selects the line items from the Exhibits & Transcripts list selecting open. MISLE_F_REQ_12412 455.6 The system shall provide the ability for the ALJ user to export the Exhibits & New Transcripts list view to Microsoft Excel when the ALJ user selects . MISLE_F_REQ_12416 456 The system shall display the details of the a selected a Exhibits & Transcripts New line item list when the ALJ user selects a Exhibits & Transcripts line item from the list.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_12417 456.1 The system shall provide the ability for the user to edit the Description New populated by the USCG's filing of the complaint when the user is editing Exhibits & Transcripts information in the Exhibits & Transcripts details view. MISLE_F_REQ_12418 456.2 The system shall provide the ability for the user to edit the IO Comments New populated by the USCG's filing of the complaint when the user is editing Exhibits & Transcript information in the Exhibits & Transcripts details view. MISLE_F_REQ_12396 456.3 The system shall provide the ability for the user to edit the as Exhibit New populated by the USCG's filing of the complaint when the user is editing Exhibits & Transcript information in the Exhibits & Transcripts details view. MISLE_F_REQ_12397 456.4 The system shall provide the ability for the ALJ user to edit the ALJ New Submitted By in the Exhibits & Transcripts details view when ALJ Submitted By was created by an ALJ user. MISLE_F_REQ_12398 456.5 The system shall provide the ability for the user to edit the ALJ Status in the New Exhibits & Transcripts details view when ALJ Status was created by an ALJ user. . MISLE_F_REQ_12399 456.6 The system shall provide the ability for the user to edit the as Exhibit in the New Exhibits & Transcripts details view when the ALJ Status is set to 'Admitted'. MISLE_F_REQ_12400 456.7 The system shall provide the ability for the user to edit the Identifier in the New Exhibits & Transcripts details view. MISLE_F_REQ_12401 456.8 The system shall provide the ability for the user to edit the ALJ Confidential New indicator in the Exhibits & Transcripts details view. MISLE_F_REQ_12402 456.9 The system shall provide the ability for the user to edit the ALJ Description New in the Exhibits & Transcripts details view.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_12404 456.10 The system shall provide the ability for the user to edit the ALJ Comments in New the Exhibits & Transcripts details view. MISLE_F_REQ_12403 457 The system shall provide the ability for the ALJ user to add an exhibit to the New Exhibits & Transcripts list view when the user selects add in the Exhibits & Transcripts list view area. MISLE_F_REQ_12405 457.1 The system shall provide the ability for the user to enter an ALJ Submitted New By when the ALJ user saves a new exhibit to the case file in the Exhibits & Transcripts details view. MISLE_F_REQ_12420 457.2 The system shall provide the ability for the user to enter an ALJ Status when New the ALJ user saves a new exhibit to the case file in the Exhibits & Transcripts details view. MISLE_F_REQ_12422 457.3 The system shall provide the ability for the user to enter an as Exhibit when New the ALJ user has set the ALJ Status to 'Admitted' to Exhibits & Transcripts details view. MISLE_F_REQ_12423 457.4 The system shall provide the ability for the user to enter an ALJ Identifier New when the ALJ user saves a new exhibit to the case file in the Exhibits & Transcripts details view. MISLE_F_REQ_12424 457.5 The system shall provide the ability for the user to select the ALJ New Confidential indicator when the ALJ user saves a new document to the case file in the Exhibits & Transcripts details view. MISLE_F_REQ_12425 457.6 The system shall provide the ability for the user to enter an ALJ Description New when the ALJ user saves a new exhibit to the case file in the Exhibits & Transcripts details view. MISLE_F_REQ_12426 457.7 The system shall provide the ability for the user to enter an ALJ Comments New when the ALJ user saves a new exhibit to the case file in the Exhibits & Transcripts details view.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_12408 458 The system shall provide the ability for the ALJ user to attach a document to New the exhibit when the user is required to associate a new document to an exhibit in the Exhibits & Transcripts details view. MISLE_F_REQ_12421 459 The system shall prohibit the attachment of a document when the ALJ user New has not saved the exhibit in the Exhibits & Transcripts details view.

MISLE_F_REQ_12428 460 The system shall provide the ability for the ALJ user to attach a document New when the ALJ user adds the document in the Exhibits & Transcripts details view. MISLE_F_REQ_12438 461 The system shall display the following in the Document Information list view New when the ALJ user is reviewing the Exhibits & Transcripts list area: Document Name, Document Type, Document Name Description, Originating Unit, Originating Unit User, Date Entered, Permanent MISLE_F_REQ_12439 461.1 The system shall provide the ability to sort the list of the Document New Information in ascending order when the user is reviewing Docket Document list view. MISLE_F_REQ_12440 461.2 The system shall provide the ability to sort the list of the Document New Information in descending order when the user is reviewing Docket Document list view. MISLE_F_REQ_12441 462 The system shall provide the ability the Docketing Center user to add a New document to the Add a New File details view when the Docketing Center user is in the Document Information details view. MISLE_F_REQ_12442 462.1 The system shall provide the ability to browse for a Document Name to New upload when the user has selected new document in the Docket Documents Information details view in the Add a New File details view.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_12443 462.2 The system shall display the original uploaded Document Name when the New user has uploaded the new document in the Add a New File details view. MISLE_F_REQ_12444 462.3 The system shall provide the ability for the user to edit the Document Name New when the user is in the Add a New File details view. MISLE_F_REQ_12446 462.4 The system shall provide the ability for the user to enter a Document Name New Description when the user is in the new document in the Add a New File details view. MISLE_F_REQ_12447 462.5 The systems shall provide the ability for the user to select a spell-check for the New Document Name Description when the user has uploaded the new document in the Add a New File details view. MISLE_F_REQ_12448 462.6 The systems shall provide the ability for the user to select a spell-check for the New Document Name when the user has uploaded the new document in the Add a New File details view. MISLE_F_REQ_12449 462.7 The system shall display the Current Date when the user is in the Add a New New File details view. MISLE_F_REQ_12450 462.8 The system shall display the User Last Name, User First Name User New Middle Initial when the user is in the Add a New File details view. MISLE_F_REQ_12451 462.9 The system shall display the Owning Unit when the user is in the Add a New New File details view. MISLE_F_REQ_12452 462.10 The system shall provide the ability for the user to save the additional files in New the Add a New File details view. MISLE_F_REQ_12453 462.11 The system shall provide the ability for the user to select a Compress New Document in the Add a New File details view. MISLE_F_REQ_12454 462.12 The system shall provide the ability for the user to indicate a Permanent New Document in the Add a New File details view.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_12455 462.13 The system shall provide the ability for the user to cancel the addition of a New document to the case returning to Docket Document Information details view. MISLE_F_REQ_12456 462.14 The system shall provide the ability to return to the Docket Document New Information details view when the Docketing Center user has completed Add a New File details view. MISLE_F_REQ_13385 463 The system shall provide the ability the Docketing Center user to add a New document to the Add a New File details view when the Docketing Center user is in the Document Information details view. MISLE_F_REQ_13384 464 The system shall provide the ability for the user to select a Document Type New based on the Document Functional Sub Area when the user is in the Add a New File details view. MISLE_F_REQ_12427 465 The system shall provide an ALJ Control Number when the ALJ user New attaches a new document to an exhibit in the Exhibits & Transcripts details view. MISLE_F_REQ_12458 467 The system shall prohibit the ability for the Adjudication user to delete docket New documents when the Docketing Center user is in the Docket Document Information details view. MISLE_F_REQ_12460 468.1 The system shall display the message: 'This is a permanent document and New cannot be deleted.' when the user has selected to remove a document setting the Permanent Document indicator to 'TRUE' in the Docket Document Information details view. MISLE_F_REQ_12461 468.2 The system shall provide the ability for the Docketing Center user to New acknowledge the message closing the message when the user is in the Docket Document Information details view.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_12462 468.3 The system shall display the following message in the Docket Document New Information details view when the Docketing Center user is removing a non- permanent document 'Are you sure you want to delete this document?'. MISLE_F_REQ_12463 468.4 The system shall provide the ability for the Docketing Center user to confirm New the deletion when the user is in the Docket Document Information details view. MISLE_F_REQ_12466 468.7 The system shall provide the ability for the Docketing Center user to cancel New the deleting of a docket item when the user is in the Docket Document Information details view. MISLE_F_REQ_12467 469 The system shall prohibit the ability for the Docketing Center user to delete a New complaint document when the user is in the Docket Document Information details view. MISLE_F_REQ_12468 470 The system shall provide the ability for the Docketing Center user to open a New selected docket document when the user selects Open Document in the Docket Document Information details view. MISLE_F_REQ_12470 472 The system shall provide the ability for the Adjudication user to open a New selected docket document as a read only file when the user selects Open Document in the Docket Document Information details view. MISLE_F_REQ_12471 473 The system shall provide the ability to access help documents when the user is New in the Docket Document Information details view. MISLE_F_REQ_12472 474 The system shall provide the ability to return to the Docket Item Summary New area when the user selects close in the Docket Document Information details view.

Table 6-74 Add Docket Documentation - Full Data Elements

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ID Element Description Format Default Length Req 5567 Document Name Description of a document. Alphanumeric Null 3000 No Description 5569 Document Name Name of a document selected from the add New Alphanumeric Null 100 Yes Document functionality. 5578 Permanent Document An identifier indicating that either the docket document Yes/No N/A N/A Yes is a permanent document or not. 5585 Compress Document An indicator that the docket document shall be Yes/No YES N/A Yes compressed.

Table 6-75 Exhibits & Transcripts - List View Data Elements ID Element Description 5416 Identifier Identifying Exhibit number that is also associated with a single item of evidence which is displayed on the Exhibits & Testimony list view. "AAAA-NNNNN" Where "A" = alpha & "N" = numeric. This also populates the Identifier in the Exhibits & Transcripts list view. 5417 Description Brief Description of Evidence mapped from the Description Of Evidence field in the Evidence workflow in the Exhibits & Testimony list view. This also populates the Description in the Exhibits & Transcripts list view in Adjudication. 5418 ALJ Exhibit To be displayed in the Exhibits & Testimony list view when the Exhibits & Witness list is proffered to the # ALJ. (Populates the Exhibits & Transcripts ALJ Exhibit #). 5419 IO The entered comments mapped to be displayed in the Exhibits & Testimony IO Comment list view. This also Comments populates the Exhibits & Transcripts IO Comments. 5439 ALJ Status The current Exhibit & Transcript status of the Administrative Law Judge is displayed in the Exhibits & Testimony list view.

Table 6-76 Add Docket Documentation - Read Only Data Elements

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ID Element Description 56 Owning Unit Unit that has ownership of the activity. 5563 User Last Name Last Name of user entering information. 5564 User First Name First Name of user entering information. 5565 User Middle Initial Middle Initial of user entering information. 5566 Current Date Current date

Table 6-77 Exhibits & Transcripts - Create Exhibit Data Elements ID Element Description Format Default Length Req 5439 ALJ Status The current Exhibit & Transcript status of the Administrative Picklist Null N/A Law Judge is displayed in the Exhibits & Testimony list view. 5444 as Exhibit The as Exhibit represents the read-only Identifier number that Alphanumeric null 5 No corresponds to the Admitted field. "AAAA-NNNNN" 5753 ALJ Submitted Who submitted exhibit Picklist NULL N/A Yes By 5755 ALJ Identifier How the exhibit will be assigned, tracks the exhibits Alphanumeric NULL 25 Yes 5756 ALJ Is the exhibit submitted considered confidential Yes/No NULL N/A No Confidential 5757 ALJ Brief Description of the type of evidence or exhibit submitted. Alphanumeric NULL 200 Yes Description - Required 5758 ALJ Comments Any remarks or comments that pertain to the exhibit Alphanumeric NULL 200 No 5759 ALJ Control Number assign by the system to track the exhibit document Numeric NULL N/A No Number added into the case. On save - control number is assigned.

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Table 6-78 Adjudication General Information/Transfer Data Elements ID Element Description 24 Last Name The last name of the Team Lead identified for the Activity 25 First Name The first name of the Team Lead identified for the Activity 428 MISLE Activity ID MISLE Enforcement Activity ID associated with the case. 434 Owning Unit Unit that owns the activity and can transfer control of the activity 438 Originating Unit Unit that created the activity. 458 Role Role of the associated organization for the selected activity 1857 Last Name Last name of the individual. 1858 First Name First name of the individual. 1859 Middle Name Middle name of the individual. 5534 Docket Type A picklist with categories of how a case has been assigned out by the Docket Center team members. 5554 Adjudication Start The date on which the Complaint was sent over from the MISLE Enforcement Referral. Date 5588 Coast Guard Case The ID number assigned by the USCG to the case. Number 5630 Judges First Name Judge's first name. 5631 Judges Middle Judge's middle name. Name 5632 Judges Last Name Judge's last name. 5634 Judge Active An indicator that show whether the judge is active or not. 5652 Law Clerk First Displays the First Name of the Law Clerk who is assigned to the case activity. Name

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ID Element Description 5653 Law Clerk Last Displays the Last Name of the Law Clerk who is assigned to the case activity. Name 5654 Law Clerk Middle Displays the Middle initial of the Law Clerk who is assigned to the case activity. Initial 5655 Law Clerk Active An indicator that show whether the law clerk is active or not. 5659 Docket Status Auto populated by the selection of the Docket Type but allows user to select what the status should be. In adjudication this is the last update the docket center did before transferring the case.

Table 6-79 Exhibits & Transcripts - Add Exhibit Data Elements ID Element Description Format Default Length Req 5439 ALJ Status The current Exhibit & Transcript status of the Administrative Picklist Null N/A Law Judge is displayed in the Exhibits & Testimony list view. 5753 ALJ Submitted Who submitted exhibit Picklist NULL N/A Yes By 5755 ALJ Identifier How the exhibit will be assigned, tracks the exhibits Alphanumeric NULL 25 Yes 5756 ALJ Is the exhibit submitted considered confidential Yes/No NULL N/A No Confidential 5757 ALJ Brief Description of the type of evidence or exhibit submitted. Alphanumeric NULL 200 Yes Description - Required 5758 ALJ Comments Any remarks or comments that pertain to the exhibit Alphanumeric NULL 200 No

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ID Element Description Format Default Length Req 5759 ALJ Control Number assign by the system to track the exhibit document Numeric NULL N/A No Number added into the case. On save - control number is assigned.

Table 6-80 Exhibits & Transcripts - Add Document List Data Elements ID Element Description 5439 ALJ Status The current Exhibit & Transcript status of the Administrative Law Judge is displayed in the Exhibits & Testimony list view. 5753 ALJ Submitted By Who submitted exhibit 5755 ALJ Identifier How the exhibit will be assigned, tracks the exhibits 5756 ALJ Confidential Is the exhibit submitted considered confidential 5757 ALJ Description Brief Description of the type of evidence or exhibit submitted. - Required 5758 ALJ Comments Any remarks or comments that pertain to the exhibit 5759 ALJ Control Number assign by the system to track the exhibit document added into the case. On save - control Number number is assigned.

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6.1.15 Use Case - 435: Review / Add / Edit Findings Overview: The capability for the ALJ to set the finding for the allegations in a case is needed in order to complete the litigation process. Purpose: To provide the ability to view each allegation and assign an appropriate finding so an order can be issued. Primary Actors: Paralegal Specialist Attorney Advisor Administrative Law Judge (ALJ) Pre-Conditions: 1. The complaint and NOF transaction has occurred from the IO and received by the system. 2. To update the Findings the owning unit must be the ALJ users. Scenario(s): Main Success Scenario 1. The user may view the allegation findings. 2. The user may select a finding for each allegation. 3. The user may generate an order.

Exceptions: 1. The user may cancel and return to the calling workflow. Post-Conditions: 1. The user may have reviewed the allegations. 2. The user may have selected a finding for the allegations. 3. The user may have generated an order.

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Table 6-81 Review / Add / Edit Findings Functional Requirements Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_12067 267 The system shall display the following data elements when the ALJ user is New managing adjudication activities: ADJ Activity Title; Enf Type; Docket Status; Adjudication Start Date; Originating unit; Owning Unit; Docket Number; Docket Type; MISLE Activity Id; Coast Guard Case Number; Assigned IO; Assigned ALJ; Assigned Law Clerk MISLE_F_REQ_12068 267.1 The system shall populate the ADJ Activity Title data element as "USCG vs" New in addition to the respondent's First Name + Middle Name + Last Name. MISLE_F_REQ_12069 267.2 The system shall populate the Assigned IO data element as First Name + New Last Name of the individual with an involved personnel Role equal to 'Investigating Officer - Assigned IO'. MISLE_F_REQ_12070 267.3 The system shall populate the Assigned ALJ data element as Judges First New Name + Judges Middle Name + Judges Last Name. MISLE_F_REQ_12071 267.4 The system shall display the value for the Assigned ALJ when the Judge New Active is set to 'Yes' in the Case Assignment area. MISLE_F_REQ_12072 267.5 The system shall populate the Assigned Law Clerk data element with Law New Clerk First Name + Law Clerk Middle Name + Law Clerk Last Name. MISLE_F_REQ_12073 267.6 The system shall display the value for the Assigned Law Clerk when the Law New Clerk Active is set to 'Yes' in the Case Assignment area. MISLE_F_REQ_12145 267.7 The system shall provide the ability for the ALJ user to transfer the case file to New the Docketing Center. MISLE_F_REQ_12146 267.7.1 The system shall provide the ability for the ALJ user to decline the transfer of New a case file to the Docketing Center.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_12147 267.7.2 The system shall provide the ability to confirm the transfer of a case file to the New Docketing Center when the ALJ user is transferring the case to the Docketing Center. MISLE_F_REQ_12774 267.7.3 The system shall display the following statement when the user confirms the New transfer of a case file to the Docketing Center: “Was a case hearing held?” MISLE_F_REQ_12148 267.7.4 The system shall provide the ability to decline that a hearing was held when New the ALJ user has confirmed the transfer of a case file to the Docketing Center. MISLE_F_REQ_12152 267.7.5 The system shall transfer the case file to the Docketing Center when the ALJ New user has selected to decline that a hearing was held. MISLE_F_REQ_12149 267.7.6 The system shall provide the ability to confirm that a hearing was held when New the ALJ user has confirmed the transfer of a case file to the Docketing Center. MISLE_F_REQ_12150 267.7.7 The system shall re-direct the ALJ user to the Report of Hearing detail view in New the Hearing & Conferences area when the ALJ user confirms that a hearing was held. MISLE_F_REQ_12153 267.7.8 The system shall transfer the case file to the Docketing Center when the ALJ New user has completed the entry of the Report of Hearing detail view in the Hearing & Conferences area. MISLE_F_REQ_11815 426 The system shall provide the ability for the ALJ user to review Finding when New the user is in the Finding area. MISLE_F_REQ_11869 427 The system shall display the following Finding list view in the Finding area New when the IO has submitted a Suspension and Revocation type of complaint: No.; Cite; Description; Finding; CFR Description MISLE_F_REQ_11870 427.1 The system shall associate a sequential number with each the citation New information displayed in the Finding History list view under the No. when the user is in the Finding area.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_11871 427.2 The system shall associate the Citation Number with the Cite information New displayed in the Finding list view when the user is in the Finding area. MISLE_F_REQ_11872 427.3 The system shall associate the Details with the Description information New displayed in the Finding list view when the user is in the Finding area. MISLE_F_REQ_11873 427.4 The system shall associate the CFR Description with the Citation New Description information displayed in the Finding list view when the user is in the Finding area. MISLE_F_REQ_11924 427.5 The system shall provide the user with the ability to select a Finding when the New user is in the Finding area. MISLE_F_REQ_13282 427.6 The system shall populate the following in the Offense area of the Finding area New from enforcement referral when the IO has submitted a Suspension and Revocation type of complaint: Cite; Description MISLE_F_REQ_11929 427.7 The system shall display the following when the ALJ user is reviewing the New Finding History details view: "Finding History (most recent first)" MISLE_F_REQ_11928 427.8 The system shall always place the most recent user selected Finding at the top New of the Finding History list view. MISLE_F_REQ_11927 427.9 The system shall display the Finding History list view: Finding; Appealed; New Superseded; Owning Unit. MISLE_F_REQ_11930 427.9.1 The system shall provide the ability for the user to add a new Finding at the New top of the Finding History list view. MISLE_F_REQ_11932 427.9.2 The system shall provide the ability for the user to cancel the addition of a new New Finding at the top of the Finding History list view. MISLE_F_REQ_11931 427.9.3 The system shall provide the ability for the user to confirm the addition of a New new Finding at the top of the Finding History list view.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_11934 427.9.4 The system shall remove the Finding selector when the ALJ user has New confirmed the new finding. MISLE_F_REQ_11938 427.9.5 The system shall provide the ability for the user to select another Finding New when the ALJ user has selected 'Supersede' in the Finding History list view. MISLE_F_REQ_11939 427.9.6 The system shall provide the ability for the user to cancel the addition of a new New Finding at the top of the Finding History list view. MISLE_F_REQ_11940 427.9.7 The system shall provide the ability for the user to confirm the addition of a New new Finding at the top of the Finding History list view. MISLE_F_REQ_11935 427.9.8 The system shall move a grayed out version of previous Finding below the top New most finding of the Finding History list view. MISLE_F_REQ_11937 427.9.9 The system shall display an 'X' in the Superseded list value in the Finding New History list view when the ALJ user has the value in the Finding History list view. MISLE_F_REQ_11936 427.10 The system shall provide the ability for the ALJ user to exit the Finding New History list view when the ALJ user confirms an exit action. MISLE_F_REQ_11942 427.11 The system shall update the Finding list view in the Finding area with the new New Finding when the ALJ user confirms an exit action from the Finding History details view. MISLE_F_REQ_11946 427.12 The system shall provide the ability for the ALJ user to export the Finding New History list view to Microsoft Excel when the user is in the Finding History list view. MISLE_F_REQ_11875 429 The system shall provide the ability for the ALJ user to view the Violation New Details view when the user has selected to view a specific Finding History list view in the Finding area.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_11903 430 The system shall populate all areas of the Violation Details view from when New the IO has submitted a Suspension and Revocation type of complaint. MISLE_F_REQ_11883 432 The system shall provide the ability for the ALJ user to view the Jurisdictional New Elements area when the user has selected to view a specific Finding list view item in the Finding area. MISLE_F_REQ_11885 433 The system shall populate all areas of the Jurisdictional Elements when the IO New has submitted a suspension and revocation type of complaint. MISLE_F_REQ_11902 434 The system shall display only those data elements that have been transferred New from the submission of the complaint to the Jurisdictional Elements. MISLE_F_REQ_11886 434.1 The system shall display the Citation Number when the user is reviewing the New Jurisdictional Elements area. MISLE_F_REQ_11892 434.2 The system shall display the Citation Description when the user is reviewing New the Jurisdictional Elements area. MISLE_F_REQ_11893 434.3 The system shall prohibit to only the display of the respondent's address when New the Enforcement complaint submission citation is not associated with the following citations: 46 USC 7703(1)(B) & 46 CFR 5.29, 46 USC 7703 (1)B & 46 CFR 5.27, or 46 USC 7703 (1)(A) & 46 CFR 5.33. MISLE_F_REQ_11894 434.4 The system shall display the following when the user is reviewing the New Jurisdictional Elements of the case: " 1. Respondent's address is as follows: {Address}" MISLE_F_REQ_11895 434.5 The system shall display all of the credentials that the respondent holds when New the enforcement complaint submission citation is not associated with the following citations: 46 USC 7703 (1) (B) & 46 CFR 5.29, 46 USC 7703 (1) (B) & 46 CFR 5.27, or 46 USC 7703 (1)(A) & 46 CFR 5.33.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_11896 434.6 The system shall display the following when the user is reviewing the New Jurisdictional Elements of the case: "2. Respondent holds the following Coast Guard-issued credential(s): {Identification Type + Identification Number}" MISLE_F_REQ_11897 434.7 The system shall display the following when the Enforcement complaint New submission citation is associated with one of the following citations: 46 USC 7703(1)(B) & 46 CFR 5.29, 46 USC 7703 (1)B & 46 CFR 5.27, or 46 USC 7703 (1)(A) & 46 CFR 5.33: "1. Respondent's address is as follows: {Address}" MISLE_F_REQ_11898 434.9 The system shall display the following when the Enforcement complaint New submission citation is associated with one of the following citations: 46 USC 7703(1)(B) & 46 CFR 5.29, 46 USC 7703 (1)B & 46 CFR 5.27, or 46 USC 7703 (1)(A) & 46 CFR 5.33: "2. Respondent holds the following Coast Guard- issued credentials:{Identification Type + Identification Number}" MISLE_F_REQ_11899 434.10 The system shall display the following Enforcement complaint submission New citation is associated with one of the following citations: 46 USC 7703(1)(B) & 46 CFR 5.29, 46 USC 7703 (1)B & 46 CFR 5.27, or 46 USC 7703 (1)(A) & 46 CFR 5.33: "2. Respondent holds the following Coast Guard-issued credentials: {Identification Type + Identification Number}" MISLE_F_REQ_11900 434.11 The system shall display the following when the Enforcement complaint New submission citation is associated with one of the following citations: 46 USC 7703(1)(B) & 46 CFR 5.29, 46 USC 7703 (1)B & 46 CFR 5.27, or 46 USC 7703 (1)(A) & 46 CFR 5.33 : "3. Respondent acted under the authority of '{Identification Type + Identification Number}, on {Violation Date} by: {serving as} {serving as picklist1} {serving as picklist2} as required by {serving as picklist3}." MISLE_F_REQ_11901 434.12 The system shall display the following when the Enforcement complaint New submission citation is associated with one of the following citations: 46 USC 7703(1)(B) & 46 CFR 5.29, 46 USC 7703 (1)B & 46 CFR 5.27, or 46 USC

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Hierarchy Functional Requirement Proposed ID Changes 7703 (1)(A) & 46 CFR 5.33 : "{engaging in official matters regarding that license, certificate or document by}." MISLE_F_REQ_11914 434.13.1 The system shall display the following when the Enforcement complaint New submission is of Enforcement Type of 'Warning - S&R': "1. {Organization} is charged as the {jurisdictional picklist1} of {jurisdictional picklist2}." MISLE_F_REQ_11916 434.13.2 The system shall display the following when the enforcement complaint New submission is of Enforcement Type of 'Warning - S&R': "2. {jurisdictional picklist3} is a navigable water, adjoining shoreline, or waters, of the contiguous zone of the United States; or in connection with activities under the Outer Continental Shelf Lands Act or the Deepwater Port Act of 1974." MISLE_F_REQ_11915 434.13.3 The system shall display the following when the Enforcement complaint New submission is of Enforcement Type of 'Warning - S&R': "{Individual} is charged as the {jurisdictional picklist1} of {jurisdictional picklist2}." MISLE_F_REQ_11917 434.13.4 The system shall display the following when the Enforcement complaint New submission is of Enforcement Type of 'Warning - S&R': "2. {jurisdictional picklist3} is a navigable water, adjoining shoreline, or waters, of the contiguous zone of the United States; or in connection with activities under the Outer Continental Shelf Lands Act or the Deepwater Port Act of 1974." MISLE_F_REQ_11905 434.14 The system shall provide the ability for the user to select another Finding for New display in the Jurisdictional Elements details view when there is more than one violation represented in the Finding list view. MISLE_F_REQ_11906 436 The system shall provide the ability for the ALJ user to view the Factual New Elements details view when the user has selected to view a specific Finding list view item in the Finding list view. MISLE_F_REQ_11907 437 The system shall populate all areas of the Factual Elements details view when New the IO has submitted a Suspension and Revocation type of complaint.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_11908 438 The system shall display only those data elements that have been transferred New from the submission of the complaint to the Factual Elements details view. MISLE_F_REQ_11943 439 The system shall display the Citation Number when the user is reviewing the New Factual Elements area. MISLE_F_REQ_11944 440 The system shall display the Citation Description when the user is reviewing New the Factual Elements details view. MISLE_F_REQ_11922 441 The system shall display a Factual list view: #; Factual Element Description. New MISLE_F_REQ_11923 442 The system shall provide the ability for the user to select another Finding for New display in the Factual Elements area when there are more than one violations represented in the Finding list view.

Table 6-82 Findings - List - Read Only Data Elements ID Element Description 4554 Cite Citation number related to the violation 4555 Description Description of the violation. 4556 Finding The Finding status is either determined by the IO for a Warning, IO/Hearing Office for Administrative Penalty Class I or what the Judge approved as a Finding in the findings area for a Suspension & Revocation. (Add New and Supersede have the same picklist in the findings area for adjudication.) 4558 Details Description of violation from the enforcement referral. 4995 Citation The official number that identifies the citation. Number 5766 CFR The CFR Description is the description of the violation as defined by the selected citation. Description 5914 No. The column header for the sequential number finding list in the adjudication area.

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Table 6-83 Findings - Offense Details - Read Only Data Elements ID Element Description 4554 Cite Citation number related to the violation 4996 Citation A description of the regulation, statute, or a common violation associated with the citation. Also known Description as the citation type.

Table 6-84 Findings - History Details Data Elements ID Element Description Format Default Length Req 434 Owning Unit that owns the activity and can transfer control of Picklist Unit of the user when the 100 Yes Unit the activity user has only one unit association / NULL when the user has multiple unit associations 4556 Finding The Finding status is either determined by the IO for Picklist na na Cond a Warning, IO/Hearing Office for Administrative Req Penalty Class I or what the Judge approved as a Finding in the findings area for a Suspension & Revocation. (Add New and Supersede have the same picklist in the findings area for adjudication.) 5760 Appealed Indicator as to whether or not the finding has been Yes/No NULL N/A No appealed by the respondent. 5761 Superseded Supersede Indicator as to whether or not the finding Yes/No NULL N/A No had been changed by the adjudication team.

Table 6-85 Findings - Violation - Read Only Data Elements

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ID Element Description 4555 Description Description of the violation. 4995 Citation Number The official number that identifies the citation. 4996 Citation A description of the regulation, statute, or a common violation associated with the citation. Also known Description as the citation type.

Table 6-86 Findings - Jurisdictional Elements (S&R Types) Data Elements ID Element Description 734 Address The address of the involved person, including street, city, state, and zip. Address = Respondent's Address 1446 Id Type Specifies if the credential is: US Merchant Mariner Credential, US Merchant Mariner License, US Merchant Mariner Document, and US Certificate of Registry. NOTE: This information is found in the Party Identification section of the Party Record. 1447 Identification Number Identification number or name. This information is related to the number or name of the Identification Type. 4554 Cite Citation number related to the violation 4996 Citation Description A description of the regulation, statute, or a common violation associated with the citation. Also known as the citation type. 5762 serving as An indicator used to activate three other picklists (serving as picklist1, serving as picklist2 and serving as picklist3) associated with the offense area of Jurisdictional Elements.

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ID Element Description 5763 serving as picklist1 A list describing the role of a person on a vessel that has been identified and associated with an offense. 5764 serving as picklist2 A dynamic list that is populated by the Involved Vessel from the Involved Subject area. 5765 engaging in official matters regarding An indicator used to activate a picklist (official matters picklist) that when that license, certificate or document by selected would best describe the official matters regarding. 5769 serving as picklist3 A list describing the condition of law or employment statement. 5916 jurisdictional picklist1 Picklist used for warning enforcements related associated with an individual or organization. 5917 jurisdictional picklist2 Dynamic picklist associated with a warning enforcement type. 5918 jurisdictional picklist3 Dynamic picklist associated with a waterway location. 5991 Organization Dynamic picklist associated with the Involved Organization that comes from the IO's Enforcement Complaint. 5992 Individual Dynamic picklist associated with the Involved Person that comes from the IO's Enforcement Complaint.

Table 6-87 Findings - Factual Elements (S&R Types) Data Elements ID Element Description 4554 Cite Citation number related to the violation 4996 Citation Description A description of the regulation, statute, or a common violation associated with the citation. Also known as the citation type. 5770 # This is a sequential number starting from 1 is added in this column as the Factual information is entered. This number correlates to each Factual Element.

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ID Element Description 5771 Factual Element This field for the user to provide information to establish factual allegations. Description

Table 6-88 Adjudication General Information/Transfer Data Elements ID Element Description 24 Last Name The last name of the Team Lead identified for the Activity 25 First Name The first name of the Team Lead identified for the Activity 428 MISLE Activity MISLE Enforcement Activity ID associated with the case. ID 434 Owning Unit Unit that owns the activity and can transfer control of the activity 438 Originating Unit Unit that created the activity. 458 Role Role of the associated organization for the selected activity 1437 Enforcement The type of enforcement action that the USCG will take for the alleged violation. This information will Type go from the referral to the Docket Center /Adjudication via the complaint sent by the Assigned IO. Typically this will be a S&R or Civil Penalty Class II for DMS/Adjudication processes. The Hearing Office (civil penalties) presently receives a hard copy legal case which will have this information. 1857 Last Name Last name of the individual. 1858 First Name First name of the individual. 1859 Middle Name Middle name of the individual. 5534 Docket Type A picklist with categories of how a case has been assigned out by the Docket Center team members. 5554 Adjudication The date on which the Complaint was sent over from the MISLE Enforcement Referral. Start Date

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ID Element Description 5588 Coast Guard The ID number assigned by the USCG to the case. Case Number 5630 Judges First Judge's first name. Name 5631 Judges Middle Judge's middle name. Name 5632 Judges Last Judge's last name. Name 5634 Judge Active An indicator that show whether the judge is active or not. 5652 Law Clerk First Displays the First Name of the Law Clerk who is assigned to the case activity. Name 5653 Law Clerk Last Displays the Last Name of the Law Clerk who is assigned to the case activity. Name 5654 Law Clerk Displays the Middle initial of the Law Clerk who is assigned to the case activity. Middle Initial 5655 Law Clerk An indicator that show whether the law clerk is active or not. Active 5659 Docket Status Auto populated by the selection of the Docket Type but allows user to select what the status should be. In adjudication this is the last update the docket center did before transferring the case.

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6.1.16 Use Case - 436: Review /Add / Edit Sanctions Overview: The capability for the ALJ to review the proposed sanctions from the IO, as well as assign or supersede an imposed sanction is necessary to the litigation process. Purpose: To provide the ability to view the proposed sanction, enter an imposed sanction, or supersede the imposed sanction. Primary Actors: Paralegal Specialist Attorney Advisor Administrative Law Judge (ALJ) Pre-Conditions: 1. The complaint and NOF transaction has occurred from the IO and received by the system. 2. To update the Sanctions the owning unit must be the ALJ users. Scenario(s): Main Success Scenario 1. The user is presented with the sanctions information. 2. The user may view the proposed sanctions. 3. The user may add an imposed sanction. 3. The user may supersede an imposed sanction. 4. The user may enter a Final Imposed Sanction.

Exceptions: 1. The user may cancel and return to the calling workflow. Post-Conditions: 1. The user may have reviewed the proposed sanctions. 2. The user may have added an imposed sanction. 3. The user may have superseded the imposed sanction. 4. The user may have entered a Final Imposed Sanction.

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Table 6-89 Review /Add / Edit Sanctions Functional Requirements Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_12067 267 The system shall display the following data elements when the ALJ user is New managing adjudication activities: ADJ Activity Title; Enf Type; Docket Status; Adjudication Start Date; Originating unit; Owning Unit; Docket Number; Docket Type; MISLE Activity Id; Coast Guard Case Number; Assigned IO; Assigned ALJ; Assigned Law Clerk MISLE_F_REQ_12068 267.1 The system shall populate the ADJ Activity Title data element as "USCG vs" New in addition to the respondent's First Name + Middle Name + Last Name. MISLE_F_REQ_12069 267.2 The system shall populate the Assigned IO data element as First Name + New Last Name of the individual with an involved personnel Role equal to 'Investigating Officer - Assigned IO'. MISLE_F_REQ_12070 267.3 The system shall populate the Assigned ALJ data element as Judges First New Name + Judges Middle Name + Judges Last Name. MISLE_F_REQ_12071 267.4 The system shall display the value for the Assigned ALJ when the Judge New Active is set to 'Yes' in the Case Assignment area. MISLE_F_REQ_12072 267.5 The system shall populate the Assigned Law Clerk data element with Law New Clerk First Name + Law Clerk Middle Name + Law Clerk Last Name. MISLE_F_REQ_12073 267.6 The system shall display the value for the Assigned Law Clerk when the Law New Clerk Active is set to 'Yes' in the Case Assignment area. MISLE_F_REQ_12145 267.7 The system shall provide the ability for the ALJ user to transfer the case file to New the Docketing Center. MISLE_F_REQ_12146 267.7.1 The system shall provide the ability for the ALJ user to decline the transfer of New a case file to the Docketing Center.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_12147 267.7.2 The system shall provide the ability to confirm the transfer of a case file to the New Docketing Center when the ALJ user is transferring the case to the Docketing Center. MISLE_F_REQ_12774 267.7.3 The system shall display the following statement when the user confirms the New transfer of a case file to the Docketing Center: “Was a case hearing held?” MISLE_F_REQ_12148 267.7.4 The system shall provide the ability to decline that a hearing was held when New the ALJ user has confirmed the transfer of a case file to the Docketing Center. MISLE_F_REQ_12152 267.7.5 The system shall transfer the case file to the Docketing Center when the ALJ New user has selected to decline that a hearing was held. MISLE_F_REQ_12149 267.7.6 The system shall provide the ability to confirm that a hearing was held when New the ALJ user has confirmed the transfer of a case file to the Docketing Center. MISLE_F_REQ_12150 267.7.7 The system shall re-direct the ALJ user to the Report of Hearing detail view in New the Hearing & Conferences area when the ALJ user confirms that a hearing was held. MISLE_F_REQ_12153 267.7.8 The system shall transfer the case file to the Docketing Center when the ALJ New user has completed the entry of the Report of Hearing detail view in the Hearing & Conferences area. MISLE_F_REQ_11947 445 The system shall provide the ability for an ALJ user to review a proposed New sanction when the user has selected sanctions area. MISLE_F_REQ_11949 445.1 The system shall display the following data elements for the Proposed New Sanctions list view: Proposed Sanction Type; Settlement Agreement; Recommending Unit. MISLE_F_REQ_13018 445.1.1 The system shall display the recommended Sanction Type value from the New filed Enforcement complaint in the Proposed Sanction Type when the ALJ user is reviewing the Proposed Sanctions list view.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_13019 445.1.2 The system shall display 'Approved' in the Settlement Agreement in the New Proposed Sanctions list view when the following conditions occur:  a settlement agreement has been filed by the IO  Finding is set to 'Settled'  a Consent Order letter has been email. MISLE_F_REQ_11955 445.1.3 The system shall display the Owning Unit value for the Recommending Unit New when the ALJ user is reviewing the Proposed Sanctions list view. MISLE_F_REQ_12818 445.2 The system shall display in the following in the Proposed Recommendation New details view when the ALJ user has selected the sanction item in the Proposed Sanctions list view with a Proposed Sanction Type of 'Revocation': "Recommendation; Sanction Type {Sanction Type}; Credentials {Identification Type + Identification Number}." MISLE_F_REQ_11965 445.2.1 The system shall display the following message in the Credentials area when New the respondent has no credentials to display in the Recommendation area: "Respondent has no credentials" MISLE_F_REQ_11967 445.3 The system shall display the following in the Proposed Recommendation New details view when the ALJ user has selected the sanction item in the Proposed Sanctions list view: Sanction Type is of type 'Stayed Revocation' MISLE_F_REQ_11970 445.4 The system shall display the following in the Proposed Recommendation New details view when ALJ user has selected the sanction item in the Proposed Sanctions list view with a Proposed Sanction Type of 'Outright Suspension': "'Recommendation; Sanction Type{Sanction Type} Outright Suspension Credentials {Identification Type + Identification Number} Outright Suspension Months {Outright Suspension Months} Effective Date {Effective Date} Credentials Deposited with CG {Credentials Deposited with CG} Date for Completion {Date for Completion}."

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_11968 445.5 The system shall display the following in the Proposed Recommendation New details view when ALJ user has selected the sanction item in the Proposed Sanctions list view with a Proposed Sanction Type of 'Suspension on Probation': "Recommendation; Sanction Type{Sanction Type} Suspension on Probation Credentials {Identification Type + Identification Number} Probationary Suspension Months{Probationary Suspension Months} Probationary Period Months{Probationary Period Months} Date for Completion{Date for Completion} Conditions for Probation{Conditions for Probation}." MISLE_F_REQ_11972 445.6 The system shall display the following in the Proposed Recommendation New details view when the ALJ user has selected the sanction item in the Proposed Sanctions list view: Sanction Type of 'Admonition' MISLE_F_REQ_11973 445.7 The system shall display the following in the Proposed Recommendation New details view when ALJ user has selected the sanction item in the Proposed Sanctions list view with a Proposed Sanction Type of 'Suspension with Probation': "Recommendation; Sanction Type{Sanction Type} Outright Suspension with Probation Credentials {Identification Type + Identification Number} Outright Suspension Months{Outright Suspension Months} Probationary Suspension Months{Probationary Suspension Months} Probationary Period Months {Probationary Period Months} Revoked{Revoked} Effective Date{Effective Date} Credentials Deposited with CG{Credentials Deposited with CG} Date for Completion (Susp){Date for Completion (Susp)} Date for Completion (Prob){Date for Completion (Prob)} Conditions for Probation{Conditions for Probation}." MISLE_F_REQ_11974 445.8 The system shall display the following in the Proposed Recommendation New details view when the ALJ user has selected the sanction item in the Proposed Sanctions list view: Sanction Type of type 'Outright Suspension for Duration'

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_11945 447 The system shall provide the ability for an ALJ user to enter an imposed New sanction when the user has selected Sanctions area. MISLE_F_REQ_11962 447.1 The system shall display the Imposed Sanction list view: Imposed Sanction New Type; Imposed Sanction Status; Settlement Status; Imposing Unit. MISLE_F_REQ_12848 447.1.1 The system shall display the Imposed Sanction Status set as blank in the New Imposed Sanction list view when the following conditions occur:  Settlement Type is set to 'Drug'  Settlement is approved  The docket contains no 'Notice of Satisfactory Settlement Completion' or 'Notice of Unsatisfactory Settlement Completion documents. MISLE_F_REQ_12851 447.1.2 The system shall display the Imposed Sanction Status set as blank in the New Imposed Sanction list view when the following conditions occur:  The Settlement Type is set to 'Drug'  The settlement is approved  The docket contains 'Notice of Satisfactory Settlement Completion' document. MISLE_F_REQ_12853 447.1.3 The system shall display the Imposed Sanction Status set as blank in the New Imposed Sanction list view when the following conditions occur:  The Settlement Type is set to 'Drug'  The settlement is not approved. MISLE_F_REQ_12856 447.1.4 The system shall display the Imposed Sanction Status set as blank in the New Imposed Sanction list view when the following conditions occur:

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Hierarchy Functional Requirement Proposed ID Changes  The Settlement Type is set to 'Drug'  The settlement is approved  The docket contains 'Notice of Unsatisfactory Settlement Completion' document. MISLE_F_REQ_12852 447.1.5 The system shall display the Settlement Status set as 'Pends Completion of New SA conditions' in the Imposed Sanction list view when the following conditions occur:  The Settlement Type is set to 'Drug'  The settlement is approved  The docket contains no 'Notice of Satisfactory Settlement Completion' or 'Notice of Unsatisfactory Settlement Completion documents'. MISLE_F_REQ_12850 447.1.6 The system shall display the Settlement Status set as 'SA conditions New complete' in the Imposed Sanction list view when the following conditions occur:  The Settlement Type is set to 'Drug'  The settlement is approved  The docket contains 'Notice of Satisfactory Settlement Completion' document. MISLE_F_REQ_12854 447.1.7 The system shall display the Settlement Status set as 'Failed SA conditions' in New the Imposed Sanction list view when the following conditions occur:  The Settlement Type is set to 'Drug'  The settlement is approved

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Hierarchy Functional Requirement Proposed ID Changes  The docket contains 'Notice of Unsatisfactory Settlement Completion' document. MISLE_F_REQ_12855 447.1.8 The system shall display the Settlement Status set as 'No Approved New Settlement' in the Imposed Sanction list view when the following conditions occur:  The Settlement Type is set to 'Drug'  The settlement is not approved. MISLE_F_REQ_12859 447.1.9 The system shall display the Settlement Status set as 'No Approved New Settlement' in the Imposed Sanction list view when the following conditions occur:  The Settlement Type is set to 'Drug'  The settlement is not approved. MISLE_F_REQ_12865 447.1.10 The system shall display the Imposed Sanction Status set as blank in the New Imposed Sanction list view when the following conditions occur:  Settlement Type is set to 'Mitigated with Conditions'.  Settlement is approved.  The docket contains no 'Notice of Satisfactory Settlement Completion' or 'Notice of Unsatisfactory Settlement Completion documents. MISLE_F_REQ_12866 447.1.11 The system shall display the Imposed Sanction Status set as blank in the New Imposed Sanction list view when the following conditions occur:  The Settlement Type is set to 'Mitigated with Conditions'  The settlement is approved

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Hierarchy Functional Requirement Proposed ID Changes  The docket contains 'Notice of Satisfactory Settlement Completion' document. MISLE_F_REQ_12867 447.1.12 The system shall display the Imposed Sanction Status set as blank in the New Imposed Sanction list view when the following conditions occur:  The Settlement Type is set to 'Mitigated with Conditions'  The settlement is approved  The docket contains 'Notice of Unsatisfactory Settlement Completion' document. MISLE_F_REQ_12868 447.1.13 The system shall display the Imposed Sanction Status set as blank in the New Imposed Sanction list view when the following conditions occur:  The Settlement Type is set to 'Mitigated with Conditions'  The settlement is not approved. MISLE_F_REQ_12869 447.1.14 The system shall display the Settlement Status set as 'Pends Completion of New SA conditions' in the Imposed Sanction list view when the following conditions occur:  The Settlement Type is set to 'Mitigated with Conditions'.  The settlement is approved.  The docket contains no 'Notice of Satisfactory Settlement Completion' or 'Notice of Unsatisfactory Settlement Completion documents'. MISLE_F_REQ_12870 447.1.15 The system shall display the Settlement Status set as 'SA conditions New complete' in the Imposed Sanction list view when the following conditions occur:  The Settlement Type is set to 'Mitigated with Conditions'

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Hierarchy Functional Requirement Proposed ID Changes  The settlement is approved  The docket contains 'Notice of Satisfactory Settlement Completion' document. MISLE_F_REQ_12871 447.1.16 The system shall display the Settlement Status set as 'Failed SA conditions' in New the Imposed Sanction list view when the following conditions occur:  The Settlement Type is set to 'Mitigated with Conditions'  The settlement is approved  The docket contains 'Notice of Unsatisfactory Settlement Completion' document. MISLE_F_REQ_12872 447.1.17 The system shall display the Imposed Sanction Status set as blank in the New Imposed Sanction list view when the following conditions occur:  Settlement Type is set to 'Mitigated'.  Settlement is approved.  It is an Outright Suspension Sanction.  The success of the sanction has not yet been determined because the suspension period is not up. MISLE_F_REQ_12873 447.1.18 The system shall display the Imposed Sanction Status set as blank in the New Imposed Sanction list view when the following conditions occur:  Settlement Type is set to 'Mitigated'.  Settlement is approved.  It is an Outright Suspension Sanction.  The sanction was successfully completed.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_12874 447.1.19 The system shall display the Imposed Sanction Status set as blank in the New Imposed Sanction list view when the following conditions occur:  Settlement Type is set to 'Mitigated'.  Settlement is approved.  It is an Outright Suspension Sanction.  The sanction was NOT successfully completed. MISLE_F_REQ_12875 447.1.20 The system shall display the Imposed Sanction Status set as blank in the New Imposed Sanction list view when the following conditions occur:  Settlement Type is set to 'Mitigated'.  Settlement is approved.  It is an Outright Suspension Sanction.  The Settlement status cannot be determined. MISLE_F_REQ_12876 447.1.21 The system shall display the Settlement Status set as 'Pends completion of New Suspension Period' in the Imposed Sanction list view when the following conditions occur:  Settlement Type is set to 'Mitigated'  Settlement is approved  It is an Outright Suspension Sanction  The success of the sanction has not yet been determined because the suspension period is not up. MISLE_F_REQ_12877 447.1.22 The system shall display the Settlement Status set as 'Suspension Period New Complete' in the Imposed Sanction list view when the following conditions occur:

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Hierarchy Functional Requirement Proposed ID Changes  Settlement Type is set to 'Mitigated'  Settlement is approved  The Imposed Sanction is an Outright Suspension Sanction  The sanction was successfully completed. MISLE_F_REQ_12878 447.1.23 The system shall display the Settlement Status set as 'Did not complete New Suspension Period. Credentials Revoked" in the Imposed Sanction list view when the following conditions occur:  Settlement Type is set to 'Mitigated'  Settlement is approved  The Imposed Sanction is an Outright Suspension Sanction  The sanction was NOT successfully completed. MISLE_F_REQ_12879 447.1.24 The system shall display the Settlement Status set as 'Call IO for status' in the New Imposed Sanction list view when the following conditions occur:  Settlement Type is set to 'Mitigated'  Settlement is approved  The Imposed Sanction is an Outright Suspension Sanction  The Settlement status cannot be determined from the state of the Sanction and associated Suspension data. MISLE_F_REQ_12880 447.1.25 The system shall display the Imposed Sanction Status set as blank in the New Imposed Sanction list view when the following conditions occur:  Settlement Type is set to 'Mitigated'  Settlement is approved

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Hierarchy Functional Requirement Proposed ID Changes  The Imposed Sanction is a Suspension on Probation Sanction  The success of the sanction has not yet been determined because the suspension period is not up. MISLE_F_REQ_12881 447.1.26 The system shall display the Imposed Sanction Status set as blank in the New Imposed Sanction list view when the following conditions occur:  Settlement Type is set to 'Mitigated'  Settlement is approved  The Imposed Sanction is a Suspension on Probation Sanction  The sanction suspension was successfully completed. MISLE_F_REQ_12882 447.1.27 The system shall display the Imposed Sanction Status set as blank in the New Imposed Sanction list view when the following conditions occur:  Settlement Type is set to 'Mitigated'  Settlement is approved  The Imposed Sanction is a Suspension on Probation Sanction  The sanction suspension was NOT successfully completed. MISLE_F_REQ_12883 447.1.28 The system shall display the Imposed Sanction Status set as blank in the New Imposed Sanction list view when the following conditions occur:  Settlement Type is set to 'Mitigated'  Settlement is approved  The Imposed Sanction is a Suspension on Probation Sanction  The sanction WAS successfully completed.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_12884 447.1.29 The system shall display the Imposed Sanction Status set as blank in the New Imposed Sanction list view when the following conditions occur:  Settlement Type is set to 'Mitigated'  Settlement is approved  The Imposed Sanction is a Suspension on Probation Sanction  The sanction WAS NOT successfully completed. MISLE_F_REQ_12885 447.1.30 The system shall display the Imposed Sanction Status set as blank in the New Imposed Sanction list view when the following conditions occur:  Settlement Type is set to 'Mitigated'  Settlement is approved  The Imposed Sanction is a Suspension on Probation Sanction  The sanction Settlement Status cannot be determined from the state of the sanction data. MISLE_F_REQ_12886 447.1.31 The system shall display the Settlement Status set as 'Pends completion of New Probationary Terms' in the Imposed Sanction list view when the following conditions occur:  Settlement Type is set to 'Mitigated'  Settlement is approved  The Imposed Sanction is a Suspension on Probation Sanction  The success of the sanction has not yet been determined because the suspension period is not up.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_12887 447.1.32 The system shall display the Settlement Status set as 'Completed New Probationary Terms' in the Imposed Sanction list view when the following conditions occur:  Settlement Type is set to 'Mitigated'  Settlement is approved  The Imposed Sanction is a Suspension on Probation Sanction  The sanction suspension was successfully completed. MISLE_F_REQ_12888 447.1.33 The system shall display the Settlement Status set as 'Failed Probationary New Terms. Credentials Suspended' in the Imposed Sanction list view when the following conditions occur:  Settlement Type is set to 'Mitigated'  Settlement is approved  The Imposed Sanction is a Suspension on Probation Sanction  The sanction suspension was NOT successfully completed. MISLE_F_REQ_12889 447.1.34 The system shall display the Settlement Status set as 'Suspension Period New Complete' in the Imposed Sanction list view when the following conditions occur:  Settlement Type is set to 'Mitigated'  Settlement is approved  The Imposed Sanction is a Suspension on Probation Sanction  The sanction WAS successfully completed.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_12890 447.1.35 The system shall display the Settlement Status set as 'Did not complete New Suspension Period. Credentials Revoked' in the Imposed Sanction list view when the following conditions occur:  Settlement Type is set to 'Mitigated'  Settlement is approved  The Imposed Sanction is a Suspension on Probation Sanction  The sanction WAS NOT successfully completed. MISLE_F_REQ_12891 447.1.36 The system shall display the Settlement Status set as 'Undefined Status SOP' New in the Imposed Sanction list view when the following conditions occur:  Settlement Type is set to 'Mitigated'  Settlement is approved  The Imposed Sanction is a Suspension on Probation Sanction  The sanction Settlement Status cannot be determined from the state of the sanction data. MISLE_F_REQ_12892 447.1.37 The system shall display the Imposed Sanction Status set as blank in the New Imposed Sanction list view when the following conditions occur:  Settlement Type is set to 'Mitigated'  Settlement is approved  The Imposed Sanction is a Suspension with Probation Sanction  The success of the sanction has not yet been determined because the suspension period is not up. MISLE_F_REQ_12893 447.1.38 The system shall display the Imposed Sanction Status set as blank in the New Imposed Sanction list view when the following conditions occur:

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Hierarchy Functional Requirement Proposed ID Changes  Settlement Type is set to 'Mitigated'  Settlement is approved  The Imposed Sanction is a Suspension with Probation Sanction  The sanction suspension WAS NOT successful and the Probation Revoked indicator is 'false'. MISLE_F_REQ_12894 447.1.39 The system shall display the Imposed Sanction Status set as blank in the New Imposed Sanction list view when the following conditions occur:  Settlement Type is set to 'Mitigated'  Settlement is approved  The Imposed Sanction is a Suspension on Probation Sanction  The sanction suspension WAS NOT successful and the Probation Revoked indicator is 'true'. MISLE_F_REQ_12895 447.1.40 The system shall display the Imposed Sanction Status set as blank in the New Imposed Sanction list view when the following conditions occur:  Settlement Type is set to 'Mitigated'  Settlement is approved  The Imposed Sanction is a Suspension on Probation Sanction  The sanction WAS successfully completed. MISLE_F_REQ_12896 447.1.41 The system shall display the Imposed Sanction Status set as blank in the New Imposed Sanction list view when the following conditions occur:  Settlement Type is set to 'Mitigated'  Settlement is approved

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Hierarchy Functional Requirement Proposed ID Changes  The Imposed Sanction is a Suspension on Probation Sanction  The sanction WAS NOT successfully completed. MISLE_F_REQ_12897 447.1.42 The system shall display the Imposed Sanction Status set as blank in the New Imposed Sanction list view when the following conditions occur:  Settlement Type is set to 'Mitigated'  Settlement is approved  The Imposed Sanction is a Suspension on Probation Sanction  The sanction Settlement Status cannot be determined from the state of the sanction data. MISLE_F_REQ_12898 447.1.43 The system shall display the Settlement Status set as 'Pends completion of New Probationary Terms' in the Imposed Sanction list view when the following conditions occur:  Settlement Type is set to 'Mitigated'  Settlement is approved  The Imposed Sanction is a Suspension with Probation Sanction  The success of the sanction has not yet been determined because the suspension period is not up. MISLE_F_REQ_12899 447.1.44 The system shall display the Settlement Status set as 'Failed Probationary New Terms. Credentials Revoked' in the Imposed Sanction list view when the following conditions occur:  Settlement Type is set to 'Mitigated'  Settlement is approved  The Imposed Sanction is a Suspension with Probation Sanction

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Hierarchy Functional Requirement Proposed ID Changes  The sanction suspension WAS NOT successful and the Probation Revoked indicator is 'false'. MISLE_F_REQ_12900 447.1.45 The system shall display the Settlement Status set as 'Pends completion of New Probationary Terms' in the Imposed Sanction list view when the following conditions occur:  Settlement Type is set to 'Mitigated'  Settlement is approved  The Imposed Sanction is a Suspension on Probation Sanction  The sanction suspension WAS NOT successful and the Probation Revoked indicator is 'true'. MISLE_F_REQ_12901 447.1.46 The system shall display the Settlement Status set as 'Suspension Period New Complete' in the Imposed Sanction list view when the following conditions occur:  Settlement Type is set to 'Mitigated'  Settlement is approved  The Imposed Sanction is a Suspension on Probation Sanction  The sanction WAS successfully completed. MISLE_F_REQ_12902 447.1.47 The system shall display the Imposed Sanction Status set as 'Did not New complete Suspension Period. Credentials Revoked' in the Imposed Sanction list view when the following conditions occur:  Settlement Type is set to 'Mitigated'  Settlement is approved  The Imposed Sanction is a Suspension on Probation Sanction

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Hierarchy Functional Requirement Proposed ID Changes  The sanction WAS NOT successfully completed. MISLE_F_REQ_12903 447.1.48 The system shall display the Imposed Sanction Status set as 'Call IO for New Status' in the Imposed Sanction list view when the following conditions occur:  Settlement Type is set to 'Mitigated'  Settlement is approved  The Imposed Sanction is a Suspension on Probation Sanction  The sanction Settlement Status cannot be determined from the state of the sanction data. MISLE_F_REQ_11956 447.2 The system shall provide the ability for the ALJ user to select a Sanction New Type when the ALJ user is adding an imposed sanction in the Imposed Outcome details view of the Imposed Sanction list view. MISLE_F_REQ_11996 447.3 The system shall display the following in the Imposed Outcome details view New when the imposed Sanction Type is set to one of the following sanction types: Revocation; Outright Suspension; Suspension on Probation; Suspension with Probation: "Outcome; Sanction Type{Sanction Type}; Credentials {Identification Type + Identification Number}" MISLE_F_REQ_12019 447.4 The system shall provide the ability for the ALJ user to impose a sanction of New revocation against a respondent when the value for Sanction Type is set to 'Revocation' by the ALJ user. MISLE_F_REQ_12020 447.5 The system shall display the following in the Imposed Outcome details view New when the value for Sanction Type is set to 'Revocation' by the ALJ user: Sanction Type of 'Revocation' MISLE_F_REQ_12033 447.6 The system shall provide the ability for the ALJ user to impose a sanction of New stayed revocation against a respondent when the value for Sanction Type is set to 'Stayed Revocation' by the ALJ user.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_12034 447.7 The system shall display the following in the Imposed Outcome details view New when the value for Sanction Type is set to 'Stayed Revocation' by the ALJ user: Sanction Type of 'Stayed Revocation' MISLE_F_REQ_12021 447.8 The system shall provide the ability for the ALJ user to impose a sanction of New outright suspension against a respondent when the value for Sanction Type is set to 'Outright Suspension' by the ALJ user. MISLE_F_REQ_12023 447.9 The system shall display the following in the Imposed Outcome details view New when the value for Sanction Type is set to 'Outright Suspension' by the ALJ user: Sanction Type of 'Outright Suspension' MISLE_F_REQ_12024 447.10 The system shall provide the user with the ability to enter an Outright New Suspension Months when the ALJ user is in the Imposed Outcome details view. MISLE_F_REQ_12025 447.11 The system shall provide the user with the ability to enter an Effective Date New when the ALJ user has selected the Sanction Type of type 'Outright Suspension' in the Imposed Outcome details view. MISLE_F_REQ_12026 447.12 The system shall provide the user with the ability to display the CG New Credentials Deposited with CG when the ALJ user has selected the Sanction Type of 'Outright Suspension' in the Imposed Outcome details view. MISLE_F_REQ_12027 447.13 The system shall provide the user with the ability to enter Date for New Completion when the ALJ user has selected the Sanction Type of 'Outright Suspension' in the Imposed Outcome details view. MISLE_F_REQ_12028 447.14 The system shall provide the ability for the ALJ user to impose a sanction of New suspension on probation against a respondent when the value for Sanction Type is set to 'Suspension on Probation' by the ALJ user.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_12029 447.15 The system shall provide the user with the ability to enter Probationary New Suspension Months when the ALJ user has selected the Sanction Type of 'Suspension on Probation' in the Imposed Outcome details view. MISLE_F_REQ_12031 447.16 The system shall provide the user with the ability to enter Probationary New Period Months when the ALJ user has selected the Sanction Type of 'Suspension on Probation' in the Imposed Outcome details view. MISLE_F_REQ_12032 447.17 The system shall provide the user with the ability to enter Date for New Completion when the ALJ user has selected the Sanction Type of 'Suspension on Probation' in the Imposed Outcome details view. MISLE_F_REQ_12030 447.18 The system shall provide the user with the ability to enter Conditions for New Probation when the ALJ user has selected the Sanction Type of 'Suspension on Probation' in the Imposed Outcome details view. MISLE_F_REQ_12035 447.19 The system shall provide the ability for the ALJ user to impose a sanction of New admonition against a respondent when the value for Sanction Type is set to 'Admonition' by the ALJ user. MISLE_F_REQ_12036 447.20 The system shall display the Sanction Type of 'Admonition' in the Imposed New Outcome details view when the value for Sanction Type is set to 'Admonition' by the ALJ user. MISLE_F_REQ_12037 447.21 The system shall provide the ability for the ALJ user to impose a sanction of New suspension with probation against a respondent when the value for Sanction Type is set to 'Suspension with Probation' by the ALJ user. MISLE_F_REQ_12042 447.22 The system shall provide the user with the ability to enter Outright New Suspension Months when the ALJ user has selected the Sanction Type of 'Suspension with Probation' in the Imposed Outcome details view.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_12038 447.23 The system shall provide the user with the ability to enter Probationary New Suspension Months when the ALJ user has selected the Sanction Type of 'Suspension with Probation' in the Imposed Outcome details view. MISLE_F_REQ_12039 447.24 The system shall provide the user with the ability to enter Probationary New Period Months when the ALJ user has selected the Sanction Type of 'Suspension with Probation' in the Imposed Outcome details view. MISLE_F_REQ_12043 447.25 The system shall provide the user with the ability to select Revoked when the New ALJ user has selected the Sanction Type of 'Suspension with Probation' in the Imposed Outcome details view. MISLE_F_REQ_12044 447.26 The system shall provide the user with the ability to enter Effective Date when New the ALJ user has selected the Sanction Type of 'Suspension with Probation' in the Imposed Outcome details view. MISLE_F_REQ_12040 447.27 The system shall provide the user with the ability to enter Date for New Completion when the ALJ user has selected the Sanction Type of 'Suspension with Probation' in the Imposed Outcome details view. MISLE_F_REQ_12045 447.28 The system shall provide the user with the ability to view the Credentials New Deposited with CG when the ALJ user has selected the Sanction Type of 'Suspension with Probation' in the Imposed Outcome details view. MISLE_F_REQ_12046 447.29 The system shall provide the user with the ability to enter Date for New Completion (Susp.) when the ALJ user has selected the Sanction Type of 'Suspension with Probation' in the Imposed Outcome details view. MISLE_F_REQ_12047 447.30 The system shall provide the user with the ability to enter Date for New Completion (Prob) when the ALJ user has selected the Sanction Type of 'Suspension with Probation' in the Imposed Outcome details view.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_12041 447.31 The system shall provide the user with the ability to enter Conditions for New Probation when the ALJ user has selected the Sanction Type of 'Suspension with Probation' in the imposed outcome area. MISLE_F_REQ_12048 447.32 The system shall provide the ability for the ALJ user to impose a sanction of New outright suspension for duration against a respondent when the value for Sanction Type is set to 'Outright Suspension for Duration' by the ALJ user. MISLE_F_REQ_12049 447.33 The system shall display the Sanction Type of 'Outright Suspension for New Duration' in the Imposed Outcome details view when the value for Sanction Type is set to 'Outright Suspension for Duration' by the ALJ user. MISLE_F_REQ_12051 447.34 The system shall provide the ability for the ALJ user to supersede the New previously added Sanction Type when the ALJ user has added an imposed sanction in the outcome area of the Imposed Sanction list view.

MISLE_F_REQ_12054 448 The system shall display only changes to previously added to the imposed New sanction at the top of the Imposed Sanction list view.

MISLE_F_REQ_12055 449 The system shall only display the previously changed imposed sanction when New the ALJ user has selected one of the previously added imposed sanctions.

MISLE_F_REQ_12056 450 The system shall use the most recently added imposed sanction as the current New sanction when the ALJ user has completed updating the user.

Table 6-90 Sanctions - Proposed Sanctions - List Data Elements

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ID Element Description 5783 Proposed Sanction The Sanction Type is what has been recommended by the IO via the filed complaint. Type 5784 Settlement Agreement The Settlement Agreement shows if the settlement agreement has been approved base on conditions. 5785 Recommending Unit This is the enforcement owning unit.

Table 6-91 Sanctions - Imposed Sanctions - List Data Elements ID Element Description Format Default Length Req 5482 Imposed The Sanction Type for a Suspension and Revocation Picklist na Yes Sanction Type Enforcement Activity that has been Imposed by the Adjudication team to the SOI. 5787 Imposed Status of imposed sanction that is updated based on Alphanumeric Null 20 Cond Sanction Status conditions with the case activities. Req 5932 Settlement Settlement Status is based on conditions with the case Alphanumeric Null 20 Cond Status activities. Req

5933 Imposing Unit ALJ unit who set the Imposed Sanction.

Table 6-92 Sanctions - Proposed Sanctions - Revocation Data Elements ID Element Description 1446 Id Type Specifies if the credential is: US Merchant Mariner Credential, US Merchant Mariner License, US Merchant Mariner Document, and US Certificate of Registry. NOTE: This information is found in the Party Identification section of the Party Record.

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ID Element Description 1447 Identification Identification number or name. This information is related to the number or name of the Identification Number Type. 5480 Sanction Type The selection that is used by the IO for determining a type of Sanction in an Enforcement Warning or Civil Penalty Activity.

Table 6-93 Sanctions - Proposed Sanctions - Outright Suspension Data Elements ID Element Description 1446 Id Type Specifies if the credential is: US Merchant Mariner Credential, US Merchant Mariner License, US Merchant Mariner Document, and US Certificate of Registry. NOTE: This information is found in the Party Identification section of the Party Record. 1447 Identification Number Identification number or name. This information is related to the number or name of the Identification Type. 2260 Effective Date The beginning date of the record, activity, subject or process. 5480 Sanction Type The selection that is used by the IO for determining a type of Sanction in an Enforcement Warning or Civil Penalty Activity. 5485 Outright Suspension The number of months the SOI shall not have their MMC and/or license information. Months 5728 Date for Completion The date for the respondent's suspension or probation to which they must be completed. 5790 Credentials Deposited Date the credentials were deposited with the USCG. with CG

Table 6-94 Sanctions - Proposed Sanctions - Suspension on Probation Data Elements

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ID Element Description 1446 Id Type Specifies if the credential is: US Merchant Mariner Credential, US Merchant Mariner License, US Merchant Mariner Document, and US Certificate of Registry. NOTE: This information is found in the Party Identification section of the Party Record. 1447 Identification Number Identification number or name. This information is related to the number or name of the Identification Type. 5480 Sanction Type The selection that is used by the IO for determining a type of Sanction in an Enforcement Warning or Civil Penalty Activity. 5728 Date for Completion The date for the respondent's suspension or probation to which they must be completed. 5797 Conditions on Probation Any condition notes that are required for the probation. 5924 Probationary The total number of months of the respondent that will be on a suspended probation. Suspension Months 5925 Probationary Period The total number of months that the respondent will be on probation. Months

Table 6-95 Sanctions - Proposed Sanctions - Suspension with Probation Data Elements ID Element Description 1446 Id Type Specifies if the credential is: US Merchant Mariner Credential, US Merchant Mariner License, US Merchant Mariner Document, and US Certificate of Registry. NOTE: This information is found in the Party Identification section of the Party Record. 1447 Identification Number Identification number or name. This information is related to the number or name of the Identification Type. 2260 Effective Date The beginning date of the record, activity, subject or process. 5480 Sanction Type The selection that is used by the IO for determining a type of Sanction in an Enforcement Warning or Civil Penalty Activity.

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ID Element Description 5485 Outright Suspension The number of months the SOI shall not have their MMC and/or license information. Months 5790 Credentials Deposited Date the credentials were deposited with the USCG. with CG 5792 Revoked Indicator that the respondent's credentials have been revoked. 5797 Conditions on Probation Any condition notes that are required for the probation. 5924 Probationary The total number of months of the respondent that will be on a suspended probation. Suspension Months 5925 Probationary Period The total number of months that the respondent will be on probation. Months 5926 Date for Completion Date that the respondent's suspension completion is set. (Susp) 5927 Date for Completion Date that the respondent's probation completion is set. (Prob)

Table 6-96 Sanctions - Proposed Sanctions - Stayed Revocation Data Elements ID Element Description 5480 Sanction The selection that is used by the IO for determining a type of Sanction in an Enforcement Warning or Civil Type Penalty Activity.

Table 6-97 Sanctions - Proposed Sanctions - Admonition Data Elements

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ID Element Description 5480 Sanction The selection that is used by the IO for determining a type of Sanction in an Enforcement Warning or Civil Type Penalty Activity.

Table 6-98 Sanctions - Proposed Sanctions - Outright Suspension for Duration Data Elements ID Element Description 5480 Sanction The selection that is used by the IO for determining a type of Sanction in an Enforcement Warning or Civil Type Penalty Activity.

Table 6-99 Sanctions - Imposed Sanctions - Revocation Data Elements ID Element Description Format Default Length Req 1446 Id Type Specifies if the credential is: US Merchant Mariner Credential, US Read- n/a n/a Yes Merchant Mariner License, US Merchant Mariner Document, and Only US Certificate of Registry. NOTE: This information is found in the Party Identification section of the Party Record. 1447 Identification Identification number or name. This information is related to the Read- n/a n/a Yes Number number or name of the Identification Type. Only 5480 Sanction Type The selection that is used by the IO for determining a type of Picklist na na Yes Sanction in an Enforcement Warning or Civil Penalty Activity.

Table 6-100 Sanctions - Imposed Sanctions - Stayed Revocation Data Elements ID Element Description Format Default Length Req 5480 Sanction The selection that is used by the IO for determining a type of Sanction in Picklist na na Yes Type an Enforcement Warning or Civil Penalty Activity.

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Table 6-101 Sanctions - Imposed Sanctions - Outright Suspension Data Elements ID Element Description Format Default Length Req 1446 Id Type Specifies if the credential is: US Merchant Mariner Read- n/a n/a Yes Credential, US Merchant Mariner License, US Merchant Only Mariner Document, and US Certificate of Registry. NOTE: This information is found in the Party Identification section of the Party Record. 1447 Identification Identification number or name. This information is related Read- n/a n/a Yes Number to the number or name of the Identification Type. Only 2260 Effective Date The beginning date of the record, activity, subject or Date Current N/A Yes process. Date/Time 5480 Sanction Type The selection that is used by the IO for determining a type Picklist na na Yes of Sanction in an Enforcement Warning or Civil Penalty Activity. 5485 Outright The number of months the SOI shall not have their MMC Numeric 2 Yes Suspension and/or license information. Months 5728 Date for The date for the respondent's suspension or probation to Date NULL 10 No Completion which they must be completed. 5790 Credentials Date the credentials were deposited with the USCG. Date Null 10 Yes Deposited with CG

Table 6-102 Sanctions - Imposed Sanctions - Suspension on Probation Data Elements

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ID Element Description Format Default Length Req 1446 Id Type Specifies if the credential is: US Merchant Mariner Read-Only n/a n/a Yes Credential, US Merchant Mariner License, US Merchant Mariner Document, and US Certificate of Registry. NOTE: This information is found in the Party Identification section of the Party Record. 1447 Identification Identification number or name. This information is related Read-Only n/a n/a Yes Number to the number or name of the Identification Type. 5480 Sanction Type The selection that is used by the IO for determining a type Picklist na na Yes of Sanction in an Enforcement Warning or Civil Penalty Activity. 5728 Date for The date for the respondent's suspension or probation to Date NULL 10 No Completion which they must be completed. 5797 Conditions on Any condition notes that are required for the probation. Alphanumeric NULL 2000 No Probation 5924 Probationary The total number of months of the respondent that will be Numeric Null 2 Suspension Months on a suspended probation. 5925 Probationary The total number of months that the respondent will be on Numeric Null 2 Period Months probation.

Table 6-103 Sanctions - Imposed Sanctions - Admonition Data Elements ID Element Description Format Default Length Req 5480 Sanction The selection that is used by the IO for determining a type of Sanction in Picklist na na Yes Type an Enforcement Warning or Civil Penalty Activity.

Table 6-104 Sanctions - Imposed Sanctions - Suspension with Probation Data Elements

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ID Element Description Format Default Length Req 1446 Id Type Specifies if the credential is: US Merchant Mariner Read-Only n/a n/a Yes Credential, US Merchant Mariner License, US Merchant Mariner Document, and US Certificate of Registry. NOTE: This information is found in the Party Identification section of the Party Record. 1447 Identification Identification number or name. This information is Read-Only n/a n/a Yes Number related to the number or name of the Identification Type. 2260 Effective Date The beginning date of the record, activity, subject or Date Current N/A Yes process. Date/Time 5480 Sanction Type The selection that is used by the IO for determining a Picklist na na Yes type of Sanction in an Enforcement Warning or Civil Penalty Activity. 5485 Outright The number of months the SOI shall not have their Numeric 2 Yes Suspension MMC and/or license information. Months 5790 Credentials Date the credentials were deposited with the USCG. Date Null 10 Yes Deposited with CG 5792 Revoked Indicator that the respondent's credentials have been Yes/No NULL N/A No revoked. 5797 Conditions on Any condition notes that are required for the probation. Alphanumeric NULL 2000 No Probation 5924 Probationary The total number of months of the respondent that will Numeric Null 2 Suspension be on a suspended probation. Months

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ID Element Description Format Default Length Req 5925 Probationary The total number of months that the respondent will be Numeric Null 2 Period Months on probation. 5926 Date for Date that the respondent's suspension completion is set. Date Null 10 Yes Completion (Susp) 5927 Date for Date that the respondent's probation completion is set. Date Null 10 Yes Completion (Prob)

Table 6-105 Sanctions - Imposed Sanctions - Outright Suspension for Duration Data Elements ID Element Description Format Default Length Req 5480 Sanction The selection that is used by the IO for determining a type of Sanction in Picklist na na Yes Type an Enforcement Warning or Civil Penalty Activity.

Table 6-106 Adjudication General Information/Transfer Data Elements ID Element Description 24 Last Name The last name of the Team Lead identified for the Activity 25 First Name The first name of the Team Lead identified for the Activity 428 MISLE Activity ID MISLE Enforcement Activity ID associated with the case. 434 Owning Unit Unit that owns the activity and can transfer control of the activity 438 Originating Unit Unit that created the activity. 458 Role Role of the associated organization for the selected activity 1857 Last Name Last name of the individual. 1858 First Name First name of the individual.

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ID Element Description 1859 Middle Name Middle name of the individual. 5534 Docket Type A picklist with categories of how a case has been assigned out by the Docket Center team members. 5554 Adjudication Start The date on which the Complaint was sent over from the MISLE Enforcement Referral. Date 5588 Coast Guard Case The ID number assigned by the USCG to the case. Number 5630 Judges First Name Judge's first name. 5631 Judges Middle Judge's middle name. Name 5632 Judges Last Name Judge's last name. 5634 Judge Active An indicator that show whether the judge is active or not. 5652 Law Clerk First Displays the First Name of the Law Clerk who is assigned to the case activity. Name 5653 Law Clerk Last Displays the Last Name of the Law Clerk who is assigned to the case activity. Name 5654 Law Clerk Middle Displays the Middle initial of the Law Clerk who is assigned to the case activity. Initial 5655 Law Clerk Active An indicator that show whether the law clerk is active or not. 5659 Docket Status Auto populated by the selection of the Docket Type but allows user to select what the status should be. In adjudication this is the last update the docket center did before transferring the case.

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6.1.17 Use Case - 437: Review / Add / Edit Hearings & Conferences Overview: The capability for the ALJ to review and schedule hearings & conferences is necessary to the litigation process. Purpose: 1. To provide the ability for the ALJ users to schedule a pre-hearing conference or hearing for case activities. 2. To provide the ability to enter additional information about a conference or hearing if it was held. Primary Actors: Paralegal Specialist Attorney Advisor Administrative Law Judge (ALJ) Pre-Conditions: 1. The complaint and NOF transaction has occurred from the IO and received by the system. 2. Before the order for the hearing is created, the hearing and conference information must be entered. 3. To update the Exhibits & Transcripts the owning unit must be the ALJ users. Scenario(s): Main Success Scenario 1. The user is presented with the hearing/conferences list view. 2. The user may add a hearing or pre-hearing. 3. The user may remove a hearing or pre-hearing. 4. The user may add hearing report information. 5. The user may transfer the case back to the docketing center. Exceptions: 1. The user may cancel and return to the calling workflow. Post-Conditions: 1. The user may have reviewed the present hearing dates. 2. The user may have added a hearing or pre-hearing. 3. The user may have removed a hearing or pre-hearing. 4. The user may have added report information once the hearing was held. 5. The user may have transferred the case back to the docketing center.

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Table 6-107 Review / Add / Edit Hearings & Conferences Functional Requirements Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_12067 267 The system shall display the following data elements when the ALJ user is New managing adjudication activities: ADJ Activity Title; Enf Type; Docket Status; Adjudication Start Date; Originating unit; Owning Unit; Docket Number; Docket Type; MISLE Activity Id; Coast Guard Case Number; Assigned IO; Assigned ALJ; Assigned Law Clerk MISLE_F_REQ_12068 267.1 The system shall populate the ADJ Activity Title data element as "USCG vs" New in addition to the respondent's First Name + Middle Name + Last Name. MISLE_F_REQ_12069 267.2 The system shall populate the Assigned IO data element as First Name + New Last Name of the individual with an involved personnel Role equal to 'Investigating Officer - Assigned IO'. MISLE_F_REQ_12070 267.3 The system shall populate the Assigned ALJ data element as Judges First New Name + Judges Middle Name + Judges Last Name. MISLE_F_REQ_12071 267.4 The system shall display the value for the Assigned ALJ when the Judge New Active is set to 'Yes' in the Case Assignment area. MISLE_F_REQ_12072 267.5 The system shall populate the Assigned Law Clerk data element with Law New Clerk First Name + Law Clerk Middle Name + Law Clerk Last Name. MISLE_F_REQ_12073 267.6 The system shall display the value for the Assigned Law Clerk when the New Law Clerk Active is set to 'Yes' in the Case Assignment area. MISLE_F_REQ_12145 267.7 The system shall provide the ability for the ALJ user to transfer the case file to New the Docketing Center. MISLE_F_REQ_12146 267.7.1 The system shall provide the ability for the ALJ user to decline the transfer of New a case file to the Docketing Center.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_12147 267.7.2 The system shall provide the ability to confirm the transfer of a case file to the New Docketing Center when the ALJ user is transferring the case to the Docketing Center. MISLE_F_REQ_12774 267.7.3 The system shall display the following statement when the user confirms the New transfer of a case file to the Docketing Center: “Was a case hearing held?” MISLE_F_REQ_12148 267.7.4 The system shall provide the ability to decline that a hearing was held when New the ALJ user has confirmed the transfer of a case file to the Docketing Center. MISLE_F_REQ_12152 267.7.5 The system shall transfer the case file to the Docketing Center when the ALJ New user has selected to decline that a hearing was held. MISLE_F_REQ_12149 267.7.6 The system shall provide the ability to confirm that a hearing was held when New the ALJ user has confirmed the transfer of a case file to the Docketing Center. MISLE_F_REQ_12150 267.7.7 The system shall re-direct the ALJ user to the Report of Hearing detail view in New the Hearing & Conferences area when the ALJ user confirms that a hearing was held. MISLE_F_REQ_12153 267.7.8 The system shall transfer the case file to the Docketing Center when the ALJ New user has completed the entry of the Report of Hearing detail view in the Hearing & Conferences area. MISLE_F_REQ_12059 476 The system shall provide the ability for the ALJ user to schedule case New activities when the ALJ user has selected to enter the Hearing and Conferences area. MISLE_F_REQ_12253 477 The system shall display the Hearing and Conferences list data elements when New the ALJ user is review the Hearing and Conferences area: Schd Date/Time; Held Date; Hearing Type, Primary Judge; Hearing Location; Hearing Method MISLE_F_REQ_12252 478 The system shall display Schd Date/Time which is populated by Hearing New Schd Date + Hearing Schd Time when the ALJ user had added a scheduled

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Hierarchy Functional Requirement Proposed ID Changes date/time for hearing in the Hearing details area of the Hearing and Conferences area.

MISLE_F_REQ_12254 479 The system shall display Held Date which is populated by Commenced Date New captured when the ALJ user had updated the date the hearing started in the Hearing details area of the Hearing and Conferences area. MISLE_F_REQ_12256 480 The system shall display Hearing Type when the ALJ user had added the New Hearing Type in the Hearing details area of the Hearing and Conferences area. MISLE_F_REQ_12257 481 The system shall display Primary Judge when the ALJ user had assigned the New Primary Judge in the Hearing details area of the Hearing and Conferences area. MISLE_F_REQ_12258 482 The system shall display Hearing Location when the ALJ user had added the New Hearing Location in the Hearing details area of the Hearing and Conferences area. MISLE_F_REQ_12259 483 The system shall display Hearing Method when the ALJ user had added the New Hearing Method in the Hearing details area of the Hearing and Conferences area. MISLE_F_REQ_12260 484 The system shall provide the ability for the user to sort the Hearing and New Conferences list in ascending order when the user is reviewing the Hearing and Conferences list view. MISLE_F_REQ_12292 485 The system shall provide the ability for the user to sort the Hearing and New Conferences list in descending order when the user is reviewing the Hearing and Conferences list view. MISLE_F_REQ_12261 486 The system shall provide the ability schedule a new hearing when the ALJ New user in the Hearing and Conferences area.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_12262 486.1 The system shall provide the ability to enter a current Hearing Sch Date New when the ALJ user is in the Hearing Scheduling details view of the Hearing and Conferences area. MISLE_F_REQ_12305 486.2 The system shall provide the ability to enter a future Hearing Sch Date when New the ALJ user is in the Hearing Scheduling details view of the Hearing and Conferences area. MISLE_F_REQ_12263 486.3 The system shall provide the ability to enter a Hearing Sch Time when the New ALJ user is in the Hearing Scheduling details view of the Hearing and Conferences area. MISLE_F_REQ_12264 486.4 The system shall provide the ability for the ALJ user to enter a Commenced New Date in the Hearing Scheduling area when recording the date the hearing had started. MISLE_F_REQ_12265 486.5 The system shall provide the ability for the ALJ user to enter a Hearing Type New when the user is in the Hearing Scheduling details view of the Hearing and Conferences area. MISLE_F_REQ_12266 486.6 The system shall provide the ability for the ALJ user to enter a Hearing New Method when the user is in the Hearing Scheduling details view of the Hearing and Conferences area. MISLE_F_REQ_12294 486.6.1 The system shall provide the ability for the ALJ user to select a 'Live' in the New Hearing Method when the user has selected the Hearing Type of 'Hearing' in the Hearing Scheduling details view of the Hearing and Conferences area. MISLE_F_REQ_12296 486.6.2 The system shall provide the ability for the ALJ user to select an 'Other' in the New Hearing Method when the user has selected the Hearing Type of 'Hearing' in the Hearing Scheduling details view of the Hearing and Conferences area.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_12297 486.6.3 The system shall provide the ability for the ALJ user to select 'Live' in the New Hearing Method when the user has selected the Hearing Type of 'null' in the Hearing Scheduling details view of the Hearing and Conferences area. MISLE_F_REQ_12300 486.6.4 The system shall provide the ability for the ALJ user to select 'Other' in the New Hearing Method when the user has selected the Hearing Type of 'null' in the Hearing Scheduling details view of the Hearing and Conferences area. MISLE_F_REQ_12299 486.6.5 The system shall provide the ability for the ALJ user to select 'Telephone' in New the Hearing Method when the user has selected the Hearing Type of 'null' in the Hearing Scheduling details view of the Hearing and Conferences area. MISLE_F_REQ_12301 486.6.6 The system shall provide the ability for the ALJ user to select 'Video' in the New Hearing Method when the user has selected the Hearing Type of 'null' in the Hearing Scheduling details view of the Hearing and Conferences area. MISLE_F_REQ_12304 486.6.7 The system shall provide the ability for the ALJ user to select a 'Live' in the New Hearing Method when the user has selected the Hearing Type of 'Pre- Hearing Conference' in the Hearing Scheduling details view of the Hearing and Conferences area. MISLE_F_REQ_12298 486.6.8 The system shall provide the ability for the ALJ user to select a 'Other' in the New Hearing Method when the user has selected the Hearing Type of 'Pre- Hearing Conference' in the Hearing Scheduling details view of the Hearing and Conferences area. MISLE_F_REQ_12302 486.6.9 The system shall provide the ability for the ALJ user to select 'Telephone' as New the Hearing Method when the user has selected the Hearing Type of 'Pre- Hearing Conference' in the Hearing Scheduling details view of the Hearing and Conferences area. MISLE_F_REQ_12303 486.6.10 The system shall provide the ability for the ALJ user to select 'Video' in the New Hearing Method when the user has selected the Hearing Type of 'null' in the Hearing Scheduling details view of the Hearing and Conferences area.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_12295 486.7 The system shall provide the ability for the ALJ user to enter a Hearing New Phone Number when the user has entered a Hearing Method as 'Telephone' in the Hearing Scheduling details view of the Hearing and Conferences area. MISLE_F_REQ_12267 486.8 The system shall display the Primary Judge when the user is in the Hearing New Scheduling details view of the Hearing and Conferences area. MISLE_F_REQ_12268 486.9 The system shall provide the ability for the ALJ user to select a Hearing New Location when the user has selected the Hearing Method of 'Live' in the Hearing Scheduling details view of the Hearing and Conferences area. MISLE_F_REQ_12315 486.10 The system shall provide the ability for the ALJ user to select a Hearing New Location when the user has selected the Hearing Method of 'Other' in the Hearing Scheduling details view of the Hearing and Conferences area. MISLE_F_REQ_12316 486.11 The system shall provide the ability for the ALJ user to select a Hearing New Location when the user has selected the Hearing Method of 'Video Conference' in the Hearing Scheduling details view of the Hearing and Conferences area. MISLE_F_REQ_12269 486.12 The system shall provide the ability for the ALJ user to enter a Custom New indicator to enter a different hearing location when in the Hearing Scheduling details view of the Hearing and Conferences area. MISLE_F_REQ_12270 486.12.1 The system shall provide the ability for the ALJ user to enter an Address New when the Custom indicator has been selected. MISLE_F_REQ_12271 486.12.2 The system shall provide the ability for the ALJ user to enter a City when the New Custom indicator has been selected. MISLE_F_REQ_12273 486.12.3 The system shall provide the ability for the ALJ user to enter a State when the New Custom indicator has been selected. MISLE_F_REQ_12274 486.12.4 The system shall provide the ability for the ALJ user to enter a Zip Code New when the Custom indicator has been selected.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_12272 486.12.5 The system shall provide the ability for the ALJ user to enter a Room New Number when the Custom indicator has been selected. MISLE_F_REQ_12275 486.13 The system shall provide the ability for the ALJ user to enter a Special New Instructions when user is in the Hearing Scheduling details view of the Hearing and Conferences area. MISLE_F_REQ_12276 486.14 The system shall provide the ability for the ALJ user to enter a Hearing Notes New when user is in the Hearing Scheduling details view of the Hearing and Conferences area. MISLE_F_REQ_12277 486.15 The system shall provide the ability for the ALJ user to review the proposed New scheduling details when the ALJ user is in the Proposed details view of the Hearing Scheduling details view. MISLE_F_REQ_12278 486.15.1 The system shall display to the ALJ user the Proposed Coast Guard Hearing New Location when the ALJ user is in the Proposed details view of the Hearing Scheduling details view. MISLE_F_REQ_12282 486.15.2 The system shall display to the ALJ user the First Proposed Coast Guard New Hearing Date when the ALJ user is in the Proposed details view of the Hearing Scheduling details view. MISLE_F_REQ_12283 486.15.3 The system shall display to the ALJ user the Second Proposed Coast Guard New Hearing Date when the ALJ user is in the Proposed details view of the Hearing Scheduling details view. MISLE_F_REQ_12284 486.15.4 The system shall display to the ALJ user the Third Proposed Coast Guard New Hearing Date when the ALJ user is in the proposed details area of the Hearing Scheduling details view. MISLE_F_REQ_12285 486.15.5 The system shall display to the ALJ user the First Proposed Respondent New Date when the ALJ user is in the Proposed details view of the Hearing Scheduling details view.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_12286 486.15.6 The system shall display to the ALJ user the Second Proposed Respondent New Date when the ALJ user is in the Proposed details view of the Hearing Scheduling details view. MISLE_F_REQ_12287 486.15.7 The system shall display to the ALJ user the Third Proposed Respondent New Date when the ALJ user is in the Proposed details view of the Hearing Scheduling details view. MISLE_F_REQ_12289 486.15.8 The system shall display to the ALJ user the Fourth Proposed Respondent New Date when the ALJ user is in the Proposed details view of the Hearing Scheduling details view. MISLE_F_REQ_12288 486.15.9 The system shall display to the ALJ user the Respondent Proposed Location New when the ALJ user is in the Proposed details view of the Hearing Scheduling details view. MISLE_F_REQ_12290 486.16 The system shall provide the ability for the ALJ user to exit the Hearing and New Conferences area when the user has no data saved to the Hearing Scheduling details view. MISLE_F_REQ_12293 486.17 The system shall provide the ability for the ALJ user to exit the Hearing and New Conferences area when the user has saved the information entered in the Hearing Scheduling details view. MISLE_F_REQ_12307 486.18 The system shall provide the ability for the ALJ user to remove a selected New Hearing and Conferences from the Hearing and Conferences list view when the ALJ user selects the remove. MISLE_F_REQ_12308 486.19 The system shall provide the ability for the ALJ user to edit a selected Hearing New and Conferences from the Hearing and Conferences list view when the ALJ user selects the edit.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_12309 486.19.1 The system shall provide the ability for the ALJ user to review the Primary New Judge that had been selected from the docketing center when the ALJ user is editing the Hearing Scheduling details view. MISLE_F_REQ_12306 486.20 The system shall provide the ability for the ALJ user to select the Hearing New report view when the ALJ user is required to report on a hearing. MISLE_F_REQ_12314 486.21 The system shall display a list of the hearing report values: Commenced New Date; Number of Days; Hearing City; Hearing State to the ALJ user when the ALJ user is reviewing the Hearing report view. MISLE_F_REQ_12310 486.21.1 The system shall provide the ability for the ALJ user to enter the Commenced New Date when the ALJ user is in the Hearing report view. MISLE_F_REQ_12311 486.21.2 The system shall provide the ability for the ALJ user to enter the Number of New Days when the ALJ user is in the Hearing report view. MISLE_F_REQ_12312 486.21.3 The system shall provide the ability for the ALJ user to enter the Hearing New City when the ALJ user is in the Hearing report view. MISLE_F_REQ_12313 486.21.4 The system shall provide the ability for the ALJ user to enter the Hearing New State when the ALJ user is in the Hearing report view. MISLE_F_REQ_12317 486.21.5 The system shall provide the ability for the ALJ user to exit the Hearing report New view to the Hearing and Conferences area. MISLE_F_REQ_12804 492.1 The system shall require the user to schedule a Hearing Type in the Hearing New details view of the Hearing and Conferences area prior to generating Form Orders.

Table 6-108 Hearings & Conferences - List Data Elements

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ID Element Description 5623 Hearing Schd Scheduled hearing dates which is set by the Adjudication team members while they are in the Date Hearings/Conferences area of Adjudication. 5624 Hearing Type Type of hearings selected and set by the Adjudication team members in the Hearings/Conferences area of Adjudication. 5625 Hearing The Adjudication team member sets the location of the hearing base on the following conditions: if 'Live', Location 'Other' or 'Video Conference' is selected for the Hearing Method from the Adjudication office then the location picklist is available in the Hearings/Conferences area of Adjudication. (see FRs) 5628 Commenced The Adjudication team member records the date the hearing started. Date 5629 Primary Judge The Adjudication team member assigns the Primary Judge through the Case Assignment area. Displays the Judge who is assigned to the case. 5642 Hearing Schd Scheduled hearing time which is set by the Adjudication team members while they are in the Time Hearings/Conferences area of Adjudication.

5643 Hearing The Adjudication team member sets the method by which the hearing is completed. The picklist is Method conditional so that if the Hearing Type is set to 'null' or 'Pre Hearing Conference' then all methods are displayed otherwise if the Hearing Type is set to 'Hearing' the methods available are 'Live' or 'Other' in the Hearings/Conferences area of Adjudication. 5667 Schd The Schd Date/Time is equal to Hearing Sched Date + Hearing Sch Time. Date/Time 5804 Held Date The Held Date is equal to the Commenced Date.

Table 6-109 Hearings & Conferences - Add/Edit Data Elements ID Element Description Format Default Length Req 475 City City containing address Alphanumeric NULL 30 Yes

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ID Element Description Format Default Length Req

477 Zip/Postal Zip/postal code of the address Alphanumeric NULL 30 Yes Code 5623 Hearing Schd Scheduled hearing dates which is set by the Adjudication team Date Null 10 Yes Date members while they are in the Hearings/Conferences area of Adjudication. 5624 Hearing Type Type of hearings selected and set by the Adjudication team Picklist Null N/A Yes members in the Hearings/Conferences area of Adjudication. 5625 Hearing The Adjudication team member sets the location of the hearing Picklist Null N/A Yes Location base on the following conditions: if 'Live', 'Other' or 'Video Conference' is selected for the Hearing Method from the Adjudication office then the location picklist is available in the Hearings/Conferences area of Adjudication. (see FRs) 5628 Commenced The Adjudication team member records the date the hearing Date Null 10 No Date started. 5629 Primary The Adjudication team member assigns the Primary Judge Picklist Null N/A Yes Judge through the Case Assignment area. Displays the Judge who is assigned to the case. 5642 Hearing Schd Scheduled hearing time which is set by the Adjudication team Time Null 5 Yes Time members while they are in the Hearings/Conferences area of Adjudication.

5643 Hearing The Adjudication team member sets the method by which the Picklist Null N/A Yes Method hearing is completed. The picklist is conditional so that if the Hearing Type is set to 'null' or 'Pre Hearing Conference' then all methods are displayed otherwise if the Hearing Type is set to

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ID Element Description Format Default Length Req 'Hearing' the methods available are 'Live' or 'Other' in the Hearings/Conferences area of Adjudication. 5802 Custom An indicator that allows the user to add custom address Yes/No NULL N/A Cond information. Req 5803 Address An optional hearing location for the custom address. Alphanumeric NULL 5000 Cond Req 5804 Held Date The Held Date is equal to the Commenced Date. Date Null 10 No 5808 Room The room number for the hearing. Alphanumeric NULL 20 Cond Number Req 5809 Special Allows user to enter any special instructions pertaining to the Alphanumeric NULL 50 No Instructions hearing. Maximum of 50 alphanumeric characters. 5810 State Picklist of the State abbreviations. Picklist Null N/A No 5811 Hearing Any information that the users wants to enter pertaining to the Alphanumeric NULL 5000 No Notes hearing.

Table 6-110 Hearings & Conferences Details List Data Elements ID Element Description 5618 First Proposed Coast Displays the first date of the IO proposed hearing date. This data is from the Proposed Dates section Guard Hearing Date of the Hearings area in Enforcement and is captured via the Complaint when the NOF is selected. 5619 Second Proposed Displays the second date of the IO proposed hearing date. This data is from the Proposed Dates Coast Guard section of the Hearings area in Enforcement and is captured via the Complaint when the NOF is Hearing Date selected. 5620 Proposed Coast Displays the Hearing Location set by the IO and sent over with the complaint information. Guard Hearing Location

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ID Element Description 5625 Hearing Location The Adjudication team member sets the location of the hearing base on the following conditions: if 'Live', 'Other' or 'Video Conference' is selected for the Hearing Method from the Adjudication office then the location picklist is available in the Hearings/Conferences area of Adjudication. (see FRs) 5644 First Proposed The Respondent responds on the answer sheet and is recorded in this field. Respondent Date 5645 Third Proposed The Respondent responds on the answer sheet and is recorded in this field. Respondent Date 5646 Fourth Proposed The Respondent responds on the answer sheet and is recorded in this field. Respondent Date 5647 Second Proposed The Respondent responds on the answer sheet and is recorded in this field. Respondent Date 5665 Third Proposed Displays the third date of the IO proposed hearing date. This data is from the Proposed Dates section Coast Guard of the Hearings area in Enforcement and is captured via the Complaint when the NOF is selected. Hearing Date 5812 Respondent The Respondent Proposed Location is equal to Proposed Respondent Location City + Proposed Proposed Location Respondent Location State.

Table 6-111 Adjudication General Information/Transfer Data Elements ID Element Description 24 Last Name The last name of the Team Lead identified for the Activity 25 First Name The first name of the Team Lead identified for the Activity 428 MISLE Activity ID MISLE Enforcement Activity ID associated with the case. 434 Owning Unit Unit that owns the activity and can transfer control of the activity 438 Originating Unit Unit that created the activity.

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ID Element Description 458 Role Role of the associated organization for the selected activity 1857 Last Name Last name of the individual. 1858 First Name First name of the individual. 1859 Middle Name Middle name of the individual. 5534 Docket Type A picklist with categories of how a case has been assigned out by the Docket Center team members. 5554 Adjudication Start The date on which the Complaint was sent over from the MISLE Enforcement Referral. Date 5588 Coast Guard Case The ID number assigned by the USCG to the case. Number 5630 Judges First Name Judge's first name. 5631 Judges Middle Judge's middle name. Name 5632 Judges Last Name Judge's last name. 5634 Judge Active An indicator that show whether the judge is active or not. 5652 Law Clerk First Displays the First Name of the Law Clerk who is assigned to the case activity. Name 5653 Law Clerk Last Displays the Last Name of the Law Clerk who is assigned to the case activity. Name 5654 Law Clerk Middle Displays the Middle initial of the Law Clerk who is assigned to the case activity. Initial 5655 Law Clerk Active An indicator that show whether the law clerk is active or not. 5659 Docket Status Auto populated by the selection of the Docket Type but allows user to select what the status should be. In adjudication this is the last update the docket center did before transferring the case.

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Table 6-112 Hearings & Conferences - Hearing Report List Data Elements ID Element Description 5628 Commenced Date The Adjudication team member records the date the hearing started. 5952 Hearing City City where the hearing was held. 5953 Hearing State State where the hearing was held. 5954 Number of Days Number of days the hearing lasted.

Table 6-113 Hearings & Conferences - Add Hearing Report Information Data Elements ID Element Description Format Default Length Req 5628 Commenced Date The Adjudication team member records the date the hearing Date Null 10 No started. 5952 Hearing City City where the hearing was held. Alpha Null 40 5953 Hearing State State where the hearing was held. Picklist Null N/A 5954 Number of Days Number of days the hearing lasted. Numeric Null 2

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6.1.18 Use Case - 438: Edit / Print Order Templates Overview: The capability for the ALJ to create and maintain standard template orders as part of the litigation process. Purpose: To provide the ability to create, print and email orders to any persons involved with the case. Primary Actors: Paralegal Specialist Attorney Advisor Administrative Law Judge (ALJ) Pre-Conditions: 1. The complaint and NOF transaction has occurred from the IO and received by the system. 2. To update the Order Templates the owning unit must be the ALJ users. Scenario(s): Main Success Scenario 1. The users are presented with order letters. 2. The users may select an order letter. 3. The users may edit the selected order letter. 4. The user may email the order to other case users. 5. The user may print the order out. Exceptions: 1. The user may cancel and return to the calling workflow. Post-Conditions: 1. The user may have edited the selected order. 2. The user may have saved order. 3. The user may have printed the order. 4. The user may have emailed the order to others involved with the case.

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Table 6-114 Edit / Print Order Templates Functional Requirements Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_12067 267 The system shall display the following data elements when the ALJ user is New managing adjudication activities: ADJ Activity Title; Enf Type; Docket Status; Adjudication Start Date; Originating unit; Owning Unit; Docket Number; Docket Type; MISLE Activity Id; Coast Guard Case Number; Assigned IO; Assigned ALJ; Assigned Law Clerk MISLE_F_REQ_12068 267.1 The system shall populate the ADJ Activity Title data element as "USCG vs" New in addition to the respondent's First Name + Middle Name + Last Name. MISLE_F_REQ_12069 267.2 The system shall populate the Assigned IO data element as First Name + New Last Name of the individual with an involved personnel Role equal to 'Investigating Officer - Assigned IO'. MISLE_F_REQ_12070 267.3 The system shall populate the Assigned ALJ data element as Judges First New Name + Judges Middle Name + Judges Last Name. MISLE_F_REQ_12071 267.4 The system shall display the value for the Assigned ALJ when the Judge New Active is set to 'Yes' in the Case Assignment area. MISLE_F_REQ_12072 267.5 The system shall populate the Assigned Law Clerk data element with Law New Clerk First Name + Law Clerk Middle Name + Law Clerk Last Name. MISLE_F_REQ_12073 267.6 The system shall display the value for the Assigned Law Clerk when the Law New Clerk Active is set to 'Yes' in the Case Assignment area. MISLE_F_REQ_12145 267.7 The system shall provide the ability for the ALJ user to transfer the case file to New the Docketing Center. MISLE_F_REQ_12146 267.7.1 The system shall provide the ability for the ALJ user to decline the transfer of New a case file to the Docketing Center.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_12147 267.7.2 The system shall provide the ability to confirm the transfer of a case file to the New Docketing Center when the ALJ user is transferring the case to the Docketing Center. MISLE_F_REQ_12774 267.7.3 The system shall display the following statement when the user confirms the New transfer of a case file to the Docketing Center: “Was a case hearing held?” MISLE_F_REQ_12148 267.7.4 The system shall provide the ability to decline that a hearing was held when New the ALJ user has confirmed the transfer of a case file to the Docketing Center. MISLE_F_REQ_12152 267.7.5 The system shall transfer the case file to the Docketing Center when the ALJ New user has selected to decline that a hearing was held. MISLE_F_REQ_12149 267.7.6 The system shall provide the ability to confirm that a hearing was held when New the ALJ user has confirmed the transfer of a case file to the Docketing Center. MISLE_F_REQ_12150 267.7.7 The system shall re-direct the ALJ user to the Report of Hearing detail view in New the Hearing & Conferences area when the ALJ user confirms that a hearing was held. MISLE_F_REQ_12153 267.7.8 The system shall transfer the case file to the Docketing Center when the ALJ New user has completed the entry of the Report of Hearing detail view in the Hearing & Conferences area. MISLE_F_REQ_12510 492 The system shall provide the ability for the ALJ user to select Form Orders New from the Order Template area when the ALJ has an order action to complete. MISLE_F_REQ_12524 492.2 The system shall provide the ability for the ALJ user to select an 'Add Manual New Document' from the Form Orders template when the Administrative Law Judge has to generate an order action that is not available from the normal order templates. MISLE_F_REQ_12511 492.3 The system shall provide the ability for the ALJ user to select an 'Admission New Order' from the Form Orders template when the condition of Finding is equal to 'Proved'.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_12526 492.3.1 The system shall provide the ability for the ALJ user to create an 'Admission New Order' from the Form Orders template comprised of the following data elements: Unit; MISLE Id Activity; Last Name; First Name; Date; Counsel of Record; Docket Number; Assigned IO; Primary Judge. MISLE_F_REQ_12525 492.4 The system shall provide the ability for the ALJ user to select an 'Amended New COS' from the Form Orders template when the Respondent address has been updated by the ALJ user. MISLE_F_REQ_12527 492.4.1 The system shall provide the ability for the ALJ user to create an 'Amended New COS' from the Form Orders template comprised of the following data elements: Title/Description; Unit; MISLE Activity ID; Last Name; Owning Unit; First Name; Last Name; E-Mail Address; Date; Counsel of Record; Owning Unit; Docket Number; Assigned IO; Primary Judge; Amended_COS_for; Method of Service. MISLE_F_REQ_12514 492.5 The system shall provide the ability for the ALJ user to select a 'Consent New Order' from the Form Orders template when the following conditions occur:  A settlement agreement has been filed to the docketing center by the IO  Finding is equal to 'Settled'. MISLE_F_REQ_12528 492.5.1 The system shall provide the ability for the ALJ user to create a 'Consent New Order' from the Form Orders template comprised of the following data elements: Unit; MISLE Activity ID; First Name; Last Name; Date; Counsel of Record; Docket Number; Assigned IO; Primary Judge; Form Orders. MISLE_F_REQ_12515 492.6 The system shall provide the ability for the ALJ user to select a 'Decision & New Order' from the Form Orders template when the Finding has been updated for each allegation/offense in the Finding area.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_12529 492.6.1 The system shall provide the ability for the ALJ user to create a 'Decision & New Order' from the Form Orders template comprised of the following data elements: Unit; MISLE Activity ID; First Name; Last Name; Date; Counsel of Record; Docket Number; Assigned IO; Primary Judge; Imposed Sanction Type; Form Orders. MISLE_F_REQ_12516 492.7 The system shall provide the ability for the ALJ user to select a 'Default Order' New from the Form Orders template when the following conditions occur:  A Motion for Default Order has been filed with the docketing Center by the IO.  Finding is equal to 'Default'. MISLE_F_REQ_12530 492.7.1 The system shall provide the ability for the ALJ user to create a 'Default Order' New from the Form Orders template comprised of the following data elements: Unit; MISLE Id Activity; Street 1; Street 2; City; State; Zip/Postal Code; First Name; Last Name; Date; Counsel of Record; Docket Number; Assigned IO; Primary Judge; Imposed Sanction Type; Form Orders. MISLE_F_REQ_12517 492.8 The system shall provide the ability for the ALJ user to select a 'General New Order' from the Form Orders template. MISLE_F_REQ_12531 492.8.1 The system shall provide the ability for the ALJ user to create a 'General New Order' from the Form Orders template comprised of the following data elements: Unit; MISLE Id Activity; First Name; Last Name; Date; Counsel of Record; Docket Number; Assigned IO; Primary Judge; Form Orders. MISLE_F_REQ_12518 492.9 The system shall provide the ability for the ALJ user to select a 'Hearing New Schedule Order' from the Form Orders template when a hearing has been scheduled in the Hearings & Conferences area. MISLE_F_REQ_12532 492.9.1 The system shall provide the ability for the ALJ user to create a 'Hearing New Schedule Order' from the Form Orders template comprised of the following

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Hierarchy Functional Requirement Proposed ID Changes data elements: MISLE Id Activity; First Name; Last Name; Date; Hearing Sch Date; Hearing Location; Hearing Special Instructions; Hearing Schd Time; Docket Number; Primary Judge; Form Orders. MISLE_F_REQ_12523 492.10 The system shall provide the ability for the ALJ user to select a 'Notice of New Errata Order' from the Form Orders template. MISLE_F_REQ_12519 492.11 The system shall provide the ability for the ALJ user to select a 'Pre-hearing New Conference Schedule Order' from the Form Orders template when a pre- hearing is scheduled in the Hearings and Conferences area. MISLE_F_REQ_12533 492.11.1 The system shall provide the ability for the ALJ user to create a 'Pre-hearing New Conference Schedule Order' from the Form Orders template comprised of the following data elements: Unit; MISLE Id Activity; First Name; Last Name; Phone; Date; Phone Number; Counsel of Record; Docket Number; Assigned IO; Hearing Location; Hearing Schd Date; Hearing Schd Time; Primary Judge; Form Orders. MISLE_F_REQ_12520 492.12 The system shall provide the ability for the ALJ user to select a 'Rejecting New Order Settlement' from the Form Orders template when a settlement agreement has been submitted to the docket. MISLE_F_REQ_12534 492.12.1 The system shall provide the ability for the ALJ user to create a 'Rejecting New Order Settlement' from the Form Orders template comprised of the following data elements: MISLE Id Activity; First Name; Last Name; Date; Docket Number; Primary Judge; Form Orders. MISLE_F_REQ_12521 492.13 The system shall provide the ability for the ALJ user to select a 'Withdrawal New Order' from the Form Orders template when a Finding is equal to 'Withdrawn' for each allegation in the Finding area. MISLE_F_REQ_12535 492.13.1 The system shall provide the ability for the ALJ user to create a 'Withdrawal New Order' from the Form Orders template comprised of the following data

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Hierarchy Functional Requirement Proposed ID Changes elements: MISLE Id Activity; First Name; Last Name; Date; Docket Number; Primary Judge; Form Orders. MISLE_F_REQ_12522 492.14 The system shall provide the ability for the ALJ user to select a 'Withdrawal / New Vol Sur Order' from the Form Orders template when a Finding is equal to 'Withdrawn' for each allegation in the Finding area. MISLE_F_REQ_13008 493 The system shall provide the ability for the user to print the selected form from New the Form Orders template when the user has satisfied any conditional requirements. MISLE_F_REQ_13009 494 The system shall provide the ability for the user to email the completed form New from the Form Orders template when the user has satisfied any conditional requirements. MISLE_F_REQ_13010 495 The system shall update the docket with the following data elements when the New user submits the system generated email for the completed form from the Form Orders template: Docket Item ID; Document Description; Document Type; Defect; Document Date; Return Of Service Date;

Table 6-115 Order Templates - Consent Order Data Elements ID Element Description Format Default Length Req 9 Unit A Coast Guard Unit Picklist n/a No No 11 MISLE Id Unique ID for the Activity in the MISLE database. Numeric n/a 0 – No Activity 2,147,483,647 717 Last The last name of the Involved Person(s). Alphanumeric Null 50 Yes Name 718 First The first name of the Involved Person(s). Alphanumeric Null 30 No Name

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ID Element Description Format Default Length Req 1434 Date The current date. Date Current n/a Yes Date 2876 Counsel Involved Persons or an Involved Organization who will act Read-Only N/A of Record as a representative for the Subject Of Investigation and is used for display in the Charged/Respondent Party area. 3689 Docket The number generated by the system that gets assigned to a Numeric Null 9 No Number case file sent over to the CMS application. "YYYY"- "NNNN" where "Y"=current year & "N" is a system generated number. Only available for Enforcement activity searches related to current Suspension & Revocation and Administrative Civil Penalty Class II Enforcement activities. This number is assigned via the NOF during a submission of a Complaint by the IO in Enforcement. 5479 Assigned In a Suspense and Recommendation Enforcement Activity Alpha n/a n/a Cond IO it is required to have an Assign IO. Req 5629 Primary The Adjudication team member assigns the Primary Judge Picklist Null N/A Yes Judge through the Case Assignment area. Displays the Judge who is assigned to the case. 5967 Form The selectable picklist of Order Templates for the ALJ. Picklist Null N/A Cond Orders Req

Table 6-116 DMS Templates - Amended COS Data Elements ID Element Description Format Default Length Req 427 Activity Title The title of a MISLE Activity Alphanumeric N/A 50 Yes 428 MISLE Activity ID MISLE Enforcement Activity ID Numeric Null 0 – Yes associated with the case. 2,147,483,647

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ID Element Description Format Default Length Req

434 Owning Unit Unit that owns the activity and can Picklist Unit of the user 100 Yes transfer control of the activity when the user has only one unit association / NULL when the user has multiple unit associations 717 Last Name The last name of the Involved Alphanumeric Null 50 Yes Person(s). 718 First Name The first name of the Involved Alphanumeric Null 30 No Person(s). 729 E-Mail Address The E-Mail address of the involved Alphanumeric Null 50 No person. For a referential person, used the preferred e-mail address. 734 Address The address of the involved person, Alphanumeric n/a No No including street, city, state, and zip. Address = Respondent's Address 1434 Date The current date. Date Current Date n/a Yes 1857 Last Name Last name of the individual. Alpha n/a 50 Yes 1858 First Name First name of the individual. Alpha n/a 50 No 2876 Counsel of Record Involved Persons or an Involved Read-Only N/A Organization who will act as a representative for the Subject Of Investigation and is used for display in the Charged/Respondent Party area.

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ID Element Description Format Default Length Req 2992 Owning Unit Unit that owns the activity and can Picklist transfer control of the activity 3689 Docket Number The number generated by the system Numeric Null 9 No that gets assigned to a case file sent over to the CMS application. "YYYY"- "NNNN" where "Y"=current year & "N" is a system generated number. Only available for Enforcement activity searches related to current Suspension & Revocation and Administrative Civil Penalty Class II Enforcement activities. This number is assigned via the NOF during a submission of a Complaint by the IO in Enforcement. 5479 Assigned IO In a Suspense and Recommendation Alpha n/a n/a Cond Enforcement Activity it is required to Req have an Assign IO. 5629 Primary Judge The Adjudication team member assigns Picklist Null N/A Yes the Primary Judge through the Case Assignment area. Displays the Judge who is assigned to the case. 5856 Amended_COS_for_ The file name for the amended COS Alphanumeric Null 35 Yes doc that will be generated. 5967 Form Orders The selectable picklist of Order Picklist Null N/A Cond Templates for the ALJ. Req

Table 6-117 Order Templates - Admission Order Data Elements

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ID Element Description Format Default Length Req 9 Unit A Coast Guard Unit Picklist n/a No No 11 MISLE Id Unique ID for the Activity in the MISLE database. Numeric n/a 0 – No Activity 2,147,483,647 717 Last The last name of the Involved Person(s). Alphanumeric Null 50 Yes Name 718 First The first name of the Involved Person(s). Alphanumeric Null 30 No Name 1434 Date The current date. Date Current n/a Yes Date 2876 Counsel Involved Persons or an Involved Organization who will act Read-Only N/A of Record as a representative for the Subject Of Investigation and is used for display in the Charged/Respondent Party area. 3689 Docket The number generated by the system that gets assigned to a Numeric Null 9 No Number case file sent over to the CMS application. "YYYY"- "NNNN" where "Y"=current year & "N" is a system generated number. Only available for Enforcement activity searches related to current Suspension & Revocation and Administrative Civil Penalty Class II Enforcement activities. This number is assigned via the NOF during a submission of a Complaint by the IO in Enforcement. 5479 Assigned In a Suspense and Recommendation Enforcement Activity Alpha n/a n/a Cond IO it is required to have an Assign IO. Req 5629 Primary The Adjudication team member assigns the Primary Judge Picklist Null N/A Yes Judge through the Case Assignment area. Displays the Judge who is assigned to the case. 5967 Form The selectable picklist of Order Templates for the ALJ. Picklist Null N/A Cond Orders Req

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Table 6-118 Order Templates - Decision and Order Data Elements ID Element Description Format Default Length Req 9 Unit A Coast Guard Unit Picklist n/a No No 11 MISLE Id Unique ID for the Activity in the MISLE database. Numeric n/a 0 – No Activity 2,147,483,647 717 Last Name The last name of the Involved Person(s). Alphanumeric Null 50 Yes 718 First The first name of the Involved Person(s). Alphanumeric Null 30 No Name 1434 Date The current date. Date Current n/a Yes Date 2876 Counsel of Involved Persons or an Involved Organization who will act Read-Only N/A Record as a representative for the Subject Of Investigation and is used for display in the Charged/Respondent Party area. 3689 Docket The number generated by the system that gets assigned to Numeric Null 9 No Number a case file sent over to the CMS application. "YYYY"- "NNNN" where "Y"=current year & "N" is a system generated number. Only available for Enforcement activity searches related to current Suspension & Revocation and Administrative Civil Penalty Class II Enforcement activities. This number is assigned via the NOF during a submission of a Complaint by the IO in Enforcement. 5479 Assigned In a Suspense and Recommendation Enforcement Activity Alpha n/a n/a Cond IO it is required to have an Assign IO. Req

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ID Element Description Format Default Length Req 5482 Imposed The Sanction Type for a Suspension and Revocation Picklist na Yes Sanction Enforcement Activity that has been Imposed by the Type Adjudication team to the SOI. 5629 Primary The Adjudication team member assigns the Primary Judge Picklist Null N/A Yes Judge through the Case Assignment area. Displays the Judge who is assigned to the case. 5967 Form The selectable picklist of Order Templates for the ALJ. Picklist Null N/A Cond Orders Req

Table 6-119 Order Templates - Default Order Data Elements ID Element Description Format Default Length Req 9 Unit A Coast Guard Unit Picklist n/a No No 11 MISLE Id Unique ID for the Activity in the MISLE database. Numeric n/a 0 – No Activity 2,147,483,647 474 Street 2 2nd line of the address Alphanumeric NULL 320 No

475 City City containing address Alphanumeric NULL 30 Yes

476 State State containing address Picklist NULL 30 Yes

477 Zip/Postal Zip/postal code of the address Alphanumeric NULL 30 Yes Code

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ID Element Description Format Default Length Req 717 Last Name The last name of the Involved Person(s). Alphanumeric Null 50 Yes 718 First Name The first name of the Involved Person(s). Alphanumeric Null 30 No 1434 Date The current date. Date Current n/a Yes Date 2876 Counsel of Involved Persons or an Involved Organization who will Read-Only N/A Record act as a representative for the Subject Of Investigation and is used for display in the Charged/Respondent Party area. 3689 Docket The number generated by the system that gets assigned to Numeric Null 9 No Number a case file sent over to the CMS application. "YYYY"- "NNNN" where "Y"=current year & "N" is a system generated number. Only available for Enforcement activity searches related to current Suspension & Revocation and Administrative Civil Penalty Class II Enforcement activities. This number is assigned via the NOF during a submission of a Complaint by the IO in Enforcement. 5479 Assigned In a Suspense and Recommendation Enforcement Alpha n/a n/a Cond IO Activity it is required to have an Assign IO. Req 5482 Imposed The Sanction Type for a Suspension and Revocation Picklist na Yes Sanction Enforcement Activity that has been Imposed by the Type Adjudication team to the SOI. 5629 Primary The Adjudication team member assigns the Primary Picklist Null N/A Yes Judge Judge through the Case Assignment area. Displays the Judge who is assigned to the case. 5967 Form The selectable picklist of Order Templates for the ALJ. Picklist Null N/A Cond Orders Req

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Table 6-120 Order Templates - General Order Data Elements ID Element Description Format Default Length Req 9 Unit A Coast Guard Unit Picklist n/a No No 11 MISLE Id Unique ID for the Activity in the MISLE database. Numeric n/a 0 – No Activity 2,147,483,647 717 Last The last name of the Involved Person(s). Alphanumeric Null 50 Yes Name 718 First The first name of the Involved Person(s). Alphanumeric Null 30 No Name 1434 Date The current date. Date Current n/a Yes Date 2876 Counsel Involved Persons or an Involved Organization who will act Read-Only N/A of Record as a representative for the Subject Of Investigation and is used for display in the Charged/Respondent Party area. 3689 Docket The number generated by the system that gets assigned to a Numeric Null 9 No Number case file sent over to the CMS application. "YYYY"- "NNNN" where "Y"=current year & "N" is a system generated number. Only available for Enforcement activity searches related to current Suspension & Revocation and Administrative Civil Penalty Class II Enforcement activities. This number is assigned via the NOF during a submission of a Complaint by the IO in Enforcement. 5479 Assigned In a Suspense and Recommendation Enforcement Activity Alpha n/a n/a Cond IO it is required to have an Assign IO. Req

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ID Element Description Format Default Length Req 5629 Primary The Adjudication team member assigns the Primary Judge Picklist Null N/A Yes Judge through the Case Assignment area. Displays the Judge who is assigned to the case. 5967 Form The selectable picklist of Order Templates for the ALJ. Picklist Null N/A Cond Orders Req

Table 6-121 Order Templates - Hearing Scheduling Order Data Elements ID Element Description Format Default Length Req 11 MISLE Id Unique ID for the Activity in the MISLE database. Numeric n/a 0 – No Activity 2,147,483,647 717 Last Name The last name of the Involved Person(s). Alphanumeric Null 50 Yes 718 First Name The first name of the Involved Person(s). Alphanumeric Null 30 No 1434 Date The current date. Date Current n/a Yes Date 3689 Docket The number generated by the system that gets assigned Numeric Null 9 No Number to a case file sent over to the CMS application. "YYYY"-"NNNN" where "Y"=current year & "N" is a system generated number. Only available for Enforcement activity searches related to current Suspension & Revocation and Administrative Civil Penalty Class II Enforcement activities. This number is assigned via the NOF during a submission of a Complaint by the IO in Enforcement. 5623 Hearing Schd Scheduled hearing dates which is set by the Date Null 10 Yes Date Adjudication team members while they are in the Hearings/Conferences area of Adjudication.

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ID Element Description Format Default Length Req 5625 Hearing The Adjudication team member sets the location of the Picklist Null N/A Yes Location hearing base on the following conditions: if 'Live', 'Other' or 'Video Conference' is selected for the Hearing Method from the Adjudication office then the location picklist is available in the Hearings/Conferences area of Adjudication. (see FRs) 5627 Hearing The Adjudication team member records any special Alphanumeric Null 40 No Special instructions in the Hearings/Conferences area of Instructions Adjudication. 5629 Primary The Adjudication team member assigns the Primary Picklist Null N/A Yes Judge Judge through the Case Assignment area. Displays the Judge who is assigned to the case. 5642 Hearing Schd Scheduled hearing time which is set by the Adjudication Time Null 5 Yes Time team members while they are in the Hearings/Conferences area of Adjudication.

5967 Form Orders The selectable picklist of Order Templates for the ALJ. Picklist Null N/A Cond Req

Table 6-122 Order Templates - Pre-Hearing Scheduling Order Data Elements ID Element Description Format Default Length Req 9 Unit A Coast Guard Unit Picklist n/a No No 11 MISLE Id Unique ID for the Activity in the MISLE database. Numeric n/a 0 – No Activity 2,147,483,647 574 Phone Telephone number of the Assigned IO personnel. Alphanumeric n/a 30 Yes

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ID Element Description Format Default Length Req

717 Last The last name of the Involved Person(s). Alphanumeric Null 50 Yes Name 718 First The first name of the Involved Person(s). Alphanumeric Null 30 No Name 732 Phone The telephone number the involved person can be Alphanumeric n/a 10 Yes Number contacted at. 1434 Date The current date. Date Current n/a Yes Date 2876 Counsel Involved Persons or an Involved Organization who will act Read-Only N/A of Record as a representative for the Subject Of Investigation and is used for display in the Charged/Respondent Party area. 3689 Docket The number generated by the system that gets assigned to a Numeric Null 9 No Number case file sent over to the CMS application. "YYYY"- "NNNN" where "Y"=current year & "N" is a system generated number. Only available for Enforcement activity searches related to current Suspension & Revocation and Administrative Civil Penalty Class II Enforcement activities. This number is assigned via the NOF during a submission of a Complaint by the IO in Enforcement. 5479 Assigned In a Suspense and Recommendation Enforcement Activity Alpha n/a n/a Cond IO it is required to have an Assign IO. Req 5623 Hearing Scheduled hearing dates which is set by the Adjudication Date Null 10 Yes Schd Date team members while they are in the Hearings/Conferences area of Adjudication. 5625 Hearing The Adjudication team member sets the location of the Picklist Null N/A Yes Location hearing base on the following conditions: if 'Live', 'Other'

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ID Element Description Format Default Length Req or 'Video Conference' is selected for the Hearing Method from the Adjudication office then the location picklist is available in the Hearings/Conferences area of Adjudication. (see FRs) 5629 Primary The Adjudication team member assigns the Primary Judge Picklist Null N/A Yes Judge through the Case Assignment area. Displays the Judge who is assigned to the case. 5642 Hearing Scheduled hearing time which is set by the Adjudication Time Null 5 Yes Schd team members while they are in the Hearings/Conferences Time area of Adjudication.

5967 Form The selectable picklist of Order Templates for the ALJ. Picklist Null N/A Cond Orders Req

Table 6-123 Order Templates - Order Rejecting Settlement Data Elements ID Element Description Format Default Length Req 11 MISLE Id Unique ID for the Activity in the MISLE database. Numeric n/a 0 – No Activity 2,147,483,647 717 Last The last name of the Involved Person(s). Alphanumeric Null 50 Yes Name 718 First The first name of the Involved Person(s). Alphanumeric Null 30 No Name

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ID Element Description Format Default Length Req 1434 Date The current date. Date Current n/a Yes Date 3689 Docket The number generated by the system that gets assigned to a Numeric Null 9 No Number case file sent over to the CMS application. "YYYY"- "NNNN" where "Y"=current year & "N" is a system generated number. Only available for Enforcement activity searches related to current Suspension & Revocation and Administrative Civil Penalty Class II Enforcement activities. This number is assigned via the NOF during a submission of a Complaint by the IO in Enforcement. 5629 Primary The Adjudication team member assigns the Primary Judge Picklist Null N/A Yes Judge through the Case Assignment area. Displays the Judge who is assigned to the case. 5967 Form The selectable picklist of Order Templates for the ALJ. Picklist Null N/A Cond Orders Req

Table 6-124 Order Templates - Withdrawal Order Data Elements ID Element Description Format Default Length Req 11 MISLE Id Unique ID for the Activity in the MISLE database. Numeric n/a 0 – No Activity 2,147,483,647 717 Last The last name of the Involved Person(s). Alphanumeric Null 50 Yes Name

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ID Element Description Format Default Length Req 718 First The first name of the Involved Person(s). Alphanumeric Null 30 No Name 1434 Date The current date. Date Current n/a Yes Date 3689 Docket The number generated by the system that gets assigned to a Numeric Null 9 No Number case file sent over to the CMS application. "YYYY"- "NNNN" where "Y"=current year & "N" is a system generated number. Only available for Enforcement activity searches related to current Suspension & Revocation and Administrative Civil Penalty Class II Enforcement activities. This number is assigned via the NOF during a submission of a Complaint by the IO in Enforcement. 5629 Primary The Adjudication team member assigns the Primary Judge Picklist Null N/A Yes Judge through the Case Assignment area. Displays the Judge who is assigned to the case. 5967 Form The selectable picklist of Order Templates for the ALJ. Picklist Null N/A Cond Orders Req

Table 6-125 Adjudication General Information/Transfer Data Elements ID Element Description 24 Last Name The last name of the Team Lead identified for the Activity 25 First Name The first name of the Team Lead identified for the Activity

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ID Element Description 428 MISLE Activity MISLE Enforcement Activity ID associated with the case. ID 434 Owning Unit Unit that owns the activity and can transfer control of the activity 438 Originating Unit Unit that created the activity. 458 Role Role of the associated organization for the selected activity 1857 Last Name Last name of the individual. 1858 First Name First name of the individual. 1859 Middle Name Middle name of the individual. 3689 Docket Number The number generated by the system that gets assigned to a case file sent over to the CMS application. "YYYY"-"NNNN" where "Y"=current year & "N" is a system generated number. Only available for Enforcement activity searches related to current Suspension & Revocation and Administrative Civil Penalty Class II Enforcement activities. This number is assigned via the NOF during a submission of a Complaint by the IO in Enforcement. 5534 Docket Type A picklist with categories of how a case has been assigned out by the Docket Center team members. 5554 Adjudication The date on which the Complaint was sent over from the MISLE Enforcement Referral. Start Date 5588 Coast Guard The ID number assigned by the USCG to the case. Case Number 5630 Judges First Judge's first name. Name 5631 Judges Middle Judge's middle name. Name 5632 Judges Last Judge's last name. Name

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ID Element Description 5634 Judge Active An indicator that show whether the judge is active or not. 5652 Law Clerk First Displays the First Name of the Law Clerk who is assigned to the case activity. Name 5653 Law Clerk Last Displays the Last Name of the Law Clerk who is assigned to the case activity. Name 5654 Law Clerk Displays the Middle initial of the Law Clerk who is assigned to the case activity. Middle Initial 5655 Law Clerk An indicator that show whether the law clerk is active or not. Active 5659 Docket Status Auto populated by the selection of the Docket Type but allows user to select what the status should be. In adjudication this is the last update the docket center did before transferring the case.

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6.1.19 Use Case - 439: Review / Add / Edit Time Keeping Overview: The capability for the ALJ to maintain time keeping records is an essential part of the litigation process. Purpose: The ALJ users will record their time spent on a cases. Primary Actors: Paralegal Specialist Attorney Advisor Administrative Law Judge (ALJ) Pre-Conditions: 1. The complaint and NOF transaction has occurred from the IO and received by the system. 2. To update the Time Keeping area the owning unit must be the ALJ users. 2. The user has selected the Time Keeping area. Scenario(s): Main Success Scenario 1. The user may review the time keeping spent for the case. 2. The user may enter their time spent on a case. Exceptions: 1. The user may cancel and return to the calling workflow. Post-Conditions: 1. The ALJ users have entered and saved their time spent on the case.

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Table 6-126 Review / Add / Edit Time Keeping Functional Requirements Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_12067 267 The system shall display the following data elements when the ALJ user is New managing adjudication activities: ADJ Activity Title; Enf Type; Docket Status; Adjudication Start Date; Originating unit; Owning Unit; Docket Number; Docket Type; MISLE Activity Id; Coast Guard Case Number; Assigned IO; Assigned ALJ; Assigned Law Clerk MISLE_F_REQ_12068 267.1 The system shall populate the ADJ Activity Title data element as "USCG vs" New in addition to the respondent's First Name + Middle Name + Last Name. MISLE_F_REQ_12069 267.2 The system shall populate the Assigned IO data element as First Name + New Last Name of the individual with an involved personnel Role equal to 'Investigating Officer - Assigned IO'. MISLE_F_REQ_12070 267.3 The system shall populate the Assigned ALJ data element as Judges First New Name + Judges Middle Name + Judges Last Name. MISLE_F_REQ_12071 267.4 The system shall display the value for the Assigned ALJ when the Judge New Active is set to 'Yes' in the Case Assignment area. MISLE_F_REQ_12072 267.5 The system shall populate the Assigned Law Clerk data element with Law New Clerk First Name + Law Clerk Middle Name + Law Clerk Last Name. MISLE_F_REQ_12073 267.6 The system shall display the value for the Assigned Law Clerk when the Law New Clerk Active is set to 'Yes' in the Case Assignment area. MISLE_F_REQ_12145 267.7 The system shall provide the ability for the ALJ user to transfer the case file to New the Docketing Center. MISLE_F_REQ_12146 267.7.1 The system shall provide the ability for the ALJ user to decline the transfer of New a case file to the Docketing Center.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_12147 267.7.2 The system shall provide the ability to confirm the transfer of a case file to the New Docketing Center when the ALJ user is transferring the case to the Docketing Center. MISLE_F_REQ_12774 267.7.3 The system shall display the following statement when the user confirms the New transfer of a case file to the Docketing Center: “Was a case hearing held?” MISLE_F_REQ_12148 267.7.4 The system shall provide the ability to decline that a hearing was held when New the ALJ user has confirmed the transfer of a case file to the Docketing Center. MISLE_F_REQ_12152 267.7.5 The system shall transfer the case file to the Docketing Center when the ALJ New user has selected to decline that a hearing was held. MISLE_F_REQ_12149 267.7.6 The system shall provide the ability to confirm that a hearing was held when New the ALJ user has confirmed the transfer of a case file to the Docketing Center. MISLE_F_REQ_12150 267.7.7 The system shall re-direct the ALJ user to the Report of Hearing detail view in New the Hearing & Conferences area when the ALJ user confirms that a hearing was held. MISLE_F_REQ_12153 267.7.8 The system shall transfer the case file to the Docketing Center when the ALJ New user has completed the entry of the Report of Hearing detail view in the Hearing & Conferences area. MISLE_F_REQ_12131 488 The system shall provide the ability for the user to enter the time spent New working on the case when the ALJ user has entered the Time Keeping area. MISLE_F_REQ_12318 488.1 The system shall provide the ability to review the following Time Keeping list New view when the ALJ user is reviewing the Time Keeping area: Start Date; End Date; Type; ALJ Time; Para Time; Atty/LC Time. MISLE_F_REQ_12320 488.2 The system shall provide the ability for the ALJ user to add time to a case New when the ALJ user is selects add in the Time Keeping area.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_12321 488.2.1 The system shall provide the ability for the ALJ user to select Time Keeping New when the ALJ user is identifying the type of Time Keeping the ALJ user is in the Time Keeping area. MISLE_F_REQ_12322 488.2.2 The system shall provide the ability for the user to enter the Start Date on a New new time entry for a case when the ALJ user is in the Time Keeping area. MISLE_F_REQ_12323 488.2.3 The system shall provide the ability for the user to enter the End Date on a New new time entry for a case when the ALJ user is in the Time Keeping area. MISLE_F_REQ_12324 488.2.4 The system shall provide the ability for the user to enter the ALJ Time New Administrative when the ALJ user is recording the time in the ALJ Time details view. MISLE_F_REQ_12325 488.2.5 The system shall provide the ability for the user to enter the ALJ Time Case New Review when the ALJ user is recording the time in the ALJ Time details view. MISLE_F_REQ_12326 488.2.6 The system shall provide the ability for the user to enter the ALJ Time New Conference when the ALJ user is recording the time in the ALJ Time details view. MISLE_F_REQ_12327 488.2.7 The system shall provide the ability for the user to enter the ALJ Time Draft New Orders when the ALJ user is recording the time in the ALJ Time details view. MISLE_F_REQ_12328 488.2.8 The system shall provide the ability for the user to enter the ALJ Time New Drafting Decision when the ALJ user is recording the time in the ALJ Time details view. MISLE_F_REQ_12329 488.2.9 The system shall provide the ability for the user to enter the ALJ Hours New Hearing when the ALJ user is recording the time in the ALJ Time details view. MISLE_F_REQ_12330 488.2.10 The system shall provide the ability for the user to enter the ALJ Hours Legal New Research when the ALJ user is recording the time in the ALJ Time details view.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_12331 488.2.11 The system shall provide the ability for the user to enter the ALJ Hours New Travel when the ALJ user is recording the time in the ALJ Time details view. MISLE_F_REQ_12332 488.2.12 The system shall provide the ability for the user to enter the ALJ Hours New Other when the ALJ user is recording the time in the ALJ Time details view. MISLE_F_REQ_12333 488.2.13 The system shall provide the ability for the user to enter the Paralegal Time New Administrative when the ALJ user is recording the time in the Paralegal Time details view. MISLE_F_REQ_12334 488.2.14 The system shall provide the ability for the user to enter the Paralegal Time New Case Review when the ALJ user is recording the time in the Paralegal Time details view. MISLE_F_REQ_12335 488.2.15 The system shall provide the ability for the user to enter the Paralegal Time New Conference when the ALJ user is recording the time in the Paralegal Time details view. MISLE_F_REQ_12336 488.2.16 The system shall provide the ability for the user to enter the Paralegal Time New Drafting Orders when the ALJ user is recording the time in the Paralegal Time details view. MISLE_F_REQ_12337 488.2.17 The system shall provide the ability for the user to enter the Paralegal Time New Drafting Decision when the ALJ user is recording the time in the Paralegal Time details view. MISLE_F_REQ_12338 488.2.18 The system shall provide the ability for the user to enter the Paralegal Time New Hearing when the ALJ user is recording the time in the Paralegal Time details view. MISLE_F_REQ_12339 488.2.19 The system shall provide the ability for the user to enter the Paralegal Time New Legal Research when the ALJ user is recording the time in the Paralegal Time details view.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_12340 488.2.20 The system shall provide the ability for the user to enter the Paralegal Time New Travel when the ALJ user is recording the time in the Paralegal Time details view. MISLE_F_REQ_12341 488.2.21 The system shall provide the ability for the user to enter the Paralegal Time New Other when the ALJ user is recording the time in the Paralegal Time details view. MISLE_F_REQ_12342 488.2.22 The system shall provide the ability for the user to enter the Attorney Time New Administrative when the ALJ user is recording the time in the Attorney Time details view. MISLE_F_REQ_12343 488.2.23 The system shall provide the ability for the user to enter the Attorney Time New Case Review when the ALJ user is recording the time in the Attorney Time details view. MISLE_F_REQ_12344 488.2.24 The system shall provide the ability for the user to enter the Attorney Time New Conference when the ALJ user is recording the time in the Attorney Time details view. MISLE_F_REQ_12345 488.2.25 The system shall provide the ability for the user to enter the Attorney Time New Drafting Orders when the ALJ user is recording the time in the Attorney Time details view. MISLE_F_REQ_12346 488.2.26 The system shall provide the ability for the user to enter the Attorney Time New Drafting Decision when the ALJ user is recording the time in the Attorney Time details view. MISLE_F_REQ_12347 488.2.27 The system shall provide the ability for the user to enter the Attorney Time New Hearing when the ALJ user is recording the time in the Attorney Time details view.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_12348 488.2.28 The system shall provide the ability for the user to enter the Attorney Time New Legal Research when the ALJ user is recording the time in the Attorney Time details view. MISLE_F_REQ_12349 488.2.29 The system shall provide the ability for the user to enter the Attorney Time New Travel when the ALJ user is recording the time in the Attorney Time details view. MISLE_F_REQ_12350 488.2.30 The system shall provide the ability for the user to enter the Attorney Time New Other when the ALJ user is recording the time in the Attorney Time details view. MISLE_F_REQ_12351 488.2.31 The system shall provide the ability for the user to enter the Time Keeping New Notes when the ALJ user is recording the time in the Time Keeping area. MISLE_F_REQ_12356 488.2.32 The system shall provide the ability for the user to exit to the time keeping list New view area when the user is in the Time Keeping area. MISLE_F_REQ_12352 488.3 The system shall provide the ability for the user to edit a line item in a time New keeping list area when the ALJ user selects edit in the Time Keeping area. MISLE_F_REQ_12353 488.3.1 The system shall provide the ability for the user to save the entered time New information when the ALJ user is updating the time information. MISLE_F_REQ_12354 488.3.2 The system shall provide the ability for the user to cancel the entered time New information when the ALJ user is updating the time information. MISLE_F_REQ_12355 488.4 The system shall provide the ability for the user to remove a line item in a New time keeping list when the ALJ user selects remove in the Time Keeping area. MISLE_F_REQ_12387 488.5 The system shall provide the ability for the user to view the total amount of New hours in the Total Time details view when the ALJ user selects totals in the Time Keeping list view.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_12358 488.6 The system shall provide the ability for the user to review the amount of time New recorded for the ALJ Time Administrative when the ALJ user is reviewing the time in the ALJ Time details view. MISLE_F_REQ_12359 488.7 The system shall provide the ability for the user to review the amount of time New recorded for the ALJ Time Case Review when the ALJ user is reviewing the time in the ALJ Time details view. MISLE_F_REQ_12360 488.8 The system shall provide the ability for the user to review the amount of time New recorded for the ALJ Time Conference when the ALJ user is reviewing the time in the ALJ Time details view. MISLE_F_REQ_12361 488.9 The system shall provide the ability for the user to review the amount of time New recorded for the ALJ Time Draft Orders when the ALJ user is reviewing the time in the ALJ Time details view. MISLE_F_REQ_12362 488.10 The system shall provide the ability for the user to review the amount of time New recorded for the ALJ Time Drafting Decision when the ALJ user is reviewing the time in the ALJ Time details view. MISLE_F_REQ_12363 488.11 The system shall provide the ability for the user to review the amount of time New recorded for the ALJ Hours Hearing when the ALJ user is reviewing the time in the ALJ Time details view. MISLE_F_REQ_12364 488.12 The system shall provide the ability for the user to review the amount of time New recorded for the ALJ Hours Legal Research when the ALJ user is reviewing the time in the ALJ Time details view. MISLE_F_REQ_12365 488.13 The system shall provide the ability for the user to review the amount of time New recorded for the ALJ Hours Travel when the ALJ user is reviewing the time in the ALJ Time details view.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_12366 488.14 The system shall provide the ability for the user to review the amount of time New recorded for the ALJ Hours Other when the ALJ user is reviewing the time in the ALJ Time details view. MISLE_F_REQ_12388 488.15 The system shall provide the ability for the user to review the total amount of New time recorded for the Total ALJ Time when the ALJ user is reviewing the time in the ALJ Time details view. MISLE_F_REQ_12367 488.16 The system shall provide the ability for the user to review the amount of time New recorded for the Paralegal Time Administrative when the ALJ user is reviewing the time in the Paralegal Time details view. MISLE_F_REQ_12368 488.17 The system shall provide the ability for the user to review the amount of time New recorded for the Paralegal Time Case Review when the ALJ user is reviewing the time in the Paralegal Time details view. MISLE_F_REQ_12369 488.18 The system shall provide the ability for the user to review the amount of time New recorded for the Paralegal Time Conference when the ALJ user is reviewing the time in the Paralegal Time details view. MISLE_F_REQ_12370 488.19 The system shall provide the ability for the user to review the amount of time New recorded for the Paralegal Time Drafting Orders when the ALJ user is reviewing the time in the Paralegal Time details view. MISLE_F_REQ_12371 488.20 The system shall provide the ability for the user to review the amount of time New recorded for the Paralegal Time Drafting Decision when the ALJ user is reviewing the time in the Paralegal Time details view. MISLE_F_REQ_12372 488.21 The system shall provide the ability for the user to review the amount of time New recorded for the Paralegal Time Hearing when the ALJ user is reviewing the time in the Paralegal Time details view.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_12373 488.22 The system shall provide the ability for the user to review the amount of time New recorded for the Paralegal Time Legal Research when the ALJ user is reviewing the time in the Paralegal Time details view. MISLE_F_REQ_12374 488.23 The system shall provide the ability for the user to review the amount of time New recorded for the Paralegal Time Travel when the ALJ user is reviewing the time in the Paralegal Time details view. MISLE_F_REQ_12375 488.24 The system shall provide the ability for the user to review the amount of time New recorded for the Paralegal Time Other when the ALJ user is reviewing the time in the Paralegal Time details view. MISLE_F_REQ_12389 488.25 The system shall provide the ability for the user to review the total amount of New time recorded for the Total Paralegal Time when the ALJ user is reviewing the time in the Paralegal Time details view. MISLE_F_REQ_12376 488.26 The system shall provide the ability for the user to review the amount of time New recorded for the Attorney Time Administrative when the ALJ user is reviewing the time in the Attorney Time details view. MISLE_F_REQ_12377 488.27 The system shall provide the ability for the user to review the amount of time New recorded for the Attorney Time Case Review when the ALJ user is reviewing the time in the Attorney Time details view. MISLE_F_REQ_12378 488.28 The system shall provide the ability for the user to review the amount of time New recorded for the Attorney Time Conference when the ALJ user is reviewing the time in the Attorney Time details view. MISLE_F_REQ_12379 488.29 The system shall provide the ability for the user to review the amount of time New recorded for the Attorney Time Drafting Orders when the ALJ user is reviewing the time in the Attorney Time details view.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_12380 488.30 The system shall provide the ability for the user to review the amount of time New recorded for the Attorney Time Drafting Decision when the ALJ user is reviewing the time in the Attorney Time details view. MISLE_F_REQ_12381 488.31 The system shall provide the ability for the user to review the amount of time New recorded for the Attorney Time Hearing when the ALJ user is reviewing the time in the Attorney Time details view. MISLE_F_REQ_12382 488.32 The system shall provide the ability for the user to review the amount of time New recorded for the Attorney Time Legal Research when the ALJ user is reviewing the time in the Attorney Time details view. MISLE_F_REQ_12383 488.33 The system shall provide the ability for the user to review the amount of time New recorded for the Attorney Time Travel when the ALJ user is reviewing the time in the Attorney Time details view. MISLE_F_REQ_12384 488.34 The system shall provide the ability for the user to review the amount of time New recorded for the Attorney Time Other when the ALJ user is reviewing the time in the Attorney Time details view. MISLE_F_REQ_12390 488.35 The system shall provide the ability for the user to review the total amount of New time recorded for the Total Attorney/LC Time when the ALJ user is reviewing the time in the Attorney Time details view. MISLE_F_REQ_12391 488.36 The system shall provide the ability for the user to review the total amount of New time recorded for the Total Combined Time when the ALJ user is reviewing the time in the Total Time details view. MISLE_F_REQ_12392 488.37 The system shall provide the ability for the user to exit the Total Time details New view when the ALJ user has completed their review of the Total Time details view.

Table 6-127 Time Keeping - List Data Elements

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ID Element Description 5814 Start Date The date that the time keeping task was started. 5817 End Date The date that the time keeping task was end. 5957 Type The type is the value of the selected Time Keeping selection. 5958 ALJ Time ALJ Time = ALJ Time Administrative +ALJ Time Case Review + ALJ Time Conference +ALJ Time Drafting Orders + ALJ Time Drafting Decision +ALJ Hours Hearing + ALJ Hours Legal Research + ALJ Hours Travel + ALJ Hours Other 5959 Para Time Para Time = Paralegal Time Administrative + Paralegal Time Case Review + Paralegal Time Conference + Paralegal Time Drafting Orders + Paralegal Time Drafting Decision +Paralegal Time Hearing + Paralegal Legal Research + Paralegal Time Travel + Paralegal Time Other 5960 Atty/LC Atty/LC Time = Attorney Time Administrative + Attorney Time Case Review + Attorney Time Conference + Time Attorney Time Drafting Orders + Attorney Time Drafting Decision + Attorney Time Hearing + Attorney Legal Research + Attorney Time Travel + Attorney Time Other

Table 6-128 Adjudication General Information/Transfer Data Elements ID Element Description 24 Last Name The last name of the Team Lead identified for the Activity 25 First Name The first name of the Team Lead identified for the Activity 428 MISLE Activity ID MISLE Enforcement Activity ID associated with the case. 434 Owning Unit Unit that owns the activity and can transfer control of the activity 438 Originating Unit Unit that created the activity. 458 Role Role of the associated organization for the selected activity 1857 Last Name Last name of the individual. 1858 First Name First name of the individual.

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ID Element Description 1859 Middle Name Middle name of the individual. 5534 Docket Type A picklist with categories of how a case has been assigned out by the Docket Center team members. 5554 Adjudication Start The date on which the Complaint was sent over from the MISLE Enforcement Referral. Date 5588 Coast Guard Case The ID number assigned by the USCG to the case. Number 5630 Judges First Name Judge's first name. 5631 Judges Middle Judge's middle name. Name 5632 Judges Last Name Judge's last name. 5634 Judge Active An indicator that show whether the judge is active or not. 5652 Law Clerk First Displays the First Name of the Law Clerk who is assigned to the case activity. Name 5653 Law Clerk Last Displays the Last Name of the Law Clerk who is assigned to the case activity. Name 5654 Law Clerk Middle Displays the Middle initial of the Law Clerk who is assigned to the case activity. Initial 5655 Law Clerk Active An indicator that show whether the law clerk is active or not. 5659 Docket Status Auto populated by the selection of the Docket Type but allows user to select what the status should be. In adjudication this is the last update the docket center did before transferring the case.

Table 6-129 Time Keeping - Add/Edit/Delete Data Elements

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ID Element Description Format Default Length Req 5814 Start Date The date that the time keeping task was started. Date NULL 10 Yes 5815 Paralegal Time Travel Time recorded for a particular event and period of Time NULL N/A No time. Hour and minutes. 5817 End Date The date that the time keeping task was end. Date NULL 10 Yes 5818 ALJ Time Administrative Time recorded for a particular event and period of Time NULL N/A No time. Hour and minutes. 5819 ALJ Time Time recorded for a particular event and period of Time NULL N/A No Case Review time. Hour and minutes. 5820 ALJ Time Time recorded for a particular event and period of Time NULL N/A No Conference time. Hour and minutes. 5821 ALJ Time Time recorded for a particular event and period of Time NULL N/A No Drafting Orders time. Hour and minutes. 5823 ALJ Hours Time recorded for a particular event and period of Time NULL N/A No time. Hour and minutes. Hearing 5824 ALJ Hours Time recorded for a particular event and period of Time NULL N/A No Legal Research time. Hour and minutes. 5825 ALJ Hours Time recorded for a particular event and period of Time NULL N/A No Travel time. Hour and minutes. 5826 ALJ Hours Time recorded for a particular event and period of Time NULL N/A No Other time. Hour and minutes. 5827 Paralegal Time Time recorded for a particular event and period of Time NULL N/A No Administrative time. Hour and minutes.

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ID Element Description Format Default Length Req 5828 Paralegal Time Time recorded for a particular event and period of Time NULL N/A No Case Review time. Hour and minutes. 5829 Paralegal Time Time recorded for a particular event and period of Time NULL N/A No Conference time. Hour and minutes. 5830 Paralegal Time Drafting Time recorded for a particular event and period of Time NULL N/A No Orders time. Hour and minutes. 5831 Paralegal Time Drafting Time recorded for a particular event and period of Time NULL N/A No Decision time. Hour and minutes. 5832 Paralegal Time Hearing Time recorded for a particular event and period of Time NULL N/A No time. Hour and minutes. 5833 Paralegal Time Time recorded for a particular event and period of Time NULL N/A No Legal Research time. Hour and minutes. 5834 Paralegal Time Other Time recorded for a particular event and period of Time NULL N/A No time. Hour and minutes. 5835 Attorney Time Time recorded for a particular event and period of Time NULL N/A No Administrative time. Hour and minutes. 5836 Attorney Time Time recorded for a particular event and period of Time NULL N/A No Case Review time. Hour and minutes. 5837 Attorney Time Conference Time recorded for a particular event and period of Time NULL N/A No time. Hour and minutes. 5838 Attorney Time Drafting Time recorded for a particular event and period of Time NULL N/A No Orders time. Hour and minutes. 5839 Attorney Time Drafting Time recorded for a particular event and period of Time NULL N/A No Decision time. Hour and minutes.

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ID Element Description Format Default Length Req 5840 Attorney Time Hearing Time recorded for a particular event and period of Time NULL N/A No time. Hour and minutes. 5841 Attorney Time Legal Time recorded for a particular event and period of Time NULL N/A No Research time. Hour and minutes. 5842 Attorney Time recorded for a particular event and period of Time NULL N/A No Time Travel time. Hour and minutes. 5843 Attorney Time Time recorded for a particular event and period of Time NULL N/A No Other time. Hour and minutes. 5844 Time Keeping Notes Allows user to add notes Alphanumeric NULL 5000 No 5956 Time Keeping List of time keeping actions that are being recorded. Picklist Null 10 Yes

Table 6-130 Time Keeping - Total Time Report Data Elements ID Element Description 5815 Paralegal Time Time recorded for a particular event and period of time. Hour and minutes. Travel 5818 ALJ Time Time recorded for a particular event and period of time. Hour and minutes. Administrative 5819 ALJ Time Time recorded for a particular event and period of time. Hour and minutes. Case Review 5820 ALJ Time Time recorded for a particular event and period of time. Hour and minutes.

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ID Element Description Conference 5821 ALJ Time Time recorded for a particular event and period of time. Hour and minutes. Drafting Orders 5823 ALJ Hours Time recorded for a particular event and period of time. Hour and minutes. Hearing 5824 ALJ Hours Time recorded for a particular event and period of time. Hour and minutes. Legal Research 5825 ALJ Hours Time recorded for a particular event and period of time. Hour and minutes. Travel 5826 ALJ Hours Time recorded for a particular event and period of time. Hour and minutes. Other 5827 Paralegal Time Time recorded for a particular event and period of time. Hour and minutes. Administrative 5828 Paralegal Time Time recorded for a particular event and period of time. Hour and minutes. Case Review 5829 Paralegal Time Time recorded for a particular event and period of time. Hour and minutes. Conference 5830 Paralegal Time Time recorded for a particular event and period of time. Hour and minutes. Drafting Orders 5831 Paralegal Time Time recorded for a particular event and period of time. Hour and minutes. Drafting Decision 5832 Paralegal Time Time recorded for a particular event and period of time. Hour and minutes. Hearing

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ID Element Description 5833 Paralegal Time Time recorded for a particular event and period of time. Hour and minutes. Legal Research 5834 Paralegal Time Time recorded for a particular event and period of time. Hour and minutes. Other 5835 Attorney Time Time recorded for a particular event and period of time. Hour and minutes. Administrative 5836 Attorney Time Time recorded for a particular event and period of time. Hour and minutes. Case Review 5837 Attorney Time Time recorded for a particular event and period of time. Hour and minutes. Conference 5838 Attorney Time Time recorded for a particular event and period of time. Hour and minutes. Drafting Orders 5839 Attorney Time Time recorded for a particular event and period of time. Hour and minutes. Drafting Decision 5840 Attorney Time Time recorded for a particular event and period of time. Hour and minutes. Hearing 5841 Attorney Time Time recorded for a particular event and period of time. Hour and minutes. Legal Research 5842 Attorney Time recorded for a particular event and period of time. Hour and minutes. Time Travel 5843 Attorney Time Time recorded for a particular event and period of time. Hour and minutes. Other 5844 Time Keeping Allows user to add notes Notes

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ID Element Description 5961 Total ALJ Time Total ALJ Time=ALJ Hours Other + ALJ Hours Travel + ALJ Hours Legal Research + ALJ Hours Hearing + ALJ Time Drafting Decision + ALJ Time Draft Orders + ALJ Time Conference + ALJ Time Case Review + ALJ Time Administrative (Hrs/Min) 5962 Total Paralegal Total Paralegal Time=Paralegal Time Other + Paralegal Time Travel + Paralegal Time Legal Time Research + Paralegal Time Hearing + Paralegal Time Drafting Decision + Paralegal Time Drafting Orders + Paralegal Time Conference + Paralegal Time Case Review + Paralegal Time Administrative (Hrs/Min) 5963 Total Attorney/LC Total Attorney/LC Time=Attorney Time Administrative + Attorney Time Case Review + Attorney Time Time Conference + Attorney Time Drafting Orders + Attorney Time Drafting Decision + Attorney Time Hearing + Attorney Time Legal Research + Attorney Time Travel + Attorney Time Other (Hrs/Min) 5964 Total Combined Total Combined Time=Total ALJ Time + Total Paralegal Time + Total Attorney/LC Time (Hrs/Min) Time

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6.1.20 Use Case - 440: Review / Add / Edit Notes Overview: ALJ users have the option to enter notes related to case activities. Purpose: To provide the ALJ user the option to enter notes about case activities for the case they are currently reviewing. Primary Actors: Paralegal Specialist Attorney Advisor Administrative Law Judge (ALJ) Pre-Conditions: 1. The user assigned to the case has selected the Notes area for the case. 2. To update the Notes the owning unit must be the ALJ users. Scenario(s): Main Success Scenario 1. The users may enter information about the case. 2. The user may save the notes on the case.

Exceptions: 1. The user may cancel and return to the calling workflow. Post-Conditions: 1. The user has entered additional information about the case in the Notes area.

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Table 6-131 Review / Add / Edit Notes Functional Requirements Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_12067 267 The system shall display the following data elements when the ALJ user is New managing adjudication activities: ADJ Activity Title; Enf Type; Docket Status; Adjudication Start Date; Originating unit; Owning Unit; Docket Number; Docket Type; MISLE Activity Id; Coast Guard Case Number; Assigned IO; Assigned ALJ; Assigned Law Clerk MISLE_F_REQ_12068 267.1 The system shall populate the ADJ Activity Title data element as "USCG vs" New in addition to the respondent's First Name + Middle Name + Last Name. MISLE_F_REQ_12069 267.2 The system shall populate the Assigned IO data element as First Name + New Last Name of the individual with an involved personnel Role equal to 'Investigating Officer - Assigned IO'. MISLE_F_REQ_12070 267.3 The system shall populate the Assigned ALJ data element as Judges First New Name + Judges Middle Name + Judges Last Name. MISLE_F_REQ_12071 267.4 The system shall display the value for the Assigned ALJ when the Judge New Active is set to 'Yes' in the Case Assignment area. MISLE_F_REQ_12072 267.5 The system shall populate the Assigned Law Clerk data element with Law New Clerk First Name + Law Clerk Middle Name + Law Clerk Last Name. MISLE_F_REQ_12073 267.6 The system shall display the value for the Assigned Law Clerk when the New Law Clerk Active is set to 'Yes' in the Case Assignment area. MISLE_F_REQ_12145 267.7 The system shall provide the ability for the ALJ user to transfer the case file to New the Docketing Center. MISLE_F_REQ_12146 267.7.1 The system shall provide the ability for the ALJ user to decline the transfer of New a case file to the Docketing Center.

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Hierarchy Functional Requirement Proposed ID Changes MISLE_F_REQ_12147 267.7.2 The system shall provide the ability to confirm the transfer of a case file to the New Docketing Center when the ALJ user is transferring the case to the Docketing Center. MISLE_F_REQ_12774 267.7.3 The system shall display the following statement when the user confirms the New transfer of a case file to the Docketing Center: “Was a case hearing held?” MISLE_F_REQ_12148 267.7.4 The system shall provide the ability to decline that a hearing was held when New the ALJ user has confirmed the transfer of a case file to the Docketing Center. MISLE_F_REQ_12152 267.7.5 The system shall transfer the case file to the Docketing Center when the ALJ New user has selected to decline that a hearing was held. MISLE_F_REQ_12149 267.7.6 The system shall provide the ability to confirm that a hearing was held when New the ALJ user has confirmed the transfer of a case file to the Docketing Center. MISLE_F_REQ_12150 267.7.7 The system shall re-direct the ALJ user to the Report of Hearing detail view in New the Hearing & Conferences area when the ALJ user confirms that a hearing was held. MISLE_F_REQ_12153 267.7.8 The system shall transfer the case file to the Docketing Center when the ALJ New user has completed the entry of the Report of Hearing detail view in the Hearing & Conferences area. MISLE_F_REQ_12064 490 The system shall provide the ability enter Case Notes when the ALJ user New selected the Notes area.

Table 6-132 Notes Data Elements ID Element Description Format Default Length Req 5845 Case The note section used only by ALJ to add additional notes about the Alphanumeric NULL 6000 No Notes case.

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Table 6-133 Adjudication General Information/Transfer Data Elements ID Element Description 24 Last Name The last name of the Team Lead identified for the Activity 25 First Name The first name of the Team Lead identified for the Activity 428 MISLE Activity ID MISLE Enforcement Activity ID associated with the case. 434 Owning Unit Unit that owns the activity and can transfer control of the activity 438 Originating Unit Unit that created the activity. 458 Role Role of the associated organization for the selected activity 1857 Last Name Last name of the individual. 1858 First Name First name of the individual. 1859 Middle Name Middle name of the individual. 5534 Docket Type A picklist with categories of how a case has been assigned out by the Docket Center team members. 5554 Adjudication Start The date on which the Complaint was sent over from the MISLE Enforcement Referral. Date 5588 Coast Guard Case The ID number assigned by the USCG to the case. Number 5630 Judges First Name Judge's first name. 5631 Judges Middle Judge's middle name. Name 5632 Judges Last Name Judge's last name. 5634 Judge Active An indicator that show whether the judge is active or not.

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ID Element Description 5652 Law Clerk First Displays the First Name of the Law Clerk who is assigned to the case activity. Name 5653 Law Clerk Last Displays the Last Name of the Law Clerk who is assigned to the case activity. Name 5654 Law Clerk Middle Displays the Middle initial of the Law Clerk who is assigned to the case activity. Initial 5655 Law Clerk Active An indicator that show whether the law clerk is active or not. 5659 Docket Status Auto populated by the selection of the Docket Type but allows user to select what the status should be. In adjudication this is the last update the docket center did before transferring the case.

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6.1.21 Use Case - 453: Send Case Information Overview: The capability for an IO to provide new or updated case information from the MISLE system to the docketing center and ALJ is necessary to the litigation process. Purpose: Send Case provides the ability for the IO to send data to the CMS. Primary Actors: Marine Information for Safety and Law Enforcement (MISLE) System Pre-Conditions: 1. MISLE is available for the system to accept data sent. Scenario(s): Main Success Scenario 1. The IO chooses an action which sends data related to the support of the litigation process of an S&R.

Scenario 2 MISLE may send data related to the system because of other actions that may occur in the processing of an S&R. Exceptions:

Post-Conditions: 1. The S&R data has been sent to the Docketing Center for litigation preparation. 2. The updated S&R information from the ALJ users has been sent via the system to MISLE.

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Table 6-134 Send Case Information Functional Requirements ID Hierarchy Functional Requirement Proposed Changes

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6.1.22 Use Case - 454: Receive Case Information Overview: The capability for an IO to receive new or updated case information into the MISLE system from the docketing center and ALJ is necessary to the litigation process. Purpose: To provide the ability for MISLE to receive data from the system supporting the S&R litigation processes. Primary Actors: Marine Information for Safety and Law Enforcement (MISLE) System Pre-Conditions: 1. The complaint and NOF transaction has occurred from the IO and received by the system. 2. MISLE is available to receive data from the system. Scenario(s): Main Success Scenario 1. The Docketing Center or ALJ users choose an action which sends data related to the support of the litigation process of an S&R to the MISLE application.

Scenario 2 MISLE may receive data from the system because of other actions that may occur in the processing of an S&R. Exceptions:

Post-Conditions: 1. The S&R data has been received by the Docketing Center for litigation preparation. 2. The updated S&R information from the ALJ users has been received by MISLE system.

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Table 6-135 Receive Case Information Functional Requirements ID Hierarchy Functional Requirement Proposed Changes

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6.2 Picklist Values 6.2.1 Unit / Owning Unit / Originating Unit Unit Name Abbreviation Activities Europe ACT Euro Activities Far East ACT FE Administrative Law Judge Docketing Center ALJ DocCtr Administrative Law Judge Office Alameda ALJ Almda Administrative Law Judge Office Baltimore ALJ Balt Administrative Law Judge Office Houston ALJ Houston Administrative Law Judge Office New Orleans ALJ NOLA Administrative Law Judge Office New York ALJ NYCty Administrative Law Judge Office Norfolk ALJ Norfolk Administrative Law Judge Office Seattle ALJ Seattle Aids to Navigation Team Astoria ANT Astoria Aids to Navigation Team Baltimore ANT Balt Aids to Navigation Team Boston ANT Boston Aids to Navigation Team Bristol ANT Bristol Aids to Navigation Team Buffalo ANT Buffalo Aids to Navigation Team Cape May ANT CpeMay Aids to Navigation Team Charleston ANT Charlstn Aids to Navigation Team Chincoteague ANT Chincotg Aids to Navigation Team Colfax ANT Colfax Aids to Navigation Team Coos Bay ANT CoosBy Aids to Navigation Team Corpus Christi ANT CorpChr Aids to Navigation Team Crisfield ANT Crisfield Aids to Navigation Team Detroit ANT Detroit Aids to Navigation Team Dulac ANT Dulac Aids to Navigation Team Duluth ANT Duluth Aids to Navigation Team Eufaula ANT Eufaula Aids to Navigation Team Fort Macon ANT FtMacon Aids to Navigation Team Fort Pierce ANT FtPierce Aids to Navigation Team Galveston ANT Galvstn Aids to Navigation Team Georgetown ANT Georgetwn Aids to Navigation Team Green Bay ANT GreenBy Aids to Navigation Team Gulfport ANT Gulfport Aids to Navigation Team Honolulu ANT Hono Aids to Navigation Team Humboldt Bay ANT HumBy Aids to Navigation Team Jacksonville ANT Jacksonvl Aids to Navigation Team Kennewick ANT Kennwck Aids to Navigation Team Kenosha ANT Kenosha Aids to Navigation Team Key West ANT KeyWest Aids to Navigation Team Kodiak ANT Kodiak Aids to Navigation Team Long Island Sound ANT LIS Aids to Navigation Team Los Angeles/Long Beach ANT LALB

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Unit Name Abbreviation Aids to Navigation Team Miami ANT Miami Aids to Navigation Team Milford Haven ANT MlfrdHvn Aids to Navigation Team Mobile ANT Mobile Aids to Navigation Team Morgan City ANT MorgCty Aids to Navigation Team Moriches ANT Moriches Aids to Navigation Team New Orleans ANT NOLA Aids to Navigation Team New York ANT NYCty Aids to Navigation Team Oak Island ANT Oak Island Aids to Navigation Team Panama City ANT PanamCty Aids to Navigation Team Pensacola ANT Pensacola Aids to Navigation Team Philadelphia ANT Phila Aids to Navigation Team Ponce de Leon Inlet ANT PonDeLo Aids to Navigation Team Port O'Connor ANT PrtOCon Aids to Navigation Team Potomac ANT Potomac Aids to Navigation Team Puerto Rico ANT PrtoRico Aids to Navigation Team Puget Sound ANT PugetSnd Aids to Navigation Team Sabine ANT Sabine Aids to Navigation Team San Diego ANT SanDgo Aids to Navigation Team San Francisco ANT SanFran Aids to Navigation Team Saugerties ANT Saugerties Aids to Navigation Team Sitka ANT Sitka Aids to Navigation Team South Padre Island ANT SoPadreIs Aids to Navigation Team South Portland ANT SoPortlnd Aids to Navigation Team Southwest Harbor ANT SWHbr Aids to Navigation Team St. Petersburg ANT StPete Aids to Navigation Team Tybee Island ANT Tybee Aids to Navigation Team Venice ANT Venice Aids to Navigation Team Wanchese ANT Wanchese Aids to Navigation Team Woods Hole ANT WdsHole Air Station Astoria AIRS Astoria Air Station Atlantic City AIRS AtlCty Air Station Barbers Point AIRS BarbrPt Air Station Borinquen AIRS Borinq Air Station Cape Cod AIRS CpeCod Air Station Clearwater AIRS Clrwtr Air Station Corpus Christi AIRS CorpChr Air Station Detroit AIRS Detroit Air Station Detroit - Air Facility Muskegon AIRF Muskgn Air Station Elizabeth City AIRS ElizCty Air Station Houston AIRS Houston Air Station Kodiak AIRS Kodiak Air Station Kodiak - Alaska Patrol AIRD ALPAT Air Station Los Angeles AIRS LA Air Station Miami AIRS Miami

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Unit Name Abbreviation Air Station New Orleans AIRS NOLA Air Station North Bend - Air Facility Newport AIRF Newprt Air Station Port Angeles AIRS PrtAngls Air Station Sacramento AIRS Sacto Air Station San Francisco AIRS SanFran Air Station Savannah AIRS Savnnh Air Station Savannah - Air Facility Charleston AIRF Charlstn Air Station Sitka AIRS Sitka Air Station Traverse City AIRS TravrsCty Air Station Traverse City - Air Facility Waukegan AIRF Waukgn Air Station Washington AIRS WashDC Airstation Kodiak - Air Facility Cordova AIRF Cordv Airstation Miami - Aviation Detatchment Guantanamo Bay AIRD Gitmo Atlantic Area LANT Violation Case Coordination Center LANT 542 Aviation Detachment Guantanamo Bay CG AVIATION DET GTMO Aviation Logistics Center CG ALC Aviation Technical Training Center (ATTC) CG ATTC Aviation Training Center (ATC) CG ATC Boat Forces Detachment St. Croix BFD StCroix Boat Forces Detachment St. Thomas BFD StThom CGIS Resident Agent Office (WFO) Alexandria IRAO WashDC CGIS Resident Agent Office Bahrain DDE-CGIS PATFORSWA CGIS Resident Agent Office Baltimore IRAO Balt CGIS Resident Agent Office Bellingham IRAO Bellnghm CGIS Resident Agent Office Brownsville IRAO Brwnsvle CGIS Resident Agent Office Buffalo IRAO Buffalo CGIS Resident Agent Office Cape Cod IRAO CpeCod CGIS Resident Agent Office Cape May IRAO CpeMay CGIS Resident Agent Office Charleston IRAO Charlstn CGIS Resident Agent Office Corpus Christi IRAO CorpChr CGIS Resident Agent Office Detroit IRAO Detroit CGIS Resident Agent Office Grand Haven IRAO GrndHvn CGIS Resident Agent Office Honolulu IRAO Hono CGIS Resident Agent Office Houston IRAO Houston CGIS Resident Agent Office Jacksonville IRAO Jacksonvl CGIS Resident Agent Office Key West IRAO KeyWest CGIS Resident Agent Office Kodiak IRAO Kodiak CGIS Resident Agent Office Mobile IRAO Mobile CGIS Resident Agent Office New London IRAO NewLndn CGIS Resident Agent Office New York City IRAO NYCty CGIS Resident Agent Office Petaluma IRAO Petaluma CGIS Resident Agent Office Port Angeles IRAO PrtAngls CGIS Resident Agent Office Port Arthur IRAO PrtArthur

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Unit Name Abbreviation CGIS Resident Agent Office Portland OR IRAO PortlndOR CGIS Resident Agent Office San Diego IRAO SanDgo CGIS Resident Agent Office San Juan IRAO SanJuan CGIS Resident Agent Office San Pedro IRAO SanPedro CGIS Resident Agent Office Sault Ste Marie IRAO SStMarie CGIS Resident Agent Office St. Louis IRAO StLouis CGIS Resident Agent Office St. Petersburg IRAO StPete CGIS Resident Agent Office St. Thomas IRAO StThom CGIS Resident Agent Office Yorktown IRAO Yrktwn Coast Guard Academy CG CGA Coast Guard Investigative Service Central Region IREG Central Coast Guard Investigative Service Chesapeake Region IREG Chesapk Coast Guard Investigative Service Gulf Region IREG Gulf Coast Guard Investigative Service Northeast Region IREG NorEast Coast Guard Investigative Service Northwest Region IREG NorWest Coast Guard Investigative Service Pacific Region IREG Pac Coast Guard Investigative Service Southeast Region IREG SoEast Coast Guard Yard CG YARD Command and Control Engineering Center (C2CEN) CG C2CEN Commandant (CG-0921) COMDT 0921 Commandant (CG-0922) COMDT 0922 Commandant (CG-0941) COMDT 0941 Commandant (CG-0944) COMDT 0944 Commandant (CG-0945) COMDT 0945 Commandant (CG-1134) COMDT 1134 Commandant (CG-2) COMDT 2 Commandant (CG-2-CGIS) COMDT 2CGIS Commandant (CG-311) COMDT 311 Commandant (CG-514) COMDT 514 Commandant (CG-51M) COMDT 51M Commandant (CG-ENG) COMDT ENG Commandant (CG-OES) COMDT OES Commandant (CG-REG) COMDT REG Commandant (CG-MLE) COMDT MLE Commandant (CG-DOD) COMDT DOD Commandant (CG-MER) COMDT MER Commandant (CG-SAR) COMDT SAR Commandant (CG-535) COMDT 535 Commandant (CG-5P-TI) COMDT 5P-TI Commandant (CG-PSA-1) COMDT PSA-1 Commandant (CG-PSA-2) COMDT PSA-2 Commandant (CG-NAV) COMDT NAV Commandant (CG-BSX) COMDT BSX Commandant (CG-CVC) COMDT CVC

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Unit Name Abbreviation Commandant (CG-FAC) COMDT FAC Commandant (CG-INV) COMDT INV Commandant (CG-INV-3) COMDT INV-3 Commandant (CG-546) COMDT 546 Commandant (CG-62) COMDT 62 Commandant (CG-635) COMDT 635 Commandant (CG-711) COMDT 711 Commandant (CG-731) COMDT 731 Commandant (CG-741) COMDT 741 Commandant (CG-751) COMDT 751 Commandant (CG-761) COMDT 761 Commandant (CG-938) COMDT 938 Commandant (CG-939) COMDT 939 Commandant (DCO-83) COMDT DCO-83 Commandant (CG-BRG) COMDT BRG Commandant (CG-WWM) COMDT WWM Commandant (Misc. staff) COMDT Misc Communication Station Kodiak COMSTA Kodiak Communications Area Master Station Atlantic LANT CAMS Communications Area Master Station Pacific PAC CAMS Cruise Ship National Center of Expertise COMDT 5P-CSCE Deployable Operations Group CG DOG Detached Duty Office Grand Haven DDO GrndHvn Detached Duty Office Myrtle Beach DDO MyrtlBch District 1 D01 District 1 (dp) D01 dp District 1 (dpi) F/V 4100 Processing D01 dpi F/V4100 District 1 (dre) D01 dre District 1 (OAN) D01 OAN District 1 (OBR) D01 OBR District 11 D11 District 11 (dpw) D11 dpw District 11 (dre) D11 dre District 11 (M) D11 M District 11 (O) D11 O District 13 D13 District 13 (dp) D13 dp District 13 (dpw) D13 dpw District 13 (dr) D13 dr District 13 (dre) D13 dre District 13 (dt) D13 dt District 14 D14 District 14 (dpi) D14 dpi District 14 (dre) D14 dre

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Unit Name Abbreviation District 14 (drm) D14 drm District 14 (dpw) D14 dpw District 17 D17 District 17 (dp) D17 dp District 17 (dpw) D17 dpw District 17 (dr) D17 dr District 17 (dre) D17 OLE District 17 (dri) D17 dri District 5 D05 District 5 (dp) D05 dp District 5 (dpb) D05 dpb District 5 (dpw) D05 dpw District 5 (dre) D05 dre District 7 D07 District 7 (dp) D07 dp District 7 (dpb) D07 dpb District 7 (dpw) D07 dpw District 7 (dr) D07 dr District 7 (dre) Processing Center D07 dreProCen District 7 TACLET D07 TACLET District 8 D08 District 8 (dp) D08 dp District 8 (dpb) D08 dpb District 8 (dr) D08 dr District 8 (dre) D08 dre District 8 (dwb) D08 dwb District 9 D09 District 9 (dp) D09 dp District 9 (dpb) D09 dpb District 9 (dpw) D09 dpw District 9 (dr) D09 dr District 9 (dre) D09 dre District 9 (dri) D09 dri El Paso Intelligence Center NCG EPIC Electronic Support Unit Alameda ESU Alameda Electronic Support Unit Boston ESU Boston Electronic Support Unit Cleveland ESU Clevlnd Electronic Support Unit Honolulu ESU Hono Electronic Support Unit Kodiak ESU Kodiak Electronic Support Unit Miami ESU Miami Electronic Support Unit New Orleans ESU NOLA Electronic Support Unit Portsmouth ESU Prtsmth Electronic Support Unit Seattle ESU Seattle Electronic Support Unit St Louis ESU StLouis

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Unit Name Abbreviation Finance Center (FINCEN) CG FINCEN Sector Humboldt Bay SEC Humby Sector North Bend SEC NorBnd Hearing Office CG HO HITRON-10 HITRON 10 Incident Management Assist Team CG IMAT Industrial Support Detachment Sault Ste Marie ISD SStMarie Intelligence Coordination Center (ICC) CG ICC International Ice Patrol CG IIP Investigations National Center of Expertise COMDT INV-INCE Joint Interagency Task Force South NCG JIATF-S Joint Interagency Task Force West NCG JIATF-W Liquefied Gas Carrier National Center of Expertise COMDT 5P-LGCCE Maintenance and Logistics Command Atlantic (LC) MLCA LC Maintenance and Logistics Command Pacific (LC) MLCP LC Marine Inspection Detachment Singapore MID Sing Marine Safety Center (MSC) CG MSC Marine Safety Detachment American Samoa MSD AmSamoa Marine Safety Detachment Belfast MSD Belfast Marine Safety Detachment Brownsville MSD Brownsvle Marine Safety Detachment Cape Cod MSD CpeCod Marine Safety Detachment Cincinnati MSD Cincinnati Marine Safety Detachment Ft. Myers MSD FtMyrs Marine Safety Detachment Ft. Smith MSD FtSmith Marine Safety Detachment Humboldt Bay MSD HumBy Marine Safety Detachment Kenai MSD Kenai Marine Safety Detachment Ketchikan MSD Ketchikan Marine Safety Detachment Kodiak MSD Kodiak Marine Safety Detachment Lake Worth MSD LakeWrth Marine Safety Detachment Lewes MSD Lewes Marine Safety Detachment Massena MSD Massena Marine Safety Detachment Nags Head MSD NagsHd Marine Safety Detachment Nashville MSD Nashville Marine Safety Detachment New Bedford MSD NewBedfrd Marine Safety Detachment Panama City MSD PanamCty Marine Safety Detachment Peoria MSD Peoria Marine Safety Detachment Port Canaveral MSD PrtCanvrl Marine Safety Detachment Portsmouth MSD Prtsmth Marine Safety Detachment Quad Cities MSD QuadCty Marine Safety Detachment Saipan MSD Saipan Marine Safety Detachment Santa Barbara MSD StBarbara Marine Safety Detachment Sitka MSD Sitka Marine Safety Detachment St. Paul MSD StPaul Marine Safety Detachment St. Thomas MSD StThom

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Unit Name Abbreviation Marine Safety Detachment Sturgeon Bay MSD StrgeonBy Marine Safety Detachment Dutch Harbor MSD Dutch Harbor Marine Safety Detachment Vicksburg MSD Vcksbrg Marine Safety Detachment Victoria MSD Victoria Marine Safety Detachment Coram MSD Coram Marine Safety Laboratory CG MSL Marine Safety Unit Baton Rouge MSU BatonRge Marine Safety Unit Chicago MSU Chicago Marine Safety Unit Cleveland MSU Clevlnd Marine Safety Unit Duluth MSU Duluth Marine Safety Unit Houma MSU Houma Marine Safety Unit Huntington MSU Huntngtn Marine Safety Unit Lake Charles MSU LkCharls Marine Safety Unit Morgan City MSU MorganCty Marine Safety Unit Paducah MSU Paducah Marine Safety Unit Pittsburgh MSU Pittsbrg Marine Safety Unit Port Arthur MSU PrtArthur Marine Safety Unit Savannah MSU Savannah Marine Safety Unit Toledo MSU Toledo Marine Safety Unit Valdez MSU Valdez Maritime Force Protection Unit Bangor MFPU Bangor Maritime Force Protection Unit Kings Bay MFPU KngsBy Maritime Intelligence Fusion Center Atlantic LANT MIFC Maritime Intelligence Fusion Center Pacific PAC MIFC Maritime Law Enforcement Academy CG MLEAcdmy Maritime Safety & Security Team Anchorage (91111) MSST 91111 Maritime Safety & Security Team Boston (91110) MSST 91110 Maritime Safety & Security Team Galveston (91104) MSST 91104 Maritime Safety & Security Team Honolulu (91107) MSST 91107 Maritime Safety & Security Team Kings Bay (91108) MSST 91108 Maritime Safety & Security Team LA/LB (91103) MSST 91103 Maritime Safety & Security Team Miami (91114) MSST 91114 Maritime Safety & Security Team New Orleans (91112) MSST 91112 Maritime Safety & Security Team New York (91106) MSST 91106 Maritime Safety & Security Team San Diego (91109) MSST 91109 Maritime Safety & Security Team San Francisco (91105) MSST 91105 Maritime Safety & Security Team Seattle (91101) MSST 91101 Maritime Security Response Team Chesapeake MSRT Chesapk National Drug Intelligence Center NCG NDIC National Maritime Center CG NMC National Oceanic and Atmospheric Administration NCG NOAA National Pollution Funds Center CG NPFC National Strike Force Coordination Center NSF CC National Strike Force, Atlantic Strike Team NSF AST

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Unit Name Abbreviation National Strike Force, Gulf Strike Team NSF GST National Strike Force, Pacific Strike Team NSF PST National Vessel Documentation Center (NVDC) CG NVDC Navigation Center CG NAVCEN Operation Bahamas, Turks and Caicos OPBAT Operations Systems Center (OSC) CG OSC Ordnance Support Facility CG ORDSUPFAC Outer Continental Shelf National Center of Expertise COMDT 5P-OCSCE Pacific Area PAC Pacific Area Training Team PAC ATT Port Security Unit 301 PSU 301 Port Security Unit 305 PSU 305 Port Security Unit 307 PSU 307 Port Security Unit 308 PSU 308 Port Security Unit 309 PSU 309 Port Security Unit 311 PSU 311 Port Security Unit 312 PSU 312 Port Security Unit 313 PSU 313 Regional Fisheries Training Center (NE) RFTC NorEast Regional Fisheries Training Center (NP) RFTC NorPac Regional Fisheries Training Center (SE) RFTC SoEast Regional Fisheries Training Center (Gulf) RFTC Gulf Research and Development Center CG RDC Resident Inspection Office St. Croix RIO StCroix Sector Anchorage SEC Anchorage Sector Astoria SEC Astoria Sector Baltimore SEC Balt Sector Boston SEC Boston Sector Buffalo SEC Buffalo Sector Charleston SEC Charlstn Sector Corpus Christi SEC CorpChr Sector Delaware Bay SEC DelwrBy Sector Detroit SEC Detroit Sector Field Office Atlantic City SFO AtlCty Sector Field Office Cape Hatteras SFO CpeHattras Sector Field Office Eastern Shore SFO EastrnShr Sector Field Office Galveston SFO Galvstn Sector Field Office Grand Haven SFO GrndHvn Sector Field Office Ketchikan SFO Ketchikan Sector Field Office Moriches SFO Moriches Sector Field Office Southwest Harbor SFO SWHbr Sector Guam SEC Guam Sector Hampton Roads SEC HamptnRds Sector Honolulu SEC Hono

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Unit Name Abbreviation Sector Houston/Galveston SEC HouGalvstn Sector Jacksonville SEC Jacksonvl Sector Juneau SEC Juneau Sector Key West SEC KeyWest Sector Lake Michigan SEC LkMichgn Sector Long Island Sound SEC LIS Sector Los Angeles/Long Beach SEC LA/LB Sector Lower Mississippi SEC LwrMiss Sector Miami SEC Miami Sector Mobile SEC Mobile Sector New Orleans SEC NOLA Sector New York SEC NYCty Sector North Carolina SEC NCarolina Sector Northern New England SEC NNewEnglnd Sector Ohio Valley SEC OhioVly Sector Port Angeles SEC PrtAngls Sector Portland SEC PortlndOR Sector San Diego SEC SanDgo Sector San Francisco SEC SanFran Sector San Juan SEC SanJuan Sector Sault Ste Marie SEC SStMarie Sector Seattle SEC Seattle Sector Southeastern New England SEC SNewEnglnd Sector St Petersburg SEC StPete Sector Upper Mississippi River SEC UpperMissRvr Special Missions Training Center CG SMTC Station (Small) Alpena STAS Alpena Station (Small) Beach Haven STAS BchHavn Station (Small) Block Island STAS BlockIsl Station (Small) Coquille River STAS CoqillRvr Station (Small) East Moriches STAS Emoriches Station (Small) Fishers Island STAS FishersIsl Station (Small) Fortesque STAS Fortesque Station (Small) Great Egg STAS GreatEgg Station (Small) Green Bay STAS GreenBy Station (Small) North Superior STAS NSuperior Station (Small) Ocracoke STAS Ocracoke Station (Small) Rogue River STAS RogueRvr Station (Small) Sackets Harbor STAS SacktsHbr Station (Small) Salem STAS Salem Station (Small) Santa Cruz STAS SantaCruz Station (Small) Scituate STAS Scituate Station (Small) Shark River STAS SharkRvr Station (Small) Sodus STAS Sodus

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Unit Name Abbreviation Station (Small) Stillpond STAS Stillpond Station (Small) Townsends Inlet STAS TwnsdInlt Station (Small) Washington Island STAS WashIsl Station Alexandria Bay STA AlexandBay Station Annapolis STA Annapolis Station Apra Harbor STA ApraHbr Station Ashtabula STA Ashtabula Station Atlantic City STA AtlCty Station Barnegat Light STA BarnegatLt Station Bayfield STA Bayfield Station Belle Isle STA BelleIsl Station Bellingham STA Bellingham Station Bodega Bay STA BodegaBy Station Boothbay Harbor STA BoothByHbr Station Boston STA Boston Station Brant Point STA BrantPt Station Brunswick STA Brunswick Station Buffalo STA Buffalo Station Burlington STA Burlingtn Station Calumet Harbor STA CalumetHbr Station Cape Charles STA CpeCharls Station Cape Cod Canal STA CpeCod Station Cape Disappointment STA CpeDisapnt Station Cape May STA CpeMay Station Castle Hill STA CastlHill Station Channel Islands Harbor STA ChanlIsl Station Charleston STA Charlstn Station Charlevoix STA Charlvoix Station Chatham STA Chatham Station Chetco River STA ChetcoRvr Station Chincoteague STA Chincotg Station Cleveland Harbor STA ClevlndHbr Station Coos Bay STA CoosBy Station Cortez STA Cortez Station Crisfield STA Crisfield Station Curtis Bay STA CurtisBy Station Dauphin Island STA DauphnIsl Station Depoe Bay STA DepoeBy Station Destin STA Destin Station Duluth STA Duluth Station East Tawas STA Etawas Station Eastport STA Eastport Station Eatons Neck STA EatnsNck Station Elizabeth City STA ElizCty

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Unit Name Abbreviation Station Emerald Isle STA EmrldIsl Station Erie STA Erie Station Fairport STA Fairport Station Fire Island STA FireIsl Station Fort Lauderdale STA FtLauderdl Station Fort Macon STA FtMacon Station Fort Myers Beach STA FtMyrsBch Station Fort Pierce STA FtPierce Station Frankfort STA Frankfort Station Freeport STA Freeport Station Galveston STA Galvstn Station Georgetown STA Geotwn Station Gloucester STA Gloucestr Station Golden Gate STA GoldnGate Station Grand Haven STA GrndHavn Station Grand Isle STA GrndIsl Station Grays Harbor STA GrysHbr Station Gulfport STA Gulfport Station Harbor Beach STA HbrBch Station Hatteras Inlet STA HattInlt Station Hobucken STA Hobucken Station Holland - AUXOP STA Holland Station Honolulu STA Hono Station Houston STA Houston Station Humboldt Bay STA HumBy Station Indian River STA IndianRvr Station Islamorada STA Islamorda Station Jones Beach STA JonesBch Station Jonesport STA Jonesprt Station Juneau STA Juneau Station Kauai STA Kauai Station Kenosha STA Kenosha Station Ketchikan STA Ketchikan Station Key West STA KeyWest Station Kings Point STA KingsPt Station Lake Charles STA LkCharls Station Lake Tahoe STA LakeTahoe Station Lake Worth Inlet STA LakeWrthInl Station Little Creek STA LtlCreek Station Lorain STA Lorain Station Los Angeles/Long Beach STA LALB Station Ludington STA Ludington Station Manasquan Inlet STA ManasqInl Station Manistee STA Manistee

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Unit Name Abbreviation Station Marathon STA Marathon Station Marblehead STA Marblehead Station Marquette STA Marquette Station Maui STA Maui Station Mayport STA Mayport Station Menemsha STA Menmsha Station Merrimac River STA MerrimckRvr Station Miami Beach STA MiamiBch Station Michigan City STA MichCty Station Milford Haven STA MlfrdHvn Station Milwaukee STA Milwaukee Station Montauk STA Montauk Station Monterey STA Monterey Station Morro Bay STA MorroBy Station Muskegon STA Muskegn Station Neah Bay STA NeahBy Station New Haven STA NewHvn Station New London STA NewLndn Station New Orleans STA NOLA Station New York STA NYCty Station Niagara STA Niagara Station Noyo River STA NoyoRvr Station Oak Island STA OakIsl Station Ocean City STA OceanCty Station Oregon Inlet STA OregnInl Station Oswego STA Oswego Station Oxford STA Oxford Station Panama City STA PanamCty Station Pascagoula STA Pascagoula Station Pensacola STA Pensacola Station Philadelphia STA Phila Station Point Allerton STA PtAllertn Station Point Judith STA PtJudith Station Ponce De Leon Inlet STA PonDeLoInl Station Port Angeles STA PrtAngls Station Port Aransas STA PrtArans Station Port Canaveral STA PrtCanvrl Station Port Huron STA PrtHuron Station Port OConnor STA PrtOConnr Station Portage STA Portage Station Portland STA PortlndOR Station Portsmouth STA Prtsmth Station Portsmouth Harbor STA PrtsmthHbr Station Provincetown STA Provnctwn

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Unit Name Abbreviation Station Quillayute River STA QuilayteRvr Station Rio Vista STA RioVista Station Rochester STA Rochester Station Rockland STA Rocklnd Station Sabine STA Sabine Station Saginaw River STA SaginwRvr Station San Diego STA SanDgo Station San Francisco STA SanFran Station San Juan STA SanJuan Station Sand Key STA SandKey Station Sandy Hook STA SndyHook Station Sault Ste Marie STA SStMarie Station Seattle STA Seattle Station Sheboygan STA Sheboygan Station Shinnecock STA Shinnecock Station Siuslaw River STA SiuslwRvr Station South Padre Island STA SPadreIsl Station South Portland STA SPortlnd Station Southwest Harbor STA SWHbr Station St Clair Shores STA StClrShrs Station St Ignace STA StIgnace Station St Inigoes STA StInigoes Station St Joseph STA StJoseph Station St Petersburg STA StPete Station Sturgeon Bay STA StrgeonBy Station Tillamook Bay STA TillamkBy Station Toledo STA Toledo Station Two Rivers STA TwoRvrs Station Tybee STA Tybee Station Umpqua River STA UmpquaRvr Station Valdez STA Valdez Station Vallejo STA Vallejo Station Venice STA Venice Station Wachapreague STA Wachapreague Station Washington DC STA WashDC Station Wilmette Harbor STA WilmHbr Station Woods Hole STA WdsHole Station Wrightsville Beach STA WrigtsvlBch Station Yankeetown STA Yankeetwn Station Yaquina Bay STA YaqnaBy Suspension & Revocation National Center of Expertise COMDT INV-SRCE Tactical Law Enforcement Team North LANT TACLETNOR Tactical Law Enforcement Team Pacific Area PAC TACLET Tactical Law Enforcement Team South LANT TACLETSOU

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Unit Name Abbreviation Towing Vessel National Center of Expertise COMDT 5P-TVCE Training Center Cape May TRACEN CpeMay Training Center Petaluma TRACEN Petlma Training Center Yorktown TRACEN Yrktwn US Northern Command NCG NORTHCOM USCG WMSL Crew Alpha - Alameda WMSL Alpha USCG WMSL Crew Bravo - Alameda WMSL Bravo USCG WMSL Crew Delta - Alameda WMSL Delta USCGC ABBIE BURGESS (WLM 553) CGC ABIEBRGS USCGC ACACIA (WLB 406) CGC ACACIA USCGC ACTIVE (WMEC 618) CGC ACTIVE USCGC ACUSHNET (WMEC 167) CGC ACUSHNET USCGC ADAK (WPB 1333) CGC ADAK USCGC ADELIE (WPB 87333) CGC ADELIE USCGC AHI (WPB 87364) CGC AHI USCGC ALBACORE (WPB 87309) CGC ALBACORE USCGC ALDER (WLB 216) CGC ALDER USCGC ALERT (WMEC 630) CGC ALERT USCGC ALEX HALEY (WMEC 39) CGC ALEXHALEY USCGC ALLIGATOR (WPB 87372) CGC ALLIGATR USCGC AMBERJACK (WPB 87315) CGC AMBRJCK USCGC ANACAPA (WPB 1335) CGC ANACAPA USCGC ANTHONY PETIT (WLM 558) CGC ANTHNYPETT USCGC ANVIL (WLIC 75301) CGC ANVIL USCGC AQUIDNECK (WPB 1309) CGC AQUDNCK USCGC ASPEN (WLB 208) CGC ASPEN USCGC ASSATEAGUE (WPB 1337) CGC ASSATGE USCGC ATTU (WPB 1317) CGC ATTU USCGC AXE (WLIC 75310) CGC AXE USCGC BAINBRIDGE ISLAND (WPB 1343) CGC BNBRDGISL USCGC BARANOF (WPB 1318) CGC BARANOF USCGC BARBARA MABRITY (WLM 559) CGC BARBMABTY USCGC BARRACUDA (WPB 87301) CGC BARACDA USCGC BAYBERRY (WLI 65400) CGC BAYBERRY USCGC BEAR (WMEC 901) CGC BEAR USCGC BELUGA (WPB 87325) CGC BELUGA USCGC BISCAYNE BAY (WTGB 104) CGC BISCANBY USCGC BLACKBERRY (WLI 65303) CGC BLKBERY USCGC BLACKFIN (WPB 87317) CGC BLACKFIN USCGC BLACKTIP (WPB 87326) CGC BLACKTIP USCGC BLOCK ISLAND (WPB 1344) CGC BLOCKISL USCGC BLUE SHARK (WPB 87360) CGC BLUSHRK USCGC BLUEBELL (WLI 313) CGC BLUEBELL USCGC BLUEFIN (WPB 87318) CGC BLUEFIN

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Unit Name Abbreviation USCGC BOLLARD (WYTL 65614) CGC BOLLARD USCGC BONITO (WPB 87341) CGC BONITO USCGC BOUTWELL (WHEC 719) CGC BOUTWELL USCGC BRANT (WPB 87348) CGC BRANT USCGC BRIDLE (WYTL 65607) CGC BRIDLE USCGC BRISTOL BAY (WTGB 102) CGC BRISTLBY USCGC BUCKTHORN (WLI 642) CGC BCKTHRN USCGC CAMPBELL (WMEC 909) CGC CAMPBELL USCGC CAPSTAN (WYTL 65601) CGC CAPSTAN USCGC CHANDELEUR (WPB 1319) CGC CHANDLEUR USCGC CHARLES DAVID (WPC 1107) CGC CHARLSDVD USCGC CHENA (WLR 75409) CGC CHENA USCGC CHEYENNE (WLR 75405) CGC CHEYENNE USCGC CHINOOK (WPB 87308) CGC CHINOOK USCGC CHIPPEWA (WLR 75404) CGC CHIPPEWA USCGC CHOCK (WYTL 65602) CGC CHOCK USCGC CIMARRON (WLR 65502) CGC CIMARRON USCGC CLAMP (WLIC 75306) CGC CLAMP USCGC CLEAT (WYTL 65615) CGC CLEAT USCGC COBIA (WPB 87311) CGC COBIA USCGC COCHITO (WPB 87329) CGC COCHITO USCGC COHO (WPB 87321) CGC COHO USCGC CONFIDENCE (WMEC 619) CGC CONFIDNCE USCGC CORMORANT (WPB 87313) CGC CORMORANT USCGC CROCODILE (WPB 87369) CGC CRCODILE USCGC CUSHING (WPB 1321) CGC CUSHING USCGC CUTTYHUNK (WPB 1322) CGC CUTTYHUNK USCGC CYPRESS (WLB 210) CGC CYPRESS USCGC DALLAS (WHEC 716) CGC DALLAS USCGC DAUNTLESS (WMEC 624) CGC DAUNTLESS USCGC DECISIVE (WMEC 629) CGC DECISIVE USCGC DEPENDABLE (WMEC 626) CGC DPNDABLE USCGC DIAMONDBACK (WPB 87370) CGC DIAMNDBCK USCGC DILIGENCE (WMEC 616) CGC DILIGENCE USCGC DOLPHIN (WPB 87354) CGC DOLPHIN USCGC DORADO (WPB 87306) CGC DORADO USCGC DRUMMOND (WPB 1323) CGC DRUMMOND USCGC EAGLE (WIX 327) CGC EAGLE USCGC EDISTO (WPB 1313) CGC EDISTO USCGC ELDERBERRY (WLI 65401) CGC ELDRBRY USCGC ELM (WLB 204) CGC ELM USCGC ESCANABA (WMEC 907) CGC ESCANABA USCGC FARALLON (WPB 1301) CGC FARALLON USCGC FINBACK (WPB 87314) CGC FINBCK

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Unit Name Abbreviation USCGC FIR (WLB 213) CGC FIR USCGC FLYINGFISH (WPB 87346) CGC FLYNGFISH USCGC FORWARD (WMEC 911) CGC FORWARD USCGC FRANK DREW (WLM 557) CGC FRNKDREW USCGC GALLATIN (WHEC 721) CGC GALLATIN USCGC GALVESTON ISLAND (WPB 1349) CGC GALVSTNISL USCGC GANNET (WPB 87334) CGC GANNETT USCGC GASCONADE (WLR 75401) CGC GASCNADE USCGC GENTIAN (WIX 290) CGC GENTIAN USCGC GEORGE COBB (WLM 564) CGC GEOCOBB USCGC GRAND ISLE (WPB 1338) CGC GRNDISL USCGC GREENBRIER (WLR 75501) CGC GRNBRIER USCGC HADDOCK (WPB 87347) CGC HADDOCK USCGC HALIBUT (WPB 87340) CGC HALIBUT USCGC HAMMER (WLIC 75302) CGC HAMMER USCGC HAMMERHEAD (WPB 87302) CGC HAMMRHD USCGC HARRIET LANE (WMEC 903) CGC HARRIETLN USCGC HARRY CLAIBORNE (WLM 561) CGC HARRYCLBN USCGC HATCHET (WLIC 75309) CGC HATCHET USCGC HAWK (WPB 87355) CGC HAWK USCGC HAWKSBILL (WPB 87312) CGC HAWKSBILL USCGC HAWSER (WYTL 65610) CGC HAWSER USCGC HEALY (WAGB 20) CGC HEALY USCGC HENRY BLAKE (WLM 563) CGC HNRYBLKE USCGC HERIBERTO HERNANDEZ (WPC-1114) USCGC HERON (WPB 87344) CGC HERON USCGC HICKORY (WLB 212) CGC HICKORY USCGC HOLLYHOCK (WLB 214) CGC HOLLYHOCK USCGC HUDSON (WLIC 801) CGC HUDSON USCGC IBIS (WPB 87338) CGC IBIS USCGC IDA LEWIS (WLM 551) CGC IDALEWIS USCGC ISAAC MAYO (WPC-1112) CGC ISAAC MAYO USCGC JAMES RANKIN (WLM 555) CGC JMESRNKN USCGC JEFFERSON ISLAND (WPB 1340) CGC JEFFISL USCGC JOSHUA APPLEBY (WLM 556) CGC JOSHAPLBY USCGC JUNIPER (WLB 201) CGC JUNIPER USCGC KANAWHA (WLR 75407) CGC KANAWHA USCGC KANKAKEE (WLR 75500) CGC KANKAKEE USCGC KATHERINE WALKER (WLM 552) CGC KWALKER USCGC KATMAI BAY (WTGB 101) CGC KATMAIBY USCGC KENNEBEC (WLIC 802) CGC KENNEBEC USCGC KEY BISCAYNE (WPB 1339) CGC KEYBISCYN USCGC KEY LARGO (WPB 1324) CGC KEYLARGO USCGC KICKAPOO (WLR 75406) CGC KICKAPOO

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Unit Name Abbreviation USCGC KINGFISHER (WPB 87322) CGC KINGFISHER USCGC KISKA (WPB 1336) CGC KISKA USCGC KITTIWAKE (WPB 87316) CGC KITTIWAKE USCGC KNIGHT ISLAND (WPB 1348) CGC KNIGHTISL USCGC KODIAK ISLAND (WPB 1341) CGC KODIAKISL USCGC KUKUI (WLB 203) CGC KUKUI USCGC LEGARE (WMEC 912) CGC LEGARE USCGC LIBERTY (WPB 1334) CGC LIBERTY USCGC LINE (WYTL 65611) CGC LINE USCGC LONG ISLAND (WPB 1342) CGC LONGISL USCGC MACKINAW (NEW) (WLBB 30) CGC MAKINAW-N USCGC MACKINAW (WAGB 83) CGC MAKINAW USCGC MAKO (WPB 87303) CGC MAKO USCGC MALLET (WLIC 75304) CGC MALLET USCGC MANATEE (WPB 87363) CGC MANATEE USCGC MANITOU (WPB 1302) CGC MANITOU USCGC MANOWAR (WPB 87330) CGC MANOWAR USCGC MANTA (WPB 87320) CGC MANTA USCGC MAPLE (WLB 207) CGC MAPLE USCGC MARCUS HANNA (WLM 554) CGC MHANNA USCGC MARIA BRAY (WLM 562) CGC MARIABRAY USCGC MARLIN (WPB 87304) CGC MARLIN USCGC MATAGORDA (WPB 1303) CGC MATA USCGC MATINICUS (WPB 1315) CGC MATINICUS USCGC MAUI (WPB 1304) CGC MAUI USCGC MELLON (WHEC 717) CGC MELLON USCGC METOMPKIN (WPB 1325) CGC METMPKN USCGC MIDGETT (WHEC 726) CGC MIDGETT USCGC MOBILE BAY (WTGB 103) CGC MOBILEBY USCGC MOHAWK (WMEC 913) CGC MOHAWK USCGC MONHEGAN (WPB 1305) CGC MONHEGAN USCGC MONOMOY (WPB 1326) CGC MONOMOY USCGC MONSOON (WPC 4) CGC MONSOON USCGC MORAY (WPB 87331) CGC MORAY USCGC MORGENTHAU (WHEC 722) CGC MORGNTHAU USCGC MORRO BAY (WTGB 106) CGC MORROBY USCGC MUNRO (WHEC 724) CGC MUNRO USCGC MUSKINGUM (WLR 75402) CGC MUSKNGUM USCGC MUSTANG (WPB 1310) CGC MUSTANG USCGC NANTUCKET (WPB 1316) CGC NANTUCKET USCGC NARWHAL (WPB 87335) CGC NARWHAL USCGC NAUSHON (WPB 1311) CGC NAUSHON USCGC NEAH BAY (WTGB 105) CGC NEAHBY USCGC NORTHLAND (WMEC 904) CGC NORTHLAND

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Unit Name Abbreviation USCGC NUNIVAK (WPB 1306) CGC NUNIVAK USCGC OAK (WLB 211) CGC OAK USCGC OBION (WLR 65503) CGC OBION USCGC OCRACOKE (WPB 1307) CGC OCRACOKE USCGC ORCAS (WPB 1327) CGC ORCAS USCGC OSAGE (WLR 65505) CGC OSAGE USCGC OSPREY (WPB 87307) CGC OSPREY USCGC OUACHITA (WLR 65501) CGC OUACHITA USCGC PADRE (WPB 1328) CGC PADRE USCGC PAMLICO (WLIC 800) CGC PAMLICO USCGC PATOKA (WLR 75408) CGC PATOKA USCGC PEA ISLAND (WPB 1347) CGC PEAISL USCGC PELICAN (WPB 87327) CGC PELICAN USCGC PENDANT (WYTL 65608) CGC PENDANT USCGC PENOBSCOT BAY (WTGB 107) CGC PENBSCTBY USCGC PETREL (WPB 87350) CGC PETREL USCGC PIKE (WPB 87365) CGC PIKE USCGC POLAR SEA (WAGB 11) CGC POLRSEA USCGC POLAR STAR (WAGB 10) CGC POLRSTAR USCGC POMPANO (WPB 87339) CGC POMPANO USCGC RAZORBILL (WPB 87332) CGC RAZORBILL USCGC REEF SHARK (WPB 87371) CGC REEFSHRK USCGC RELIANCE (WMEC 615) CGC RELIANCE USCGC RESOLUTE (WMEC 620) CGC RESOLUTE USCGC RIDLEY (WPB 87328) CGC RIDLEY USCGC ROANOKE ISLAND (WPB 1346) CGC ROANKEISL USCGC RUSH (WHEC 723) CGC RUSH USCGC SAGINAW (WLIC 803) CGC SAGINAW USCGC SAILFISH (WPB 87356) CGC SAILFISH USCGC SANGAMON (WLR 65506) CGC SANGAMON USCGC SANIBEL (WPB 1312) CGC SANIBEL USCGC SAPELO (WPB 1314) CGC SAPELO USCGC SASSAFRAS (WLB 401) CGC SASSAFRS USCGC SAWFISH (WPB 87357) CGC SAWFISH USCGC SCIOTO (WLR 65504) CGC SCIOTO USCGC SEA DEVIL (WPB 87368) CGC SEADEVL USCGC SEA DOG (WPB 87373) CGC SEADOG USCGC SEA DRAGON (WPB 87367) CGC SEADRGN USCGC SEA FOX (WPB 87374) CGC SEAFOX USCGC SEA HORSE (WPB 87361) CGC SEAHRSE USCGC SEA LION (WPB 87352) CGC SEALION USCGC SEA OTTER (WPB 87362) CGC SEAOTTER USCGC SEAHAWK (WPB 87323) CGC SEAHAWK USCGC SENECA (WMEC 906) CGC SENECA

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Unit Name Abbreviation USCGC SEQUOIA (WLB 215) CGC SEQUOIA USCGC SHACKLE (WYTL 65609) CGC SHACKLE USCGC SHAMAL (WPC 13) CGC SHAMAL USCGC SHEARWATER (WPB 87349) CGC SHEARWATR USCGC SHERMAN (WHEC 720) CGC SHERMAN USCGC SHRIKE (WPB 87342) CGC SHRIKE USCGC SITKINAK (WPB 1329) CGC SITINAK USCGC SKIPJACK (WPB 87353) CGC SKIPJACK USCGC SLEDGE (WLIC 75303) CGC SLEDGE USCGC SMILAX (WLIC 315) CGC SMILAX USCGC SOCKEYE (WPB 87337) CGC SOCKEYE USCGC SPAR (WLB 206) CGC SPAR USCGC SPENCER (WMEC 905) CGC SPENCER USCGC STATEN ISLAND (WPB 1345) CGC STATENISL USCGC STEADFAST (WMEC 623) CGC STEADFAST USCGC STEELHEAD (WPB 87324) CGC STEELHEAD USCGC STINGRAY (WPB 87305) CGC STINGRAY USCGC STORIS (WMEC 38) CGC STORIS USCGC STURGEON (WPB 87336) CGC STRGEON USCGC STURGEON BAY (WTGB 109) CGC STRGEONBY USCGC SWORDFISH (WPB - 87358) CGC SWORDFISH USCGC SYCAMORE (WLB 209) CGC SYCAMORE USCGC TACKLE (WYTL 65604) CGC TACKLE USCGC TAHOMA (WMEC 908) CGC TAHOMA USCGC TAMPA (WMEC 902) CGC TAMPA USCGC TARPON (WPB 87310) CGC TARPON USCGC TEMPEST (WPC 2) CGC TEMPEST USCGC TERN (WPB 87343) CGC TERN USCGC TERRAPIN (WPB 87366) CGC TERRPN USCGC THETIS (WMEC 910) CGC THETIS USCGC THUNDER BAY (WTGB 108) CGC THUNDRBY USCGC TIGER SHARK (WPB 87359) CGC TIGRSHRK USCGC TORNADO (WPC 14) CGC TORNADO USCGC TYBEE (WPB 1330) CGC TYBEE USCGC VALIANT (WMEC 621) CGC VALIANT USCGC VASHON (WPB 1308) CGC VASHON USCGC VENTUROUS (WMEC 625) CGC VENTROUS USCGC VIGILANT (WMEC 617) CGC VIGILANT USCGC VIGOROUS (WMEC 627) CGC VIGOROUS USCGC VISE (WLIC 75305) CGC VISE USCGC WAHOO (WPB 87345) CGC WAHOO USCGC WALNUT (WLB 205) CGC WALNUT USCGC WASHINGTON (WPB 1331) CGC WASHNGTN USCGC WEDGE (WLR 75307) CGC WEDGE

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Unit Name Abbreviation USCGC WILLIAM TATE (WLM 560) CGC WTATE USCGC WILLOW (WLB 202) CGC WILLOW USCGC WIRE (WYTL 65612) CGC WIRE USCGC WRANGELL (WPB 1332) CGC WRANGELL USCGC WYACONDA (WLR 75403) CGC WYCONDA USCGC YELLOWFIN (WPB 87319) CGC YELLOWFIN Vessel Traffic Service Berwick Bay VTS BrwckBy Vessel Traffic Service Los Angeles-Long Beach VTS LALB Vessel Traffic Service Louisville VTS Louisville Vessel Traffic Service New York VTS NYCty Vessel Traffic Service Prince William Sound VTS PrncWmSnd Vessel Traffic Service Sault Ste Marie VTS SStMarie National Oceanic and Atmospheric Administration NCG NOAA Vintage Vessel National Center of Expertise COMDT 5P-VVCE Air Station North Bend AIRS NorBnd Air Station Humboldt Bay AIRS HumBy Adminstrative Law Judge Office Network ALJ Norfolk Base Support Unit Portsmouth BSU Prtsmth Commandant (CG-00J) COMDT 00J Station (Small) Roosevelt Inlet STAS Rsvlt Inl CGIS Resident Agent Office Milwaukee IRAO Milwaukee Container Inspection Training and Assistance Team CITAT Resident Inspection Office Ponce RIO Ponce Marine Safety Unit Portland OR MSU PortlndOR Sector Columbia River SEC ClmbiaRvr Air Station/Sector Field Office Port Angeles ASSFO PrtAngls District 14 (dr) D14 dr USCGC BERNARD C. WEBBER (WPC 1101) CGC BERNWBBER Base Support Unit Boston BSU Boston USCGC RICHARD ETHERIDGE (WPC 1102) CGC RCHETHRIDG Marine Safety Unit Texas City MSU TxCty Aids to Navigation Team Sault Ste Marie ANT SStMarie Marine Safety Detachment Fort Macon MSD FtMacon Sector Field Office Fort Macon SFO FtMacon FORCECOM (FC-57) ESB Portsmouth VA FC57 PrtsmthVA USCGC ROBERT YERED (WPC 1104) CGC ROBTYERED USCGC WILLIAM FLORES (WPC 1103) CGC WMFLORES USCGC MARGARET NORVEL (WPC 1105) CGC MRGRETNRVL USCGC PAUL CLARK (WPC 1106) CGC PAULCLRK FORCECOM (FC-57) ESB Washington DC FC57 WashDC FORCECOM (FC-57) ESB Alameda CA FC57 Alameda USCG WMSL Crew Charlie - Alameda WMSL Charlie Station (Small) Chicago STAS Chicago FORCECOM (P) FC P

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Unit Name Abbreviation Marine Safety Team Maui MST Maui CGIS Resident Agent Office Long Island Sound IRAO LIS Pacific Regional Fisheries Training Center RFTC Pac Marine Safety Detachment Homer MSD Homer CGIS Resident Agent Office Juneau IRAO Juneau USCGC CHARLES SEXTON (WPC 1108) CGC CHARLSSXTN USCGC KATHLEEN MOORE (WPC 1109) CGC KATMOORE District 2 (O) D02 O MSO Nashville MSO Nashville District 2 (B) D02 B District 2 (DJ) D02 DJ District 2 (M) D02 M MSO Cincinnati MSO Cincinnati VTS Louisville Vessel Traffic Service Lousville DISTRICT 2 (O) (D02 O) Activities Europe - OLD (ACT Euro) MSO ANCHORAGE MSO Anchorage MSFO BUCKSPORT MSFO Bucksport MSO BOSTON MSO Boston MSO BUFFALO MSO Buffalo MSO CHARLESTON MSO Charlstn MSO CHICAGO MSO Chicago MSO CLEVELAND MSO Clevlnd MSD CONCORD (MSD Concord) MSO Corpus Christi MSO CorpChr MSD QUAD CITIES MSD QuadCty-old MSO DETROIT MSO Detroit MSO DULUTH MSO Duluth MSU GALVESTON MSU Galvstn-OLD Marine Safety Detachment Grand Haven MSD GrndHvn Marine Safety Detachment Greenville MSD Grnville MSO GUAM MSO Guam MIDET HARVEY CANAL DETAIL MID HarvCnl MSO HAMPTON ROADS MSO HamptnRds MSO HONOLULU MSO Hono MIO HOUSTON (MIO Houston) MSO HOUSTON/GALVESTON MSO HouGalvstn MSO HUNTINGTON MSO Huntngtn MSO JACKSONVILLE MSO Jacksonvl MSO JUNEAU MSO Juneau MSD KETCHIKAN MSD Ketchikan-old COTP LONG ISLAND SOUND (COTP LIS) GROUP/MSO LONG ISLAND SOUND GPMSO LIS

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Unit Name Abbreviation MSU LAKE CHARLES MSU LkCharls-OLD MSO LOS ANGELES/LONG BEACH MSO LALB MSO LOUISVILLE MSO Louisville MSO MEMPHIS MSO Memphis MSO MIAMI MSO Miami MSO MILWAUKEE MSO Milwaukee MSO Mobile MSO Mobile MSO MORGAN CITY MSO MorganCty MSO NASHVILLE (MSO Nashville) MIO NEW ORLEANS (MIO NOLA) MSO NEW ORLEANS MSO NOLA ACTIVITIES NEW YORK ACT NYCty COTP NEW YORK (COTP NYCty) NYOBR NYOBR MSO Paducah MSO Paducah MSO PORT ARTHUR MSO PrtArthur MSD PEORIA MSD Peoria-old MIO PHILADELPHIA (MIO Phila) MSO PHILADELPHIA MSO Phila MSO Pittsburgh MSO Pittsbrg MSO PORTLAND MAINE MSO PortlndME MSFO Portsmouth MSFO Prtsmth MSO PORTLAND, OREGON MSO PortlndOR MSO PROVIDENCE MSO Providence MSO SAVANNAH MSO Savannah MSO SAN DIEGO MSO SanDgo MSO PUGET SOUND MSO PugetSnd MSO SAN FRANCISCO BAY MSO SanFran MSD SITKA MSD Sitka-old MSO SAN JUAN MSO SanJuan MSO ST LOUIS MSO StLouis COTP SAULT ST. MARIE (COTP SStMarie) MSO SAULT STE MARIE MSO SStMarie MSD ST. PAUL MSD StPaul-old MSO TAMPA MSO Tampa MSO WILMINGTON MSO WilmngtnNC HEARING OFFICE - ALAMEDA DETACHMENT (CG HODET) THE UNKNOWN UNIT UNKNOWN District 1 (dr) D01 dr National Response Center (NRC) CG NRC Commandant (CG-521) COMDT 521 COMMANDANT (G-MER) (COMDT MER) COMMANDANT (G-MEP) (COMDT MEP) PACAREA 4100 PROC CENTER (PAC PROCEN)

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Unit Name Abbreviation GROUP GRAND HAVEN GP GrndHvn GROUP KEY WEST GP KeyWest GROUP HAMPTON ROADS GP HamptnRds USCGC JARVIS (WHEC 725) CGC JARVIS CGC SEDGE CGC SEDGE MARSEC MARSEC GROUP SEATTLE GP Seattle Sector Astoria SEC Astoria GROUP PORTLAND OREGON GP PortlndOR GROUP NORTH BEND GP NorBnd Air Station Astoria AIRS Astoria GROUP HUMBOLDT BAY GP HumBy GROUP SAN FRANCISCO GP SanFran GROUP SAN DIEGO GP SanDgo AIR STATION SAN DIEGO AIRS SanDgo CGC POINT BROWER CGC PTBROWER GROUP DETROIT GP Detroit GROUP MILWAUKEE GP Milwaukee GROUP SAULT STE MARIE GP SStMarie Base Detroit BASE Detroit CGC BRAMBLE CGC BRAMBLE CGC SUNDEW CGC SUNDEW GROUP MOBILE GP Mobile GROUP NEW ORLEANS GP NOLA GROUP GALVESTON GP Galvstn GROUP CORPUS CHRISTI GP CorpChr CGC POINT LOBOS CGC PTLOBOS CGC POINT BAKER CGC PTBAKER GROUP CHARLESTON GP Charlstn GROUP ST PETERSBURG GP StPete CGC SWEETGUM (CGC SWEETGUM) GROUP CAPE HATTERAS GP CpeHattras ANT Kennebec ANT Kennebec STATION TAYLORS ISLAND (STA TaylorIsl) GROUP ATLANTIC CITY GP AtlCty GROUP SOUTHWEST HARBOR GP SWHbr GROUP BOSTON GP Boston GROUP PORTLAND MAINE GP PortlndME USCGC CHASE (WHEC 718) CGC CHASE USCGC HAMILTON (WHEC 715) CGC HAMILTON CGC SWEETBRIR CGC SWEETBRIR CGC FIREBUSH (CGC FIREBUSH) GROUP MIAMI GP Miami GROUP HONOLULU GP Hono

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Unit Name Abbreviation CGC MADRONA (CGC MADRONA) GROUP FORT MACON GP FtMacon Air Station Port Angeles AIRS PrtAngls GROUP EASTERN SHORE GP EastrnShr GROUP PHILADELPHIA GP Phila GROUP MORICHES GP Moriches GROUP LOWER MISSISSIPP GP LwrMiss GROUP UPPER MISSISSIPP GP UpperMiss GROUP LOS ANGELES/LONG BEACH GP LALB GROUP MAYPORT GP Mayport Sector Port Angeles SEC PrtAngls GROUP OHIO VALLEY GP OhioValley CGC WHTSUMAC CGC WHTSUMAC USCGC CHINCOTEAGUE (WPB 1320) CGC CHINCOTG MSD MARATHON MSD Marathon MSD MNPLS/ST PAUL (MSD MnplsStPl) GROUP BUFFALO GP Buffalo GROUP WOODS HOLE GP WdsHole District 1 (B) D01 B DISTRICT 1 (DJ) (D01 DJ) District 1 (OPC) D01 OPC DISTRICT 2 (B) (D02 B) DISTRICT 2 (DJ) (D02 DJ) DISTRICT 2 (M) (D02 M) District 5 (B) D05 B DISTRICT 5 (DJ) (D05 DJ) District 7 (B) D07 B DISTRICT 7 (DJ) (D07 DJ) District 8 (B) D08 B DISTRICT 8 (DJ) (D08 DJ) DISTRICT 9 (DJ) (D09 DJ) District 11 (B) D11 B MSFO NEW BEDFORD MSFO NewBedfrd MSFO CAPE COD MSFO CpeCod COTP GRAND HAVEN (COTP GrndHvn) MIDET EAST BANK DETAIL MID NOLAEast MIO STURGEON BAY (MIO StrgeonBy) MIO ST. IGNACE (MIO StIgnace) MIDET WEST DETAIL MID NOLAWest MSO CINCINNATI (MSO Cincinnati) COTP NEW ORLEANS (COTP NOLA) COTP HOUSTON (COTP Houston) COTP MUSKEGON (COTP Muskgn) COTP NEW HAVEN (COTP NewHvn)

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Unit Name Abbreviation COTP NEW LONDON (COTP NewLndn) COTP PHILADELPHIA (COTP Phila) District 17 (dre) D17 OLE MIDET FOREIGN VESSEL DETAIL (MID FrgnVslDet) MSFO LONG ISLAND MSD LongIsl CGC COWSLIP CGC COWSLP ACTIVITIES SAN DIEGO ACT SanDgo VTS PUGET SOUND VTS PugetSnd Vessel Traffic Service San Francisco VTS SanFran Vessel Traffic Service Houston-Galveston VTS HouGalvstn Vessel Traffic Service New Orleans VTS NOLA CGIS Resident Agent Office Grand Haven IRAO GrndHvn CGC CONIFER CGC CONIFER CGC COURAGE CGC COURAGE CGC DURABLE CGC DURABLE CGC MARIPOSA CGC MARIPOSA CGC PAPAW CGC PAPAW CGC POINT BARNES CGC PTBARNES CGC POINT BATAN CGC PTBATAN CGC POINT BONITA CGC PTBONITA CGC POINT BRIDGE CGC PTBRIDGE CGC POINT CAMDEN CGC PTCAMDEN CGC POINT CARREW CGC PTCARREW CGC POINT CHICO CGC PTCHICO CGC POINT COUNTESS CGC PTCNTESS CGC POINT DORAN CGC PTDORAN CGC POINT ESTERO CGC PTESTERO CGC POINT EVANS CGC PTEVANS CGC POINT GLASS CGC PTGLASS CGC POINT HANNON CGC PTHANNON CGC POINT HIGHLAND CGC PTHIGHLND CGC POINT HOBART CGC PTHOBART CGC POINT HURON CGC PTHURON CGC POINT JACKSON CGC PTJACKSON CGC POINT MARTIN CGC PTMARTIN CGC POINT MONROE CGC PTMONROE CGC POINT SAL CGC PTSAL CGC POINT SPENCER CGC PTSPNCER CGC POINT WARDE CGC PTWARDE CGC POINT WELLS CGC PTWELLS CGC POINT WINSLOW CGC PTWNSLOW CGC WOODRSH CGC WOODRSH STAS Swansbro STAS Swansbro GANTSEC GANTSEC

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Unit Name Abbreviation MARITIME SAFETY AND SECURITY TEAM 91102 MSST 91102 AIR FAC LONG ISLAND CG AIRFAC LONG ISLAN AIRFAC MUSKEGON CG AIRFAC MUSKEGON ANT Firebush ANT Firebush ANT Muskegon ANT Muskegon ANT StIgnace ANT StIgnace CG BASE CHARLESTON BASE Charlstn BASE Galvstn BASE Galvstn Base Mayport BASE Mayport CG BASE MOBILE BASE Mobile CG BASE SAN JUAN BASE SanJuan BASE SStMarie BASE SStMarie CG MSST 91105 (MSST 91105) RC NOLA RC NOLA STA GrndMarais STA GrndMarais CGC BUTTONWD CGC BUTTONWD CGC IRONWOOD CGC IRONWOOD MSO PORTLAND BOAT OPS MSO PORTMS SARDET ALEXANDRA BAY SARDET ALEXANDRA BAY STATION (SM) BOSTON STAS Boston STATION (SM) MERRIMAC RIV (STAS MermcRvr) Station (Small) Rockaway STAS Rockaway District 14 (OAX) D14 OAX CGC SEA LION CGC SEA LION Commandant (G-OP) COMDT OP District 17 (OSR) D17 OSR MSST KING'S BAY MSST KING'S BAY USCGC ZEPHYR (WPC 8) CGC ZEPHYR Sector Portland SEC PortlndOR Marine Safety Unit Wilmington MSU WilmngtnNC Marine Safety Unit Galveston MSU Galvstn District 11 D11 USCGC CHANDELEUR (WPB 1319) - Port CGC CHANDLEUR-P USCGC CHANDELEUR (WPB 1319) - Stbd CGC CHANDLEUR-S USCGC DRUMMOND (WPB 1323) - Port CGC DRUMMOND-P USCGC DRUMMOND (WPB 1323) - Stbd CGC DRUMMOND-S USCGC KEY BISCAYNE (WPB 1339) - Port CGC KEYBISCYN-P USCGC KEY BISCAYNE (WPB 1339) - Stbd CGC KEYBISCYN-S USCGC KNIGHT ISLAND (WPB 1348) - Port CGC KNIGHTISL-P USCGC KNIGHT ISLAND (WPB 1348) - Stbd CGC KNIGHTISL-S USCGC KODIAK ISLAND (WPB 1341) - Port CGC KODIAKISL-P USCGC KODIAK ISLAND (WPB 1341) - Stbd CGC KODIAKISL-S USCGC NANTUCKET (WPB 1316) - Port CGC NANTUCKET-P

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Unit Name Abbreviation USCGC NANTUCKET (WPB 1316) - Stbd CGC NANTUCKET-S USCGC OCRACOKE (WPB 1307) - Port CGC OCRACOKE-P USCGC OCRACOKE (WPB 1307) - Stbd CGC OCRACOKE-S USCGC PEA ISLAND (WPB 1347) - Port CGC PEAISL-P USCGC PEA ISLAND (WPB 1347) - Stbd CGC PEAISL-S USCGC WILLIAM TRUMP (WPC-1111) CGC WLLM TRMP USCGC RICHARD DIXON (WPC-1113) CGC RICHARD NIXON USCGC JAMES (WMSL 754) CGC JAMES (WMSL 754) OFFICE OF PERFORMANCE MANAGEMENT AND DCO-81 ASSESSMENT CGIS Resident Agent Office Guam IRAO Guam USCGC Winslow W. Griesser (WPC 1116) CGC WNLW CRSR District 8 (ocs) D08 ocs

6.2.2 Role ‘Alt Facility Security Officer’; ‘Attorney’; 'Audit Observer'; ‘Auditor’; ‘Boarding Officer’; ‘Certifying Scientist’; ‘Charterer’; ‘Clean Up Company’; ‘Co-counsel’; ‘Co-Responsible Party’; ‘Company Security Officer’; ‘Confidential Source’; ‘Court Reporter’; ‘Crewmember’; ‘Expert Witness’; ‘Eye-Witness’; ‘Facility Employee’; ‘Facility Security Officer’; ‘Flight Surgeon’; ‘Good Samaritan’; ‘Interested Person’; ‘Investigator’; 'Lead Auditor'; ‘Medical Review Officer’; ‘Non-Attorney Representative’; ‘Notified Party’; ‘Operator’; ‘Other’; ‘Other Agency Investigator’; ‘Owner’; ‘Owner / Operator’; ‘Passenger’; ‘Reporting Party’; ‘Responsible Party’; ‘Shipper’; ‘Shipyard Worker’; ‘Subject’; ‘Subject of Investigation’; ‘Surveyor’; ‘Unknown Party’; ‘Visitor’; ‘Watchstander’; ‘Witness’ 6.2.3 State ‘Alabama’; ‘Alaska’; ‘American Samoa’; ‘Arizona’; ‘Arkansas’; ‘Armed Forces Americas’; ‘Armed Forces Europe’; ‘Armed Forces Pacific’; ‘California’; ‘Colorado’; ‘Connecticut’; ‘Delaware’; ‘District of Columbia’; ‘Florida’; ‘Georgia’; ‘Hawaii’; ‘Idaho’; ‘Illinois’; ‘Indiana’; ‘Iowa’; ‘Kansas’; ‘Kentucky’; ‘Louisiana’; ‘Maine’; ‘Marshall Islands’; ‘Maryland’; ‘Massachusetts’; ‘Michigan’; ‘Minnesota’; ‘Mississippi’; ‘Missouri’; ‘Montana’; ‘Nebraska’; ‘Nevada’; ‘New Hampshire’; ‘New Jersey’; ‘New Mexico’; ‘New York’; ‘North Carolina’; ‘North Dakota’; ‘Ohio’; ‘Oklahoma’; ‘Oregon’; ‘Palau’; ‘Pennsylvania’; ‘Puerto Rico’; ‘Rhode Island’; ‘South Carolina’; ‘South Dakota’; ‘Tennessee’; ‘Texas’; ‘U.S. Minor Outlying Islands’; ‘Utah’; ‘Vermont’; ‘Virginia’; ‘Washington’; ‘West Virginia’; ‘Wisconsin’; ‘Wyoming’; ‘Virgin Islands’; ‘Guam’; ‘Mariana Islands’; ‘Federated States of Micronesia’

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6.2.4 Enforcement Type 'Administrative Civil Penalty Class I'; 'Administrative Civil Penalty Class II'; 'Administrative Clemency'; 'Notice Of Violation (NOV)'; 'Referral for Other Agency Action'; 'Stay for Compliance'; 'Referral for Criminal Prosecution'; 'Referral for Judicial Prosecution'; 'Suspension and Revocation'; 'Voluntary Deposit'; 'Voluntary Surrender'; 'Warning - Civil Penalty'; 'Warning - S&R'

6.2.5 Docket Search Status 'All'; 'All Open'; 'All Closed' 6.2.6 Other Specific Status 'Open - Pending Settlement Completion'; 'Open - Pending Withdrawal'; 'Open - Mariner Wanted'; 'Open - Pending Order'; 'Open - Consent Order'; 'Open - Pending Final Agency Action or Judicial Review'; 'Open - Judicial Review'; 'Open - Pending NTSB Decision'; 'Open - Notice of NTSB Appeal'; 'Open - Appeal Decision'; 'Open - Pending Appeal Decision'; 'Open - Pending Briefs'; 'Open - Agency Appeal'; 'Open - Decision'; 'Open - Pending Decision'; 'Open - Pending Post-Hearing Filings; 'Open - Pending Hearing'; 'Open - Pending Settlement'; 'Open - Pending Default Response'; 'Open - Pending Answer'; 'Open - Pending'; 'Open - Consolidate'; 'Open - Awaiting Appeal'; 'Closed - Pends Appeal Period Expiration'; 'Closed - Agency Action Complete'; 'Closed - WO/Prejudice'; 'Closed - Administratively Withdrawn because License Expired' 6.2.7 Finding Enforcement Warning: 'Proved'; 'Withdrawn' Adjudication: 'Default'; 'Dismissed w/Prejudice'; Dismissed w/out Prejudice'; 'Not Proved'; 'Proved'; 'Proved in part'; 'Proved but modified'; 'Settled'; 'Withdrawn' Sanction Type Warning: 'Civil Penalty'; 'Warning'; 'Dismissed' Recommendation: 'Admonition'; 'Outright Suspension'; 'Revocation'; 'Suspension on Probation'; 'Suspension with Probation' 6.2.8 Imposed Sanction Type 'Revocation'; 'Stayed Revocation'; 'Outright Suspension'; 'Suspension on Probation'; 'Admonition'; 'Suspension with Probation'; 'Outright Suspension for Duration of Agreement'

6.2.9 ALJ Status 'Admitted'; 'Rejected'; 'Not Offered'; 'Official Notice'

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6.2.10 Docket Type 'Admission'; 'Closed'; 'Contested/Hearing'; 'Default'; 'Default/Contested'; 'Settlement'; 'Temporary Suspension/Hearing'; 'Withdrawal' 6.2.11 Document Functional Sub-Area 'General'; 'Answer'; 'Settlement'; 'Default'; 'Appeal'; 'Automated_Only'; 'Order' 6.2.12 Document Type User Selected: Document Functional Sub-Area: General Associated Document Type: 'ALJ Assignment - Admission'; 'ALJ Assignment - Contested'; ' ALJ Assignment - Default'; 'ALJ Assignment – Settlement'; 'ALJ Assignment – Temporary Suspension'; 'Answer'; 'Appeal Letter to Party'; 'Appellate Brief'; 'Briefing Order'; 'Change of Venue'; 'Completion of Consent Order'; 'Continuance Order'; 'Default Response'; 'Discovery Order'; 'Dismissal Order'; 'Documentary Evidence'; 'Draft Consent Order'; 'Draft Consent Order (Non-Drugs) '; 'Federal Register Notice'; 'Filings Other'; 'Final Order'; 'Good Faith Deposit'; 'Hearing Scheduled Letter (Final Other)'; 'Hearing Scheduled Letter (Final)'; 'Hearing Scheduled Letter (HO)'; 'Hearing Scheduled Letter (Other)'; 'Hearing Scheduled Letter (Final Other)'; 'Letter of Warning(LOW)’; 'Modified Order'; 'Motion Consent/Settlement'; 'Motion for Continuance'; 'Motion for Discovery and Witness List'; 'Motion for Extension'; 'Motion for Hearing'; 'Motion for Reinstate'; 'Motions for Exclusion'; 'Motions(Other) '; 'Multiple Complaint'; 'Notice of Appearance'; 'Notice of Completion'; 'Notice of Extension (Final) '; 'Notice of Failure'; 'Order to grant/deny motions'; 'Orders & Notices'; 'Orders in Oral Decisions'; 'Other'; 'Petition for Modification of Order'; 'Petition to Reopen'; 'Photograph'; 'Pre-Hearing Conference Scheduling Order'; 'Preliminary Letter of Warning'; 'Proof of Service Complaint'; ' Proof of Service Motion Default Order'; 'Proposed Finding Order'; 'Replies to ALJ Orders'; 'Replies to Motions'; 'Reply Brief'; 'Request for ALJ Action'; 'S&R Letter Of Warning'; 'S&R LOW Holder'; 'S&R LOW Vio Law_Reg'; 'Settlement Signature Page'; 'Summary Decisions'; 'Transcripts'; 'Transfer Order'; 'Voluntary Deposit Agreement'; 'Voluntary Deposit Agreement Drug or Alcohol'; 'Voluntary Deposit Drug'; 'Voluntary Surrender'; 'Withdrawal Confirmation';

Document Functional Sub-Area: Answer Associated Document Type: 'ALJ Assignment - Admission'; 'ALJ Assignment - Contested'; 'ALJ Assignment - Default'; 'ALJ Assignment - Settlement'; 'ALJ Assignment - Temporary Suspension'; 'Answer'; 'Notice of Assignment'

Document Functional Sub-Area: Settlement Associated Document Type:

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'Completion of Consent Order'; 'Consent Order'; 'Continuance Order'; 'Motion Consent/Settlement'; 'Temporary Suspension Complaint'; 'Settlement(Drugs)'; 'Settlement(Non-Drugs)'; 'Draft Consent Order(Non-Drugs)'; 'Notice of Satisfactory Settlement Completion'; 'Notice of Unsatisfactory Settlement Completion'; 'Draft Consent Order'; 'Extension of Settlement Agreement'

Document Functional Sub-Area: Default Associated Document Type: 'Default Order'; 'Default Response'; 'Motion for Default Order'

Document Functional Sub-Area: Appeal Associated Document Type: 'Briefing Order'; 'Notice of Appeal'

Document Functional Sub-Area: Order Associated Document Type: 'Voluntary Surrender Order'

Document Functional Sub-Area: Automated Only Associated Document Type: 'Abandonment Ltr'; 'ACSA Exemption Letter'; 'ALJ Assignment - Admission'; 'ALJ Assignment - Contested'; 'ALJ Assignment - Default'; 'ALJ Assignment - Temporary Suspension'; 'Alternate Security Program Approval Letter'; 'Answer'; 'Appeal Letter to COMDT'; 'Appeal Letter to COTP'; 'Appeal Letter to District'; 'Appeal Letter to Headquarters'; 'Appeal Letter to OCMI'; 'Appeal Letter to Party'; 'Appeal Response'; 'Appellate Brief'; 'ASP Verification Letter'; 'Briefing Order'; 'Canadian (Non-ISPS) Vessel Security Certificate'; 'Canadian (Non-SOLAS) Safety Equipment Certificate'; 'Canadian Great Lakes Radio Inspection Certificate'; 'Canadian Inspection Certificate'; 'Canadian Oil Pollution Prevention Certificate'; 'Cargo Authority Attachment'; 'Cargo Gear Certificate'; 'Caribbean Cargo Ship Safety Code Certificate'; 'Certificate of Approval'; 'Certificate of Compliance - Fishing Vessel'; 'Certificate of Compliance - Pass./Freight Vessel'; 'Certificate of Compliance - Passenger Vessel'; 'Certificate of Compliance - Tank Vessel'; 'Certificate of Fitness - Chemical Carrier'; 'Certificate of Fitness - Gas Carrier'; 'Certificate of Fitness - OSV'; 'Certificate of Registry'; 'CG-2692 - Report of Marine Accident/Injury/Death'; 'CG-2692B - Report of Chemical Drug/Alcohol Testing'; 'CG-6025 Vulnerability & Security Measures'; 'Change of Venue'; 'Civil Penalty Letter of Warning'; 'Classification Document'; 'Commercial Dive Letter'; 'Condition Assessment Scheme - SOVC'; 'Construction and Equipment Certificate (DSC)'; 'Continuance Order'; 'Continuous Synopsis Record'; 'Continuous Synopsis Record SOVC'; 'COTP Order'; 'Crude Oil Washing System Documentation'; 'Dangerous Goods Document of

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Compliance'; 'Decision & Orders'; 'Decision and Admonishment Order'; 'Default Response'; 'Deficiency Letter'; 'Documentary Evidence'; 'Documentation Certificate'; 'Draft Consent Order'; 'Daft Consent Order(Non-Drugs)'; 'EEP Review/Approval Ltr'; 'Enforcement Activity Summary'; 'Engine IAPP Certificate'; 'Facility Security Plan (FSP) - SSI'; 'Facility Security Plan (FSP) Approval Letter'; 'Facility Security Plan (FSP) Interim Approval Ltr'; 'Facility Security Plan - SSI (Legacy)'; 'Facility Security Plan Supporting File - SSI'; 'FCC Marine Radio Operator Permit'; 'FCC Station License'; 'FCC Vessel Bridge-to-Bridge Radiotelephony Cert. '; 'Federal Register Notice'; 'Filings Other'; 'Final Assessment Letter'; 'Final Assessment Letter (Pollution)'; 'Final Assessment Letter(No Response)'; 'Final Assessment Letter(Pollution No Response)'; 'Final Assessment Letter(Pollution Post_Hearing)'; 'Final Assessment Letter(Post_Hearing)'; 'Final Assessment Letter(Reduced to Warning)'; 'Final Assessment Letter(Warning)'; 'Final Order'; 'Fishing Vessel Decal'; 'Fishing Vessel Exam Follow-up Letter'; 'General Marine Safety Center Documents'; 'General Notice Letter'; 'General Notice Letter (Final)'; 'Good Faith Deposit'; 'Great Lakes/Inland Waters of Canada Loadline Cert.'; 'Hearing Officer Report'; 'High-Speed Craft Safety Certificate'; 'IMO MODU Code Certificate'; 'Inert Gas System Acceptance Letter'; 'Interim International Ship Security Certificate'; 'International Air Pollution Prevention Cert Supp'; 'International Air Pollution Prevention Certificate'; 'International Certificate of Fitness - Chemical'; 'International Load Line Certificate'; 'International Load Line Certificate (Exemption)'; 'International Oil Pollution Prevention Certificate'; 'International Ship Security Certificate'; 'International Ship Security SOVC'; 'Investigative Officer Report'; 'ISM - Document Of Compliance'; 'ISM - Safety Management Certificate'; 'Letter of Assumption'; 'Letter of Designation (oceanographic research)'; 'Letter of Intent'; 'Letter of Recommendation (LNG/LHG)'; 'etter of Warning (LOW)'; 'Load Line Certificate (Coastwise)'; 'Lost MMC Affidavit'; 'LRIT Conformance Test Report'; 'Marine Violation Charge Sheet'; 'MARPOL Annex IV Certificate of Equivalency'; 'MARPOL Annex IV SOVC'; 'MARPOL Annex VI SOVC'; 'MARPOL Annex VI SOVC Supplement'; 'Memorandum Of Agreement'; 'Minimum Safe Manning Document'; 'Mobile Offshore Drilling Unit Safety Cert.'; 'Motion for Extension'; 'Motion to Reinstate'; 'MTSA Waiver Approval Letter'; 'Multiple Complaint'; 'NLS Certificate'; 'Notice of Appearance'; 'Notice of Completion'; 'Notice of Failure'; 'Notice of Federal Interest'; 'OCS Exemption Letter'; 'OCS Exemption Ltr'; 'Operational Summary Report'; 'Order to grant/deny motions'; 'Orders & Notices'; 'Orders in Oral Decisions'; 'Other'; 'Permit for Handling Designated Dangerous Cargo'; 'Permit to Carry Excursion Party (CG-949)'; 'Permit to Operate High-Speed Craft'; 'Permit to Proceed'; 'Petition to Reopen'; 'Photograph'; 'Plan Review Documents'; 'Plan Review Information (PRIS)'; 'Port State Control Report of Inspection (Form A)'; 'Port State Control Report of Inspection (Form B)'; 'Post Hearing Brief'; 'Preliminary Assessment Letter (Pollution)'; 'Preliminary Assessment Letter( Non-pollution)'; 'Preliminary Letter of Warning'; 'Proof of Service-Complaint'; 'Proposed Finding Order'; 'Reopen Assessment Letter'; 'Reply Brief'; 'S&R Letter Of Warning'; 'S&R LOW-Holder'; 'S&R LOW-Vio Law_Reg'; 'Safety Exemption'; 'Safety Radiotelephony Certificate'; 'Settlement Signature Page'; 'Ship Radio Station Authorization'; 'Ship Security Alert System - SSI'; 'Shore Protection Act Conditional Permit'; 'SOLAS Cargo Ship Safety Cert, Record of Equip.'; 'SOLAS Cargo Ship Safety Certificate'; 'SOLAS Cargo Ship Safety Construction Certificate'; 'SOLAS Cargo Ship Safety Equip Cert, Rec. of Equip.'; 'SOLAS Cargo Ship Safety Equipment Certificate'; 'SOLAS Cargo Ship Safety Radio Certificate'; SOLAS Exemption Certificate'; 'SOLAS Passenger Ship Safety Cert, Record of Equip.'; 'SOLAS Passenger Ship Safety Certificate'; 'SOPEP/SMPEP'; 'Special Purpose Ship Safety Certificate'; 'Special Service Load Line Certificate'; 'Special Trade

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Passenger Ship Safety Certificate'; 'Special Trade Passenger Ships Space Certificate'; 'Stability Book'; 'Stability Letter'; 'STEP Acceptance Letter'; 'Subchapter O Endorsement'; 'Summary Decisions'; 'Tanker Maneuvering Capability Letter'; 'Title 46 CFR, Part 105 Compliance Letter'; 'Tonnage Certificate, International'; 'Tonnage Certificate, Suez Canal'; 'Tonnage Certificate, U.S.'; 'Tonnage Documentation, PC/UMS'; 'Transcripts'; 'Transfer Order'; 'TWIC Security Plan Addendum - SSI'; 'Uninspected Towing Vessel (UTV) Decal'; 'VCS Plan Review Information Sheet'; 'Vessel Response Plan - Nontank Vessel'; 'Vessel Response Plan - Tank Vessel'; Vessel Security Plan (VSP) - SSI'; 'Vessel Security Plan - SSI (Legacy)'; Vessel Security Plan Amendment Letter'; 'Vessel Security Plan Approval Letter'; 'Vessel Security Plan Letter of Authorization'; 'Vessel Security Plan Supporting File - SSI'; 'Video'; 'Voluntary Deposit Agreement'; 'Voluntary Deposit Agreement Drug or Alcohol'; 'Voluntary Deposit Drug'; 'Voluntary Deposit Medical'; Voluntary Surrender'; 'Withdrawal Confirmation'; 'Witness Statement/Interview Record' 6.2.13 Submitter 'Amicus'; 'Commandant'; 'Docketing Center'; 'Government'; 'Interested Persons'; 'Intervener'; 'Joint'; 'Judge'; 'Other'; 'Respondent – Pro Se'; 'Respondent – Counsel'

6.2.14 Proposed Order ‘Agrees’; ‘None’; ‘Wishes to be heard’ 6.2.15 Jurisdictional Allegation Response ' '; ‘Admit’; ‘Admit and/or Denied’; ‘Denied’; ‘Failed to Respond’; ‘No Answer/Settled’; ‘Split’ 6.2.16 Factual Allegation Response ' '; ‘Admit’; ‘Admit and/or Denied’; ‘Denied’; ‘Failed to Respond’; ‘No Answer/Settled’; ‘Split’

6.2.17 Proposed Respondent Location State ' '; 'AA'; 'AE'; 'AK'; 'AL'; 'AP'; 'AR'; 'AS'; 'AZ'; 'CA'; 'CO'; 'CT'; 'DC'; 'DE'; 'FL'; 'FM'; 'GA'; 'GU'; 'HI'; 'IA'; 'ID'; 'IL'; 'IN'; 'KS'; 'KY'; 'LA'; 'MA'; 'MD'; 'ME'; 'MH'; 'MI'; 'MN'; 'MO'; 'MP'; 'MS'; 'MT'; 'NC'; 'ND'; 'NE'; 'NH'; 'NJ'; 'NM'; 'NV'; 'NY'; 'OH'; 'OK'; 'OR'; 'PA'; 'PR'; 'PW'; 'RI'; 'SC'; 'SD'; 'TN'; 'TX'; 'UM'; 'UT'; 'VA'; 'VI'; 'VT'; 'WA'; 'WI'; 'WV'; 'WY' 6.2.18 State ' '; 'AA'; 'AE'; 'AK'; 'AL'; 'AP'; 'AR'; 'AS'; 'AZ'; 'CA'; 'CO'; 'CT'; 'DC'; 'DE'; 'FL'; 'FM'; 'GA'; 'GU'; 'HI'; 'IA'; 'ID'; 'IL'; 'IN'; 'KS'; 'KY'; 'LA'; 'MA'; 'MD'; 'ME'; 'MH'; 'MI'; 'MN'; 'MO'; 'MP'; 'MS'; 'MT'; 'NC'; 'ND'; 'NE'; 'NH'; 'NJ'; 'NM'; 'NV'; 'NY'; 'OH'; 'OK'; 'OR'; 'PA'; 'PR'; 'PW'; 'RI'; 'SC'; 'SD'; 'TN'; 'TX'; 'UM'; 'UT'; 'VA'; 'VI'; 'VT'; 'WA'; 'WI'; 'WV'; 'WY' 6.2.19 Hearing Type 'Hearing'; 'Pre Hearing Conference'; 'D&O Issuance'; 'Post Hearing'; 'Settlement Conference'; 'Hearing, Motion Review'; 'Pre-Hearing'; 'Motion Review'; 'Pre-Hearing Conference'; 'Order Issuance'; 'Scheduling Conference'; 'Settlement Review/approval'

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6.2.20 Hearing Method 'Live'; 'Other'; 'Telephone'; 'Videoconference' 6.2.21 Hearing Location 'United States Coast Guard Hale Boggs Federal Building 500 Poydras Street, Room 1211 New Orleans LA 70130'; 'United States Coast Guard 8876 Gulf Freeway, Room 370 Houston TX 77017'; 'US Attorney's Office 350 Magnolia, Suite 150 Beaumont TX 77701'; 'USCG, MLCA Courtroom 300 East Main Street, Suite 900 Norfolk, VA 23510'; 'United States Coast Guard First Coast Guard District 408 Atlantic Avenue, Room 832 Boston MA 2110'; 'Department of Labor Glen Anderson Federal Bldg. 501 W. Ocean Blvd., Room 5150 Long Beach CA 90802- 4213'; 'Navy Marine Corp Trial Judiciary WJC 3395 Sturtevant Street, Suite 8 San Diego CA 92136'; 'U.S. Courthouse & Post Office 301 Simonton Street Key West FL 33040'; 'U.S. Customs House 40 S. Gay Street 4th Floor Baltimore MD 21202'; 'US Tax Court Federal Building 51 SW 1st Avenue, Rm. 1524 Miami FL 33130'; 'Bankruptcy Court 311 W Monroe Street Jacksonville FL 32202'; 'Pensacola Circuit Court for the First Judicial Circuit M.T. Blanchard Building 190 Governmental Center Pensacola FL 32501'; 'Pinellas County Judicial Building 545 First Avenue North St. Petersburg FL 33701'; 'U.S. Trustee Hearing Court Room Norfolk Federal Office Building 200 Granby Street, Room 120 1st Floor Norfolk VA 23510'; 'United States District Court District of Massachusetts John Joseph Moakley U.S. Courthouse 1 Courthouse Way-Suite 2300 Boston MA 2210'; 'United States Coast Guard Henry M. Jackson Federal Building 915 Second Avenue, Room 3452 Seattle WA 98174'; 'Alexander Hamilton Customs House 1 Bowling Green, Room 302 New York NY 10004'; ' United States Coast Guard Coast Guard Island Building 54A Alameda CA 94501'; 'R. L. Timberlake, Jr. Federal Building Tax Courtroom 600 Zack Street Tampa FL 33602'; 'U.S. Bankruptcy Court, 1132 Bishop Street Honolulu HI 96813' 6.2.22 Primary Judge

6.2.23 Hearing State ' '; 'AA'; 'AE'; 'AK'; 'AL'; 'AP'; 'AR'; 'AS'; 'AZ'; 'CA'; 'CO'; 'CT'; 'DC'; 'DE'; 'FL'; 'FM'; 'GA'; 'GU'; 'HI'; 'IA'; 'ID'; 'IL'; 'IN'; 'KS'; 'KY'; 'LA'; 'MA'; 'MD'; 'ME'; 'MH'; 'MI'; 'MN'; 'MO'; 'MP'; 'MS'; 'MT'; 'NC'; 'ND'; 'NE'; 'NH'; 'NJ'; 'NM'; 'NV'; 'NY'; 'OH'; 'OK'; 'OR'; 'PA'; 'PR'; 'PW'; 'RI'; 'SC'; 'SD'; 'TN'; 'TX'; 'UM'; 'UT'; 'VA'; 'VI'; 'VT'; 'WA'; 'WV'

6.2.24 Unit 'Commandant (CG-00J)'; 'Administrative Law Judge Office Alameda'; 'Administrative Law Judge Office Baltimore'; 'Administrative Law Judge Office Galveston'; 'Administrative Law Judge Office New Orleans'; 'Administrative Law Judge Office New York'; 'Administrative Law Judge Office Seattle'

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6.2.25 Judges State ' '; 'AA'; 'AE'; 'AK'; 'AL'; 'AP'; 'AR'; 'AS'; 'AZ'; 'CA'; 'CO'; 'CT'; 'DC'; 'DE'; 'FL'; 'FM'; 'GA'; 'GU'; 'HI'; 'IA'; 'ID'; 'IL'; 'IN'; 'KS'; 'KY'; 'LA'; 'MA'; 'MD'; 'ME'; 'MH'; 'MI'; 'MN'; 'MO'; 'MP'; 'MS'; 'MT'; 'NC'; 'ND'; 'NE'; 'NH'; 'NJ'; 'NM'; 'NV'; 'NY'; 'OH'; 'OK'; 'OR'; 'PA'; 'PR'; 'PW'; 'RI'; 'SC'; 'SD'; 'TN'; 'TX'; 'UM'; 'UT'; 'VA'; 'VI'; 'VT'; 'WA'; 'WV' 6.2.26 Law Clerk Name

6.2.27 Docket Status

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6.2.28 Method of Service 'Electronically'; 'Certified Mail'; 'Express Courier'; 'Fax'; 'Mail'; 'Personal Delivery' 6.2.29 Comdt Disposition 'Affirmed'; 'Affirmed in part'; 'Dismissed'; 'Modified'; 'Remanded'; 'Remanded in Part'; 'Reversed'; 'Vacated'; 'Withdrawn' 6.2.30 NTSB Disposition 'Affirmed'; 'Affirmed in part'; 'Dismissed'; 'Modified'; 'Remanded'; 'Remanded in Part'; 'Reversed'; 'Vacated'; 'Withdrawn' 6.2.31 ALJ Submitted By 'Administrative Law Judge'; 'Respondent'; 'Transcript' 6.2.32 serving as picklist1 'Able Seaman'; 'Bosun'; 'Cadet'; 'Captain'; 'Chief Cook'; 'Chief Engineer'; 'Chief Master'; 'Chief Mate'; 'Cook'; 'Crew Member'; 'Deck Hand'; 'Engineer'; 'Engineer Cadet'; 'First Assistant Engineer'; 'First Mate'; 'Fitter'; 'Lifeboatman'; 'Master'; 'Master First Pilot'; 'Mate First Class Pilot'; 'NOT PROVIDED'; 'Oiler'; 'Odinary Seaman'; 'Radio Officer'; 'Second Assistant Engineer'; 'Second Mate'; 'Shipping Agent'; 'Steward'; 'Tankerman'; 'Third Assistant Engineer'; 'Third Mate' 6.2.33 serving as picklist2 'aboard the vessel' '{involved vessel}'; 6.2.34 serving as picklist3 'an employee as a condition of employment'; 'law or regulation' 6.2.35 jurisdictional picklist1 'a person on board'; 'agent'; 'charterer'; 'credentialed crewmember'; 'designated person'; 'managing operator'; marine employer'; 'master'; 'non-credentialed crewmember'; 'operator'; 'owner'; 'packer'; 'person in charge'; 'pilot'; 'shipper' 6.2.36 jurisdictional picklist2 'Acknowledge Pollution Source'; '{Organization}' 6.2.37 jurisdictional picklist3 '{waterway location}' 6.2.38 Time Keeping 'Administrative'; 'D&O Issuance'; 'Hearing'; 'Order Issuance'; 'Post Hearing (Research/Review)'; 'Pre-Hearing (Research/Review); 'Pre-Hearing Conference'; 'Scheduling Conference'; 'Settlement Conference';

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6.2.39 Form Orders 'add Manual Document'; 'Admission Order'; 'Amended COS'; 'Consent Order'; 'Decision & Order'; 'Default Order'; 'General Order'; 'Hearing Schedule Order'; 'Notice of Errata Order'; 'Pre- hearing Conference Schedule Order'; 'Rejecting Order Settlement'; 'Withdrawal Order'; 'Withdrawal / Vol Sur Order'

7. REFERENCE MATERIAL This section includes reference materials that may be utilized by the reader to gain a better understanding for this deliverable. This information is not directly associated with this project, but will be beneficial to gain a better understanding of the system.

7.1 USCG ALJ (Administrative Law Judge) Program comments on a COTS CMS

The USCG ALJ Program’s current CMS, MISLE, is written in a software language that is no longer supported and is a security concern. As a result, the ALJ Program is in need of a new CMS to process approximately 1,000 cases yearly. We believe a commercial off the shelf (COTS) products will provide us a superior product, in terms of functionality and cost.

Each COTS CMS solution provides certain advantages and disadvantages. Whichever CMS succeeds MISLE will most certainly have a different feel and style than our current system. At the same time, certain functionality components are required. Specific functionality requirements can be found in the Functional/Systems Requirements Document. The below list provides the ALJ Program’s high level functionality desires:

 Full Case Lifecycle Support: The system shall have the ability to process the entire lifecycle of an administrative case, to include: receiving the complaint, assigning to judge, issues orders, receiving (paper or electronic) party filings, issuance of final decision, tracking the appellate process, and archiving closed cases.

 Easy to Navigate: Intuitive design allowing users to quickly create, search, and review cases. A dashboard provides a central place where the entire case load can be viewed and deadlines reviewed.

 Configurable: A highly configurable system, allowing for modification of the application without coding. Ideally, each user could configure portions of their screens to best meet the demands of individual work.

 Different Case Types: The Coast Guard ALJ Program adjudicates both Coast Guard and other agencies cases. The system shall have the ability identify and differentiate cases among the different agencies (customers).

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 Role-Based: Easy to configure role-based permissions.

 Sharing: Ability for users to share documents, tasks, and information.

 Reports/Manager: Easy to generate and power reporting tools. The ability for managers to have workload visibility and set deadline notification.

 Templates/Form: Automatic form generation, allowing preloaded templates to be auto populated with system data.

 Public Portal: An option to allow a public facing portal, permitting other agencies and parties to access their cases (i.e. – view documents, make filing).

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8. ARTIFACTS This section includes specific artifacts related to this deliverable and is necessary for the other service line members to effectively design and test this project. This information is directly associated with this deliverable and is essential information for the other service line members in implementing this deliverable. Table 8-1 Artifacts Artifact Description Sample DMS The DMS Templates (letters) provide the Docketing Center the ability to Templates create documents pertaining to the request coming from the Coast Guard and/or Respondent relating to their case. The attached artifacts are samples of the types of letters available. Sample Order The Order Template (letters) provides the Judge’s office the ability to create an Templates order pertaining to the request coming from the Respondent relating to the case. The attached artifacts are samples of the types of letters available.

Please follow these instructions to open the documents below: Select a document sample, Double click to open, you may disable the macro and then double click the selected document again.

8.1 Sample DMS Templates:

Administrative Amended Certificate Contested Notice of Contested Notice of Notice of Deficient Withdrawal.doc of Service.doc Assignment.doc ReAssignment.doc Filing.doc

Notice of Temporary Uncontested case Uncontested case Withdrawal Extension.doc Suspension Notice of Assignment.docassignment.doc reassignment.doc Confirmationo Document.doc

8.2 Sample Order Templates:

Template Admission Template Template Decision Template Default Template General Order.doc ConsentOrder.doc and Order.doc Order.doc Order.doc

Template Hearing Template Template Rejecting Template Withdrawal Scheduling Order.docPre-Hearing ConferenceOrder Scheduling Settlement.doc Order.doc Order.doc

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9. APPROVAL Evidence of agreement is reflected by signatures affixed below.

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