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FTC – Case Information
Management System
Training Guide
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Table of Contents
Training Guide................................................................................................ .................... 1
Opening the Application................................................................................................ ..... 1
Adding a Database to your Bookmark Bar................................................................ ..... 3
Open a database from the Bookmark Bar................................................................ ... 4
CIMS Application................................................................................................ ............... 5
Searching......................................................................................................................... 6
Searching in a view via sorted columns................................................................ ................ 6
Searching in a view via the full text index ................................................................ ............. 6
Action Bar Buttons ................................................................................................ ......... 7
Phone Call Complaints ................................................................................................ ... 8
Creating a Phone Call Complaint ................................................................ ............... 8
Closing a Phone Call Complaint ............................................................................... 10
Opening a Case From a Phone Call Complaint ........................................................ 10
Creating a New Case from Scratch ........................................................................... 12
Anti-Competitive Practices Complaint ............................................................................. 13
Case Summary Tab ....................................................................................................... 13
Documents Tab ............................................................................................................. 14
Management Summary Tab .......................................................................................... 15
Comments ..................................................................................................................... 15
Current Activity Tab ..................................................................................................... 16
History Log ................................................................................................................... 16
Anti-Competitive Practices Complaint Process ............................................................ 17
Initiating a Case ............................................................................................................ 21
Generate Acknowledgement Letter .............................................................................. 21
Classify Case ................................................................................................................. 22
Preliminary Enquiry ...................................................................................................... 22
Full Enquiry .................................................................................................................. 23
Prepare Report. ............................................................................................................. 23
Approve Staff Report .................................................................................................... 24
Meet the Respondent ..................................................................................................... 24
Assign Attorney ............................................................................................................ 25
Prepare the consent ....................................................................................................... 25
Approval - Department Head ........................................................................................ 26
Director Approval ......................................................................................................... 26
Submit Closure Request ................................................................................................ 27
Closure Report .............................................................................................................. 27
Head Evaluates .............................................................................................................. 28
Enter Close Date ........................................................................................................... 28
Close the Case ............................................................................................................... 29
Dept Head Evaluation ................................................................................................... 29
Director Evaluation ....................................................................................................... 30
Commissioner Evaluates ............................................................................................... 30
Create Suit ..................................................................................................................... 31
Consumer Protection Complaint ....................................................................................... 32
Case Summary Tab ....................................................................................................... 32
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CP Workflow Process ................................................................................................... 34
Initiation ........................................................................................................................ 36
Assign Officer ............................................................................................................... 36
Officer Acknowledgement ............................................................................................ 36
Classify Case ................................................................................................................. 36
Request Evidence .......................................................................................................... 36
Check Response ............................................................................................................ 37
Case Determination ....................................................................................................... 37
Contact Respondent ...................................................................................................... 38
Respondent Responded ................................................................................................. 38
Submit Closure Request ................................................................................................ 39
Head Evaluates .............................................................................................................. 39
Enter Close Date ........................................................................................................... 40
Close the Case ............................................................................................................... 40
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Table of Figures
Figure 1 - Lotus Notes Client - Welcome Page ................................................................ .. 1
Figure 2 - File Open Database Window ................................................................ ............. 3
Figure 3 - Add Bookmark................................................................................................ ... 3
Figure 4 - Navigating in CIMS................................................................ ........................... 5
Figure 5- Starts with search window ................................................................ .................. 6
Figure 6 – Full Text Search Bar................................................................ .......................... 6
Figure 7 - Phone Call Complaint - Part 1 ................................................................ ........... 8
Figure 8 - Phone Call Complaint - Part 2 ................................................................ ........... 9
Figure 9 - Select Keywords Window................................................................. ................. 9
Figure 10 - Phone Call Complaint - Current Activity ....................................................... 10
Figure 11 - Phone Call Complaint - Current Activity – Open Case ................................. 11
Figure 12 - Select Case Type ............................................................................................ 12
Figure 13 - Anti-Competitive Practices Complaint - Case Summary - Part 1 .................. 13
Figure 14 - Anti-Competitive Practices Complaint - Case Summary Part 2 .................... 14
Figure 15 - Anti-Competitive Practices Complaint - Documents Tab ............................. 14
Figure 16 - Anti-Competitive Practices Complaint - Management Summary ................. 15
Figure 17 - Anti-Competitive Practices Complaint - Comments ...................................... 15
Figure 18 - Anti-Competitive Practices Complaint - Current Activity ............................. 16
Figure 19 - Anti-Competitive Practices Complaint - History Log ................................... 16
Figure 20 - ACP Workflow - Part 1 .................................................................................. 17
Figure 21 - ACP Workflow - Part 2 .................................................................................. 18
Figure 22 - ACP Workflow - Part 3 .................................................................................. 19
Figure 23 - ACP Workflow - Part 4 .................................................................................. 20
Figure 24 - Acknowledgement Lett er ............................................................................... 21
Figure 25 - Classify a Case ............................................................................................... 22
Figure 26 - Preliminary Inquiry ........................................................................................ 22
Figure 27- Full Inquiry ...................................................................................................... 23
Figure 28 - Prepare Report ................................................................................................ 23
Figure 29 - Approve Staff Report ..................................................................................... 24
Figure 30 - Meet the Repondent ....................................................................................... 24
Figure 31 - Assign Attorney ............................................................................................. 25
Figure 32 - Prepare Consent ............................................................................................. 25
Figure 33 - Approval Department Head ........................................................................... 26
Figure 34 - Director Approval .......................................................................................... 26
Figure 35 - Submit Closure Request ................................................................................. 27
Figure 36 - Closure Report ............................................................................................... 27
Figure 37 - Head Evaluates ............................................................................................... 28
Figure 38 - Enter Close Date ............................................................................................ 28
Figure 39 - Close the Case ................................................................................................ 29
Figure 40 - Dept Head Evaluation .................................................................................... 29
Figure 41 - Director Evaluation ........................................................................................ 30
Figure 42 - Commissioner Evaluates ................................................................................ 30
Figure 43 - Create Suit ...................................................................................................... 31
Figure 44 - Consumer Protection Complaint - Case Summary ........................................ 32
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Figure 45 - Consumer Protection Complaint - Case Summary Part 2 .............................. 33
Figure 46 - CP Workflow - Part 1 ..................................................................................... 34
Figure 47 - CP Workflow - Part 2 ..................................................................................... 35
Figure 48 - Request Evidence ........................................................................................... 36
Figure 49 - Check Response ............................................................................................. 37
Figure 50 - Case Determination ........................................................................................ 37
Figure 51 - Contact Respondent ....................................................................................... 38
Figure 52 - Respondent Responded .................................................................................. 38
Figure 53 - Submit Closure Request ................................................................................. 39
Figure 54 - Head Evaluates ............................................................................................... 39
Figure 55 - Enter Close Date ............................................................................................ 40
Figure 56 - Close the Case ................................................................................................ 40
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Training Guide
This document is to be used as a training guide for the new Workflow Management
System that is being installed at the Fair Trading Commission in February 2004. The
application (CIMS) was created using Lotus Notes, Lotus Workflow, and Domino.Doc.
Opening the Application
To open the application click on the icon on your desktop.
You will be prompted for a password.
Enter your password and click OK. The Notes Client will load.
Figure 1 - Lotus Note s C l i ent - Welcome Page
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For more information on how to use the Lotus Notes Client, please click on Help\Help
Topics in the main menu. The following diagram points out navigation items within the
notes client.
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Adding a Database to your Bookmark Bar
Select File\Database Open from the main menu. The Open database window will appear.
Figure 2 - File Open Database Window
Select the database you want to bookmark. And click on . The following
window will appear.
Figure 3 - Add Bookmark
Select the Bookmark Bar or create a New Folder, then click OK.
And the Icon for the database will be added to your Bookmark Bar.
The CIMS application has the following icon.
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Open a database from the Bookmark Bar
Simply click on the icon you want to open the database for.
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CIMS Application
The Case Information Management System (CIMS) Application is the mail access point
for the application.
The figure shows the View & Document Title, the Action Bar, and the Navigator.
Figure 4 - Navigating in CIMS
Links to all of the major views are grouped together in the Navigator. To expand a
category in the navigator, click on the icon (twisty). To collapse a category, click on
icon. Click on the items within a category to open that view.
The Action Bar will display icons for available actions within the view or on a document.
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Searching
Searching in a view via sorted columns
Some of the views in the database have columns that can be sorted in ascending or descending
order. These columns are denoted by the
means descending. After selecting the column you want to search by, just start typing and the
Figure 5- Starts with search window
will appear. You can then click on search to jump to the first document that starts with what you
have entered. If it can’t find a match it will be displayed in the status bar at the bottom of the
notes client.
Searching in a view via the full text index
You can toggle the search capability by selecting View \Search this view form the menu.
after the column heading. means ascending and
When the search view is activated you will see the following located at the top of the view.
Figure 6 – Full Text Search Bar
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Closes the current window.
Saves the document as a draft.
Saves the document as complete and goes
to the next step in the workflow.
Shows you the workflow diagram using the
Allows a Manager/Department Head to
Refreshes the document.
Claims the document by you (If you have
the permission) and puts it in edit mode.
Domino Workflow Help.
Creates a New Phone Complaint
Creates a New ACP or CP Complaint
Claims the Selected document
Creates a comment for a ACP or CP
Complaint
Action Bar Buttons
The following section goes over the action buttons that are shown within the application.
The will appear or not appear depending on your level of access and if the action is
appropriate or not.
workflow viewer or shows the detail of the
current workflow step.
reroute the case to a different step in the
workflow.
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Phone Call Complaints
Click on any of the links under “All Calls” in the Navigator to view Calls By:
• ID
• Informant
• Respondent
• Date Created
• Breach Type
• Completed
Creating a Phone Call Complaint
Within any of these views you will be able to create a Phone Call Complaint by clicking
on in the action bar.
A new FTC Phone Call Complaint will appear.
Figure 7 - Phone Call Compla int - Part 1
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Complaint Information in Phone Call Complaint Record.
Figure 8 - Phone Call Compla int - Part 2
Fields with an * are required.
Fields with a have a popup list of values. Click on the icon to display the list.
Figure 9 - Select Keywords Window.
Complete the form and click when you are ready to move the phone
complaint to the next step.
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Closing a Phone Call Complaint
Find a complaint that you want to close. Open the document and click on
in the action bar.
Figure 10 - Phone Call Complaint - Current Activity
Select “Close Phone Call Complaint” and enter the reason for closure.
Then click on
Opening a Case From a Phone Call Complaint
Find a complaint that you want to close. Open the document and click on
in the action bar.
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Figure 11 - Phone Call Complaint - Current Activity – Open Case
Select “Open” and select the type of complaint.
Then click on
The case will be assigned a Case Id. You will be prompted with the following message.
The Phone Call has been closed and a new case has been opened.
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Creating a New Case from Scratch
You can create a new case by going to any of the “Case” or “My Work” views. Once
you have opened one of these views, click on in the action bar.
Select the case type from the Drop down.
Figure 12 - Select Case Type
Click OK.
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Anti-Competitive Practices Complaint
Anti-Competitive Practices Complaint (ACP) has the following tabs to display
information:
• Current Activity
• Case Summary
• Documents
• Management Summary
• Comments
• History Log
Case Summary Tab
Click on Case Summary to view the details of the case.
Figure 13 - Anti-Competitive Practices Complaint - Case Summary - Part 1
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Figure 14 - Anti-Competitive Practices Complaint - Case Summary Part 2
Documents Tab
Click on Open Documents to view the binders associated with the document.
Figure 15 - Anti-Competitive Practices Complaint - Documents Tab
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Management Summary Tab
Define the complexity of the case as well as enter Management Notes.
Figure 16 - Anti-Competitive Practices Complaint - Management Summary
Comments
View comments entered for a case.
Figure 17 - Anti-Competitive Practices Complaint - Comments
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Current Activity Tab
The current activity tab contains the fields for the required information of a case for that
step within the workflow.
Figure 18 - Anti-Competitive Practices Complaint - Current Activity
History Log
Figure 19 - Anti-Competitive Practices Complaint - History Log
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Anti-Competitive Practices Complaint Process
The following diagrams show the ACP Workflow.
Figure 20 - ACP Workflow - Part 1
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Figure 21 - ACP Workflow - Part 2
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Figure 22 - ACP Workflow - Part 3
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Figure 23 - ACP Workflow - Part 4
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Initiating a Case
When a case is initiated the following window appears. Common to both processes.
Click OK to continue.
Generate Acknowledgement Letter
Common to both processes.
Figure 24 - Acknowledgement Letter
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Classify Case
Common to both the processes
Figure 25 - Classify a Case
Preliminary Enquiry
Figure 26 - Preliminary Inquiry
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Full Enquiry
Figure 27- Full Inquiry
Prepare Report.
Figure 28 - Prepare Report
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Approve Staff Report
Figure 29 - Approve Staff Report
Meet the Respondent
Figure 30 - Meet the Repondent
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Assign Attorney
Figure 31 - Assign Attor n ey
Prepare Consent Agreement
Figure 32 - Prepare Consent
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Department Head Approval
Figure 33 - Approval Department Head
Director Approval
Figure 34 - Director Approval
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Submit Closure Request
Figure 35 - Submit Closure Request
Closure Report
Figure 36 - Closure Report
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Head Evaluates
Figure 37 - Head Evaluates
Enter Close Date
Figure 38 - Enter Close Date
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Close the Case
Close the documents with the amount refunded and stamp the case as closed.
Figure 39 - Close the Ca se
Dept Head Evaluation
If the respondent is not met, then the department head evaluates the case.
Figure 40 - Dept Head Evaluation
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Director Evaluation
The director evaluates if Submit Case/Suit to Commissioners has been Received.
Figure 41 - Director Evaluation
Commissioners Evaluate
Commissioners evaluate and documents the hearing date.
Figure 42 - Commissioner Evaluates
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Create Suit
Generate the suit instance
Figure 43 - Create Suit
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Consumer Protection Complaint
Consumer Protection Complaint (CP) has the following tabs to display information:
• Current Activity
• Case Summary
• Documents – Same as ACP
• Management Summary – Same as ACP
• Comments – Same as ACP
• History Log – Same as ACP
Case Summary Tab
Click on Case Summary to view the details of the case.
Figure 44 - Consumer Protection Complaint - Case Summary
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Figure 45 - Consumer Protection Complaint - Case Summary Part 2
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CP Workflow Process
Figure 46 - CP Workflow - Part 1
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Figure 47 - CP Workflow - Part 2
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Initiation
Captured in “Anti-Competitive Practices”
Assign Officer
Captured in “Anti-Competitive Practices”
Officer Acknowledgement
Captured in “Anti-Competitive Practices”
Classify Case
Captured in “Anti-Competitive Practices”
Request Evidence
Figure 48 - Request Evidence
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Check Response
Figure 49 - Check Response
Case Determination
Determine if there should be any Re-Routing
Figure 50 - Case Determination
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Contact Respondent
Figure 51 - Contact Respondent
Respondent Responded
Verify if the respondent has responded.
Figure 52 - Respondent Responded
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Submit Closure Request
Fill the reason for closure and case findings.
Figure 53 - Submit Closure Request
Head Evaluates
Verify if there is any modification required.
Figure 54 - Head Evaluates
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Enter Close Date
Figure 55 - Enter Close Date
Close the Case
Enter the amount and stamp the case as closed.
Figure 56 - Close the Ca se
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FAIR TRADING COMMISSION
Domino.Doc Guide
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Table of Contents
Overview................................................................................................ .................... 1
Domino.Doc Neighborhood................................................................ ........................... 1
Add a Library Connection ................................................................ ......................... 2
Finding a document.................................................................................................... 2
Editing/Viewing a Document................................................................ .................... 4
Saving a New Document ................................................................ ........................... 6
Saving a existing file after editing it ........................................................................ 13
Accessing Domino.Doc through the Notes Client ....................................................... 14
Searching for Documents ......................................................................................... 15
Reading an existing document ................................................................................. 17
Editing a document .................................................................................................. 17
Saving a New Document ......................................................................................... 17
Saving an existing document ................................................................................... 19
Editing a documents Attributes/Profile .................................................................... 19
Checking out a document ......................................................................................... 20
Checking In a document .......................................................................................... 20
Handling and error accessing the Document Binder ............................................... 21
Table of Figures
Figure 1 - Domino.Doc Neighborhood................................................................ .......... 1
Figure 2 - Library Connection................................................................ ....................... 2
Figure 3 - Domino.Doc Login Window................................................................ ......... 2
Figure 4 - Case Related File Cabinet ................................................................ ............. 3
Figure 5 - Case Related Binders ................................................................ .................... 3
Figure 6 - Sample Binder Contents................................................................ ................ 4
Figure 7 - Document Right Click Menu................................................................ ........ 4
Figure 8 _ Sample Microsoft Word Document................................ .............................. 5
Figure 9 - Microsoft Save As Window................................................................ .......... 6
Figure 10 - Save As - Pick a Library................................................................ ............. 7
Figure 11 - Save As - File Room ................................................................ ................... 7
Figure 12 - Save As - File Cabinet................................................................ ................. 8
Figure 13 - Save As - Binder Category................................................................ .......... 8
Figure 14 - Save As - Case Binder................................................................ ................. 9
Figure 15 - Save As - File Name ................................................................ ................... 9
Figure 16 - Domino. Doc Document Properties .......................................................... 10
Figure 17 - Sample completed document properties ................................................... 11
Figure 18 - Domino.Doc Check In Window ................................................................ 12
Figure 19 - Domino.Doc Check In Window ................................................................ 13
Figure 20 - Opening Domino.Doc from Case Profile .................................................. 14
Figure 21 - Document Binder in Domino.Doc via Notes Client ................................. 15
Figure 22 - Starts with... Window ................................................................................ 15
Figure 23 - Full text search bar .................................................................................... 16
Figure 24 - Advanced Full Text Search ....................................................................... 16
Figure 25 - Search This View Menu Item ................................................................... 16
Figure 26 - Notes Login Window ................................................................................ 17
Figure 27 - Notes Login Window ................................................................................ 17
Figure 28 - New Document in Domino.Doc via Notes Client ..................................... 18
Figure 29 - Domino.Doc Check In Window In Notes ................................................ 18
Figure 30 - Working Copy ........................................................................................... 19
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Figure 31 - File Database Open Menu ......................................................................... 21
Figure 32 - Open Database Window ............................................................................ 22
Figure 33 - Open Database window, domdoc folder ................................................... 22
Figure 34 - FTC Library in Open Database Window .................................................. 23
Figure 35 - FTC Library in Notes Client ..................................................................... 23
Figure 36 - Binder list in the case documents file cabinet ........................................... 24
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Domino.Doc Guide
Overview
This document is to be used to grasp the functions to know in order to use the
Domino.Doc Document management system with the Case Management Application.
Domino.Doc can be accessed using a Lotus Notes Client or the Domino.Doc
Neighborhood. This document will explain the basic features of each as they relate the
the FTC System.
Domino.Doc Neighborhood
Domino.Doc Neighborhood is accessed through the icon on the desktop.
When you double click on this icon the Domino.Doc Neighbor hood Explorer will load.
Figure 1 - Domino.Doc Neighborhood
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Domino.Doc Guide
Add a Library Connection
If you don’t already have a connection to the FTC library you need to get to just click on
in the Domino.Doc Neighborhood.
Figure 2 - Library Connection
For Library Address enter:
http://192.168.10.12/domdoc/ftclib.nsf
For Library Display Name enter:
FTC
Click “OK”
Finding a document
To access the ADSC Document Library Double Click on . You will be prompted
to enter your user id and password. Your User Id is the same as you Lotus Notes Client
Id name. It is usually your First and Last name. If you are unsure please contact the lotus
notes administrator.
Figure 3 - Domino.Doc Login Window
After you have logged in you can access one of three file cabinets:
• Anti-Competitive Cases
• Consumer Protection Cases
• Non-Case Related
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