Mark Hardin*

National Child Welfare Resource Center for Legal and Judicial Issues
--A Service of the U.S. ChildrenТs Bureau
ABA Center on Children and the Law
й MMII, MMIII by the American Bar Association

DRAFT #2,а May, 2003

Introduction

This paper is written for court administrators without a background in judicial information systems but who are responsible for helping to develop an automated case management system for dependency cases.** аThe paper lists what automated case management systems should do to support dependency cases and what managers must do to make this possible. Since this paper is a draft, we welcome your comments and suggestions.

Preliminary Planning

Tasks for Automated System.а An early step in developing of adapting an automated information system for dependency cases is to determine what tasks the automated information system is to perform.а These decisions will require considerable thought, preparation, and time.а Nevertheless, developing and refining such a list is critical to success.а By identifying tasks the automated information system will be asked to perform, the list can help courts:

и Set priorities among the categories of tasks;

и Decide which categories of tasks the courts wants the system to perform;

и Identify the preliminary steps needed to enable the automated case management to perform each category of tasks;

и Understand how much staff time (as opposed to vendor time) must go into RFP development and, eventually, into building the system;

и Figure out which categories of staff, with which qualifications, the courts need to help develop the system;

и Organize subcommittees or groups to address different categories of tasks; and

и Tentatively identify the major tasks required for each category of tasks.

Mapping the court system.а A further important step, often done with the assistance of consultants, is to map the court system based on court "reality," i.e., how the court currently operates and should operated in the future.а While this mapping is a vital step in developing a good system, it is no substitute for determining what tasks the new system is to perform.а Rather, mapping should be used to encompass new tasks.а In fact, without advance identification of new task, there is a risk that mapping will not go far beyond helping the system do what it is already doing Ц but more efficiently.

Among the many tasks in mapping are the following:

и "Map," i.e., graphically describe the business processes of the Court

и Categorize major processes.

и Group information onto screens (e.g., "intake screen", "petition screen", "hearing screen").

и Decide where there will be restricted data entry versus free form entry.

For a manager to become actively involved in this mapping process, some instruction will be needed.а A good consultant or the courtТs own information technology staff should be willing to assist.

User Friendliness

Another early planning task is to think about the user friendliness of the automated information system.аа Planners should think about how they might minimize the effort or court staff in using the system.а This includes reducing the number of steps for staff in using the system, developing screens that are easy to read and understand, and adding to the ease in making entries into the system.

Among other things, consider whether to system should allow users to:

и Make entries without memorizing codes.

и Read computer screens using plain and intuitive language.

и Use drop down menus and templates when helpful.

и Enter information globally (throughout the system) when appropriate:

и E.g., attorneysТ new addresses and telephone numbers that will come up whenever, in the future, the attorneysТ names come up and the information is needed.

и Make single entries that will populate future documents and screens unless changed.

и E.g., names of parties with identifying information, lawyers assigned to case.

и E.g., using templates that populate other screens or templates, i.e., after entering names and addresses into a template for one document, they automatically appear in further documents.

This, in turn, will affect the courtТs decision concerning the basic type of system it needs.а Some basic choices include:

и Legacy system (e.g., an enhancement of an existing system.

и Graphical user interface (GUI Ц windows-based system).

и Mainframe system.

и New system.

и Graphical user interface (GUI Ц windows-based system).

и Mainframe system.

Developing a Request for Bids or Proposals from Vendors

The detailed list of tasks for the automated system that appears in this paper is helpful for the development of RFPs.а But the list is not detailed enough on its own to use as a request for proposals (RFP) addressed to software developers. To develop a full set of case management specifications Ц such as in a RFP Ц courts must specify their needs with more detail, precision, and comprehensiveness.

To develop RFPs, courts should obtain and use the Juvenile Court Standards on Case Management developed by the National Center of State Courts (NCSC), along with this paper and examples of RFPs already used to develop automated case management systems for dependency litigation.

Developing a good RFP requires meticulous and painstaking work.а It is unwise to try to simply Уplug inФ or superficially modify sample RFPs, NCSC standards, or parts of this paper.а State and local courts need to comprehensively think through their own needs.а The NCSC standards are invaluable for their comprehensiveness, thoroughness, and precision, but require considerable customization and adaptation. Sample RFPs are essential to provide ideas for RFP formats, to illustrate adaptations to meet local conditions, and to provide well-articulated sets of tasks for selected categories of tasks.

List of Tasks and Steps

Planners not only need to identify the steps they want the system to perform, but also need to identify what they and their staff need to do to make these steps possible.а

The following are 19 categories of tasks planners might want the system to perform:

1. Automated reminders (ticklers) to prompt users.

2. Supporting hearings Ц helping ensure that the court takes all necessary steps in connection with each court hearing (including each major hearing type):

3. Automatic downloading of data from court documents into the case management database.а

4. Capacity to accept electronic filing and communications in individual cases or groups of related cases. Provide electronic forms and templates for documents to be electronically filed.

5. Capacity to electronically transmit information to parties, participants, and other agencies.

6. Tracking Ц checking status of individual cases (or group of related cases) and involvement of parties and other persons in such cases.

7. Automated creation and printing of documents.

8. Automated generation of summary information for specific cases Ц e.g., Уregisters of actions,Ф Уcover sheets,Ф or Уdockets.Ф

9. Opening and closing cases Ц helping ensure that the court takes all necessary steps when opening and closing cases.

10. Scheduling Ц determining times and places of judicial hearings Ц which takes into account a complex set of factors.

11. Generation of calendars Ц outputting times and rooms for hearings by electronically distributing or printing out this information.

12. Management reports Ц conveniently retrieving and outputting information, upon request, to assist court management and to assist selected categories of external users.а

13. Analysis and allocation of judicial and staff workloads.

14. Performance measurement*** Ц collecting and disseminating statistics related to the quality and timeliness of court activities and decisions.

15. Receiving large amounts of data (data dumps) from entities external to the juvenile court and downloading them into judicial databases.

16. Sending large amounts of data (data dumps) to external entities.

17. Security and confidentiality of documents and information.а

18. Internal administration of the court.а Tasks for court administration are fundamentally the same for dependency courts and other courts.

19. Financial management and accounting.

The remaining part of this paper not only breaks down each of categories of tasks into detail, but also lists some of the Уrelated responsibilitiesФ of court management to make it possible for the information system to achieve each task.а

In other words, following each of the categories of tasks listed above is a detailed description of what each category involves.а Next, after the detailed description of each category of computer tasks is a list of basic planning steps to make it possible for the computer to perform such tasks.а

The list of planning steps is not for the system designer, but rather for the non-technical administrator whose job is to help make sure that the system ultimately meets the needs of courts and also reinforces good practice.а These are key steps for people who want the automated case management system ultimately to meet the needs of the children and families who come before the courts, not just the needs of the professionals who use the system.

1. Automated reminders (ticklers) to prompt users.а For example:

и User needs to conduct additional checks for further information.

и E.g., check to see if there are related judicial cases or if parents have a criminal record.

и Case is off-schedule, i.e., a notice, filing, hearing, or order is overdue.а Note:а To design this function, we must have a comprehensive list of due dates.

и The court should comply with other rules or requirements.а For example, the court needs to include a required finding.а In other words, the prompts lead the user through required the steps of the process.а This can apply to court staff and to judges.а For example, prompts should help lead the user through preparing a court document including notices, findings, and orders. See generally, УCreation and printing of documents.Ф

и The court complies or is out of compliance with other rules or requirements.а For example notice to foster parents was not provided when required.

и Parties are out of compliance with specific court orders Ц e.g., there is an order to a party to do x within 30 days and for the agency to file a report within 40 days whether or not the party has done x.а The tickler would indicate that the report has not been submitted on time.

и The court canТt comply with judicial scheduling requirements Ц e.g., there is not enough time available to schedule hearing within a statutory or court deadline -- or to give the hearing enough time, as specified by court policies.

и The court wonТt have enough judges or staff if a particular action is taken, such as allowing a vacation.а See generally, УAnalysis and regulation of workloads.Ф

и Users have not completed required items on court templates.

и Note:а Users need the flexibility to add to and modify ticklers.

Related Responsibilities for Managers Who are Not Experts in Information Technology:

и Agree on a comprehensive set of events associated with time-bound requirements that require reminders.

и Decide when and to whom to provide reminders of each event deadline.

и Develop a list of other reminders that are needed Ц to ensure that tasks occur in connection with hearings and the opening and closing of cases (see below).а Such tasks might include, for example, notices, findings, and sending out information.

и Develop the text of notices regarding tasks and deadlines.

2. Supporting hearings Ц helping ensure that the court takes all necessary steps in connection with each court hearing (including each major hearing type):

и Tasks related to emergency removal or restraining orders:

и Off-site issuance of order by judge and generation of the order, e.g., removal order or restraining order.а In other words, provide an interface allowing judges to tie into the database to generate an order and download parts of the order into the database.

и Court order complies with federal and state law requirements, e.g., includes findings required by Title IV-E of the Social Security Act.а Note:а This requires templates designed for this purpose.

и The order triggers immediate efforts to appoint an attorney, before the shelter care hearing.

и An order of removal triggers the scheduling of a shelter care hearing.

и An emergency removal or restraining order triggers a deadline for filing a petition (in some states).

и Tasks regarding shelter care hearing:

и Enters required findings (as above).

и Court order complies with federal and state law requirements, e.g., includes findings required by Title IV-E of the Social Security Act (as above).

и Order triggers deadline for filing petition (in some states).

и A tickler or template alerts the court to set the next hearing and assists the court to do so. See, generally, УScheduling.Ф

и Tasks related to adjudication:

и Notice and service generated and tracked.

и Subpoenas generated and tracked.

и Findings from adjudication input and generated.а Note:а This requires templates or other prompts.

и Court order complies with federal and state law requirements, e.g., includes findings required by Title IV-E of the Social Security Act.

и A tickler or template alerts the court to set the next hearing and assists the court to do so. See, generally, УScheduling.Ф

и Tasks related to disposition hearing:

и Recording custody decision for docket.

и Subpoenas.

и Recording decision regarding case plan or other orders addressed to the parties e.g., restraining orders, visitation, cooperation with services, provision of services.

и Court order complies with federal and state law requirements, e.g., includes findings required by Title IV-E of the Social Security Act.

и A tickler or template alerts the court to set the next hearing and assists the court to do so. See, generally, УScheduling.Ф

и Tasks related to review hearing:

и Enforcing requirements that precede the hearing, e.g., filing of reports and recommendations.

и Subpoenas.

и Notice on foster parents (as well as parties).

и Recording changes in disposition.

и Recording changes regarding case plan or other orders addressed to the parties (as above).

и Court order complies with federal and state law requirements, e.g., includes findings required by Title IV-E of the Social Security Act.

и A tickler or template alerts the court to set the next hearing and assists the court to do so. See, generally, УScheduling.Ф

и Tasks related to permanency hearing:

и Enforcing requirements that precede the hearing (as above).

и Subpoenas.

и Court order complies with federal and state law requirements, e.g., includes findings required by Title IV-E of the Social Security Act.

и Generating court orders.

и A tickler or template alerts the court to set the next hearing and assists the court to do so. See, generally, УScheduling.Ф

и Tasks related to termination of parental rights proceeding:

и Tickler when TPR petition (or report by agency) is due

и Notice to foster parents.

и If state law requires treating this as a new case, linking it with the prior proceedings.

и New petition and allegations.

и Service of process on parties (in most states).

и Subpoenas.

и Court order complies with federal and state law requirements, e.g., includes findings required by Title IV-E of the Social Security Act.

и Generating findings of fact (in many states).

и A tickler or template alerts the court to set the next hearing and assists the court to do so. See, generally, УScheduling.Ф

и Tasks related to adoption:

и If state law requires treating this as a new case, linking it with the prior proceedings.

и Accommodating the change of parties, i.e., eliminating parents and, in some states, the child welfare agency as parties; adding prospective adoptive parents as parties.

и Noting a new case (in most states).

и Service of process on remaining parties.

и Subpoenas.

и Different rules regarding security functions.

и A tickler or template alerts the court to set the next hearing and assists the court to do so, if the order is interlocutory (as in some states).а See, generally, УScheduling.Ф

Related Responsibilities for Managers Who are Not Experts in Information Technology:

Helping to develop a system that will support an improved system of hearings is one of the largest and most difficult management responsibilities.а The following are some of the basic steps non-information-technology management must perform.

и Develop a list of functions the court should perform at each type of hearing.а (Take into account to federal and state statutes, state and local court rules, and existing mandatory court forms. Also consider other standards, such as the NCJFCJ Resource Guidelines.)

и Develop a checklist of actions for the court at each hearing.

и Develop or amend court forms and materials to incorporate the checklist of actions.

и Get approval for court forms.

и Help develop templates to insert the checklist of actions into the court forms.

и Work with technical experts or consultants to map and redesign the current system of hearings to perform the new functions and actions and to use and generate the needed court forms.

3. Automatic downloading of data from court documents into the case management database.а

For example, allow automated downloading of data from petitions, court orders, and notices.а Note:а To make this possible, the documents would have to be entered from templates or there would need to be a system to УtagФ those items to be downloaded.а One device for such tags is XML.а The following are examples of types of information that might be downloaded from such documents:

и Times of events.

и Notices that have been provided.

и Service of process has been completed.

и Content of orders or selected portions of orders.

и Parties who have appeared during specified court hearings.

и Counsel and other advocates (e.g., CASA volunteers) who have been present at specified hearings.

Related Responsibilities for Managers Who are Not Experts in Information Technology:

и Identify types of data to be downloaded from each type of court document.

и Design court forms from which data will be downloaded.

и Identify places in the forms from which data will be downloaded.

и Work with bench and bar to revise and correct the forms.

и Get formal court approval of the forms from which data will be downloaded.

4. Capacity to accept electronic filing and communications in individual cases or groups of related cases. а

Note: Courts will have to decide whether their RFPs will immediately facilitate e-filing or will build in the flexibility and capacity to later accept e-filing.

и Provide electronic forms and templates for documents to be electronically filed.

и Input certain documents (or at least portions of them) into the case management database electronically.а A lesser goal would be for the court to be able to receive them.

и Note: To electronically input documents into the database, attorneys and others will have to conform to court requirements, such as forms and using acceptable computer programs.а One way to do this is by providing electronic templates such as those based on the web.

и Authorize specified categories of persons who can file which documents, e.g., lawyers, intake officers, or child welfare agency employees.а

и Provide record that the documents have been served on other parties. Allow for the possibility that where other parties arenТt able to accept electronic transmission of information and mailing is necessary, different people may receive documents at sharply different times.а Note:а Filing deadlines will have to continue to be early enough so that those who must be notified by mail will have enough time to prepare for the next court proceeding after receipt of the document.

и Provide security provisions regarding changes in electronically filed documents such as pleadings.

и Provide built-in instructions or assistance for users (such as tutorials and prompts) regarding the e-filing system.

и УBurn inФ (lock) certain filed documents while, upon request, simultaneously preserving them as a working copy for judges to cut and paste into orders or findings.

Related Responsibilities for Managers Who are Not Experts in Information Technology:

и Decide whether to get e-mail capability and/or capacity to download data from an Intranet website.

и Resolve legal issues concerning electronic filing, such as security, electronic signing, verification, and imaging of pleadings.

и Design forms for electronic filing.

и Identify places in the forms from which data will be downloaded, if applicable.

и Work with bench and bar to revise and correct the forms.

и Get formal court approval of the forms.

5. Capacity to electronically transmit information to parties, participants, and other agencies.

и Automatically note whether parties or participants have e-mail addresses and will accept e-mail from the court.

и Automatically electronically inform others regarding documents filed.

и Automatically electronically distribute specified documents.

и Automatically transmit information to outside entities when appropriate.а For example, inform school districts of foster children in their districts, inform law enforcement agencies of certain orders such as stay away or restraining orders.

и Provide for a combination of mailed and electronic transmission, allowing for the possibility that not all parties and participants can receive electronic transmissions.

Related Responsibilities for Managers Who are Not Experts in Information Technology:

и Prepare comprehensive list as follows:

и Types of information to electronically transmit,

и When to transmit the information, and

и To whom to transmit the information.

и Resolve legal issues concerning electronic transmission of information, such as legality of notice by e-mail or fax.

и Resolve issues of confidentiality and electronic information sharing.

6. Tracking Ц checking status of individual cases (or group of related cases) and involvement of parties and other persons in such cases.

и Determining current legal status of case, e.g., temporary custody to agency, initial review hearing completed.

и Determining which legal events have occurred in a case, such as filings, orders, and notices.

и Retrieving related cases Ц for example, using common identifiers of parties or related case numbers.

и Retrieving information in a single case that is related to a specific person or party, such as orders addressed to a specific person or party.

и Retrieving information about related individual cases such about as consolidated cases or cases involving the same parent.

и Retrieving information concerning compliance with court orders directed to the parties, such as cooperating with services, providing services, getting drug tests, providing drug tests, etc.а Note: This requires consistent input regarding compliance.а This might require checklists or templates that are linked to the entry of judicial findings at the next hearing.

и Retrieving specific documents entered into the system, such as from a list of documents pertaining to a specific case.

Related Responsibilities for Managers Who are Not Experts in Information Technology:

и Prepare list of potential types of tracking needed.

и Include tracking concerning individuals, organizations and agencies, attorneys and other advocates, and related case information.

и Identify information in the databases of other organizations that are needed for tracking purposes.

7. Automated creation and printing of documents.

и Automated creation of notices, subpoenas, summons and other court documents.а This will be based on entries of information into templates and/or downloading of information from documents filed in the court.

и Creation and printing of court orders before parties leave the courthouse, i.e., through use of macros and checklists.

и Include routine documents, notices, and standard orders.

и Also include court orders that need to be individualized beyond substituting names, addresses, and times.а For example, include orders of adjudication, disposition, etc.

и Permit the use of macros and drop downs to complete court orders.

и Incorporate non-electronic mailing lists for distribution of court orders.

и Provide for the electronic distribution of documents, but allow parties to choose electronic or non-electronic distribution.

Related Responsibilities for Managers Who are Not Experts in Information Technology:

и Develop list of types of documents system should be able to create and should be able to print.

и Develop forms and formats for each type of court document.

и Identify parts of forms to be populated by other entries and parts of forms that users should fill in when completing the forms.

и Get approval of the forms and formats.

8. Automated generation of summary information for specific cases Ц e.g., Уregisters of actions,Ф Уcover sheets,Ф or Уdockets.Фаа

Include such information as:

и Category of case (e.g., dependency case)

и Summary of content of allegations or category of maltreatment such as physical abuse, educational neglect)

и Parties and participants (attorneys, etc.)

и Prospective deadlines (e.g., next hearing, permanency hearing, petition for TPR)

и List of past events (filings, hearings, notices, orders)

и Brief information about results of hearings and court orders (e.g., order of substitution of counsel, restraining order)

Related Responsibilities for Managers Who are Not Experts in Information Technology:

и Decide what is to be included in the summary information.

и Decide on data elements for performance measurement Ц so that printouts of summaries will include these data elements and thus be used for quality assurance purposes.

и For quality assurance, frequently consult with appropriate court employees, such as court clerks, who generate the information going into this summary information.

9. Opening and closing cases Ц helping ensure that the court takes all necessary steps when opening and closing cases.

и Generate identifier numbers, headers, and other necessary case information.

и Record background information such as names, age of child, addresses.

и Provide ticklers when there are current or prior cases regarding the child or family.а See, generally, УAutomated reminders (ticklers) to prompt users.Ф

и Provide ticklers to check criminal records of individual parties.

и Accept information from outside sources, including the child welfare agency, e.g., social security numbers of children and parents to use as identifiers. See, generally, УCapacity to accept electronic filing and communications in individual cases or groups of related cases.Ф

и Provide ticklers when case closure is needed, such as when a child is aging out, when a prior court order requires closure on specific conditions, or when next steps (like filing a petition) have not been taken within a specified time period after a case is opened.а See, generally, УAutomated reminders (ticklers) to prompt users.Ф

и When case is closed, shut off scheduling of further hearings. Require new petition (or other procedures permitted under state law) for case reactivation.

и Change status of case for record keeping purposes, such as open, inactive, and archived.а Note:а This can determine where the case information goes, i.e., into which database.а It can determine who has access to the information.

и Transmit information regarding closure. See, generally, УCapacity to electronically transmit information to parties, participants, and other agenciesФ

Related Responsibilities for Managers Who are Not Experts in Information Technology:

и List key steps courts need to take in opening and closing cases.

и Identify what information is needed to open and close cases.

и Design forms and reminders for opening and closing cases.

и Identify what information can and should be electronically transmitted by the child welfare agency in connection with case opening and closing.

и Identify what information can and should be electronically transmitted to the child welfare agency in connection with case opening and closing.

и Decide on the means of electronic transmission to and from the child welfare agency.

и Identify what information can and should be electronically transmitted to and from law enforcement agencies.

и Decide on means of electronic transmission of information to and from law enforcement agencies.

и Identify what information can and should be electronically transmitted to and from other courts.

и Decide on means of electronic transmission of information to and from other courts.

и Decide what information needs to be archived, for historical purposes, once the case is closed

10. Scheduling Ц determining times and places of judicial hearings Ц which takes into account a complex set of factors, such as:

и Time available

и Categories of hearings

и Deadlines for hearings

и Preferences and availability of attorneys or law offices.

и Convenience and availability of agency workers or offices.а

Note:а Convenience might be service by either clustering hearings together or spacing out cases (e.g., within a single morning) to allow some last minute preparation time between hearings.а But it might be better not to allow last minute preparation.

Related Responsibilities for Managers Who are Not Experts in Information Technology:

и Determine rules and priorities for scheduling, including which factors take precedence.а Decide when overrides should be possible.

и Include wide range of factors, such as:

и The availability of courtrooms,

и The availability of judges and court staff at specified times,

и Legal deadlines for specific hearings and findings,

и The availability of attorneys and other advocates, and

и The availability of caseworkers or other key agency staff.

11. Generation of calendars Ц outputting times and rooms for hearings by electronically distributing or printing out this information:

и Within specified time such as a day or week

и By courtroom

и By judge

и By attorney, law office

и By agency, branch office, supervisor, caseworker

Related Responsibilities for Managers Who are Not Experts in Information Technology:

и Decide on the format of calendars.

и Decide on the types of calendars that are necessary.

и Consider wide range of possibilities, such as:

и Different courtrooms for a specific day or week.

и Specific judges for a week or two weeks.

и Specific attorneys, firms, and law offices.

и Specific CASA or GAL programs.

и Specific agency offices, supervisors, or workers.

12. Management reports Ц conveniently retrieving and outputting information, upon request, to assist court management and to assist selected categories of external users.а

For example:

и Identifying groups of cases with special issues Ц lack of notice, non-timeliness, and recurrence of abuse or neglect.

и Reporting recurrent problems involving incorrect or missing data.

и Associating information with specific attorneys, firms, or law offices.а For example, provide information on their number of cases, total hours billed within a specified time such as a year, and which cases each attorney has handled or is currently handling.

и Associating information with specific caseworkers, e.g., their number of cases, names of specific cases.

и Associating information with specific agencies, e.g., their number of cases, names of specific cases.

и Associating information with specific judges and judicial districts, e.g., their number of cases, names of cases.

Related Responsibilities for Managers Who are Not Experts in Information Technology:

и Identify types of management reports that will help the court.

и Consider wide range of management reports on such issues as:

и Personnel availability and deployment,

и Cases out of conformity with computerized case management system requirements (e.g., improper entries in the computer system),

и Cases behind on deadlines for mandatory notices, hearings, and other actions.

и Summary statistics on court activity and court volume

13. Analysis and allocation of judicial and staff workloads.

и Automatically calculating existing judicial workloads, such as based on numbers of cases, filings.

и Assigning cases to judges (as opposed to assigning specific hearings to judges) based on workloads or other factors, e.g., to even out workloads.

и Automatically calculating existing judicial staff workloads, such as based on numbers of cases, filings, numbers of courtrooms, or other relevant factors.а But note:а Before this is done, the court must already have identified basic tasks performed by judicial staff and estimated times associated with tasks.

и Identifying staffing needs based on workload specifications.

и Deploying staff to keep courtrooms and the courthouse operating, based on workload specifications and needs.а For example, using calculations of staff availability and workload needs to approve or deny vacation requests.

Related Responsibilities for Managers Who are Not Experts in Information Technology:

и Define non-judicial tasks to be performed in connection with court hearings.

и Define other non-judicial tasks to be performed in support of judges and judicial officers.

и Define general tasks to be performed by non-judicial staff.

и Identify clusters of tasks to be performed by non-judicial staff.

и Define job positions in terms of clusters of tasks matching each job position.

и Develop a list of task clusters that might be measured by the computer.

и Develop measures of productivity in connection with tasks and clusters of tasks.

и Define tasks for computers in staff allocations, such as:

и Assigning cases;

и Measuring productivity;

и Helping to set and equitably distribute workloads; and

и Ensuring there will be staff supports for all hearings, courtrooms, judges, and other judicial officers.

14. Performance measurement*** Ц collecting and disseminating statistics related to the quality and timeliness of court activities and decisions.

This should include measures of the following:

и Permanency:а

и Frequency and timeliness of different case outcomes, such as return home, adoption, etc.

и Disruption of case resolution, such as adoption or relative custody.

и Timeliness of events and decisions.

и Safety:

и Recurrence (recidivism) of maltreatment during or after court involvement.

и Fairness:а Timeliness of notice, notice on everyone, appearance of counsel, presence of parties.

и Compliance with court orders.

и Rate of compliance with other specific federal and state requirements Ц such as timeliness, completion of specific types of findings.

и Diagnostic information (using a relational database) to allow us to link the above with other factors that may be relevant.а Examples of such factors might include:а the category of maltreatment (e.g., medical neglect), ethnicity, age, sex, name of child welfare agency, branch of child welfare agency, name of child welfare agency supervisor, name of judge, name of judicial district.

Related Responsibilities for Managers Who are Not Experts in Information Technology:

и Decide what areas of performance the court wishes to measure.

и Define data elements for performance measurement.

и Decide what court reports the system should routinely generate.

и Design coversheets (see above) for quality assurance purposes.

15. Receiving large amounts of data (data dumps) from entities external to the juvenile court and downloading them into judicial databases.

и Entities may include, among others, child protection agency, law enforcement, educational institutions, and other courts.

и Capacity to accept information from data dump (e.g., from the child welfare agency) and integrate it into the judicial case management database or databases.а

и Capacity to create new combined databases with this information, without altering the existing judicial case management database.

и Note:а This has to be done with great care and planning, considering the possibility of erroneous or out-of-data information from outside sources.а

и Note:а There is less of a problem when the data types coming from outside the court are not the same as data types coming from within the court.

и Capacity to use data from data dump as method or quality assurance, i.e., to notice discrepancies and track down sources of error.

и Capacity to incorporate external data for the purpose of performance measurement.

и For example, to get agency data regarding the numbers of placements, apply only those data regarding parties with cases before the court and generate performance information using the agency data.

и Capacity to screen out or restrict access to specified types of information included in the data dump.а

и For example, the system should be able to deny judges access to information that would be illegal ex parte communications to the judge that have not also been sent out to the parties.

и For example, the system should be able to expunge or screen access to types of information that would be inadmissible evidence pertaining to a particular case.а An example might be medical information pertaining to a particular party.

Related Responsibilities for Managers Who are Not Experts in Information Technology:

и Decide which types of data the court needs.

и Find out which data are available and in what form.

и Resolve and clarify issues of confidentiality and information sharing.

и Work out arrangements with the external entities.

16. Sending large amounts of data (data dumps) to external entities.

и External entities to include, among others, child welfare agency, criminal justice agencies, educational institutions, and other courts.

и Capacity of court to make data dumps as specifically defined for each type of external entity.

и Capacity of court to exclude confidential data from dump, where state or federal law requires.

Related Responsibilities for Managers Who are Not Experts in Information Technology:

и Find out which types of data the external entities want and determine whether providing that data is appropriate.

и Find out which data the court has and in what form.

и Resolve and clarify issues of confidentiality and information sharing.

и Find out what forms of data the external entities can receive. Work out arrangements with the external entities.

17. Security and confidentiality of documents and information.а

Note:а Most security-related tasks are not fundamentally different in dependency cases from security in other courts.а The main difference is that Ц in most states Ц the vast majority of juvenile court records, by law, are not available to the public.а Thus, the types of security tasks performed by the automated case management system are not different, but the specifics of what is to be secure are very different. For additional security and confidentiality tasks concerning data dumps, see УReceiving large amounts of data (data dumps) from entities external to the juvenile court and downloading them into judicial databasesФ and УSending large amounts of data (data dumps) to external entities.Ф

и See the NCSC standards on security functions.

и The system should give the court the ability to easily define which persons have access to what types of information.а It should be convenient to define categories of information and then to limit access to each category of information to specified categories of users.

и There should be denial of access to selected information depending on the category of user.

и There should be audit trails of modifications in data entered into the system.

и There should be Уlocks,Ф i.e., means of preventing documents from being altered or from being altered by specified users.

Related Responsibilities for Managers Who are Not Experts in Information Technology:

и Determine who should have access to what information within the court.

и Determine who outside the court should have access to what information.

и Determine which records should be destroyed and when.

и Decide what kinds of audit trails are needed when items are modified.

18. Internal administration of the court.а Tasks for court administration are fundamentally the same for dependency courts and other courts.

и See NCSC standards.

и Maintaining and retrieving case files.

и Maintaining and retrieving exhibits.

и Maintaining audit trail for case files and exhibits Ц location and who has had them.

и Personnel management Ц job descriptions, job announcements, forms and steps regarding hiring, discipline, and termination.

Related Responsibilities for Managers Who are Not Experts in Information Technology:

PLANNING A COMPUTERIZED JUDICIAL CASE MANAGEMENT SYSTEM FOR DEPENDENCY CASES:

Introduction

Preliminary Planning

User Friendliness

List of Tasks and Steps

PLANNING A COMPUTERIZED JUDICIAL
CASE MANAGEMENT SYSTEM
FOR DEPENDENCY CASES: