u.s. bankruptcy court northern district of ohio...case filing types hapter 7 is the most common form...

U.S. Bankruptcy Court Northern District of Ohio

Fiscal Year 2018

TABLE OF CONTENTS Message from the Clerk ................................................................................................................................. 1

Federal Court Structure ................................................................................................................................... 2

Divisional/Geographic Boundaries .................................................................................................................. 3

Chart of Organization ...................................................................................................................................... 4

Bankruptcy Court Judges ................................................................................................................................. 5

Case Filings

A. Case Filing Types and Summary ..................................................................................................... 6

B. Mega-Case ...................................................................................................................................... 7

C. Case Filing Charts............................................................................................................................ 8

Financial Administration

A. Administrative Overview ............................................................................................................... 10

B. Operating Expenses ....................................................................................................................... 11

C. Unclaimed Funds ........................................................................................................................... 11

D. Cyclical Audit ................................................................................................................................. 12

Information Technology

A. Agile Project Management ............................................................................................................ 13

B. Security Compliance ...................................................................................................................... 13

C. National Projects ........................................................................................................................... 13 Space and Facilities ......................................................................................................................................... 14

Human Resources

A. Staffing .......................................................................................................................................... 15

B. Recruitment ................................................................................................................................... 15

C. Telework Policy Enhancement ...................................................................................................... 16

D. Learning Center ............................................................................................................................. 16

E. Training and Development ............................................................................................................ 16

F. Bankruptcy Conferences and Off-Site Training .............................................................................. 16

1. National Conference of Bankruptcy Clerks (NCBC) ................................................................. 16

2. Operational Practices (OPS) Forum ........................................................................................ 17

3. Sixth, Seventh, and Ninth Circuit IT Conference West ........................................................... 17

4. IT Mentorship Training ............................................................................................................ 17

5. JIRA Systems Administration .................................................................................................. 17

6. HR Academy ............................................................................................................................ 17

7. Employee Dispute Resolution (EDR) Training ......................................................................... 17

8. Financial Forum ....................................................................................................................... 17

9. Judiciary Procurement Workshop Contracting Officer’s (CO) Certification Program ............. 18

10. Sixth Circuit Clerks’ Conference ............................................................................................ 18

Employee Relations

A. Diversity Activities ......................................................................................................................... 19

B. OHNB Journal ................................................................................................................................ 19

Community Outreach

A. Law Day ......................................................................................................................................... 20

B. 2018 School Supply Drive .............................................................................................................. 20

Year in Review ................................................................................................................................................. 21

FY 2018 Annual Report 1

It is an honor to serve as Clerk of Court for the United States Bankruptcy Court for the Northern District of Ohio. As the chief executive, responsible for the oversight of fee col-lection, docket management, and overall court administration, I am pleased to report that the Northern District of Ohio has completed a very productive fiscal year 2018 (FY 2018). The clerk’s office performed quality control on almost 20,000 bankruptcy cases, processed 35,000 receipts, issued unclaimed funds totaling more than $200,000, and completed a cyclical audit that raised minimal concern.

There is a quote by Albert Einstein that says, “Nothing happens unless something is moved.” The Bankruptcy Court is on the move! One of the first goals for FY 2018 was to enhance operations through new technology initiatives. However, the first step towards reaching this goal was to ensure that a reliable project management system was imple-mented for technology projects. After considerable research and training by the Infor-mation Technology (IT) Department, an agile project management system supported by the Administrative Office of the U.S. Courts was implemented in June 2018. As a result,

awaiting technology projects decreased by 62% between 2017 and 2018.

The court was awarded a final budget of $5.29 million after operating under a Continuing Resolution from September 1, 2017 to March 23, 2018. Approximately $4 million was allocated for personnel expenses and over $240,000 was ear-marked for the districtwide replacement of aging computers in judges’ chambers, courtrooms, and the clerk’s office. An additional $42,000 was allocated for additional laptops for staff to use during telework assignments. Assigned telework laptops with security protections and increased telework assignments provided staff with the hardware and experience needed to continue operations during emergency court closings. Telework enhancement was also a welcomed benefit to staff.

Court operations were further enhanced in FY 2018. Learning Center, a learning management system, replaced WebPERS to provide web enabled access for court employees to register for and track training. A voluntary electronic debtor noticing option (DeBN) was offered to pro se (unrepresented) debtors. Over 390 pro se debtors requested elec-tronic noticing in FY 2018. There was also significant work invested by staff in FY 2018 towards projects scheduled for implementation in FY 2019. These projects include an electronic inventory management system, an electronic proof of claims filing module that allows filers to submit claims without a case management system login, and an unclaimed funds submission program.

A leader cannot successfully steer an organization without a good support team. Therefore, I would be remiss if I did not recognize a dedicated clerk’s office staff comprised of 55 employees in five court locations, who have dutifully served seven bankruptcy judges, assisted the public at our intake counters, answered hundreds of telephone calls, managed case dockets, coordinated hearings, managed finances, and maintained IT infrastructure.

Please find the Federal Judiciary’s organizational structure and a review of FY 2018 case filings, human resources, em-ployee relations, financial administration, space and facilities, and information systems on the following pages.

I am thankful for the opportunity to serve the citizens of Northeast Ohio, and I am looking forward to another progres-sive fiscal year.

Teresa D. Underwood Clerk of Court

Message From The Clerk


Federal Court Structure

United States Supreme Court

The Supreme Court is the highest court in the United States. Article III of the U.S. Constitution created the Supreme Court and authorized Congress to pass laws establishing a system of lower courts. In the federal court system’s present form, 94 district-level trial courts and 13 courts of appeals sit below the Supreme Court.

There are 13 appellate courts that sit below the U.S. Supreme Court. The 94 federal judicial dis-tricts are organized into 12 regional circuits, each of which has a court of appeals. The appellate court’s task is to determine whether or not the law was applied correctly in the trial court. Ap-peals courts consist of three judges and do not use a jury. A court of appeals hears challenges to district court decisions from courts located within its circuit, as well as appeals from decisions of federal administrative agencies. In addition, the Court of Appeals for the Federal Circuit has na-tionwide jurisdiction to hear appeals in specialized cases, such as those involving patent laws, and cases decided by the U.S. Court of International Trade and the U.S. Court of Federal Claims.

Bankruptcy Appellate Panels

Bankruptcy Appellate Panels (BAPs) are three-judge panels authorized to hear appeals of bank-ruptcy court decisions. These panels are a unit of the federal courts of appeals, and must be es-tablished by that circuit. Five circuits have established panels: First Circuit, Sixth Circuit, Eighth Circuit, Ninth Circuit, and Tenth Circuit.

Federal courts have exclusive jurisdiction over bankruptcy cases involving personal, business, or farm bankruptcy. This means a bankruptcy case cannot be filed in state court. Through the bank-ruptcy process, individuals or businesses that can no longer pay their creditors may either seek a court-supervised liquidation of their assets, or they may reorganize their financial affairs and work out a plan to pay their debts.

The nation’s 94 district or trial courts are called U.S. District Courts. District courts resolve dis-putes by determining the facts and applying legal principles to decide who is right. Trial courts include the district judge who tries the case and a jury that decides the case. Magistrate judges assist district judges in preparing cases for trial. They may also conduct trials in misdemeanor cases. There is at least one district court in each state, and the District of Columbia. Each district includes a U.S. bankruptcy court as a unit of the district court. Four territories of the United States have U.S. district courts that hear federal cases, including bankruptcy cases: Puerto Rico, the Virgin Islands, Guam, and the Northern Mariana Islands. There are also two special trial courts. The Court of International Trade addresses cases involving international trade and cus-toms laws. The U.S. Court of Federal Claims deals with most claims for money damages against the U.S. government.

United States District Courts

United States Courts of Appeals

United States Bankruptcy Courts

Source: https://www.uscourts.gov/about-federal-courts/court-role-and-structure


Akron

Canton

Cleveland

Toledo

Youngstown

Geographic Boundaries1 of United States Courts of Appeals and United States District Courts

Divisional Boundaries of Northern District of Ohio Bankruptcy

Courts

1 Source: https://www.uscourts.gov/about-federal-courts/court-role-and-structure


Chart of Organization


JUDGES

Seven bankruptcy judges presided over 19,872 cases filed in the Northern District of Ohio from October 1, 2017 un-

til July 6, 2018. The judicial staff was reduced to six judges in July 2018, when the Honorable Kay Woods retired and

the Youngstown judgeship position was not immediately filled. Effective July 7, 2018, Youngstown cases were reas-

signed to Chief Judge Russ Kendig (Chapter 13s), Judge Arthur I. Harris (Chapter 7s) and Judge John P. Gustafson

(Chapter 11s). The Youngstown office remains open to the public and is fully staffed.

CHAMBERS STAFF

Each judge is provided chambers support comprised of law clerks and/or judicial assistants. The Northern District of

Ohio has four career law clerks, five term law clerks and three judicial assistants who provide legal and administra-

tive support to the bench. The Youngstown court does not have judicial support staff assigned in the absence of a

sitting judge.

JUDGE

KAY WOODS Youngstown (Retired July 6, 2018)

JUDGE

MARY ANN WHIPPLE Toledo

BANKRUPTCY COURT

JUDGES

CHIEF JUDGE

RUSS KENDIG Canton

JUDGE

ARTHUR I. HARRIS Cleveland

JUDGE

ALAN M. KOSCHIK Akron

JUDGE

JESSICA E. PRICE SMITH Cleveland

JUDGE

JOHN P. GUSTAFSON Toledo


CASE FILING TYPES

Chapter 7 is the most common form of bankruptcy case filed. It is available to individuals, married couples, cor-porations, or partnerships that meet specific eligibility requirements. Debtors receive a discharge of their debts in exchange for liquidation of specific assets as determined by the court. A court-appointed trustee administers the case, managing distribution of assets among creditors.

Chapter 13 is a reorganization bankruptcy, allowing eligible individuals to develop an installment plan, and repay all or part of their debt to creditors under a reor-ganization plan.

Chapter 11 is a reorganization bankruptcy, typically providing businesses with an opportunity to continue operations, retain employees, and repay creditors un-der a reorganization plan.

Chapter 12 is a reorganization bankruptcy available to family farmers and family fishermen, to restructure their finances, and avoid liquidation or foreclosure.

Chapter 9 is a form of reorganization bankruptcy which applies to municipalities requiring a debt repayment plan.

Chapter 15 cases are the least common, and are filed by foreign debtors from countries outside of the United States.

Mega-Cases typically have at least 1,000 creditors, at least $100 million in assets, generate significant judi-cial administration activity, involve a large number of attorneys on record and are the subject of regional and/or national media attention.

CASE FILINGS

In fiscal year 2018 (October 1, 2017 – September 30, 2018), there were 19,872 bankruptcy cases filed in the Northern District of Ohio, one of which was a mega-case filed by FirstEnergy Solutions Corporation in Akron, Ohio. There were also 392 adversary cases filed. Bankruptcy case filings increased by 1% from FY 2017 to FY 2018. Court staff closed 20,479 cases in FY 2018, leaving 16,542 cases pending at the end of the fiscal year.

Over ninety-five percent of FY 2018 bankruptcy cases were filed electronically on the electronic case man-agement system (CM/ECF), while 5% were filed pro se (i.e., without attorney representation).

The majority of docket events in FY 2018 were pro-cessed by practicing attorneys or court staff, howev-er, in recent years, auto-docketing has played a vital role in the reduction of manually generated transac-tions. Data shows that in FY 2018, 32% of the court’s docket entries were electronically generated by Au-tomatic Docketing Interface (ADI), a CM/ECF module that dockets batches of similar transactions at sched-uled times during the day.

CASE FILING SUMMARY


Case Filings

FIRSTENERGY MEGA-CASE—FirstEnergy Solutions Corpora-tion (FirstEnergy) filed Chapter 11 bankruptcy in the Northern District of Ohio in Akron on March 31, 2018. Estimated as-sets are $1 billion to $10 billion.

Presiding Judge

Judge Alan M. Koschik

Docket Entries

The number of docket transactions completed between March 31, 2018 and September 30, 2018 was 4,231. The FirstEnergy case generated 1,477 docket entries compared to a typical chapter 11 case in the Akron Court, which commands an average of 104 transactions in a given six-month period.

Claims

When a bankruptcy case is filed, an entity or individual may file a proof of claim with the court to assert rights as a creditor. There are typically numer-ous claims filed in a chapter 11 case. There were 881 claims filed in the FirstEnergy case between March 31, 2018 and the end of the fiscal year. A claims agent was hired to manage all claims in this case.


AKRON FY 2018 FY 2017 % Change

Chapter 7 2,319 2,280 2%

Chapter 11 10 8 25%

Chapter 12 1 0 100%

Chapter 13 750 687 9%

Chapter 15 0 0 0%

CANTON FY 2018 FY 2017 % Change

Chapter 7 2,228 2,342 -5%

Chapter 11 0 14 -100%

Chapter 12 0 2 -100%

Chapter 13 425 438 -3%

Chapter 15 0 0 0%

CLEVELAND FY 2018 FY 2017 % Change

Chapter 7 5,979 5,824 3%

Chapter 11 19 8 138%

Chapter 12 1 0 100%

Chapter 13 1,654 1,675 -1%

Chapter 15 0 0 0%

TOLEDO FY 2018 FY 2017 % Change

Chapter 7 3,508 3,595 -2%

Chapter 11 5 3 67%

Chapter 12 0 2 -100%

Chapter 13 398 365 9%

Chapter 15 0 0 0%

YOUNGSTOWN FY 2018 FY 2017 % Change

Chapter 7 1,960 1,925 2%

Chapter 11 0 1 -100%

Chapter 12 0 0 0%

Chapter 13 615 549 12%

Chapter 15 0 0 0%

DISTRICT TOTAL FY 2018 FY 2017 % Change

Chapter 7 15,994 15,966 0%

Chapter 11 34 34 0%

Chapter 12 2 4 -50%

Chapter 13 3,842 3,714 3%

Chapter 15 0 0 0% All Chapters 19,872 19,718 1%

Bankruptcy Cases Filed

Pending Bankruptcy Cases as of 9/30/2018

Case Filings

Bankruptcy Cases Closed


Case Filings

Claims Filed=77,379

Adversary Cases Filed


ADMINISTRATIVE OVERVIEW

The Administrative Services Department supports the court by providing financial management and control. The department is comprised of four staff: budget man-ager, financial operations supervisor, financial specialist, and procurement specialist. Department responsibilities encompass managing the operating budget, reporting and reconciling collections and fund balances, purchas-ing goods and services, processing payments, and com-pliance of controls. During FY 2018, department activity included the following:

• 35,000 receipts were processed, totaling nearly $7.1 million in collections; receipts were reconciled daily, and reported semi-monthly to the Administrative Office of the U.S. Courts (AO).

• 48 reports of collections and deposits were prepared and submitted to the AO or reviewed internally.

• 84 reports or reconciliations of fund balances were prepared for submission to the AO or reviewed inter-nally.

• 1,740 items of unclaimed funds (totaling $202,627) were entered and reconciled in the financial system.

• 137 unclaimed funds payments were disbursed, total-ing $200,562.

• 17 court-ordered refunds were processed.

• 327 trustee payments were disbursed; payments vary by the number of cases closed each month.

• 397 purchase orders were processed for goods and services, including IT hardware and software, supplies, employee training, and travel.

• 480 payments totaling $838,000 were made for goods and services.

• $5.7 million of appropriated funds were monitored and managed.

• 164 budget documents were processed, including re-programming funds for appropriate use.

• 52 fund management reports were prepared and sub-mitted to the AO or reviewed internally.

• 120 financial system reports were compiled and re-viewed for compliance and controls.

• 304 documents were compiled or prepared, and 251 transactions were tested to complete the internal au-dit.

• 1,090 documents and transactions were compiled and submitted to external auditors to complete the exter-nal audit.



OPERATING EXPENSES

The court operated under a continuing resolution (CR)

from September 1, 2017 until final funding was signed

into law by the President on March 23, 2018. A CR goes

into effect when Congress has not passed legislation to

fund the government at the start of a new fiscal year. A

CR is legislation that allows the federal government to

continue functioning at its current spending levels until

legislation authorizing full appropriations is passed. The

court received final appropriations in the amount of

$5,667,061 and spent approximately $5.29 million.

Eighty-four percent (84%) of FY 2018 funding consisted of personnel expenses of approximately $4.4 million. Nearly 12% of the budget ($630,000) was allocated to maintain the court's IT infrastructure. The remaining 4% of the budget ($227,000) included all other operating expenses, such as designated utilities, interior building mainte-nance, office furnishings, and supplies.

UNCLAIMED FUNDS

Unclaimed funds are held by the court for an owner who

has failed to claim or negotiate the payment of the funds,

or who cannot be located. This includes property distrib-

uted by the trustee after a settlement and unclaimed

after ninety days. In FY 2018, unclaimed funds were de-

posited with the court in the amount of $202,627.

Until unclaimed funds are distributed, the court acts as

custodian, adhering to policies and procedures to safe-

guard, account for, and accurately report them. Un-

claimed funds are held in perpetuity, and they may be

claimed at any time by the owner, a successor, or other

petitioner proving rightful ownership. When a valid claim

is made, the court disburses funds from the appropriate

account, by court order. In FY 2018, the court processed

137 unclaimed funds payments, for a total amount of

$200,562.

Fiscal Year 2016 # of Dist 2017 # of Dist 2018 # of Dist

Deposits $364,011 NA $462,645 NA $202,627 NA

Distributions $192,874 143 $355,104 111 $200,562 137

Note: When the court migrated to new financial systems in 2017, details were no longer available to compare unclaimed fund distributions classified as Business versus Individual; dis-tributions are no longer reported in these categories. The num-ber of unclaimed funds distributions is the volume of payment documents prepared by the court each year.

All Other $227k

Personnel $4,431k

IT Infrastructure $630k



CYCLICAL AUDIT The most recent cyclical audit was conducted for the Northern District of Ohio (with District Court, U.S. Proba-tion and Pretrial Services, and the Federal Public Defend-er’s Office) on July 26, 2018. The audit was a review of policies and financial transactions spanning three fiscal years: from October 1, 2015 through May 30, 2018. The audit results included a clean opinion of the Court’s State-ment of Accountability and Transactions, and a clean opinion of monthly reconciliations of the Trustee, Regis-try, and Unclaimed Funds Accounts. Two minor audit is-sues were noted and subsequently rectified.

The audit process began on May 29, 2018, with document requests from external auditors, Kearney & Company. Document and transaction requests continued through July 26, 2018, with the auditors completing their work on-site at the district from July 16, 2018 through July 26, 2018.

During the audit, financial transactions and policies were tested for the following functions: Collections and Depos-its; Non-Appropriated Funds; Deposit, Registry, and Un-claimed Funds; Payment Authorizations; Procurement; Property Management; Payment Card Usage; Budget Management and Reporting; Leave Administration; Judici-ary Employee Travel; Management Controls; and Infor-mation Systems. Auditors conducted staff interviews and observed procedures while on site. More than 690 docu-ments were compiled for audit review, and nearly 400 transactions were tested.


Information Technology

The Clerk entered FY 2018 with an eye towards identify-ing areas where the court could enhance operations and efficiencies to benefit debtors, creditors, the bar, cham-bers, and staff. The Information Technology (IT) Depart-ment provided support in a variety of ways to facilitate that effort:

• Improved the visual display and clarity of evidence with the installation of a new document camera in the Canton and Youngstown courtrooms, and new video conference equipment in the Akron and Canton courtrooms;

• Procured hand-held recording devices for all court-rooms in accordance with operational contingency plan-ning;

• Procured replacement computers totaling more than $260K for the district’s courtrooms, judges’ chambers, and clerk’s offices;

• Increased network speed in the Youngstown office to accelerate connections for internal users;

• Strengthened data routing capabilities and speed in the Cleveland courthouse;

• Upgraded data storage capabilities districtwide; and

• Installed and performed initial technical assessments of various programs currently under consideration to deter-mine their ability to improve operational efficiencies.

AGILE PROJECT MANAGEMENT

IT staff also sought to improve operational efficiencies within the department. As a result, the team evaluated various project and workflow management systems to identify one that could be integrated with a help desk tool. The department adopted an “agile project manage-ment” methodology and selected JIRA agile software as its internal project and workflow tool.

The agile methodology breaks down projects into incre-mental tasks that staff complete within a two-week peri-od. Next-step assignments are identified and completed in subsequent two-week cycles until the entire project is finished. Full staff 15-20 minute meetings are held each morning to discuss the status of assignments and ensure that projects are continually moving towards the final phase.

The agile approach has been extremely beneficial for the IT team and increased project turnaround time by more than 62%. JIRA Service Desk software will be implement-ed in FY 2019, making the full-service help desk feature available to all court staff.

SECURITY COMPLIANCE

Protecting technology infrastructure remained a priority for the IT Department. The following steps were taken to safeguard court operations:

• Replaced all court firewalls, which improved the court’s overall security posture;

• Built vulnerability scanning servers to proactively identi-fy and address technology-related vulnerabilities;

• Revised the IT security policies and plans, which address several security issues, such as network management, incident response, risk assessment, IT system access, maintenance and backup procedures, wireless security and system patches; and

• Conducted districtwide Lunch and Learn WebEx training sessions for court staff on security policies and compli-ance.

NATIONAL PROJECTS

The AO offers a combination of voluntary and mandatory services for court implementation.

In FY 2018, the court chose to migrate the Akron and To-ledo court fax machines to the national fax system (NFAX), which eliminated the expense of maintaining in-dividual business telephone lines. Additionally, NFAX for-wards all incoming faxes to the recipient’s email inbox. The remaining court fax machines will migrate in FY 2019.

The AO is systematically migrating each court to MS Office 365. In FY 2018, IT staff migrated court comput-ers from its locally installed MS Office 2016 system to MS Office 365 and upgraded the operating system to MS Windows 10. In calendar year 2019, the federal judiciary will migrate to the MS Outlook email system.


TOLEDO COURTHOUSE CONSTRUCTION

The new Toledo courthouse project has been in process since 2001 when the federal General Services Admin-istration (GSA) secured a parcel of land on the Toledo Civic Mall. It is a collaboration between two architectur-al firms. One firm is designing the new annex structure and the other is overseeing the historic renovation of the Ashley Courthouse. The design embraces the City of Toledo as the "Glass City" with a modern glass annex juxtaposed adjacent to the historic Ashley Court-house. The project will provide tenant space for the U.S. District Court, U.S. Bankruptcy Court, Probation and Pre-trial Services, U.S. Marshal Service, U.S. Attorney, and meeting space for the U.S. Trustees, along with building management space for the GSA. A Construction Manag-er is under contract to guide the project.

Cost and Infrastructure

The anticipated cost of the courthouse project is approx-imately $100M, and will provide eight chambers and six courtrooms for District and Bankruptcy Court judges. IT staff participated in planning and design discussions for cabling, server room, data closets, power requirements and courtroom audio-visual systems. Upon completion, the District and Bankruptcy Courts will benefit from a fully functional server room with the proper environ-mental controls. The bankruptcy courtrooms will con-

tain the full complement of courtroom technology cur-rently available in other courtrooms throughout the dis-trict. The courtroom technology systems will enable the display of evidence, provide video conference capability, and offer a professional-quality sound system.

Progress to Date

The new Toledo Annex project continues to move for-ward in the design development process. Construction is anticipated to start on the new annex portion in the Spring of 2019 with completion of the overall project in late 2023.

Public Art

Two artists have been selected to design public art as part of the "Art in Architecture" program embraced by GSA in federal construction.

SPACE AND FACILITIES


STAFFING

The Northern District of Ohio started fiscal year 2018 with a clerk’s office staff of 54. The judicial staff was comprised of seven judges, eleven law clerks and three judicial assis-tants.

During the fiscal year, there were three retirements - one case administrator, one sys-tems and network administrator, and one judge. The two clerk’s office positions were filled by external candidates. The judge position was not filled. There were also two res-ignations, one of which resulted in the posting of a vacancy announcement for the chief deputy clerk position, which was filled by an external candidate. After the hire of the chief deputy clerk, total staffing in FY 2018 increased to 55.

RECRUITMENT The court attended three career fairs in FY 2018: Bowling Green State University (Nov. 2017), Cleveland State University (Sept. 2018) and Kent State University (Sept. 2018). The career fairs increased court exposure as a viable, competitive employer in the north-east Ohio region, as it allowed students to ask questions about positions, benefits, and organizational culture. The court’s website was updated to include a notification system that would allow the public to register to receive text or email notifications when vacan-cy announcements are posted on the court’s website.

Recruitment fairs also allowed HR staff to determine what was most important to stu-dents entering the job market and develop plans to target those areas of interest.

HUMAN RESOURCES


Human Resources

TELEWORK POLICY ENHANCEMENT

The clerk’s office took steps to enhance telework in support of full staff and court functionality under its Continuity of Operations Plan (COOP). IT equipment was distributed to all clerk’s office staff to ensure access to updated and court-supported technology. In the next fiscal year, telework frequency will increase to enhance staff’s remote performance of duties in the event of an emergency court closing.

LEARNING CENTER The Learning Center, an automated training portal, was implemented on July 2, 2018. The Learning Center made it easier for HR and court staff to track and docu-ment training hours and available resources. Staff may also independently print training transcripts and review hours completed in a given period using the Learn-ing Center.

TRAINING AND DEVELOPMENT

The Performance Management Plan requires the completion of at least 10 hours per year of training for continued development. All clerk’s office employees ob-tained the required 10 hours of training in FY 2018, and most exceeded the re-quirement. There were 1,375 training hours completed by staff and more than $12,000 in Tuition Assistance Program (TAP) requests were approved. Notewor-thy training included courses on JIRA Project Management for IT staff (Jun. 5-7), the Judiciary Inventory Control System (Aug. 28-29), Active Shooter Preparation (Sept. 14), CPR/AED (Sept. 14 & 21), and several IT security WebEx training ses-sions.

BANKRUPTCY CONFERENCES AND OFF-SITE TRAINING Clerk’s office staff participated in several conferences and off-site training that en-hanced professional development:

National Conference of Bankruptcy Clerks (NCBC) - Nine clerk’s office staff attend-ed the National Conference of Bankruptcy Clerks in New York City on August 12-15, 2018. Staff participated in bankruptcy-specific courses on topics including technology, customer service, communication, CM/ECF applications, and retire-ment and financial planning. The conference also included two plenary sessions, a business luncheon with a report on the status of the court, and position-specific peer-to-peer discussions.

Court staff also assisted with national training initiatives in FY 2018. Anita Pribula, Courtroom Deputy (Canton), was selected to assist with the planning and develop-ment of the NCBC’s new Leadership Excellence and Development (LEAD) Academy Program. The LEAD Program encourages staff to assume greater responsibility in their current positions and builds the bridge for future leaders to achieve the court’s mission. The program uses a blended learning approach with pre-work to prepare for in-person workshops.


Human Resources

Operational Practices (OPS) Forum - The Operational Practices Forum in Minneap-olis, MN was attended by six court staff on May 14-15, 2018. The forum provided an opportunity for staff to view bankruptcy-specific practices, forms and applica-tions, including NextGen, CHAPWeb, CHAPMobile App, the Judiciary Inventory Control System (JICS), CourtSpeak, Judicial Voice Recorder, and the national Chap-ter 13 Plan. As a result of staff’s attendance, the clerk’s office proposed the publi-cation of judicial opinions to the U.S. Government Publishing Office (GPO) FedSys website and the development of a quality control program.

Sixth, Seventh and Ninth Circuit IT Conference West - The IT director attended the Sixth, Seventh and Ninth Circuit IT Conference West in Phoenix, AZ on August 21-24, 2018, where she received updates on the national MS Office 365 and Skype for Business roll-out, MS Outlook email migration, SharePoint, CM/ECF upgrades, and information on the AO’s decision to outsource servers to MS Azure. The con-ference also included cybersecurity initiatives and staff security training, strategies to limit video streaming, software development version control systems, and a discussion of the dark web.

IT Mentorship Training - A member of the IT staff attended the Network Opera-tions Center Mentorship Program and Security Operations Center Mentorship Pro-gram in Washington, DC on January 29 – February 1, 2018. This training educated court staff on how the AO manages the judiciary’s security program and wide area network. It also provided court staff with the tools to respond to security alerts and network problems at the local level.

JIRA Systems Administration - A member of the IT staff attended the JIRA Systems Administration Training in Washington, DC on September 4-7, 2018. The training curriculum included JIRA set up, configuration, and management of the software and service desk applications.

HR Academy - The HR specialist attended the HR Academy in Washington, DC on August 21-23, 2018. Training topics included benefits and retirement, employee relations, effective recruitment and marketing strategies, mental health issues in the workplace, and Human Resources Management Information System (HRMIS) administration.

Employee Dispute Resolution (EDR) Training - The clerk and the HR specialist attended the Employee Dispute Resolution (EDR) Training in Omaha, NE on March 6-7, 2018. The forum defined EDR, clarified who is covered by the EDR plan, ex-plained how EDR claims are handled, and identified the EDR coordinator’s respon-sibilities during each stage of the claims process (i.e., counseling, mediation, com-plaint, hearing, and petition for review).

Financial Forum - The financial operations supervisor attended the 2018 Financial Forum in New Orleans, LA on April 3-5, 2018. The forum provided information on treasury initiatives impacting the judiciary, audit preparation, viewing and using a court’s financial data in JIFMS, and provided tips and tricks for monthly reconcilia-tion reporting. Sessions covered budget policy updates, vendor administration and IRS updates, updates to registry policy, and new developments. Training also included the budget cycle for new and experienced budget analysts.


Judiciary Procurement Workshop Contracting Officer's (CO) Certification Pro-gram, Level 3 Training - The financial operations supervisor and procurement spe-cialist attended the Contracting Officer’s Certification Program Level 3 Training on Aug 8-10, 2018 in Louisville, KY. The curriculum included procurement assistance, delegation of authority, and separation of duties. Instruction also included plan-ning, source selection, solicitation, and evaluation of quotes.

Sixth Circuit Clerks’ Conference - The clerk and chief deputy clerk attended the Sixth Circuit Clerks’ Conference in Grand Rapids, MI on July 9-11, 2018, where they received leadership development training, and updates from the AO, Court Ser-vices, and the Budget Analyst. They also participated in best practices discussions with counterparts.

Human Resources


DIVERSITY ACTIVITIES

The Office of Fair Employment Practices encourages the promotion of workforce diversity and inclusion to in-crease staff understanding and appreciation of differ-ences. The FY 2018 diversity event was hosted in the Toledo courthouse and broadcast to other courts via tel-econference. The featured organization was the Greater Toledo Social Service for the Arabic Community (SSFAC), which enlightened staff about the challenges Syrian refu-gees face when settling in a new country. One of the agency’s main goals is to help families heal from the dev-astation of terrorism. Since the organization’s founding in 2011, it has managed to help 850 individuals. The event was insightful and well received by staff.

OHNB JOURNAL

The Northern District of Ohio has five staffed offices lo-cated in the northernmost part of Ohio. As a solution to the challenges presented by these geographical distanc-es, the OHNB Journal was created. The journal provides staff with updates on national and local initiatives, staff accomplishments, and fun activities in other offices.

Karen Rupert, Deputy in Charge (Canton), and Erick Jones, Case Management & Automation Support Special-ist (Cleveland), worked as Editor and Designer, respec-tively, on the FY 2018 editions.

Employee Relations


LAW DAY

Law Day is a national event held in May to celebrate and raise awareness about the important role law plays in so-ciety. The Canton courthouse had the pleasure of hosting 108 junior and senior high school students studying Amer-ican Government, Financial Literacy, and personal finance and their eight chaperones. The students received tours of the court and engaged in interactive presentations held in the courtroom.

The divisional office locations for the Northern District of Ohio, as well as the eight counties served by the Canton court, were discussed. Information as to why debtors may file bankruptcy and the six bankruptcy chapters were presented. An explanation of a bankruptcy discharge and financial issues that may contribute to a debtor’s decision to file were also provided. The groups learned about the U.S. Constitution, the Articles of the Constitution, and how Chapter 11 bankruptcy cases may be referred from bankruptcy court to district court. Staff shared statistics regarding case filings in the Canton court and a Chapter 7 case scenario.

The staff designed two creative games to help the stu-dents apply what they had learned. “Who Am I?” was a Chapter 11-based trivia game. Students were given clues and had to guess the corporation that had recently filed Chapter 11 bankruptcy. After the company name was revealed, possible reasons for the filing and options to avoid bankruptcy were discussed. “The Rich and Famous” featured wealthy people one may not think would have filed for bankruptcy. Students guessed the filers’ names as their pictures were displayed. Staff then explained the financial circumstances that led to the respective filings.

Students and their chaperones appreciated the oppor-tunity to visit the court and stated that they had a better understanding of bankruptcy and bankruptcy court and the kinds of occurrences that may contribute to a deci-sion to file bankruptcy.

2018 SCHOOL SUPPLY DRIVE

The District and Bankruptcy Courts for the Northern Dis-trict of Ohio jointly organized a second Annual School Sup-ply Drive as the community service project in FY 2018. Items of need were requested from school administrators and subsequently donated by staff from August 7, 2018 to September 10, 2018. The beneficiary schools were Helen E. Arnold Elementary School (Akron); STEAMM Academy at Hartford Middle School (Canton); and Taft Elementary School (Youngstown). Employees donated over 4,785 items.

Community Outreach


Year in Review

NOVEMBER 2017

14 Bowling Green State University Ca-reer Fair attended by the Human Re-sources Specialist and Deputy in Charge for Toledo

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DECEMBER 2017

1 National Chapter 13 Form Plan adopt-ed districtwide

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JANUARY 2018

1 Debtor Electronic Bankruptcy Noticing (DeBN) made accessible to all debtors in the Northern District of Ohio

29-FEB 1 AO Network Operations Center Mentorship Program and Security Operations Center Mentorship Program in Washington, DC was attended by IT staff

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MARCH 2018

6-7 Employee Dispute Resolution (EDR) Forum in Omaha, Nebraska attended by the Clerk and Human Resources Special-ist

21 Active Shooter Classroom Training in Cleveland courthouse

27-29 Clerk’s Court Status Update in Canton, Cleveland, Toledo, and Youngs-town courthouses

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APRIL 2018

1 National Fax System (NFax) Conver-sion in Toledo and Akron

3-5 Financial Forum in New Orleans, Louisiana attended by the Financial Op-erations Supervisor

5 Clerk’s Court Status Update in Akron courthouse

6 Training Needs Survey issued to Clerk’s Office employees by Human Re-sources Specialist

6 Diversity event on challenges Syrian refugees face in Northwest Ohio hosted in Toledo courthouse and broadcast to other courts via tele-conference

MAY 2018

14-15 Operational Practices Forum in Minneapolis, Minnesota attended by six court staff

3 & 17 Law Day activities held at the Canton courthouse for local junior and senior high school students

15-16 Sixth Circuit Security Summit in San Antonio, Texas attended by IT staff member

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JUNE 2018

5-7 JIRA Project Management Training conducted on-site by the Administrative Office for the U.S. Courts for the IT De-partment

14 JIRA, an agile project management tool, adopted by IT Department

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JULY 2018

2 The Learning Center, an automated training portal, implemented in the Northern District of Ohio

6 Judge Kay Woods retired from the Youngstown court

7 Youngstown cases assigned to Chief Judge Russ Kendig (Chap 13, Canton), Judge Arthur I. Harris (Chap 7, Cleve-land), and Judge John P. Gustafson (Chap 11, Toledo)

9-11 Sixth Circuit Clerks’ Conference in Grand Rapids, Michigan attended by Clerk and Chief Deputy Clerk

11 National Fax Service (NFax) imple-mented in Akron court

18-20 Judgeship Survey conducted in the Northern District of Ohio

16-26 On-site cyclical audit completed for the period October 1, 2015 to May 30, 2018

30 Case Management Assist (CMAssist) and Chambers Automation Program (CHAP) demonstration provided to clerk’s office staff at the Pennsylvania Western Bankruptcy Court

AUGUST 2018

7 Second Annual Combined School Sup-ply Drive collections commenced in the U.S. Bankruptcy and U.S. District Courts for beneficiary schools in Akron, Canton, and Youngstown

8-10 Judiciary Procurement Workshop Contracting Officer’s Certification Pro-gram, Level 3 Training in Louisville, Ken-tucky was attended by the Financial Op-erations Supervisor and Procurement Specialist

12-15 National Conference of Bank-ruptcy Clerks in New York City attended by nine Clerk’s Office staff

21-23 Human Resources Academy in Washington, DC attended by the Human Resources Specialist

21-24 6th, 7th, & 9th Circuits of the U.S. Courts IT Conference West in Phoe-nix, Arizona attended by the IT Director

28-29 Judiciary Inventory Control Sys-tem (JICS) training on JICS functionality conducted for Northern District of Ohio by staff member from Northern District of New York

29 Microsoft Office 365 launched in the Northern District of Ohio

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SEPTEMBER 2018

5-7 JIRA Project Management Training in Washington, DC attended by a mem-ber of the IT staff

10 Project Management Methodology Training conducted by Cleveland State University Monte Ahuja College of Busi-ness for the court’s management team, project leaders, and IT staff

9-13 Chief Unit Executive Conference in Pittsburgh, Pennsylvania attended by the Clerk

14 Active Shooter Role Play Training conducted by the U.S. Marshal Service for Howard M. Metzenbaum U.S. Court-house staff in Cleveland


Teresa Underwood

Clerk of Court/Chief Unit Executive

Renée Hill Robinson

Chief Deputy Clerk

CLEVELAND

201 Superior Ave. Cleveland, OH 44114

Josiah Sell Deputy in Charge

AKRON

2 S Main St. Akron, OH 44308

Marie Randolph Deputy in Charge

TOLEDO

1716 Spielbusch Ave. Toledo, OH 43604

John H. Moses Deputy in Charge

CANTON

401 McKinley Ave. SW Canton, OH 44707

Karen Rupert Deputy in Charge

YOUNGSTOWN

10 E Commerce St. Youngstown, OH 44503

Don Hinkson Deputy in Charge

(216) 615-4300

www.ohnb.uscourts.gov

u.s. bankruptcy court northern district of ohio...case filing types hapter 7 is the most common form...

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