TECHNICAL SERVICES NC~L I5 F 8733
COURT TECHNOLOGY
REPORTS,/ 1990
Funding Provided by the STATE JUSTICE INSTITUTE
National Center for State Courts 300 Newport Avenue Williamsbw;yirginia 23187-8798 Nationa! Cer;?er Stago CQWY~S 0 Copyright 1991 by the National Center for State Courts ISBN 0-89656-107-0 NCSC Publication No. R-124 Table of Contents
Acknowledgments ...... v Introduction ...... vii
Vermont District Court Automation Barre District Court, Washington Circuit ...... 1 FORECOURT Case Management System Relational Semantics, Inc. This is a Unix-based application with unique features for entering, searching for, and retrieving data. The system uses a court-defined event flow table to display the next logical event.
Housing Court Information System (HCIS) ...... 33 State of New York, Unified Court System Office of Court Administration This system processes and manages hundreds of thousands of landlordltenant disputes filed in the housing part of the Civil Court of New York City. Wyoming Statewide Court Automation Project ...... 55 Wyoming Courts of Limited Jurisdiction Supreme Court of Wyoming ECS, Inc. This is a PC-based LAN system for calendaring and case management. It features self-docketing and identiftcation of scheduling conflicts. The Wyoming Supreme Court supports a statewide training center. Alabama State Judicial Information System, Juvenile System ...... 89 Administrative Office of the Courts Montgomery, Alabama The latest major SJlS application reflects the AOC's current approach to mainframe applications from planning, analytical, and technical perspectives.
Own Reco nizance Management System (ORMS) ...... 111 PretriaP Services Division, Los Angeles County Superior Court Systemhouse, Inc. This system improves quality of services through on-line access to case information, promoting uniform investigation procedures, balancing staff work load, and providing access to accurate and timely information.
iii Prerecorded Videotaped Trials ...... 133 Erie County Common Pleas Court, General Division Sandusky, Ohio Delay reduction, lower litigation costs, more efficient use of judicial resources, and reduced jury costs are some of the benefits of this application of video technology. Computerized Information Center for Pro Se Access ...... 141 Colorado State Judicial Department Division of Planning and Analysis The incorporation of graphics and text using touch-screen technology and a synchronized laser disk audio track (English and Spanish) provides information to pro se litigants in small-claims and child support matters.
JuryManagementSystem ...... 157 22nd Judicial Circuit, Washtenaw County, Michigan Vanguard Management and Information Systems, Inc. This system supports the one-daylone-trial scheme and its variants and accepts tape downloading or data transfer from a single source or multiple sources.
District Court Automation Software (DCAS) ...... 181 District Court of Maryland Annapolis, Maryland This is an integrated, decentralized approach using PCs as workstations, reducing central mainframe computer inputloutput operations. The system uses bar coding for data entry and case management.
iv Acknowledgments
These reports were developed under a grant from the State Justice Institute. Points of view expressed herein are those of the authors and do not necessarily represent the official position or policies of the State Justice Institute.
The National Center for State Courts (NCSC) gratefully acknowledges the professional contribution and support of the members of the NCSC Systems Advisory Committee for their guidance and direction during this project. Mr. K. Kent Batty Honorable Michael J. CYMalley Executive Ad minis trator Judge Detroit, Michigan Court of Common Pleas Mr. Alan Carlson Pittsburgh, Pennsylvania Manager, Trial Court Special Projects Honorable Charles H. Pelton San Francisco, California Judge of the District Court Ms. Mary Campbell McQueen Clinton, Iowa State Court Administrator Honorable David L. Phares State of Washington Justice of the Peace Olympia, Washington Maricopa County Chandler, Arizona
National Center for State Courts Project Staff
This project has been conducted under the direction of Dr. Geoff Gallas Ms. Peggy Walsh Vice President, Research and Technical Sm*ces Staff Associate Mr. Lawrence P. Webster Mr. Doug Walker Director of Technical Sem'ces Senior Staff Associate Mr. Thomas G. Dibble Ms. Maureen H. Aveno Senior Staff Associate NCSC ConsuIfanf Ms. Cheryl H. Letchworth Mr. Ronald Jayne Project Director NCSC Consultant Mr. Kevin P. Kilpatrick Ms. Patricia Maddox Staff Associate Project Support
Publication Service Staff
Ms. Anne Kelly Ms. Hisako Sayers Editor Graphic Artist Mr. Charles F. Campbell Ms. Mary L. McCall Associate Ed itor Production Coordinator Ms. Stevalynn Adam Art Director
V Introduction
THE STATE COURTS COMMUNITY NEEDS A that these systems represent the best efforts of centralized resource for information concerning state and local courts, it is not possible to perform the dynamic and evolving field of technology. a comprehensive comparison with other outstand- This need will expand in the 1990s as courts face ing systems in other locations. We hope that the productivity problems and are forced to automate information will benefit courts considering similar their recordkeeping and paper-flow processes, technology. improve staff efficiency, and communicate effec- Court Technology Reports, 1990, reviews nine tively with other government agencies. automated systems. For the first time, the Reports In response to this need, the National Center goes beyond case management systems to exam- for State Courts has developed a multi-tiered ine other uses of technology, such as touch screens technology program that provides research, that provide routine procedural information to pro information, technical assistance, and education to se litigants, the use of video to prerecord trials, a courts. This is accomplished through national- statewide local area and wide area network scope research projects, the Institute for Court system, and a Unix-based court application. Management’s technology curriculum, and the direct technical assistance provided by the Na- System Review Procedures tional Center’s regional offices. The National Center, through continued In response to our invitation to share successful support from the State Justice Institute (SJI), is applications of technology, courts nominate pleased to present the 1990 edition of the Court projects for review. Nominations include a brief Technology Reports. This edition is the third of a description of the technology, the hardware and series in which applicationsof technology, nomi- operating environment, how the technology has nated by courts, are reviewed. Each review affected the court, and its potential benefit to other discusses a technology project from inception courts. Technical Services staff review each through implementation and considers the nomination, taking into consideration the length project’s effects on court operations. of time the technology has been in use, the num- The Court Technology Reports examines suc- ber of court installations, the type of technology, cessful projects, thus providing courts with more and the benefits the court has realized. A prelimi- complete informationabout promising systems. It nary selection is presented to the systems advisory describes how each project was developed, committee for review. funded, and implemented; what the automated Site visits are scheduled for selected courts. system can do; the type of hardware and software Before visiting the site, NCSC project staff review required; the type of documentation available; and all supporting material provided by the site, the kind of training program used. including system design documents, user and Inclusion of systems in the Court Technology technical documentation, and articles and reports Reports does not constitute an endorsement, written about the technology. During the site certification, or representation that they meet any visit, interviews with judges, clerks, system standards other than that they have proven developers, and others determine how the tech- helpful to the nominating court. While we hope nology has affected court operations. Project staff
vii also observe a detailed demonstration of the Own Recognizance Management System, system. Los Angeles County The system improves the quality of services Report Format through on-line access to case information, promoting uniform investigation procedures, All reviews follow the same format. An overview balancing staff work load, and providing checklist provides a quick reference about the access to accurate and timely information. system or technology: features and functions, hardware and software requirements, Prerecorded Videotaped Trials, Erie County postimplementation support, and available Common Pleas Court documentation. The body of each review contains Delay reduction, lower litigation costs, more a brief history of the system’s development; court efficient use of judicial resources, and reduced demographic information; an overview of the jury costs are some of the benefits of this technology; hardware/software requirements; and application of video technology. a description of available training, support, and documentation. Most important, each review Computerized Information Center for Pro Se addresses the benefits gained by the court and Litigants, Colorado possible benefits for others. The incorporation of graphics and text using Where representative examples of screens are touch-screen technology and a synchronized provided, shading has been used to distinguish laserdisk audio track (English and Spanish) the three types of information presented: field provides information to pro se litigants in names, data entered by the user, and information small claims and child support matters. provided by the system. Dark shading indicates field names, and light shading indicates data Jury Management System, 22nd Judicial Circuit, entered by the user. The unshaded information Michigan includes screen titles, prompts, data returned by This system supports the oneday/one-trial the system, directional information, and error scheme and its variants and accepts tape messages. downloading or data transfer from a single The nine reviews and the highlights of each source or multiple sources. are presented below: District Court Automation Software, Maryland Vermont District Court Automation This is an integrated, decentralized approach This is a Unix-based application with unique using PCs as workstations, reducing central features for entering, searching for, and mainframe computer input/output opera- retrieving data. The system uses a court- tions. The system uses bar coding for data defined event flow table to display the next entry and case management. logical event. By using information about successful tech- New York Housing Court Information System nology projects, courts can increase their knowl- This system processes and manages the edge of how to acquire, develop, implement, and hundreds of thousands of landlord/tenant evaluate technology for application in their own disputes filed in the housing part of the Civil environment. Courts that make better-educated Court of New York City. technology decisions can avoid costly mistakes. The National Center is grateful to SJl for its Wyoming Statewide Court Automation Project assistance with this project over the past three This is a PC-based LAN system for calendaring years and its continuing support of the National and case management. It features self- Center’s technology program. The NCSC and SJI docketing and identification of scheduling are committed to improving court administration conflicts. The Wyoming Supreme Court through improved technology. supports a statewide training center. NCSC Technology Program Alabama State Judicial Information System, Juvenile System The NCSC technology program provides research, The latest major SJIS application reflects the information, technical assistance, and education to Am’s current approach to mainframe applica- courts through na tional-scope research projects, tions from planning, analytical, and technical the Institute for Court Management’s technology perspectives. curriculum, and the direct technical assistance provided by the National Center‘s regional offices.
viii As part of the Center's technology program, for the dissemination of information on technol- Technical Services acts as a clearinghouse for ogy and its application in the courts. Corporations information and provides assistance to courts in representing various technologies will participate the application of technology. Through SJI sup in the vendor exhibition. port, Technical Services has developed a number Court Automation Performance Standards is an of resources from which courts can gain informa- effort to develop, publish, and distribute guide- tion about technology. lines for the automation implementation process, Court Technology Laboratory is a facility for the focusing on project initiation (feasibility study demonstration of a wide range of new and innova- through requirements analysis), acquisition (RFP tive applications of technology for court opera- process, bid evaluation, contracts), and implemen- tions. Functioning as an integral part of the tation (site preparation, installation, acceptance overall NCSC Technology Program and working in testing, training). Staff will use existing project conjunction with the regional offices and the resources, work completed on other projects, NCSC's Institute for Court Management, the lab advisory committee assistance, and the results of a provides a place for demonstration, orientation, 50-state AOC survey to assess state court efforts to and exploration of technology for teams of court develop automation and technology standards. professionals. National Assessment of Statewide Automation is Technical Information Service is a clearinghouse an appraisal of the efforts of states to develop and for technology information and resources. The implement statewide automation of their trial collection of available information includes articles courts. Through a %state survey and an in-depth about the application of technology in the courts study of the experiences of four states, the project and other state and local government agencies, will collect, consolidate, and analyze information articles about various types of technology, trade about the major issues involved in statewide publications, vendor product information, books, automation to guide those facing automation of periodicals (some stored on optical disk), and their courts. technical reference materials. With SJI support, Forum on the Advancement of Court Technology NCSC staff draw on this collection of information is an organization composed of high-level court to track technical developmentsand to assist state decision makers and representatives from the and local courts with their automation problems private sector whose mission is "to improve the and questions. quality of justice through communication between Court Technology Database is a collection of those who develop and provide technology data about the status of automation in the nation's products and services and those who manage the courts. Through statewide surveys and other courts." It meets annually to discuss the issues methods, staff collect court demographic data, that affect the success of technology projects and contact information, software, hardware, pro- guarantee the effectiveness of the development gramming language, and other technologies used and implementation of technology to support by nearly 3,000 of the nation's state and local court operations. courts. For further information about the National Court Technology Bulletin is a bimonthly Center's technology program and technology newsletter created to promote sharing of informa- resources, please contact Technical Services, tion between the National Center for State Courts, National Center for State Courts, 300 Newport the courts, and private companies engaged in Avenue, Williamsburg, Virginia 23187-8798, (804) developing technologies that have application 253-2000, ext. 343, or fax (804) 220-0449. within judicial systems. The Bulletin focuses on For technical assistance with any aspect of the private industry products and services that benefit development, procurement, or application of courts and exchanges and disseminates informa- technology, please contact the National Center's tion on applications, including equipment pur- regional office serving your state: chases, opportunities for training, and specialized technologies. Mr. David C. Steelman, Vice President Third National Conference on Court Technology Northeastern Regional Office will be the largest gathering of court professionals 2 Dundee Park from the United States and around the world in Andover, Massachusetts 01810 Dallas, Texas, March 11-15,1992. "Improving (508) 470-1881 Justice Through Innovation" is the theme for the conference, which will build on previous court Serving: Connecticut, Indiana, Kentucky, technology programs in Chicago (1984) and Maine, Massachusetts, Michigan, New Denver (1988). CTC 111 is expected to draw at least Hampshire, New Jersey, New York, Ohio, 2,000 participants, providing an important forum Pennsylvania, Rhode Island, and Vermont.
ix Mr. Charles E. Ferrell, Vice President Mr. Alexander B. Aikman, Vice President Southeastern Regional Office Western Regional Office 300 Newport Avenue 200 Bush Street, Suite 1500 Williamsburg, Virginia 23187-8798 San Francisco, California 94104 (804) 253-2000 (415) 392-7151 Serving: Alabama, Delaware, District of Serving: American Samoa, Alaska, Ariz0na8 Columbia, Florida, Georgia, Maryland, Califomia, Colorado, Guam, Hawaii, Mississippi, North Carolina, Puerto Rico, Idaho, Montana, Nevada, New Mexico, South Carolina, Tennessee, Virginia, Northern Manana Islands, Oregon, Utah, Virgin Islands, and West Virginia. Washington, and Wyoming. Mr. James R. James, Vice President For information about technology workshops and Midwestern Regional Office seminars or assistance with technology training 9300 West 110th Street, Suite 350 and judicial education, please contact: Overland Park, Kansas 66210 (913) 451-8110 Mr. Harvey E. Solomon, Vice President Institute for Court Management Serving: Arkansas, Illinois, Iowa, Kansas, National Center for State Courts Louisiana, Minnesota, Missouri, Ne- 1331 Seventeenth Street, Suite 402 braska, North Dakota, Oklahoma, South Denver, Colorado 80202-1554 Dakota, Texas, and Wisconsin. (303) 293-3063
X Vermont District Court Automation Barre District Court, Washington Circuit Barre, Vermont
FORECOURT Case Management System Relational Semantics, Inc.
This is a Unix-based application with unique features for entering, searching for/ and retrieving data. The system uses a court-defined event flow table to display the next logical event.
Prepared by Cheryl H. Letchworth Stuff Associate VERMONT DISTRICT COURT AUTOMATION Traffic/ Criminal Civil Juvenile System Features/Functions X X X Docketing/Register of Actions X X X Indexing X X X Scheduling (Automatic Assignment) Calendar Preparation X X X Individual Calendar X X X Master Calendar X X X Notice Generation X X X Management/Statistical Reporting X X Warrant Generation and/or Monitoring X X Diversion Tracking X X Prosecutor and/or Public Defender Scheduling Sentencing Guidelines Determination Probation Monitoring Automated Minute Sheets Arbitration/Mediation Intake X X Detention Monitoring X X X Judgment/Disposi tion Exhibit Management Case Consolidation Physical File Control X Moving Violations X Nontraffic Ordinance Violations Parking Ticket/Citation Book Control X X X Ad hoc Reporting X X X On-line Help Facility Accounting X X Fee Accounting Garnishment Accounting X X Automatic Distribution of Fine/Fees X X Revenue Accounting X Bail and/or Bond Indigent Defense Tracking Reconciliation (Attorney Billing) Reimbursement of Costs Environments Supported Any Unix-based Hardware LAN Any Unix-based Hardware Micro-based Multi-user Any Unix-based Hardware Mini Any Unix-based Hardware Mainframe Accell/Unify, C Primary Programming Language Documentation X X U User's histructions X X X Operations Instructions (System Maintenance and Recovery Procedures) X X X System Specifications (Original System Design Document) U X U Program Index (List of Program Names and Functions) U X U System Documentation (Flowcharts, Program Narratives, etc.) support X X X Telephone X X X On-site X X X Remote via Modem 11 11 Number of Court Installations Legend x=Operational u=Under Development Vermont District Court Automation Vermont District Court, Washington Circuit Barre, Vermont
FORECOURT Case Management System Relational Semantics, Inc.
VERMONT IS IMPLEMENTING A COMPREHENSIVE Unix-based integrated data management system to improve the effectiveness of the state’s 14 district courts and to manage a caseload that has increased 86 percent over the past ten years. The Vermont system operates on Altos hardware and uses relational database and applications develop ment software from Unify Corporation of Sacra- mento, California, and Relational Semantics, Inc., a software development firm in Watertown, Massa- chusetts. The FORECOURT software supports the administration of the criminal, civil, small claims, juvenile, child support, domestic relations, and traffic divisions and tickets for hunting/fishing violations from case initiation through disposition. Court volunteered their court as a pilot site for the The system generates the paperwork associated development of more-advanced software. A with court procedures, scheduling, calendar primary goal of this project was to reduce signifi- preparation, and forms generation; automatically cantly the paperwork burden for judges and notifies litigants and attorneys about trial dates; clerk’s office staff. The Supreme Court of Vermont and produces the formal docket record. approved the request. The Vermont district court project is the result When the two initiatives were merged, the of the integration of two initiatives. In October of Barre District Court became the pilot site for new 1986, the Governor‘s Highway Safety Program for system selection and development. The court Traffic Records System Improvement gave the administrator and chief administrativejudge court a two-year grant to improve and expand appointed a committee to recommend an ap systems for processing motor vehicle offenses. A proach to acquire the next generation of software. local consulting firm completed a needs and The committee consisted of Justice John Dooley alternativesanalysis in March of 1987. The (supreme court), Alan Cook (presiding judge in analysis documented the usefulness of the existing the Barre District Court), Joanne Goodnow (clerk systems for case management and recommended of the Barre District Court), Christine Brock (clerk further development of integrated computer- of the Franklin District Court), Lee Suskin (trial based systems to support docket-specific case court administrator), and Robert Squires (assistant management, a common calendaring system for trial court administrator). all casetypes, and courtroom data entry. The committee reviewed the RFI to confirm A group of court clerks reviewed these that the goals and objectives of the Barre District recommendations and decided to investigate case Court project were included. It received eight management systems used by other jurisdictions. responses to the RF’I. Estimated costs ranged from It sent a request for information (RFI) to over 60 $60,OOO to $638,000, with proposals for varying private and public organizations nationwide. levels of technology and degrees of automation. The second initiative began in July 1987 when The responses were divided into three groups: the presiding judge and clerk of the Barre District (1) unaffordable or technically or functionally
3 inferior; (2) potential candidates, with a technical ACKNOWLEDGMENTS review required; and (3) potential candidates. Organizations from the second category provided National Center staff conducted a site visit at the demonstrations for the committee. These demon- Barre District Court, the pilot site for the design, strations helped to clarify requirements and development, and implementation of the provided a point of reference for evaluating other FORECOURT system. The following people from systems. Barre District Court, Relational Semantics, and the After reviewing a number of systems, the court administrator‘s office contributed to this committee determined that an integrated case review: management system that would meet the needs of the district courts would require a significant Robert Squires, Director amount of customization. Some systems used Research and Information Services techniques that would force a dependence upon the software supplier for future modifications. All Karen Alderman, Clerk responses to the RFl were rejected, and a docu- ment was developed that defined the functional Carolyn Hutchinson, Deputy Clerk requirements for an integrated case management system for the Vermont district courts. Hon. Joseph Wolchik, Presiding Judge After Vermont’s MIS officials explored Unix- based computers as a low-cost, easy-to-maintain, Hon. Alan W. Cook, Presiding Judge and flexible solution to support small multi-user environments, they issued a request for proposal John Gorman, President (RFP)for a Unix-based case management system Relational Semantics, Inc. that would support the tasks specific to the Vermont district court system for well under Bob Gorman, Vice-President $200,000. None of the responses met the criteria. Relational Semantics, Inc. After careful evaluation, a second RFP led to an arrangement with Relational Semantics, Inc., of VERMONT DISTRICTCOURTS Watertown, Massachusetts, to develop the soft- ware using Unify’s Unix-based relational database The Vermont district courts were originally courts management system and 4GL application develop- of limited jurisdiction. They now include most ment tool, Accell. criminal matters. In 1983 the district courts were This review provides an overview of the granted jurisdiction over all criminal cases and FORECOURT Case Management System imple- became courts of general jurisdiction for most mented in the Barre District Court, the pilot site criminal matters. Fourteen district courts and 15 for the Vermont District Court Automation judges serve a statewide population of approxi- Project. With the help of a grant from the State mately 560,000. Justice Institute, the system will be installed in all 14 district courts by June 1991. RELATIONALSEMANTICS, INC. Based in Watertown, Massachusetts, Relational Semantics, Inc. (RSI), is a software company specializing in management information systems for state and local courts. Relational Semantics uses modern relational database management systems and fourth-generation language. FORECOURT is written in Accell, an advanced Unix-based fourthgeneration language (4CL)with Unify, a high performance relational database management system. FORECOURT operates on a variety of Unix microcomputers and minicomput- ers. RSI offers a variety of services to the court community, including consultation, software design and development, site preparation, installa- tion, training, and support.
4 The district courts handle approxiniately tion of several. For example, one can search for a 60,000 cases annually, an 86 percent increase in person by using all or part of the name, date of caseload over the past 10 years. The court exer- birth, and area code. cises jurisdiction in tort and contract cases up to A ZOOM function key allows users to access $5,000, support/custody, paternity/bastard y, additional data or menus or to generate reports or miscellaneous domestic relations, and mental forms based on the field from which the ZOOM health matters. Exclusive jurisdiction is exercised capability is accessed. When positioned on a over small claims. The court hears felony cases coded field, ZOOM will display a list of valid and has exclusive jurisdiction over misdemeanor, codes that can be selected for that field. When DWI/DUI, moving traffic, miscellaneous traffic, placed on the docket number, ZOOM will allow ordinance violation, and juvenile cases. the user to generate the formal docket page for the case. When positioned on a party name, ZOOM BARREDISTRICT COURT will display a menu that provides access to additional information about that particular party. The Barre District Court is located in Washington "Smart" fields enable a user to link an action County in central Vermont, approximately 65 to multiple items, eliminating the need for redun- miles southeast of Burlington. It serves a popula- dant data entry. For example, multiple disputes tion of 55,000 with one full-time judge (serving a can be disposed with one entry; multiple condi- six-month rotation) and one part-time judge (one tions can be placed on a probation warrant. The day per week). The court is managed by a clerk system automatically generates the appropriate and a staff of six employees who manage specific entries in the docket. casetypes. Filings in the court from July 1989 to Automated scheduling provides the necessary June 1990 consisted of tools to improve service to the public. As cases are entered, FORECOURT identifies time slots available Criminal 1,548 for hearings. When the system identifies several Civil 31 1 available options, a popup window displays Small Claims 1B02 them, indicating remaining time available for Traffic 1,652 scheduling. Selecting a function key will display a Juvenile 170 list of cases already scheduled for a selected time slot. With this information, the user can quickly Total 5,483 visualize trade-offs and make the appropriate scheduling decision. The system automatically A 386-based Altos 2000 server powers 20 checks for schedule conflicts among judges. In terminals, including one located on the judge's addition, users can schedule an attorney's court bench in each courtroom. The system is adminis- appearances for the same day. FORECOURT tered by two staff programmer/analysts. The checks the docket and alerts the user about additional district court installations are adminis- potential attorney conflicts. tered remotely via modem from the Barre District System performance and ease of use have Court. The database is backed up to tape daily. A prompted the Barre District Court judge to use a full system backup is performed weekly. terminal on the bench. Based on docket and scheduling entries made in the system, documents GENERALSYSTEM OVERVIEW and notices are generated automatically during proceedings and are ready for the litigants when The FORECOURT Case Management System they leave the courtroom. supports court functions from case initiation The system's document generator integrates through disposition. The system uses codes the case management system with word-process- extensively, tailoring the application to an indi- ing templates, inserting case-specificinformation vidual court's requirements. The menu system is in the appropriate blanks on the form. Because the table driven, allowing the court to add new document templates are created in word process- reports and on-line help without programmer ing, the user controls the format of all system- intervention or recompilation of the software. generated documents. FORECOURT makes extensive use of windows FORECOURT supports batch generation of and function keys, making data easily accessible to formal notices. Vermont considers this the most authorized users with a single keystroke. Most efficient way to handle bulk mailings of hearing data elements within a window are indexed and notifications. Hard copies of a complete case searchable. Searches within a window can be history are available on demand from the system, performed using one data element or a combina- reducing the need to locate the case folder. Any
5 previously generated document or report can be dispute. Tickler supports the court’s case manage- reproduced on demand. ment goals. An accounting subsystem tracks and collects Events. Events in FORECOURT include all outstanding fees, fines, and bail. This system can transactions that occur throughout the life of the establish and maintain deferred payment ac- case. For a selected case, data are displayed counts. It automatically posts credit when pay- chronologically in a summary list (most recent ments are received and credits the proper ac- entries displayed first). Forward and backward counts. It generates delinquent notices when scrolling is provided as well. Detailed information necessary. can be displayed for any entry on the list. If An important goal of the Vermont district multiple windows are required to display all the court project is to improve accessibility to the information for an entry, the user can access public record through dial-in and dedicated additional windows with a single keystroke. terminals. Various levels of security deny the Event types are user defined and are associated public access to sensitive information. with a particular casetype. Only those events that Event Flow Processing. For normal cases and are pertinent to a given casetype are available to standard case-processing rules, the order in which the user. Where events are common across events occur for a given casetype can be deter- casetypes, the same codes are assigned to ensure mined. When an event has occurred, the system continuity throughout the system. displays the next predictable event, as defined by User-defined event codes and their transla- the user in event flow tables. In a felony criminal tions are created and maintained in tables. When case, for example, arraignment is normally fol- a code is selected, the description is displayed. lowed by a status conference. Thus after arraign- Lines are provided for entering additional text. ment, the code for the status conference is dis- Certain events result in entries for other classes of played in the event window. The user can review information and for interface with other system the information, make any necessary modifica- functions. For example, an event that schedules a tions, and post the event. If the next event is not hearing posts an entry to the calendar for allocat- the one displayed, the user can override it by ing resources. At the same time, the user can entering the correct code. Event flow processing generate a notice to be sent to the appropriate provides flexibility for customization by indi- parties. These types of relationships are estab- vidual courts and for accommodatingchanges in lished by the court in conjunction with the code case-processing rules. This method assists new defining the event. Entries or updates for motion users and users who are not familiar with entry of tracking, arrest warrants, summonses, case header a specific casetype. information, ticklers, charges, disputes, parties, The user can access case information directly and calendars can be generated at the same time via docket number or can retrieve case informa- that event codes are created. tion by party name (litigant, witness, attorney, Motions. From case initiation through disposi- guardian) or hearing date. Wild-card searches tion, multiple motions may be filed in a case. The may be performed by entering the first few filing and disposition of motions are individually characters of the name desired. The system will monitored. Cases with outstanding motions can respond with a list of cases that meet the search be reported and reviewed to keep a case on criteria. schedule. Predefined codes are used for entering During case processing, six major categories of motions into the record. These codes and their information can be entered, accessed, and main- descriptions are maintained in a database table. tained in the system: events (docket entries), The user may edit the translation of the motion at calendar events, parties, motions, charges/ the time of entry or update. complaints, and ticklers. Events provide the Tickler. Ticklers support the case management information necessary to create and maintain the goals of the court. The tickler file tracks time- official court record. Calendar events schedule sensitive items that are not directly related to the appearances and court resources. Parties tracks hearing of a case. Docket entries and related demographic information on each individual ticklers are defined by the user and maintained in involved in a case, including attorneys. Motions tables. For example, when a proof-of-service entry tracks the timely disposition of motions, which is made, a tickler window automatically displays keep cases on schedule. Charges/complaint the predefined future event (answer due) and date tracks information for each charge or complaint (30 days from date of service). entered in the case separately, allowing the Courtroom Support. The system supports the tracking and disposition of each individual clerk during courtroom proceedings. FORECOURT
6 displays selected court orders and responses to and validated before they are posted to the certain procedural questions at the bench for appropriate files maintained by the system. review by the judge. Orders with the judge’s Although the system supports various signature facsimile can be generated on a laser casetypes, this review highlights entry of a crimi- printer. nal matter from case initiation through disposi- FORECOURT supports update, inquiry, forms tion. The following pages present sample screens generation, and report generation. To maintain to illustrate the flow and accessibility of informa- data integrity, data entered or modified are edited tion throughout the system.
7 FIGURE 1 BASIC SCREEN FORMAT
[replacel I stored/modif ied I FlI record 1 of 32 records found
Context sensitive information.
A number of screens and screen aids help users navigate the system. This illustration represents the basic screen format used throughout the FORECOURT system. 1. The status line contains six information blocks that present various types of information about the mode and status of the record: a. The current textditing mode: replace or insert. b. The status of the current record: stored, not stored, or stored but currently modified. c. The mode the system is in: update or find. d. The ZOOM option (if the current field has this capability). e. The current record number and the number of records available. f. The action or result of an operation performed by the user (for example, finding, no records found, records found, adding, added, updating, updated, deleting, deleted). 2. Various summary screens (case screen, dispute screen, event screen) remain in permanent display when a user works on a case. These screens are the first displayed when a user accesses a case and are the last to be displayed when the user exits. Windows enable the user to view all the data for a case. Users can ”open windows” at their discretion to view the information. When a window is opened, the summary screens are temporarily obscured. Each window contains a number of fields in which data are entered and displayed. 3. Context-sensitive (field or screen) information guides the user through the application. This includes prompts for, or descriptions of, the current field and error messages. The information presented here is defined by the user. 4. The bottom row displays the function keys available. Four rowsare available to authorized users, but only one row is displayed at a time. F10 displays additional rows. Function keys help the user move from screen to screen and select the mode of operation (add/update/find/delete). FIGURE 2 MAIN SYSTEM MENU
replace stored/modified update zoom record 1
IFORECOURT1
Select one of the following items 1. Criminal Cases 8. Entity Tables 2. Traffic Ticket Cases 9. Scheduling Blocks 3. Civil Cases 10. Miscellaneous Payments 4. Small Claim Cases 11. General Tables 5. Juvenile Cases 12. System Administration 6. Uresa Cases 13. Reports 7. Other Ticket Cases 14. Help Menu ENTER SELECTION:
Use the up or down arrows or enter a number; Press MENU SELECT or RETURN F1 -Menu Can F2 -Menu Sel F10-More Key
\ This is the FORECOURT Main System Menu. Depending on their level of security, users can gain access to the various casetypes, tables, scheduling information, accounts receivable, system administra- tion functions, reports, and the help menu. Functions and options are not presented to a user without proper security permission. Case initiation. Case information is entered and updated through a series of integrated data-entry screens. A case is initiated by entering basic information on a primary screen. Depending on the type of case, a series of subsequent screens, or windows, is displayed either automatically or through the request of the user. Case numbers can be manually or automatically assigned according to the format established for the specific casetype. The user determines any additional screens required for entering data The case initiation process will not force the user to go through a progression of screens. The user can quickly access the appropriate event window to enter the data known upon initiation of the case. Case Summary screens. The case summary screens summarize the essential information in a case. These are the Case, Dispute, and Event screens. The screen displays the most commonly referenced informationabout a case. There is a different Case screen for each casetype. The following screens depict criminal case processing from initiation through disposition.
9 FIGURE 3 CASE SUMMARY SCREEN
T
reDlace stored update zoom record 1 CRIMINAL CASES C 1033 432 1-4-90 Wncr
Case Docket Number. F1 -Prv Form F2 -Nxt Form F3 -Prv Rec F4 -Nxt Rec F5 -Fld Help FlO-MOre Key
/ This is the Case Summary screen for a criminal case. It includes information on docket number, case title, defendant name, date of birth, attorney name, case status, casetype, incarceration location, bail amount, and date and time of the next hearing. It also displays other information relevant to that casetype and docket number. In Vermont, the month, year, location, and casetype are included in the docket number (4-90 Wncr = April 1990, Washington County, Criminal). The system generates this information.
10 FIGURE 4 SUMMARY SCREENS: CASE, DISPUTE, EVENT
replace not stored update zoom record 1 of 1 NO RECORDS FOUND CRIMINAL CASES C 1033 DOCKET NO 4321-4-90 Wncr DEFENDANT DEF DOB WARRANT DEF ATTY PROS ATTY STATUS CASE INCAR BAIL MOTION DISPUTE (0 ) D DISPUTE DOCKET NUMBER COUNT DESCRIPTION TYPE STATUS DATE
EVENT ( 0) E DATE EVENT DESCRIPTION DISPUTE 04/3 0/90
Event Date. F1 -Prv Form F2 -Nxt Form F3 -Prv Rec F4 -Nxt Rec F5 -Fld Help F10-More Key
Once the sequential docket number assigned by the court is entered into the system, the Dispute and Event screens are displayed. The Dispufe screen contains information about all disputes involved in the case. A criminal matter may have several docket numbers, each involving one or multiple disputes. Upon entry, the system automatically assigns consecutive numbers to each dispute. The system displays the first three disputes; the total number is displayed on the screen to alert the user of additional disputes. These can be displayed using a function key.
11 FIGURE 5 CASETYPE SPECIFIC CODES
r >
replace stored update record 1 of 87 RECORDS FOUND CRIMIN DOCKET SPECIFIC CODES DOCKET evedesc DESCRIPTION DEFENDA appord Appearance Ordered DEF ATT arrg Arraignment: Gui 1ty -71 STATUS arrng Arraignment: Not Guilty awdisp Arrest Warrant Disposed DISPUT awissue Arrest Warrant Issued DISPUTE aworder Arrest Warrant Ordered badchk Bad Check Pee Imposed bailmitt Bail Mittimus Ordered bailpost Bail Posted EVENT bailret Bail Returned 1 DATE ba i 1set Bail Set SPUTE 04/27/9 cf ile Information 61 Affidavit of PC Filed charge Charge Filed chgamend Charge Amended chgdisp Charge Disposed close Case Closed collref Collection Referral Code. F1 -Prv Form F2 -Nxt Form F3 -Prv Rec F4 -Nxt Rec F5 -Fld Help F10-More Key
The Event screen displays the chronological history of a case. When entering a new event, ZOOM displays a list of valid event codes in a window overlaying the summary screens. The system will place the selected event code and its translation automatically on the screen. The events are displayed in reverse chronological order. Windows allow users to view more information about a selected event.
12 FIGURE 6 CRIMINAL CASE FILED
+
replace not stored update zoom record 1 of 1 CRIMINAL CASES CRIMINAL CASE FILED DOCKET NO 4321-4-90 Wncr I DEFENDANT DEF ATTY STATUS CASE I
~ ~_____~~ ~ DISPUTE (0 ) rearraignment DISPUTE DOCKET NUMBER COUNT DESCR
EVENT ( 0) E 1499 DATE EVENT DESCRIPTION DISPUTE 04/27/90 cfile Information & Affidavit of PC Filed
Case Status. F1 -Prv Form F2 -Nxt Form F3 -Prv Rec F4 -Nxt Rec F5 -Fld Help F10-More Key
Once the event code for the criminal case filing is entered, a pop-up window appears that allows the user to enter additional information. The user enters the number of disputes, location of the defendant lockup, defendant name, plaintiff, plaintiff attorney, and status of the matter. Any of this information can be defaulted to display automatically. In Barre, the plaintiff and status field information is defaulted to appear on the screen.
13 FIGURE 7 ENTITY SCREEN
7
replace stored update record 1 RECORDS FOUND
~ ENTITY E 10031 LED personI Barre Lockup
tive - Prearraignment VT 802-828-3.2 34 bl E 1499 DISPUTE TAB
Last Name or Business Name. F1 -PIX Form F2 -Nxt Form F3 -PIX Rec F4 -Nxt Rec F5 -Fld Help FlO-MOre Key
\ / The Entity screen is used to add personal data for any party or person involved with a case. During initial entry of a criminal case, the Entity screen is displayed. This allows the user to find quickly and identify the person in the system. From this screen, searches can be performed using any combination of fields (for example, last name and home telephone number). In the name fields, wild-card searches using the symbols * or ? can be used. A search for J?n will find Jan, Jon, Janet, Jonathon, etc. A search for M*c?nt will find McIntyre, MacIntyre, McIntire, McIntosh, MacIntosh, or MacIntosh. The system has been configured to fill in automatically the city and state upon entry of the zip code.
14 FIGURE 8 LITIGANT SCREEN
T 7
replace stored update record 1 RECORDS FOUND ENTITY E 10031 LAST NAME Smith person FIRST/MID John L.
ADDRESS 13 Mai Select one of the following items ADDRESS Apt #1 ZIP 05602 1. Litigant Cases CITY Montpe 2. Payment Orders WORK PHONE 518-82 3. Address History FID/SSN 012-34 4. Aliases LICENSE VT 123 5. Arrest Warrants ., BIRTH DATE 04/04/ BIRTH PLACE Montpe- --- I ~ ENTER SELECTION: I
Use the up or down arrows or enter a number; Press MENU SELECT or RETURN F1 -Menu Can F2 -Menu Sel F10-More Key
The Litigant screen displays additional information about a selected party. Function keys allow the user to view litigant cases, payment agreements, address history, alias history, and arrest warrants. 1. Litigant cases displays a list of cases from all casetypes in which the party is, or has been, involved. 2. Payment orders displays a list of current payment agreements for a defendant and allows the user to display the status of each agreement. 3. Address history displays any previous addresses filed in the court and the date on which the court record was modified. 4. Aliases displays any other names by which this person is known. 5. Arrest warrants displays the current status of arrest warrants issued on the party.
15 FIGURE 9 CHARGE - replace not stored update record 1 of 1 CRIMINAL CASES DOCKET NO 4321-4-90 Wncr State vs 2 DEFENDANT Smith, John L. Sr 4321-4-90 Wncr DEF ATTY STATUS apar CASE mis I DISPUTE ( 1) City PD DISPUTE DOCKET NUMBER COUNT DESCR 1 4321-4-90 Wncr 1 DWI ,mis Misdemeanor EVENT ( 2) DATE EVENT DESCRIPTION barre 04/27/90 cfile Information 61 Aff 1 04/27/90 charge 4321-4-90 Wncr, count 1 filed: Misdemeanor 1 04/27/90 charge Charge Filed
~ ~ ~ Charge Docket Number. F1 -Prv Form F2 -Nxt Form F3 -Prv Rec F4 -Nxt Rec F5 -Fld Help F10-More Key
When a charge is filed, the system displays a window for entering the charge information. This case example involves two disputes; the second is displayed here. The system supports multiple disputes and automatically assigns consecutive numbers to each. As information is entered through the various windows, the system automatically updates the information contained in the Case Summary,Dispute, and Evenf windows. For example, the case field on the Criminal Case Summary window is automatically updated with "mis" (misdemeanor)based on the information entered in the type field in the Charge window.
16 FIGURE 10 EVENT FLOW ILLUSTRATION .
replace not stored update zoom record 4 of 4 CRIMINAL CASES C 1033 DOCKET NO 4321-4-90 Wncr State vs. Smith, John L. Sr DEFENDANT Smith, John L. Sr DEF DOB WARRANT DEF ATTY PROS ATTY Irwin, James R STATUS apar CASE mis INCAR bl BAIL 0.00 MOTION
~ ~ DISPUTE ( 2) D 1044 DISPUTE DOCKET NUMBER COUNT DESCRIPTION TYPE STATUS DATE 1 4321-4-90 Wncr 1 DWI mis **/**/** 2 4321-4-90 wncr 2 DLS mis **/ **/ ** EVENT ( 3) E DATE EVENT DESCRIPTION DISPUTE 04/27/90 cfile Information & Affidavit of PC Filed 04/27/90 charge 4321-4-90 Wncr, count 1 filed: Misdemeanor 1 04/27/90 charge 4321-4-90 Wncr, count 2 filed: Misdemeanor 2 04/27/90 pcfound Probable Cause Found
I I Event Date. F1 -PIT Form F2 -Nxt Form F3 -Prv Rec F4 -Nxt Rec F5 -Fld Help FlQ-MOre Key
/ Based on the information entered in the Charge window, the system automatically fills in the event description appearing in the Event window.
17 FIGURE 11 PROBABLE CAUSE FOUND
f Y
replace stored update zoom record 1 of 1 CRIMINAL CASES DOCKET NO 4321-4-90 Wncr State vs DEFENDANT Smith, John L. Sr DEF ATTY STATUS apar CASE mis INCAR bl BAIL 0.00 MOTION 1 DISPUTE ( 2) D 1044 DISPUTE DOCKET NUMBER COUNT DESCRIPTION TYPE STATUS DATE 1 4321-4-90 Wncr 1 DWI mis **/**/** 2 4321-4-90 Wncr 2 DLS m1s **/**/** EVENT ( 3) E 1504 DATE EVENT DESCRIPTION DISPUTE 04/27/90 cfile Information & Affidavit of PC Filed 04/27/90 charge 4321-4-90 Wncr, count 1 filed: Misdemeanor 1 04/27/90 charge 4321-4-90 Wncr, count 2 filed: Misdemeanor 2 04/27/90 pcfound Probable Cause Found
Enter/Edit Judge Initials or ZOOM for list. F1 -Prv Form F2 -Nxt Form F3 -Prv Rec F4 -Nxt Rec F5 -Fld Help F10-More Key
When Probable Cause Found is entered, the system asks the user to specify the disputes involved. If Dispute is left blank, the system will assume that Probable Cause Found applies to all disputes. If there were 9 disputes and Probable Cause Found applies to disputes 1,2,3,6 and 8, the user would enter "1- 3,6,8" in the Dispute field.
18 FIGURES 12 & 13 HEARING SCHEDULED AND SCHEDULING BLOCKS
r
replace not stored update record 1 of 1 ADDED CRIMINAL CASES HEARING SCHEDULED DOCKET NO 4321-4-90 Wncr state vs. 04/2 7/9 0 DEFENDANT Smith, John L. Sr JJW DEF ATTY * CASE mis arraign DISPUTE ( 2) DISPUTE DOCKET NUMBER COUNT DESCRI 1 4321-4-90 Wncr 1 DWI 2 4321-4-90 Wncr 2 DLS
~ ~~ ~~ - ~~ EVENT ( 4) E 1505 DATE EVENT DESCRIPTION DISPUTE 04/27/90 cfile Information & Affidavit of PC Filed 04/27/90 charge 4321-4-90 Wncr, count 1 filed: Misdemeanor 1 04/27/90 charge 4321-4-90 Wncr, Count 2 filed: Misdemeanor 2 04/27/90 pcfound Probable Cause Found: Joseph J. Wolchik 1-2 04/27/90 hrgset Hearing Scheduled
Hearing Date. F1 -Prv Form F2 -Nxt Form F3 -Prv Rec F4 -Nxt Rec F5 -Fld Help F10-More Key
replace stored update zoom record 1 of 4 RECORDS FOUND SCHEDULING BLOCKS B 1039 DATE DOW START END TYPE JUDGE RM NUM USED MAX 04/30/90 Mon 08:OO AM 12:OO PM arraign JJW 1 1 00:05 03:55 04/30/90 Mon 08:OO AM 12:OO PM civil AWC 2 0 0O:OO 04:OO 04/30/90 Mon 01:OO PM 05:OO PM arraign JJW 2 0 0O:OO 04:OO 04/30/90 Mon 01:OO PM 05:OO PM emergncy AWC 3 0 0O:OO 04:OO
Block Date -- Zoom for Scheduling Notes. F1 -Prv Form F2 -Nxt Form F3 -Prv Rec F4 -Nxt Rec F5 -Fld Help F10-More Key
Based on the predefined Event Flow, the system anticipates that a hearing will be scheduled as the next event. FORECOURT automatically selects a scheduling block based on the date, judge, and hearing type entered in the Hearing Scheduled window. If a choice or conflict exists, the system will display a list of scheduling blocks from which the user may choose. Scheduling of hearings in the system has a direct effect on the record of the case, schedule for a case, allocation of court resources, and generation of notices. The system automatically posts an entry to the court-scheduling file upon creation of a corresponding docket entry. Hearing entries are used by the calendar function for scheduling court resources, the case inquiry function for identifymg the next scheduled hearing, and the reporting function for tracking the case.
19 The system uses the case/docket number, judge ID, courtroom ID, hearing date, starting time of the hearing, and expected duration of the hearing to allocate the required resources. When a hearing is scheduled, the system verifies whether or not the resources identified will be available at the selected time. Under certain circumstances, a block of hearings may have to be rescheduled; for example, a trial exceeds its expected duration. The system provides this capability through a Block Reschedule screen. The user can identify the block to be rescheduled and specify a new date, start time, judge, and courtroom. The system automatically makes the appropriate docket entries for the cases rescheduled and provides for the generation of appropriate notices. FORECOURT supports master and individual calendars. A common calendar format is used for all casetypes in allocating court resources. In addition to calendar maintenance, the following functions can be performed through the court calendar: scheduling case events, rescheduling events, generating printed versions of the calendar, and generating forms. The Scheduling Block screen is used for allocating blocks of time for specific types of cases or events and may be queried by a date or range of dates, by type of block (for example, arraignments, calendar calls, motions), or by judge or courtroom number. This rolling screen displays information about the blocks selected including date, day of the week, begin and end times, type, judge code, courtroom number, total number of entries already scheduled in that block, total amount of time expected to be used by those entries, and the largest time slot available in the block. Once a block is selected, a Scheduling Entry screen displays more detailed information about the cases scheduled for the selected block including hearing start time, type of hearing, estimated duration, case/ docket number, and case title. Several versions and formats of the court Calendar can be printed. A version of the daily calendar can be used for public posting. This version contains the date, name of the judge, courtroom, and a list of the cases scheduled at their assigned times. The case/docket number and names of litigants are also printed.
20 FIGURE 14 COUNSEL APPEARANCE
replace stored update zoom record 1 of 1 CRIMINAL CASES DOCKET NO 4321-4-90 Wncr State vs. DEFENDANT Smith, John L. Sr DEF ATTY CASE mis BAIL 0.00 MOTION I DISPUTE ( 2) D 1044 TYPE STATUS DATE m$s **/ **/ ** 4321-4-90 Wncr DLS mis **/**/**
~~ ~~ ~ ~ ~______~~ ~ EVENT ( 4) E 1506 DATE EVENT DESCRIPTION DISPUTE 04/27/90 cfile Information & Affidavit of PC Filed 04/27/90 charge 4321-4-90 Wncr, count 1 filed: Misdemeanor 1 04/27/90 charge 4321-4-90 Wncr, count 2 filed: Misdemeanor 2 04/27/90 pcfound Probable Cause Found: Joseph J. Wolchik 1-2 04/27/90 hrgset Arraignment set for 04/30/90, 08:00 04/27/90 couappr Counsel Appearance
Counsel representing the party at the hearing is entered through the Counsel Appearance window. If the user is unable to remember the number of the party being represented, a list of parties associated with the case can be displayed using the ZOOM function. This capability is more useful as a reference in civil matters where multiple parties are involved. Techniques similar to those used in party name search can be used to search for an attorney. In addition to wild-card searching, the initials of the attorney can be entered (for example, T,T)and the system will display a list of attorney names that match those initials.
21 FIGURE 15 SENTENCE
~ ~ T 7 replace not stored update zoom record 1 of 1 I I 1 CRIMINAL CASES SENTENCE DOCKET NO 4321-4-90 Wncr State DEFENDANT Smith, John L. Sr DEF ATTY Trono, Terry STATUS apsn CASE mis DISPUTE ( 2) DISPUTE DOCKET NUMBER COUNT DE --6
EVENT ( 7) DATE EVENT DESCRIPTION 04/27/90 couappr Counsel Appear 04/30/90 plea Plea: pg J. Wolchik 04/30/90 sentence Sentence
I J Judge Initials. F1 -Prv Form F2 -Nxt Form F3 -Prv Rec F4 -Nxt Rec F5 -Fld Help F10-More Key
Once the hearing is held and the plea is entered, the sentence is ordered and recorded in the system. The sentence can apply to multiple disputes, if appropriate. If Dispute is left blank, the system will assume that the sentence applies to all disputes. If there were 9 disputes and the sentence applies to disputes 1,2,3,6, and 8, the user would enter "1-3,6,8" in the Dispute field.
22 FIGURE 16 ACCOUNTS RECEIVABLE
replace stored update zoom record 1 of 2 RECORDS FOUND ACCOUNTS RECEIVABLE DEBITS 1510 DATE ACCOUNT AMOUNT FINE EVENT 1 04/30/90 crtran 500.00 1016 1510 5.00 04/30/90 surcharg 5.00 1016 1510 500.00 Y 1016 1016 YEAR MONTH 6 DAY YEAR 1 MONTH DAY
JJW Joseph J. Wolchik
TOTAL : 505.00 Account to Debit. F1 -Pn Form F2 -Nxt Form F3 -Pn Rec F4 -Nxt Rec F5 -Fld Help F10-More Key
Once the sentence information is entered, the Accounts Receivable screen is displayed. This enables the user to verify or edit the distribution of the fine to the appropriate accounts. The distribution of fines is predefined in tables by the court. FORECOURT supports accounting for filing fee and fine collection. Certain types of cases require a filing fee. The system records payments and generates receipts. Upon disposition of cases, fines may be assessed against the defendant. Tracking fine payments includes receipt generation, posting docket entry to the corresponding case, surcharge on a flat fee, distribution of monies received to different accounts, and establishment of time payment accounts. Users can generate several reports to reconcile various accounts. Examples include fines collected; fees collected; and fine distribution, including surcharge and amounts due to local communities.
23 FIGURE 17 TIME PAYMENTS
CRIMINAL CASES PAYMENT AGREEMENT I DOCKET NO 4321-4-90 Wncr State vs. DEFENDANT Smith, John L. Sr DEF ATTY Trona? Terry STATUS aua CASE mis INC DISPUTE ( 2) DISPUTE DOCKET NUMBER COUNT DESCRIP 1 4321-4-90 Wncr 1 DWI 2 4321-4-90 Wncr 2 DLS I EVENT ( 17) E 1522 DATE EVENT DESCRIPTION DISPUTE 04/27/90 couappr Counsel Appearance 04/27/90 defpay Deferred Payment Order
The system supports time payment schedules for deferred payments. It asks for the start and end dates, frequency and amount of each payment, appearance date, time, and judge. If time payments are authorized, the system automatically generates a tickler to remind court personnel that payment is due. When the final payment is not made by the required date, a combination of dunning letters, warrants, and transferals to collection agencies may be generated at the request of the operator.
24 FIGURE 18 PROBATION WARRANT AND CONDITIONS
DOCKET NO 4321-4-90 Wncr State v DEFENDANT Smith, John L. Sr Joseph J. Wolchik
~___~~~~ DISPUTE ( 2) CONDITION DISPUTE DOCKET NUMBER CO NUMBER DESCRIPTION 1 4321-4-90 Wncr 04 Allow alcohol program to disclose info. 2 4321-4-90 Wncr 05 Residential treatment program. 06 Interrupted Sentence. EVENT ( 7) 07 Mental health counseling. DATE EVENT DESCRIPT 08 Pay fine to P.O. of: $; by: 04/27/90 couappr Counsel 09 Reside where P.O. directs. 04/30/90 plea Plea: gu 10 Restitution: 04/30/90 sentence Sentence 11 Accept RETURN-IT job to pay for Cond.: 04/30/90 sentence Sentence 12 Community service hours/days:; by: 04/30/90 pworder Probatio 13 Obtain driver's license when eligible. 14 Other Condition Number. F1 -Prv Form F2 -Nxt Form F3 -Prv Rec F4 -Nxt Rec F5 -Fld Help F10-More Key
c I A Probation Warrant can be ordered for single or multiple disputes. The system asks for term of service, conditions of probation, and the name of the judge ordering the warrant. The ZOOM function provides a list of valid conditions. The Condition field can be set to default with a judge's most com- monly issued conditions. To indicate multiple conditions (for example, 4,!5,6,7,9,12) the user would enter, "4-7,9,12" in the Condition field.
25 FIGURE 19 CONDITION PARAMETERS
replace not stored update record 2 of 2 CRIMINAL CASES DOCKET NO 4321-4-90 Wncr State V DEFENDANT Smith, John L. Sr DEF ATTY Trono, Terry CASE mis DISPUTE ( 2) D 1044 DISPUTE DOCKET NUMBER COUNT DESCRIPTION TYPE STATUS DATE 1 4321-4-90 Wncr 1 DWI m+s **/**/** 4321-4-90 Wncr 2 DLS mis **/**/** EVENT ( 7) CONDITION PARAMETERS DATE EVENT DESCR NUM LINE TEXT 04/27/90 couappr Couns 12 10 60 Days 04/30/90 plea Plea: 12 20 6 Months 04/30/90 sentence Sente 04/30/90 sentence Sente 04/30/90 pworder Proba
1 Comm. svc. (hrs, days);within (wks, nos) F1 -Prv Form F2 -Nxt Form F3 -Prv Rec F4 -Nxt Rec F5 -Fld Help F10-More Key
The parameters for a condition are specified in the Condition Parameters window. Example: For condition #12 (Community service hours/days:; by:), the system will be looking for two parameters: (1) hours/days of community service and (2) the time period for completing the service. In this example, the parameters for community service are 60 days to be served within 6 months.
26 FIGURE 20 CASE CLOSED f replace not stored update record 1 of 1 CRIMINAL CASES CASE CLOSED DOCKET NO 4321-4-90 Wncr State vs. DEFENDANT Smith, John L. sr DEF ATTY Trono, Terry STATUS dis CASE mis IN dis Disposed DISPUTE ( 2) DISPUTE DOCKET NUMBER COUNT DESCRIPTION TYPE STATUS DATE 1 4321-4-90 Wncr 1 DWI m+S **/ **/** 2 4321-4-90 Wncr 2 DLS m1s **/ **/* * EVENT ( 7) E 1515 DATE EVENT DESCRIPTION DISPUTE 04/30/90 chgdisp Charge Disposed: Plea guilty 1-2 04/30/90 close Case Closed
I Save Motions. I'F1 -Prv Form F2 -Nxt Form F3 -Prv Rec F4 -Nxt Rec F5 -Fld Help FlO-More Key Upon disposition of the charges, the case is closed. The system automatically cancels scheduled events and creates appropriate docket entries, renders pending motions moot, and purges ticklers. The Case Closed window allows the user to save any pending hearings, motions, and ticklers by entering a Y in the appropriate field.
27 FIGURE 21 FORMAL DOCKET
04/27/90 Information and Affidavit filed on 2 disputes. Custody status: Barre Lockup. Dispute 1 is Docket No. 4321-4-90 Wncr Count #1, DWI, Misdemeanor, 23 V.S.A. Sec. 212(a). Alleged offense date: 04/26/90. Arrest/citation date: 04/26/90 by Barre City PD. Dispute 2 is Docket No. 4321-4-90 Wncr Count #2, DLS, Misdemeanor, 24 V.S.A. Sec. 213(b)(c). Alleged offense date: 04/26/90. Arrest/citation date: 04/26/90 by Barre City PD. Probable Cause found by Judge Joseph J. Wolchik on disputes 1-2. Arraignment set for 04/30/90 at 08:OO AM. Don't drive to the court. Wear a coat and tie. Appearance entered by Terry Trono. 04/ 3 0/9 0 Arraignment held. JJW/TAPE. Reading of Information waived. Defendant pleads guilty on disputes 1-2. Judge Joseph J. Wolchik accepts plea after finding it to be voluntary and made with knowledge and understandinq of the consequences and after a knowing waiver of constitutional rights. Plea found to have a factual basis. Adjudication of guilty entered. Sentence on dispute 1: to serve 6 months to 1 year all suspended and defendant placed on probation under standard conditions and special conditions 1-3,12. Probation warrant issued. $500.00 fine. $5.00 surcharge assessed. Sentence on dispute 2: to serve 6 months to 1 year $500.00 fine. With count 1. $5.00 surcharge assessed. Judgment of Guilty entered by Judge Joseph J. Wolchik. Case Closed.
When a case is closed, this docket report is printed and filed in the case folder as the formal record of the court. The Vermont district courts have created procedures that translate the docket entries into an acceptable format for the official court record.
28 FIGURE 22 CRIMINAL REPORTS MENU r
replace stored update zoom record 1 of 16 RECORDS FOUND Criminal Reports Mrcr 1. VCIC Not Guilty Report Rrcr30 2. Calendar Call List Rrcr4O 3. Incarcerated Defendants Rrcr4l 4. Active Cases Not Set For Hearing Rrcr42 5. Jury Draw Rrcr43 6. Past Unheld Hearings Rrcr44 7. Case Audit by Defendant Rrcr45 8. Case Audit by Docket Number Rrcr46 9. Pending Case List (By Deft.) Rrcr47 10. Post ArrgnIPending Case Edit Rrcr48 11. Criminal Felony Statistics Rrcr70 12. Arraignment Checklist Rrcr51 13. Criminal Misdemeanor Statistics Rrcr7l 14. Felony Stats Detail Listing Rrcr72 15. Misdemeanor Stats Detail Listing Rrcr73 16. Transport Orders for Any Day Rrcr31 ENTER SELECTION: Menu Selection F1 -Prv Form F2 -Nxt Form F3 -Prv Rec F4 -Nxt Rec F5 -Fld Help F10-More Key
Reporting. FORECOURT supports several categories of reporting: case tracking, case reporting, account- ing, management and statistical, and ad hoc. Reports to be generated and printed can be selected from a menu. The user can designate the output to the screen, a printer, or file and can specify a run date and time. Designating the output to a file allows the user to alter the contents or format via word processing or to delay printing until a more convenient time. The ability to specify a date and time to execute the report prevents the system from becoming bogged down during peak hours. Time-consuming reports can be designated to run after normal business hours. Several of the report- ing categories are briefly described below: Case Tracking. This category supports the case management program of the court. Examples include cases not scheduled for a hearing or trial, cases that have missed a hearing or trial, motions filed that have not been decided, cases not disposed that fall within a user-specified date range, next scheduled event, case status, and case disposition. Case Reporting. These reports summarize information for an individual case. Examples include case file label, conviction reports to department of motor vehicles and Vermont criminal information computer, docket page, arrest warrant reconciliation, and case index. Management and Statistical Reporting. FORECOURT produces reports that summarize the caseload by judge and court. Examples include casetype, case status, case disposition, cases disposed, cases pending, cases initiated, and monthly, quarterly, and annual statistical reports.
29 ADDITIONALFEATURES The Altos 386 Series micros feature the 32-bit Intel 80386 microprocessor and Altos UNIX System Fom Generation. Forms are generated V operating system that supports both UNIX and through integration of the FORECOURT software Xenix applications. and Wordperfect word processing. Templates for forms, notices, and documents, are created in SECURITY word processing and are coded to indicate the data to be extracted and the placement of that data The system supports menu-, screen-, and field- on the form. The system generates forms as part level security. At the menu level, users can access of the case initiation, case update, and docket only the casetypes (civil or criminal) for which entry processes. If forms are required immedi- they have been given authorization. At the screen ately, the user can generate the form directly from level, users may or may not be authorized to find, the correspondingdata-entry screen or window by add, update, and delete. Depending on authoriza- entering a code identifylng the form. The system tion, a user may find certain fields masked from module generating the form is accessed automati- view and may be prevented from stopping at a cally, the specific data required for the given case field or updating it. Users may be assigned to one is extracted from the necessary files, and the form or multiple security classes. Each security class is printed. The system returns the user to the lists the appropriate menu-, screen-,and field- place from which the form was generated with the level authorization. Casetype-level security same case data to facilitate generation of other classes allow the system administrator to specify forms or for case update. and limit update capability to the clerk responsible On-LineHelp. FORECOURT provides screen- for each casetype. and field-level help throughout the system. On- line Help provides instant access to the specific DOCUMENTATION instructions required for a particular screen or field. The FYI line provides explanatory or de- User instructions, operations instructions, and scriptive information about a Screen or field based system specifications are available. The system on cursor position. The ZOOM option can display manual includes an overview with descriptions of valid entries for a specific field. the functions common to all casetypes throughout Ad Hoc Reporting. Ad hoc reporting expands the system. A separate section for each casetype the ability of the system to respond to the require- provides specific relevant information. A clerk's ments of an individual court. Accell's report manual contains references to computer events as generator allows the development of reports that they pertain to court procedures. This manual are not part of the standard FORECOURT reporting includes event flowcharts and lists, organized by package. Ad hoc reports are user defined and can caseflow, and screen documentation, organized capture and analyze any data contained in the alphabetically. A customization guide helps system. These reports can be saved and accessed courts tailor the system to meet their requirements by other users. Additional training is required to and includes flowcharts, sample screens, win- generate reports. dows, menus, forms, and notices. Program indexes and system documentation are being HARDWAREREQUIREMENTS developed.
The FORECOURT application software is portable TRAININGAND SYSTEMSUPPORT to any Unix environment that supports Accell software. The Altos 386 Series 2000 is a high- The Vermont court staff has developed an exten- performance microcomputer used in the Barre sive training program that incorporates small and District Court. large group discussions and hands-on instruction Altos Computer Systems have a series of and uses video, court forms, sample systems, and multi-user micros that support the open-system overheads of flowcharts and procedures. Training architecture. Altos supports UNIX System V, sessions have been developed for many types of Xenix System V, and Pick, and supports integra- situations. tion of industry-standard PCs into the multi-user During a session on "Arraignment-Not environment. Guilty Plea," the training group is shown a video
30 of an arraignment session and asked to identify mont have been working with the application and the events that occur during the arraignment. At development tools to fine tune the system and the terminal, trainees enter the events in chrono- create reports without programmer intervention. logical order, using the documentation and on-line Vermont court staff acknowledged some help to assist them. When various event types are problems that were initially encountered during entered, trainees demonstrate the effect of those the automation project. The pilot phase was events on the system (for example, master sched- stressful on existing court staff who maintained ule, case status). Trainees print appropriate both a manual and existing automated system notices and forms and discuss the entire process while learning and implementing the new auto- using flowcharts to compare when the events mated system. Staff who feared a loss of pb occurred and how they relate to entry in the security with the new automated system have system. experienced an increase in job responsibility. As In Vermont, FORECOURT installations are with any automation project, pbs have become supported remotely by two staff programmer/ more skill dependent, and clerks are required to analysts located in Barre. In addition, the vendor know more about their duties than was previously provides access to telephone support and remote required. software support via telephone modem. Remote Although an advantage of the software is its support enables Relational staff to access the flexibility, Vermont court staff underestimated the user's system, providing timely response at a amount of time and resources required to custom- reduced cost. ize and maintain the system. Clerks have found the ad hoc inquiry and reporting capability ISSUESAND CONCLUSIONS difficult to use and, therefore, depend on the automation court staff at the office of the court The FORECOURT Unix-based application has administrator to develop their custom reports and provided the Vermont district courts with a inquiries. flexible, lowcost solution for managing their Vermont court staff also underestimated their increased caseload. In addition to the system's capability to respond to users' requests to custom- extensive use of user-defined codes and tables, a ize the software. When asked if they would do number of other features make FORECOURT anything differently, they advised that other flexible and relatively easy to learn and use. User- courts should spend more time and resources in defined event flow processing assists the data- the planning stages and increase the involvement entry process and provides flexibility for of clerks and judges who are critical to the success customization by individual courts and changes in of an automation project. case-processing rules. This method also assists Vermont will automate the newly created new users unfamiliar with entry of a specific family court, expanding the software's capabilities casetype by prompting them through the system. to support child support orders and divorce cases. Screen and field information helps users deter- Additionally, they will look at electronic-filing mine the mode of operation, the number of capability for the state attorneys. records displayed vs. records available, and the The Unix environment. The Unix operating type of information required in a specific field. A system is a viable alternative to PC-local area relational database management system and network (LAN) systems. Depending upon con- fourth-generation language provide programming figurations, a Unix-based personal computer with and end-user flexibility for software development, terminals may present significant cost savings customization, and maintenance not available in when compared to a PC-LAN. 3GL programming. Unix is a multi-user system that offers a Several potential areas of training are required standardized instruction set and operates across for various levels of expertise: hardware and Unix product lines on a variety of platforms (micro, operating system, Unify and Accell RDBMS and supermicro, mini, and mainframe). There are 4GL, and the FORECOURT application. Relational subtle variations in Unix from one developer/ Semantics works with courts to train users about supplier to another. This will require the the application and the Unify and Accell develop recompilation of the source code before an appli- ment tools for customizing software and creating cation designed for a minicomputer can run on a ad hoc reports. Nontechnical court staff in Ver- PC or other hardware platform. Most Unix code is
31 fully compatible, and the vendor states that only Mr. Robert Squires one day is needed to port the FORECOURT applica- Director, Research and Information Services tion across different Unix platforms. The number Supreme Court of Vermont of available Unix-based application software Office of the Court Administrator packages is growing significantly. For example, 111 State Street major applications such as WordPerfect and Lotus Montpelier, VT 05602 1-2-3are now available in the Unix environment. (802)828-3278 For further information about the Vermont District Court Automation and FORECOURT Case John or Robert Gorman Management System, readers are invited to Relational Semantics, Inc. contact: 17 Mount Auburn Street Watertown, MA 02172 (617) 926-0979
32 Housing Court Information System (HCIS)
State of New York Unified Court System
This system processes and manages hundreds of thousands of landlordltenant disputes filed in the housing part of the Civil Court of New York City.
Prepared by Ronald H. Jape NCSC Consultant HOUSING COURT INFORMATION SYSTEM System Features/Functions X Indexing/Case Initiation X Joinder of Issue/Answers/Calendaring X Order to Show Causr?/Motions/Calendaring X Postjud pent/Calendaring X Final Judgment X Service of Papers X Multiple Case Select,/NameSearch X Case History X Firms/Phonebook X Calendar/ Worksheet/Update/Print X Reports X Dictionary/Upda te X Appearance Select Environments Supported HITACHI Hardware Manufacturer LAN Micro-based Multi-user Mini X Mainframe IDEAL Primary Programming Language/Online COBOL Primary Programming Language/Batch Documentation Useis Instructions Operations Instructions (SystemMaintenance and Recovery Procedures) System Specifications (Original System Design Document) Program Index (List of Program Names and Functions) System Documentation (Flowcharts, Program Narratives, etc.)
support X Telephone X On-site X Remote via Modem 4 Number of Court Installations Legend X = Operational Housing Court Information System State of New York Unified Court System
THERE ARE 1.9 MILLION RENTAL UNITS IN New York City-l15,000 buildings consisting of three or more apartments. Management of the overwhelming number of housing-related dis- putes caused the New York state legislature to establish the housing part of the Civil Court of the City of New York in 1972. Struggling with an ever-increasing work load, tight budgets, and a cumbersome manual system, the court conducted a feasibility study in 1983 to identify problems and potential solutions to the manual tasks of case processing in the New York City Housing Court. A task-force committee, The committee’s analysis documented these which included representatives from the housing and other needs, justifying the development of an court and the unified court system’s office of automated system to assist housing court clerks in programs and planning, identified the following their daily tasks. As a result, in July of 1984, the problems: Housing Court Information System (HCIS)was Work Loud. Larger counties process over developed to automate the case-processing 25,000 warrant requests, 120,000 filings, and an requirements of the housing part (note: part is equal number of ”notice” of petitions annually. synonymous with division or department) of the More than 100 orders to show cause are issued Civil Court of the City of New York. The system daily. was first installed in Queens and Bronx counties in File Searches. Staff wasted an inordinate June 1985. It was later installed in New York amount of time locating misplaced files. When a County in May 1986; Kings County in April 1988; tenant came into court without an index number, and Erie County in December 1988. In 1986, the it was necessary to search docket books and call first year of operation, HCIS processed more than attorneys or agents to obtain the information. As a 311,000 petitions for nonpayment of rent. last resort, staff often would search through files Computer Associate’s DATACOM DB rela- by an approximate date based on the initial case tional database supports the software with 39 filing. screens, 38 on-line programs, and 33,064 lines of Cashiering. An unreasonable amount of time program code in Ideal, a fourth-generation pro- was required to maintain the manual system, gramming language, and 33 programs and 46,510 which included maintaining six or more separate lines of code in COBOL. The menudriven system receipt books. uses tables containing data specific to the court Security. The lack of flexibility affected a wide requirements. spectrum of areas. For example, court personnel HCIS has resulted from the concerted efforts of were required to accompany tenants to the the members of a user liaison team of housing photocopy equipment when tenants requested court judges, clerks, and data-processing special- copies of files. This distracted workers from their ists who participated in the development of the assignments, decreasing productivity and causing system. This team continues to monitor the additional backlogs. project.
35 ACKNOWLEDGMENTS In 1978 a total of 74,248 summary landlord and tenant proceedings were added to the housing National Center project staff conducted a site visit part's calendar; in 1988 the number of proceedings in New York City at the office of management stood at 138,165+1ver 165,OOO were disposed. support. The following people cooperated in the Those dispositions included 30,OOO ejctions of review: individuals and families who faced a New York City real estate market with less than a 2 percent Robert H. Spratt, Director, Data Processing apartment vacancy rate, many of which are not affordable to low- and middle-income families. Bill Etheridge, Management Analyst, The Civil Court of the City of New York hears New York Civil Court matters involving amounts not exceeding $25,000, as well as cases involving amounts up to $25,000 Diane Thompson, Lead Analyst that involve real property within New York City. Civil court judges have citywide jurisdiction and Cliff Layman, Deputy Director, Data are elected for ten-year terms. Judges assigned to Processing the housing part are appointed for five-year terms by the administrative judge for the civil court. William Etheridge, Deputy Chief Clerk, New York Civil Court GENERALSYSTEM OVERVIEW NEWYORK CI~ UNIFIED COURT The landlord/tenant and housing court office is a chaotic place where distraught people learn how New York City covers over 300 square miles and to handle notices of eviction or other housing has a population of more than 7.5 million. In 1972 emergencies. Most are pro se respondents, and the New York state legislature created the housing the clerks patiently try to guide them through the part of the Civil Court of the City of New York to process. Automating such an intense environment provide comprehensive relief in housing matters requires careful thought and consideration of a efficiently and expeditiously. This court has the variety of processes. Some of these would be power to resolve all legal and factual questions similar to the standard trial court case-processing regarding the housing code and possession of functions, with special emphasis on external leased premises. database files-a requirement for most case Housing part judges are technically inquiries. nonjudicial referees, appointed by the chief HCIS uses four sets of information maintained administrator following consultation with the by four government agencies. The information is deputy chief administrative judge for the courts available from any terminal and includes: within New York City and the administrative judge for the civil court. The statutorily created 1. The database maintained by the city's advisory council for the housing part and the department of housing preservation and association of the bar of the city of New York each development. By entering an address, the recommend candidates for appointment and user can find any building, its code violations reappointment. and status, how many units the building contains, and other information. 2. The information system maintained by the housing court, which performs 14 separate operations (the subject of this report), includ- ing: a. Case initiation, joinders of issue, and motions, including Orders to Show Cause. The latter are probably the single most frequently used instruments for placing cases on the calendar. For example, if a warrant of eviction has been served on a tenant, the tenant can ask for an Order to Show Cause, perhaps with the explanation that the rent was unpaid because there are code violations in the building. A mini- mum of 150 Orders to Show Cause are
36 issued in Manhattan daily. The computer housing preservation and development or provides a hard copy of the order and a by one or more tenants claiming a violation complete case history. Other recordkeeping of the housing maintenance code; and functions include postjudgment motions, alleged illegal lockouts, initiated by tenants final judgments, service of papers, reports, claiming they were illegally locked out. and statistics. Daily records also include monitoring b. Calendar preparation, including those for filings, adjournments, and the issuance of the main calendar part (350-400cases in warrants. Manhattan daily), the motion calendar (175- d. Other computer features include multiple 250 cases daily), back-up trial part calen- case selection, to locate a case file by name dars (14 handling 2530 cases daily), and or index number; warrant tracking for the the commercial housing calendar (100 cases status of any warrant; dictionary functions, daily). Before the computer system was which list the marshals, law firms, and legal installed, a staff of five was required in aid attorneys; and electronic docketing. Manhattan to prepare the calendars, and it 3. A proposed database, not yet on-line, of was easy to misplace files or make errors. records from the department of housing and Now only one person is needed for the commercial renewal, showing all rent-con- main calendar and one for all others. trolled and -stabilized buildings. The user c. Petitions, such as Nonpayment, initiated by will be able to see the rent roll of the building a landlord for nonpayment of rent; Hold- and if there are any complaints. overs, initiated by a landlord to recover 4. A proposed database, not yet on-line, possession of the premises, perhaps be- reserved for the exclusive, confidential use of cause the tenant is a nuisance or has department of social services workers in court illegally sublet the apartment; Housing to immediately obtain information from their Preservation, initiated by the department of local offices.
37 FIGURE 1 MENU OF OPERATIONS
SCRN: MENU UNIFIED COURT SYSTEM DATE: 06/18/90 TERM: R262 HOUSING COURT INFORMATION SYSTEM TIME: 11:20:56 MENU OF OPERATIONS
CMD DESCRIPTION FUNCTION - CASI CASE INITIATION...... Ol - JOND JOINDER OF ISSUE/CALENDAR DATE...... OZ - OSCM ORDER TO SHOW CAUSE/MOTION ...... 03 - POST POST JUDGMENT...... 04 - FINL FINAL JUDGMENT...... 05 - SERV SERVICE OF PAPERS...... 06 - MULT MULTIPLE CASE SELECT...... 07 - CASH CASE HISTORY...... 08 - FIRM FIRMS/PHONEBOOK ...... 09 - CALN CALENDAR...... lO - RPTS REPORTS...... ll - MESS MESSAGES...... 12 - DICT DICTIONARY FUNCTION...... 13 - APSL APPEARANCE SELECT...... 14 APPR TYPE - - CLJO CALENDAR JUDICIAL ORDER...... 15
HCIS is accessed via the Menu of Operations screen, which lists 15 operations (or functions) available to the user. Submenus provide access and additional data input/output requirements. There are three ways to select a function: 1) enter the function command such as CASI in the CMD field; 2) enter the function number such as 01 in the CMD field; and 3) enter an X in front of the function command. INDEX NO is required to access routines 01,0346, OS and 15. SEQ NO is required to access routines 04-05. When entering a sequence number, the user may key in either a specific number or NEW. When the latter is entered, the system will generate the next available sequence number.
38 FIGURE 2 CASE INITIATION (1)
SCRN: CAS1 UNIFIED COURT SYSTEM DATE: 06/18/9( TERM: R262 HOUSING COURT INFORMATION SYSTEM TIME: 10:34:1: CASE INITIATION (1)
I ---
FIGURE 3 CASE INITIATION (2)
c 9
SCRN: CAS2 UNIFIED COURT SYSTEM DATE: 06/18/90 I'ERM: R262 HOUSING COURT INFORMATION SYSTEM TIME: 15:09:17 CASE INITIATION (2)
111111/86 GEORGE WASHINGTON VS ABRAHAM LINCOLN
All cases are initiated using the Case Initiation screens (Figures 2 & 3). The system automatically searches the database to establish whether the case already exists. If it finds a match, the record will be made available for updating. Filing information captured during case initiation includes when the case was filed and by whom, casetype, petitioner and respondent, and relief sought. Casetypes, such as PHs, which involve building violations, and Holdovers, which involve possession, require a calendar date and part at the time of initiation.
39 FIGURE 4 JOINDER OF ISSWCALENDAR DATE
SCRN: JOIN UNIFIED COURT SYSTEM DATE: 06/18/90 TERM: R262 HOUSING COURT INFORMATION SYSTEM TIME: 10:35:24 JOINDER OF ISSUE/CALENDAR DATE
RECORD AVAILABLE FOR CHANGE
CASE 111111/86 GEORGE WASHINGTON VS. ABRAHAM LINCOLN SEO 001
$.OO
Figure 4 is the ANSWER routine. All respondents in nonpayment cases are served with a Notice of Petition and are given the opportunity to answer the charges. Information about the type of answer (oral or written), type of defense offered, and the respondent’s attorney, if any, is entered on this screen. The respondent can offer a counterclaim or demand a jury.
4.0 FIGURE 5 ORDER TO SHOW CAUSEMOTION
scRN: OSCM UNIFIED COURT SYSTEM DATE: 06/18/90 TERM: R262 HOUSING COURT INFORMATION SYSTEM TERM: 10:36:15 ORDER TO SHOW CAUSE MOTION
ORGE WASHINGTON VS. ABRAHAM LINCO LN 03 21 86 --
II I
The respondent and the petitioner may request an Order to Show Cause or a motion to put the case back on the calendar. This routine captures pertinent information, such as who is filing; on what date; what relief they are seeking; whether the judge has signed, denied, or not signed the application; and when the case is to be returned to the calendar. This routine can also generate supporting documents, such as the Order to Show Cause Coversheet, History of Proceedings, and Decision Sheet. These reports are requested by entering various commands in the CMD field.
41 FIGURE 6 POSTJUDGMENT
SCRN: PJUD UNIFIED COURT SYSTEM DATE: 06/18/90 TERM: R262 HOUSING COURT INFORMATION SYSTEM TIME: 10:37:18 CNTY - POST JUDGMENT
11111186 GEORGE WASHINGTON VS. ABRAHAM LINCOLN ------
------
The Post Iudpent screen captures information regarding an appeal of a judgment or an order to show cause. The respondent and petitioner have the right to appeal the case to the appellate term. If they are still not satisfied, they can take it to the appellate division.
42 FIGURE 7 FINAL JUDGMENT
SCRN: FJUD UNIFIED COURT SYSTEM DATE: 06/18/9( TERM: R262 HOUSING COURT INFORMATION SYSTEM TIME: 10:35:53 CNTY - FINAL JUDGMENT
11111/86 GEORGE WASHINGTON VS. ABRAHAM LINCOLN 001
--- I
This procedure is commonly referred to as the warrant routine. When a Warrant of Eviction is applied for, that data and the marshal information is captured on this screen. Marshals are peace officers hired by the landlord or landlord's attorney to physically remove the tenant. This routine is also used to request a final judgment based on various reasons, such as "Failure to Answef' and "Failure to Appear."
43 FIGURE 8 SERVICE OF PAPERS
SCRN: SERV UNIFIED COURT SYSTEM DATE: a6Iialgo FEW: R262 HOUSING COURT INFORMATION SYSTEM TIME: 10:35:51 CNTY - SERVICE OF PAPERS
E R 111111/85 WASHINGTON 123 34TH 2AR 10466 c 09 00 A 022586 123456 022686 iiiii21a5 ADAMS 1213 lOTH 2AC 10404 c 09 30 A 022686 234567 022786 111113185 JEFFERSON 1214 lOTH 6CD 10401 c 11 30 A 022886 345678 022786 111114185 MADISON 1215 lOTH 8FE: 10478 c 09 30 A 022886 456789 022886 111115185 MONROE 524 1ST A 55D 10480 c 09 30 A 030186 567890 03oia6 111116185 ADAMS ai9 ADAMS 29c 10460 c 01 45 A 030386 678901 030386 iiiii71a5 JACKSON 985 PROSP 2~ 10467 c 01 30 A 030686 789012 030386
Information to be captured regarding the service of the Notice of Petition is illustrated here. Informa- tion entered includes date, time, and process server ID number. By law, the respondent must be served papers within a specified period of time. Staff stated that, years ago, improper service of papers became a widely used defense. Once this routine was created, however, it became a tracking system for service of papers and helped to ensure proper and timely service.
44 FIGURE 9 MULTIPLE CASE SELECT
~ SCRN: CSML UNIFIED COURT SYSTEM DATE: 06/18/9C FERM: R262 HOUSING COURT INFORMATION SYSTEM TIME: i5:ia:og CNTY - MULTIPLE CASE SELECT
- - - CAS1 Case Initiation...... Ol - JOND Joinder of Issue/Calendar Date...... O2 - OSCM Order to Show Cause/Motion ...... 03 - POST Post Judgment...... 04 - FINL Final Judgment ...... 05 - SEW Service of Papers...... 06 - CASH Case History ...... 08
FIGURE 10 RESPONDENT CASE SELECT
SCRN: CSRP UNIFIED COURT SYSTEM DATE: 08/07/90 TERM: R262 HOUSING COURT INFORMATION SYSTEM TIME: 09:53:09 CNTY - RESPONDENT CASE SELECT
- 001 SMITH JOHN 3A W 116TH ST CITY OF NE - 002 SMITH JOHN 3A WEST 116TH CITY OF NE - 003 SMITH JOHN 1OC BWAY NYCHA - 004 SMITH JOHN 28K LEXINGTON KNW ASSOCI - 005 SMITH JOHN 33 W 140TH ST J PEREIRA - 006 SMITH JOHN 4K E 46TH ST 46TH ST AS - 007 SMITH JOHN 4K EAST 46TH 46TH ST AS - ooa SMITH JOHN 165 E 117TH ST NYCHA-JEFF - 009 SMITH JOHN 16J E 117TH ST NYCHA - JE - 010 SMITH JOHN 30K WEST 93RD LEADER HOU - 011 SMITH JOHN 30K W 93RD ST LEADER HOU - 012 SMITH JOHNN 63 FT WASHING MARCUS - 013 SMITH JOHNN aL AMSTERDAM LOGAN PLAZ - 014 SMITH JOJO B WEST 109TH ANDY ROO C
Multiple Case Select (Figure 9) provides access to functions 01-06 and 08 when the case index number is not known. A search can be made by using respondent or petitioner name. A specific case may be selected from a list of cases that meet the criteria (Figure 10).
45 FIGURE 11 CASE HISTORY
SCRN: CHST UNIFIED COUlRT SYSTEM DATE: 06/18/90 PERM: R262 HOUSING COURT INFORMATION SYSTEM TIME: 15:19:43 CNTY - CASE HISTORY
111111/90 NYCHA VS. JACKSON
0 WALTER SI JOHNSON
04/01/90 PET/NP RESDT NON-PAY
06/20/90 001 CALN 19 09:30A MDNAM GF 06/12/90 001 OSC BY RESP SIGNED BY DD 06/20/90 19 09 :30A VACATE JU 05/09/90 003 CALPJ E 09:30A IFJASD DD STAY DATE: 06/08/90 POSS AMT: $4724.68 04/23/90 002 CAIN E 09:30A ADJ 05/09/90 E 09:30A DD 04/23/90 001 CALN 18 09 :30A ADJ 04/23/90 E 09:30A DF 04/16/90 001 JOND 04/23/90 18 09:30A JURY DMD BY - VIOLS RESP ATTY: PRO SE
THERE ARE NO MORE RECORDS TO BROWSE
\ I Figure 11 shows the Screen used to review the entire history of a case in reverse chronological order.
46 FIGURE 12 FIRMSD'HONEBOOK FUNCTION
SCRN: PBUP UNIFIED COURT SYSTEM DATE: 06/18/90 J!ERM: R262 HOUSING COURT INFORMATION SYSTEM TIME: 10:10:15 FIRMS/PHONEBOOK FUNCTION
This routine is used to browse or to add or update law firms, managing agents, and marshals. After an entry has been made in the phonebook, only the abbreviation is required for the other data-entry screens. The system fills in the Screen with the name, address, and phone number based upon the abbreviation entered in the phonebook.
47 FIGURE 13 CALENDAR MAKE
scm: CLCS UNIFIED COURT SYSTEM DATE: 06/18/90 rm: ~262 HOUSING COURT INFORMATION SYSTEM TIME: 10:10:30 CALENDAR MAKE
FIGURE 14 CALENDAR MAKE
SCRN: CLCS UNIFIED COURT SYSTEM DATE: 06/20/90 rERM: R262 HOUSING COURT INFORMATION SYSTEM TIME: 10:10:30 CALENDAR MAKE - 02 19 87 U=UPDATE D=DELETE CALN 18 P=PRINT W=WORKSHEET.. .. - - - .- .__ - - 09~30A /MARKINGS
02/19 13:55 02/19 13:55
NEW CALENDAR CREATED 0 SCHEDULED APPEARANCES
Calendar Make screens automatically create calendars based on the date, part, time, and calendar type. Figure 13 is the preliminary screen used to call up a calendar. Once valid information is entered, the screen shown in Figure 14 is displayed for entry of additional information, including room number and justice. The calendar date, part, time, and type are protected fields and cannot be changed on this screen. Update, delete, print, or worksheet can be selected from this screen. FIGURE IS CALENDAR WORKSHEET/MARKINGS - SCRN: CLWM UNIFIED COURT SYSTEM DATE: 06120190 TERM: R262 HOUSING COURT INFORMATION SYSTEM TIME: 10:10:30
02/19/87 CALENDAR WORKSHEETIMARKINGS 18 LAR .....CALENDAR HEADING...... #
SEQ HP 1 023487187 JONES TOM INQ - - - Alp JD 1 1 VS JOYCE JAMES --- - 2 023488187 MANN THOMAS cos -- JD 1 1 VS DUNLAP VERNON --- - 3 024456/87 WOODROW FRANK FJLLNAT JD 1 1 VS BROWN JEROME --- 4 000987187 PETRY DANIEL L ADJ 09 30 A AF os 2 1 VS ANDERSON GEORGE 07 13 87 18 - 5
6
The Calendar Worksheef/Markingsscreen displays or updates a calendar. A marking is an action made on a case such as Adjournment or Settlement. This screen is accessed by entering a W in the CMD field of Figure 14.
49 FIGURE 16 REPORT SELECTION MENU
SCRN: RPTS UNIFIED COURT SYSTEM DATE: 06/20/90 TERM: R262 - HOUSING COURT INFORMATION SYSTEM - TIME: 10:10:30 CNTY - REPORT SELECTION MENU - - 1 - CASE LIST 2 # DICTIONARY 3 - FIRMS/PHONEBOOK 4 - 159 REPORT 5 - 160 REPORT 6 - 163 REPORTS 7 - 167 REPORTS B - 169 REPORTS 9 - BUILDING HISTORY 10 # HIST. PROC. (LONG)
REPORT INQUIRY/PRINT FUNCTIONS SU - REPORT SUMMARY FUNCTION TC - TERMINAL CONTROL FUNCTION
The Report SeZection Menu provides access to the following reports: 1. Case List-all cases within an index number range. 2. Dictionary-a list of all table entries. The dictionary is a database file that contains tables of information such as parts, justices, calendar markings, process servers, and reliefs. All data-entry routines that require information from any of the tables read the dictionary to validate the data entered. 3. Firms/Phonebook-a list of all entries in the phonebook. 4. 159-169-calendar and trial part statistics from the clerk’s office and courtroom parts. 5. Building History-ourt activity at a particiilar address. 6. History of Proceedings (Long)-reports on the history of a case.
Reports 2 and 10, which are noted by # in front of the report name, are generated on demand. The remaining reports are processed by a batch job that an operator runs nightly. This routine also provides access to the print subsystem so that reports can be browsed, printed, or deleted. A complete list of the reports available through the HCIS system is detailed in the Report section.
50 FIGURE 17 DICTIONARY FUNCTION
SCRN: DTUP UNIFIED COURT SYSTEM DATE: 6/20/9C FERM: R262 HOUSING COURT INFORMATION SYSTEM TIME: 0:10:3C DICTIONARY FUNCTION
ADD UPDATE BROWSE DELETE
The Dictionuy screen is used to browse or to add, update, or delete calendar markings, court parts, justices, process servers, and reliefs. The dictionary is checked for validity when an entry is made on another data-entry screen. For instance, if a case is calendared at the time of case initiation (Figure 31, the part that is entered after the calendar date is checked against the dictionary for validity.
51 FIGURE 18 APPEARANCE SELECT
UNIFIED COURT SYSTEM HOUSING COURT INFORMATION SYSTEM CNTY - APPEARANCE SELECT 05000X/87 SOURCE NUM:- NYCHA VS. RESTON
001 H*NEW HLD 03/16/87 18 09:30 A 001 H*ADJ HLD 03/17/87 18 11:OO A ADJ 002 H*ADJ HLD 03/18/87 18 11:QO A ADJ 004 H*ADJ HLD 03/19/87 18 11:OO A
FIGURE 19 INDIVIDUAL APPEARANCE UPDATE
UNIFIED COURT SYSTEM HOUSING COURT INFORMATION SYSTEM CNYT - INDIVIDUAL APPEARANCE UPDATE vs . RESTON CASE INITIATION
004 RETURN APPEARANCE 005
HNN - 03 16 87 --- 18 11 00 A A/P 00 00 -
REFER-JUDG
Figure 18 displays all appearance records associated with a case. The most recent appearance record may be modified by entering UPDT in the CMD field. The selected record (Figure 19) is then made available for update.
52 FIGURE 20 CALENDAR JUDICIAL ORDER
Y
SCRN: cuo UNIFIED COURT SYSTEM DATE: 06/20/90 TERM: R262 HOUSING COURT INFORMATION SYSTEM TIME: 10:38:52 CNTY - CALENDAR JUDICIAL ORDER 123456 f 90 I I 001 06 20 90 I I I
/ The Calendar Iudicial Order is a recent addition to HCIS. This function allows calendaring of caws based solely on a judicial order. Cases are normally calendared through case, joinder of issue/answer, and postjudgment.
FIGURE 21 ARCHIVE RESTORE
SCRN: ARCH UNIFIED COURT SYSTEM DATE: 06/20/90 EERM: R262 HOUSING COURT INFORMATION SYSTEM TIME: 10:38:52 CNTY - ARCHIVE RESTORE
RESTORE THE FOLLOWING CASES
1. z.- 3. 4. 5. 6. 7. a. 9. 10. 11. 12. 13. 14. 15. 16. 17. la. 19. 20.
Records that have been archived to the tape back-up facility may be retrieved through the Archive Resfore function. This is a batch process utility that is performed at night. The record is available for processing the next day.
53 REPORTS include CA-Ideal, CA-Datacom DB, CA-Datacom Data dictionary, and CA CICS Services. The following reports are available through HCIS SECURITY Case List-a list of cases identified by using an index number, petitioner, or respondent name Each terminal and printer in HCIS allows access to range. specific applications only. Users have their own Dictiomy+ list of all dictionary entries broken specific sign-on codes that allow them access to down by calendar markings, court parts, HCIS from their specified counties. Functions justices, process servers, and relief sought. available to users are limited depending upon Firms/Phonebook-a list of all phonebook entries their security classification. The system has only organized by law firms, managing agents, and two levels of security at this time. Users entering marshals. at the first level are not allowed to delete any 259-a statistical report of all calendar activity, records or request reports from the reports rou- listing cases that are initially calendared and tine. The second level is given to site managers, cases involving motions. who have unrestricted access to the system. 260-a statistical report of all trial part activity. This report includes cases that initially ap DOCUMENTATION peared on the 159 Report but were adjourned to a trial part. Operations manuals are provided to each user. 263-a statistical report of all commercial case These include an overview of the terminal, sign-on activity. procedures, and a description of each function. 267-a statistical report of all summary proceed- ings that involve cases such as nonpayments TRAININGAND SYSTEM SUPPORT and holdovers. 269-a statistical report of all other proceedings When a new county is allowed access to HCIS, a that involve summary/complaints and representative from data processing trains the Housing Preservation cases. users on the equipment and the HCIS system. Building Hisfoy-a statistical report showing all Users are given the appropriate documentation court activity against a particular building. and allowed to practice on the system for a few Histoy of Proceedings (Longka report of all weeks before they are assigned actual cases. activity on a particular case. Software support is provided by the programming History of Proceedings (Shortba condensed version staff at RTP, and hardware support is provided of the history of a case. This report is pro- from the New York City and Albany operations vided for use on the bench during a trial. staff. Order to Show Cause Coversheet-a cover sheet for Software change requests are reviewed by the the supporting document that is completed by programmer/analyst and the New York City a petitioner or respondent. housing court liaison. If further discussion or Decision Sheet-a worksheet used by the judge that information is required, the requests are brought accom anies the Order to Show Cause up at the housing court users meeting. Once a Covers 2:eet. decision has been reached to make the required Landlord and Tenant Docket Sheet-a report used in changes, the programmer/analyst is responsible Erie County only. It is a worksheet used by for making those code changes to the appropriate the judge during proceedings to capture all program(s). pertinent information with regard to housing violation cases. ISSUESAND CONCLUSIONS Calendar-a report of all cases appearing on a calendar for a particular date, part, and time. The HCIS system was developed by and for the New York State Unified Court System. Although HARDWAREREQUIREMENTS NCSC staff requested information on transfer issues to other jurisdictions, no information was HCIS is supported on the Hitachi EX 60 and EX 70 provided regarding cost or assistance in transfer. model mainframes. HCIS staff state that the Courts interested in HCIS are asked to contact: product can operate on the IBM System 370, System 390,43XX, 303X, 3090,9370, or 9000 Mr. Richard Ross mainframe and uses the 3270 family of terminal Director of Programs and Planning devices. Software requirements include MVS or NYC Unified Court System MVS/XA, CICS 1.7, COBOL VS or COBOL 11, and Office of Court Administration VSAM. Third-party software from CA Associates 80 Centre Street is also used to support HCIS. These products New York, NY 10013 (212) 587-4990 54 Wyoming Statewide Court Automation Project Wyoming Courts of Limited Jurisdiction Supreme Court of Wyoming
ECS, Inc.
This is a PC-based LAN system for calendaring and case management. Itfeatures self-docketing and identification of scheduling conflicts. The Wyoming Supreme Court supports a statewide training center.
Prepared by Cheryl H. Letchworth Staff Associate WYOMING STATEWIDE COURT AUTOMATION TrafficKriminal System Features/Functions X Docketing/Register of Actions X Indexing X Scheduling (Interactive) Calendar Preparation Individual Calendar Master Calendar Notice Generation Management/Statistical Reporting Warrant Generation and/or Monitoring Diversion Tracking X Prosecutor and/or Public Defender Scheduling X Sentencing Guidelines Determination X Probation Monitoring Automated Minute Sheets Arbitration/Mediation X Judgment/Disposition Exhibit Management X Case Consolidation Physical File Control X Moving Violations X Nontraffic Ordinance Violations X Parking Ticket/Citation Book Conlrol X Ad hoc Reporting X On-line Help Facility Accounting X Fee Accounting X Automatic Distribution of Fine/Fees X Revenue Accounting X Bail and/or Bond Indigent Defense Tracking Reconciliation (Attorney Billing) X Reimbursement of Costs Environments Supported IBM and compatible micros running MS-DOS Novel1 networks Digital Equipment Corporation VAX and MicroVAX II series running VMS Bull computer systems running Bos and Bos 386 Shared logic multi-user systems running SCO Unix and Xenix Shared logic multi-user systems running Interactive 386/IX Unix Shared logic multi-user systems running AT&T Unix V Primary Programming Language BASIC-2 (Compiled) Documentation X Usefs Instructions Operations Instructions (System Maintenance and Recovery Procedures) X System Specifications (OriginalSystem Design Document) X Program Index (List of Program Names and Functions) X System Documentation (Flowcharts, Program Narratives, etc.) support X Telephone X On-site X Remote via Modem Number of Court Installations 35 Limited jurisdiction courts Legend X = Operational Wyoming Statewide Court Automation Project Wyoming Courts of Limited Jurisdiction Supreme Court of Wyoming
ECS, Inc. ‘To improve the efficiency of the administration of all agencies within the criminal justice system, as well as the communications between the agencies within the Criminal justice system, thereby improving the quality of justice for the people of Wyoming.”
Wyoming Supreme Court - Objective for the Wyoming Court Automation Project
AS A RESULT OF THE COMBINED EFFORTS OF the Wyoming Supreme Court, the advisory committee on computers for county courts, the court automation design committee, and ECS, Inc., the Wyoming Court Automation Project is a well- planned, welldesigned, and successfully imple- mented statewide technology project. The project was conceived in 1983, but no progress was made on it until December 1985, when the Wyoming Supreme Court published a request for proposals nationally. The prime requirement for Wyoming was that any of the project’s software be placed in the public domain for use by other courts. The major components of the project were development of a calendar management system, criminal and civil case management systems, and a statewide judicial greater configuration flexibility; telecommunications network; installation of new a relatively inexpensive hardware platform computer systems in all of Wyoming’s county and that could address both the needs of single- justice of the peace courts; training of all court user courts and their larger urban counter- clerks and judges in the use of those systems; and parts; and complete hardware and software for the entire an industry trend toward open systems and project. away from proprietary technology. Responding vendors were faced with the challenges of a relatively small, primarily rural For development of the calendar and case statewide population, separated by enonnous management software, Niakwa’s compiled BASIC- distances and mountainous terrain. In January 2C language and the multi-user AIMS database 1986, Wyoming selected ECS, Inc., as the vendor system were selected. For word processing, TOM to develop the automated system for limited Software’s DATA 3500 was chosen along with an jurisdiction courts statewide. advanced laser printer driver for letterquality The Wyoming Highway Department, seeking printing. Although the Niakwa, AIMS, and DATA a way to track DUI offenders statewide, provided 3500 products are proprietary and required for the initial funding for the pilot project through a 1985 system’s operation, the court application software Federal Highway Safety (Section 402) grant. The itself is in the public domain. project is now funded through the collection of The system uses microcomputer-based local increased court costs. Increased from $10 to $20, area networks to obtain data from each court. Wyoming‘s court costs are now in line with the Each court is linked via standard directdial phone national average. lines to a polling (data collection) machine located Microcomputers are the hardware for the in the supreme court building in Cheyenne. This Wyoming Court Automation Project. ECS stated polling machine collects data from the county that three major factors contributed to the final courts, justice of the peace courts, and municipal selection of local and wide area networks: courts and uploads this data to the state’s IBM
57 mainframe. This centralization assures that other The calendar and criminal case management agencies and all courts will have access to such systems have been installed in all 35 county and crucial information as prior convictions and justice of the peace courts statewide. Implementa- current case status for sentencing purposes, tion of the civil case management system is in warrant execution, license suspension, and other progress, and the statewide municipal court pertinent needs. implementation will be completed by-the end of The success of the Wyoming project can be 1991. In addition, all courts are being linked to a attributed to a number of factors: wide area network (WAN),which provides local and wide area electronic mail services, court-to- The Wyoming Supreme Court remains court logon capabilities, and remote maintenance. committed to the project's goals. This system review provides an overview of The Wyoming Supreme Court established the the Wyoming Statewide Court Automation advisory committee on computers for county Project, with emphasis on the calendar and courts in November 1984 to coordinate the criminal case management systems. development of the statewide system. The composition of this committee has been the ECS, INC. key to the success of the Wyoming project. It comprises 24 individuals who represent the ECS is based in Eagle, Colorado, with a branch Wyoming Supreme Court, county court, office near Jackson, Wyoming. This privately held justice of the peace court, municipal court, company has specialized in providing custom district court, highway department, depart- automation solutions to local, county, and state ment of revenue and taxation, Wyoming governments since 1978. The combination of Sheriffs Association, Wyoming state legisla- technical support staff, telecommunications ture, public defender, health and social equipment, depot maintenance equipment, four- services, Wyoming Association of Chiefs of wheel drive vehicles, and company aircraft and Police, data services, County Attorneys pilots has made ECS qualified to support the Association, Municipal Judges Association, geographically dispersed government installations department of criminal investigation, and the typical of the Rocky Mountains. department of accounting and fiscal control. ECS joined the Forum on the Advancement of This committee meets regularly to monitor Court Technology in 1990 and participated in the project status and discuss automation objec- exhibits at the 1989 and 1990 annual meetings of tives. the National Association for Court Management. The supreme court established a training With support from a donation by Niakwa, ECS has center where clerks and judges can complete donated the Wyoming court automation software three to four weeks of classes in the operation to the National Center's Court Technology Labora- of the automated systems. tory and provided Technical Services staff with A county court computer design committee, training in its operation. composed of clerks, judges, and ECS program- mers, designed the automated system, thus ACKNOWLEDGMENTS ensuring that the system would meet the needs and requirements of the court and National Center staff conducted site visits at the would be accepted by its users. Each module county courts in Lander, Rawlins, Casper, and was presented to the committee for review Cheyenne, Wyoming. Cheyenne, Rawlins, and and comment after programming and testing. Lander were pilot sites for the development and Required software modifications were made, implementation of the automated system. The and the module was again presented to the following people from the Wyoming courts and committee. Once the committee was satisfied, ECS were involved in this review: the process was repeated with other modules. To promote continued user support and to Hon. Richard V. Thomas provide an ongoing evaluation component of Supreme Court of Wyoming the project, the original design committee has evolved into the court automation procedures Hon. Margie Meacham committee. This committee meets regularly to Carbon County Court, Rawlins establish procedures and recommend design changes to deal with issues that result from Hon. Ken Stebner court automation. Carbon County Court, Rawlins
58 Hon. Robert Allen County courts handle preliminary hearings for Laramie County Court, Cheyenne felony cases and have jurisdiction for all misde- meanor cases, including DUI and other traffic Ms. Kristi Green, Chief Clerk offenses and game, fish, and livestock violations. Fremont County Court, Lander JPcourts handle preliminary hearings for both felony and high misdemeanor cases and have Ms. Marylou Rinderer, Deputy Clerk jurisdiction for low misdemeanor cases, including Carbon County Court, Rawlins DUI and other traffic offenses and game, fish, and livestock violations. Ms. Debbie Meyer, Chief Clerk Finally, Wyoming's municipal courts can hear Natrona County Court, Casper only cases that involve violations of municipal code that carry potential penalties not greater than Ms. Linda Hudson, Deputy Clerk 6 months in jail or a $750 fine or both. These Laramie County Court, Cheyenne jurisdictions are summarized in the following table. Allen T. Stewart 111, Vice President ECS, Inc. Wyoming Courts of Limited Jurisdiction
WYOMING COURTS OF Jurisdiction/Court County Jp Muni LIMITEDJURISDICITON Civil Wyoming's overall court structure includes three Criminal limited jurisdiction courts: county courts, justice Felony preliminary preliiary none of the peace UP) courts, and municipal courts. High MisdemeanoP all preliminary none County and JP courts constitute the state-level Low Misdemeanor) all all violations courts of limited jurisdiction, serving 12 and 11 of counties, respectively; there are approximately 80 municipal municipal courts of varying sizes. These courts code only serve a statewide population of approximately Notes: 450,000. 1. Civil actions in JPcounties seeking recovery in excess Wyoming county and JP courts have similar of $1,000 but less than $3,000 have the option of filing in jurisdictions. In civil matters, they exercise district court. 2. High misdemeanors are considered to be those with jurisdiction in tort, contract, real property rights, penalties greater than 6 months in jail or a $750 fine or both. smallclaims, and domestic violence cases in 3. Low misdemeanors are considered to be those with which the relief sought does not exceed $7,000 penalties not greater than 6 months in pil or a $750 fine or ($3,000 in the case of JP courts) and which do not both. involve boundaries or titles to property. Wyo- ming municipal courts do not have any civil Statewide filings and staffing for 1989 re- jurisdiction. ported from Wyoming's courts of limited jurisdic- tion are as follows:
1989 Filings/Court County Muni Total Jp -- Civil 18,740 3tf-542 -0- 22382 Criminal 91,949 24,918 52,262 169,129 Traffic 78,683 20,670 34,465 133,818 Preliminary 2,913 220 -0- 3,133 General 10,353 4,M8 17,797 32,178 Judge 19 15 73 107
GENERALSYSTEM OVERVIEW Wyoming court automation software supports the calendar, criminal case management, accounting, word-processing, and telecommunications re- quirements of limited jurisdiction courts. This
59 report focuses only on the criminal, accounting, the current accounting month, the court’s fiscal and calendar applications. All applications are year, month-end closing procedures, archiving tightly integrated, as demonstrated by the procedures, and the court’s general ledger chart of system’s selfdocketing capabilities and its auto- accounts structure. matic updates of criminal system data to the In fields where table entries are required, the accounting system. system displays a list of valid entries from the Through selfdocketing the system can appropriate table. The user selects the desired automatically generate courtdefined standard entry, which is then placed in the field on the docket entries based on the data entered in the screen. In the case number field, for example, the criminal and calendar screens. To supplement the system will display the case index alphabetically standard docket entries, users can create non- by defendant name. Rather than page through the standard entries or edit the standard entries as entire index, the user can MITOW the search by they are being made. All docket entries are linked indicating the first few letters of the defendant’s to the case record; however, only standard entries last name in the case number field. For example, are counted statistically. ?R would display a list of cases with defendants Throughout the system, users may validate whose last names begin with R. and modify standard docket entries, add non- A tickler function creates notes or reminders, standard docket entries, modify or accept the text which are printed daily for each clerk. Ticklers of orders and notices, print forms and notices, and can be case-, noncase-, or event-specific and can be designate the parties for which the notices are printed for a date or range of dates. The system printed. gives users the option to create tickler records Userdefined tables and parameter files based on the logical sequence of events. For provide flexibility in customizing the application. example, when a calendar event needs to be Information can be linked to case-related records continued, but one of the attorneys is out of town, through tables without being reentered, ensuring the event must be deleted and rescheduled for a consistency in data entry and integrity. Court- later date. In this case, the system asks if a tickler defined tables include statute and offense; munici- record should be created. The tickler will remind pal ordinances (if applicable);case events; case the clerk to contact the attorney to reset the event. status codes; standard accounting distributions; The software is easy to learn. The same and routinely used names and addresses of navigation techniques are used throughout the attorneys, judges, officers, clerks, and courtrooms. criminal case management, accounting, and Parameter files exist for the calendar, criminal calendar systems. Appropriate prompts and case management, civil case management, and the messages guide users through an operation. The accounting modules. These files contain fields, available command keys are always displayed and whose values are set by the court, to control the defined at the bottom of the screen. characteristicsand operations of the system. For Reporting is extremely flexible. An ad hoc example, the calendar system parameter file reporting capability provided through the AIMS defines the type and number of entities that can be database management system supplements the linked to an event record, specifies the entities standard reports available through menus. Users with possible scheduling conflicts, specifies the can create reports and add them to appropriate number of copies of the end-ofday calendar menus for use by others. This menu structure report that will be printed, and determines if old makes the database functions easy to use. calendar events are to be archived or deleted. An Menus also provide access to file and data example of the Calendar Parameter screen is shown management housekeeping procedures, such as in Figure 3. tape backups, which are easily executed by Accordingly, the criminal case management nontechnical court staff. The following menus and parameter file defines such items as the next case sample screens illustrate some of the system’s number to be assigned, the next receipt number to capabilities. Note: The method used to reproduce be printed, the next month for which statistics screens for this and other system reviews does not should be calculated, the data that should be illustrate screen attributes. For example, in this extracted for end-of-daypolling, and the citations system, screen headers are displayed in reverse that should be placed into the court calendar. The video, field names are displayed bright, and accounting parameter file defines such things as highlighting is used to indicate cursor position. FIGURE 1 MAIN SYSTEM MENU
...... ,...
1 = AIMS DATABASE SYSTEM
2 = COURT CALENDAR
3 = CRIMINAL CASE MANAGEMENT
4 = CIVIL CASE MANAGEMENT 5 = WORD PROCESSING SYSTEM
6 = END OF DAY 7 = END OF MONTH
15 = LOGOUT OF THE SYSTEM
I
TIME = 10:09 AM WYOMING COURT DEVELOPMENT SYSTEM l=DN End=MANAGER MENU DATE = 12/24/90 Copyright (c) 1985 The Software House l=UP cEd=LOG OFF
From the Main System Menu, users have access to the AIMS database management system, court calendar, criminal case management system, civil case management system, word processing, and end- of-period procedures. End of Day and End of Month options provide access to basic file and data man- agement housekeeping procedures.
61 FIGURE 2 AIMS DBMS
[ AIMS-04.3~ - Version 08/15/87 ] The Advanced Information Management System (c) Copyright 1984 - AIMS+PLUS, Inc. - Austin, Texas OPERATE- SELECT1 / STATUS 1 Add Records 11 Display/Select Files 2 Update/Delete Records 12 Enter File Name and Date 3 Print Reports 13 Change File Entry Defaults 4 Batch Update Records 14 Display Disk Status 5 Perform File Maintenance Sort 15 Display User Status 6 Display File Status 16 Change Disk Addresses DESIGN / UTILITY ADD-ONS 21 Create/Update a File Design 31 Create/Use a REMEMBER Process 22 Create/Update a Report Design 32 Analyze the File with GRAPHTOOLS 23 Use AIMS System Utilities 33 Use Advanced FILETOOLS Utilities
User Date :go1224 Data Disk :D42 Enter Command Number ==>1 File Name :???????? SRTWRK Disk :D21 Program Disk :D21
cEd= Off I Move to Command or Enter Number and RETURN I T = T F5 = Window 1 User # 1 : (ECS) : ECS Staff 1 = 1 F6 = Window 1
This is the main AIMS Database Management System Menu. AIMS enables users to design files, create reports, and perform statistical analysis. Authorized users can manipulate data files using the functions presented here. AIMS supplements the standard capabilities supported in the calendar, criminal, and accounting software. Users can gain access to any file, perform searches using one or multiple criteria, and create numerous reports using any format. New routines (searches, reports, etc.) can be saved as Remember processes and added to appropriate system menus for access by other users. Many of the ad hoc reporting and query tools available on the market today require the user to have additional computer training. A surprising number of Wyoming court clerks are proficient in the use of the AIMS functions. Customdesigned searches and file and report design are facilitated by menu selec- tions and user prompts.
62 FIGURE 3 CALENDAR PARAMETER
~~ - i-~23 [ CA.PARS - CALENDAR PARAMETERS 1-ORRECT- :Y
:k' :N :w :N
End= Menu 1 Horn = Save/List cHM= Save/Next Rcd I 1 = 1 PgD= Pgl F5 = M1 cEd=Print Today's Date = 901224 Page 1 of 2 1 = 1 PgU= PgT F6 = MT
A major portion of the calendar and criminal case management software is parameter driven, allow- ing users to control and set various system operations. Setting the options presented on the Calendar Parameter screen, users can instruct the system to archive calendar events and indicate the number of entities that can be scheduled, the number of copies of the calendar report to be generated at day's end, whether the system should check for conflicts before saving the event, and whether a summary record should be created. Similar parameter files are used for criminal case management and accounting procedures. Calendar Management Overview The Court Calendar System schedules and monitors case-related events. It supports both individual and master calendars. Although it is integrated with the case management system, the calendar can also be used for scheduling noncase-related events and as a standalone module. All case-related events entered into the calendar are automatically docketed. System features provide users with an easy-to-learn application. Menus help users adapt quickly to the calendar system. Each court creates a unique name and address table for scheduling purposes. Using this table, judge, attorney, officer,and courtroom information can be linked to a scheduled event record without being reentered. Case files can be accessed by case number or alphabetically by defendant name. Judges, attorneys, officers, and courtrooms can be changed or added by quickly accessing the information from the court's user-defined name and address table. Once changes or additions are made, the case files are immediately updated with the new information. Calendars for judges, attorneys, officers, and assigned courtrooms are automatically retrieved and displayed during event scheduling, with potential time conflicts high- lighted on the screen. The system supports event "stacking," which allows the scheduling of multiple events that begin at the same time. A "prevent scheduling" flag allows a user to restrict others from scheduling a judge, officer,attorney, or courtroom for a particular date or date range. This is particularly helpful when several clerks are scheduling events. Standard docket entries are automatically created for all scheduling, continuance, or printing transac- tions. After a scheduled event has been entered, several options are presented to the user, including an
63 opportunity to validate or modify the entry or create nonstandard docket entries. Notices can be printed for all parties or selected parties and are formatted for use in window envelopes. Criteria for searching scheduled events include date or date range, partial or complete name of any involved party, case number, casetype, and offense. Results of any search are automatically displayed on the screen and can be printed on demand. A calendar summary screen presents a summary of scheduled events for a date or date range and for all entities or a particular entity. It displays the entity name, number of events scheduled, blocks of scheduled or unscheduled time, and whether a "prevent scheduling'' flag has been set. Users can also see the list of scheduled events and the event detail records. The file maintenance functions provided by the End of Day and End of Month procedures will archive all past events fqom the current calendar into the calendar archive file, sort the calendar files and recreate all indexes, and update the case management files with "next action" and "next action date" information. Samples of selected screens from the Court Calendar System follow. FIGURE 4 ADD EVENT
7
JONES, JOHN J. THIS IS A TEST MUNI OFFEN BENCHTRIAL 452 :090190
1 ARRAIGNMENT 2 INITIAL APPEARANCE 3 BOND HEARING 1: COURT A 4 MOTION HEARING 2: 5 PRETRIAL CONFERENCE :MEACHAM/ MARGIE M. 6 BENCH TRIAL 3: 7 JURY TRIAL :KUNKEL/ DAVID 8 PRELIMINARY HEARING 4: 9 SENTENCING :CARROLL/ PETER LO ORDER TO SHOW CAUSE HEARING 5: 11 CONTEMPT HEARING :COOKE/ KIM
This screen is used to add or update an event. If the case number is known, the system will look up the case and fill in the available information from the case record. If the case number is not known, the user can use a look-up feature. For a criminal or traffic case, the user enters CR? in the case number field to access the criminal case index, sorted alphabetically by defendant name. The user can jump through the index until the desired case is found, highlight the case with the cursor, and press Enter. The system will redisplay the Add Event screen with the case information from the selected case. Alternatively, the user can enter CR?R to start the list at criminal cases with defendant names starting with R. Leaving the case number field blank tells the system that a noncase-related event is being entered, and the system will display a more generic looking Screen (for example, courtroom, judge, attorney, and officer are replaced by fields for location and one to four generic persons).
65 FIGURE 5 ADD EVENT W/EN"Y EVENT SUMMARY
7
NES. JOHN J. INITIAL APPEARANCE IS IS A TEST MUNI OFFEN NCHTRIAL 452 :090190
900915 COURT A
LTIME--DUR--CASE-NUMBER-EVENT-NAME- 1o:oo AM 30 CT-9008-0049 BOND HEAR. 308 '1 : COURT A 1O:OO AM 30 CT-9008-0050 BOND HEAR. 308 2: 1O:Oo AM 30 CT-9008-0057 SENTENCING 524 :MEACHAM/ MARGIE M. 02:30 PM 45 CR-9008-0070 VICTIM CONF 3: :KUNKEL/ DAVID 4: :CARROLL/ PETER 5: OFFICER/OTHER :COOKE/ KIM
'C' = CHANGE THE EVENT DATE RETURN = GO BACK TO EVENT ENTRY DISPLAY
Using the Check Calendar for Number field, the user can see if the date and time proposed for an event will produce a conflict. The system will display a summary of events currently scheduled for that entity for the proposed event date. If a scheduling conflict exists, the system underlines the event in conflict. The user can override the conflict and proceed with scheduling or enter an alternate event date to check. Only a "prevent scheduling" flag would restrict the user from overriding the conflict. Once the case-related event is scheduled, the system dockets the event. It displays the standard docket entry that will be created for the type of event scheduled. The docket entry can be edited, if desired. The user may then create additional nonstandard docket entries. Multiple nonstandard docket entries can be associated with a particular transaction. The system will then ask if the Orders of Setting are to be printed. Users are prompted for the printer number and asked to validate or edit the offense. Then they can select the party or parties for which notices will be generated. Standard or nonstandard text may be used for any or all of the notices. In criminal cases, the system will print notices for prosecutor, defendant, officer, jail, and other interested parties. Appropriate docket entries are automatically created for each party notified.
66 FIGURE 6 SCHEDULING SUMMARY
DATE PERSON/COURT P #EV 7AM 9 11 1PM 3 5 7 9PM 090190 COURT A 2 1 090190 COURT B 1 11111111 090190 DENHARDT/ ROBERT 1 1 090190 MEACHAM/ MARGIE M. 2 11111111 090290 COURT A 1 1 090290 MEACHAM/ MARGIE M. 1 1 090390 COURT A 2 It 090390 MEACHAM/ MARGIE M. 2 1I 091090 DENHARDT/ ROBERT Y 091590 ALLEN/ ROBERT 1 091590 COURT A 4 1 11 091590 COURT B 1 1111111111111111 091590 DENHARDT/ ROBERT 2 1 11 091590 KUNKEL/ DAVID 2 1 11 091590 MEACHAM/ MARGIE M. 1 1 091790 COURT A 1 1 091790 MEACHAM/ MARGIE M. 1 1
1 I =DN T = T PgD=PAGEI PgU=PAGET End=PREV.MENU T Fl=JUMP REC ’ S RETURN=SELECT
Summary-schedulingrecords can be accessed using one or a combination of the following criteria: person or court (with or without using the ’?” look-up feature), beginning date, and ending date. Figure 6 represents a search where no criteria were used. Listed are the date, person or court, ”prevent schedul- ing” flag (if applicable), number of events scheduled, and an activity histogram for the summary record.
67 FIGURE 7 EVENT DISPLAY
--TIME LENGTH CASE NUMBER EVENT TYPE - PLAINTIFF OR CRIM. NOTE PLAINT. ATTY JUDGE CHARGE OR CIVIL NOTE DEFENDANT DEFENSE ATTY 10:oo 30 CT-9008-0049 BOND HEAR. 708 CITY OF RAWLINS KUNKEL OBSTRUCTEDVIEW ; WINDSHIE- JOHNSTON, CRAIG M . 10:oo 30 CT-9008-0050 BOND HEAR. 308 CITY OF RAWLINS MEACHA SUPERINTENDENT'S SPEED ZO GINGRICKY, WILLIAM KENT 10:oo 30 CT-9008-0057 SENTENCING 524 CITY OF RAWLINS DENHAR SPEEDING 74 IN 65 BJORNSEN, DANA LESLIE 2:30 P 45 CR-9008-0070 VICTIM CONF CITY OF RAWLINS KUNKEL/ DAVI DENHAR LARCENY REED, DOUGLAS ALLEN CARROLL/ PET
1=1 l=l PgD=PAGEl PgU=PAGET End=EXIT RETURN=SELECT cEd=PRINT
This screen lists each event scheduled for a specified summary record, displaying time, judge, charge, defendant, and defense attorney. The screen also allows the user to hot print the event list by pressing the Cntrl and End keys. FIGURE 8 CALENDAR HOT PRINT f CALENDAR HOT-PRINT 12/26/90 ......
PERSON OR COURTROOM : COURT A CALENDAR DATE : 09/15/90 ___------____-______------......
TIME LENGTH CASE NUMBER EVENT TYPE PLAINTIFF OR CRIM. NOTE PLAINT. ATTY JUDGE CHARGE OR CIVIL NOTE DEFENDANT DEFENSE ATTY 1O:OO 30 CT-9008-0049 BOND HEAR. 308 CITY OF RAWLINS KUNKEL OBSTRUCTED VIEW: WINDSHIE JOHNSTON, CRAIG M. 1O:OO 30 CT-9008-0050 BOND HEAR. 308 CITY OF RAWLINS MEACHA SUPERINTENDENT'S SPEED 20 GINGRICKY, WILLIAM KENT 1O:OO 30 CT-9008-0057 SENTENCING 524 CITY OF RAWLINS DENHAR SPEEDING,74 IN 65 BJORNSEN, DANA LESLIE 2:30 P 45 CR-9008-0070 VICTIM CONF CITY OF RAWLINS KUNKEL/ DAVI DENHAR LARCENY REED, DOUGLAS ALLEN CARROLL/ PET
Figure 8 is an example of a Calendar Hot Print for a judge or courtroom. The calendar hot print is formatted under program control and should not be confused with the PCs screen print facility. A particular event can be selected by highlighting the desired event and pressing Enter. The system will then display the detail record. From the detail record, the event can be continued, deleted, or edited. If the event is to be continued, the system will ask.for a reason, which is saved with the event record if the calendar is being archived. The system tracks the number of continuances and the requesting parties.
69 FIGURE 9 SEARCH EVENTS FILE
ENTER ONLY ONE SEARCH CONDITION
1=1 T=T PgD=PAGEl PgU=PAGET F5=MODULEl F6=MODT End=EXIT Hom=SAVE
Events may be directly searched using any one of the criteria listed on this screen, with or without using the ”?” look-up feature, with either the Person to Search or Case # to Search fields. The Person to Search field can also be used to perform a global search of the event file for any character string. For example, if the operator simply entered MO, the system would find all events that contained an MO in the record (for example, all events on Mondays in addition to all defendants named MORRIS). The Case # to Search field can be used to search for casetypes. For example, if the user entered FV, the system would find all events for family violence matters.
70 FIGURE 10 CALENDAR REPORTS MENU
1 = COMPLETE FOR ONE ONE DAY (132 coi.) 2 = COURTROOM FOR ONE DAY (132 coi.) 3 = JUDGE FOR ONE DAY (132 ~01.1 4 = COMPLETE FOR RANGE OF DATES (132 col.)
5 = COURTROOM FOR RANGE OF DATES (132 COL)
6 = JUDGE FOR RANGE OF DATES (132 col.)
7 = COMPLETE FOR ONE CASE (132 ~01.1 8 = COMPLETE FOR ANY ONE PERSON (132 col.)
9 = SPECIAL DOCKET PRINTING
TIME = 10:15 AM WYOMING COURT DEVELOPMENT SYSTEM l=DN End=PREV. MENU I) DATE = 12/26/90 Copyright (c) 1985 The Software House ll T=UP cEd=LOG OFF I/
The Court Calendar System can produce an individual or a master calendar. Calendar reporting is flexible. In addition to the standard menu of report options, users can create a number of additional reports using the AIMS database management system. These reports can be saved and easily added to appropriate menus for access by others. The calendar function can extract and print complete case dockets for all cases found in a search, an ideal function for a judge to use before entering the courtroom. Several examples of calendars follow.
71 FIGURE 11 CALENDAR DOCKET REPORT WITHOUT SUMMARY FIELDS -
CASE NUMBER :CT-9008-0054 EVENT NAME :BOND HEAR. PLAINTIFF.. :CITY OF RAWLINS DEFENDANT.. :KENWORTH, ROLLEY
0FFENSEINOTE:SPEEDING 56 IN 55
DATE.... :09/01/90 (SA) COURTROOM.. :COURT B
TIME.... :10:00 AM JUDGE...... :MEACHAM/ MARGIE M.
OFFICHR/WIT. :OTHER
Figure 11 is an example of the docket printout without optional summary fields. This report is generated using the Special Docket Printing option on the Calendar Reports Menu. Case summary and docket information is printed in calendar order for the judge. Although this can be printed for any calendar search, the default is all cases for one day or all cases for one judge for one day. Figure 12 shows the docket printout with the optional summary fields.
72 FIGURE 12 CALENDAR DOCKET REPORT WITH SUMMARY FIELDS
CASE NUMBER :CT-9008-0054
EVENT NAME :BOND HEAR. PLAINTIFF.. :CITY OF RAWLINS
DEFENDANT.. :KENWORTH, ROLLEY
0FFENSEINOTE:SPEEDING 56 IN 55
DATE.... :09/01/90 (SA) COURTROOM.. :COURT B
TIME.... :10:00 AM JUDGE...... :MEACHAM/ MARGIE M.
OFFICER/WIT.:OTHER
CASE NUMBER :CT-9008-0054 LINK CASE: ...... COUNTS:... FILED :OB2490 DOCKET NUMBER:CT-9008-0054 CITATION :48555 S OFFENSE:122589 DEFENDANT NAME LFM :KENWORTH :ROLLEY :...... ALIAS:. CASE STATUS :09PEN DATE CITATION ISSUE:122589 DATE WARRANT ISSUED:...... NEXT SCHED. DATE:090190 INFORMATION OR COMP:. DT.WARRANT EXEC/CAN:...... NEXT SCHED. TIME:10:00 AM WARRANT/SUMMONS/CIT:C B.WARR.DESC:...... NEXT ACT:BOND HEAR. 308 DATE SUMMONS ISSUED:...... WARRANT/SUM CANCELD:. LAST DOCKET DATE:082990 DT SUMMONS SERVICAN:...... RESTRICT ACCESS :. LAST D0C:BOND HEAR. 308
ORIGINAL STATUTE:31-5-301 biv ADD'L STATUTE: ...... FINAL STATUTE :31-5-301 biv OFFENSE NAME :SPEEDING 56 IN 55 OFFENSE CODES:..... :M :V :85 :A APPEARANCE DATE:012390 PRELIM. DATE :...... PRETRIAL CONF. :...... PENALTY COMPL. DATE:...... INITIAL PLEA:. :...... TRIAL ...... 0. 8 PENALTY:...... BAL:...... FINAL PLEA :. :...... FINDING ENTERED:082690 FINE SUSP:...... PROS.RESETS:.. HG :.. TR DISPOSITION :FO JAIL TIME:...... SUS:...... DEF. RESETS:.. HG :.. TR SENTENCE DATE :...... JAIL LOC.:...... BOND CONDITIONS: ...... BOND STATUS:F BOND TYPE :CA SURETY :. BOND PAID BY ...... TOTAL BOND AMT :5 PHONE:...... DATE BOND SET :082490 BOND CHANGED:...... BOND DEPOSIT AMT:5 DEPOSIT PAID:082490 DATE FORF.SIGNED:082490 TOTAL BOND SPAID: 0 OFFICER REC.:N FORF.ORDER DATE :082690 DT. 10120 WAIV.FILE: ...... DT ATTY REQUIRED BY:...... DT.WAIV.PRELIM.SIGN:...... DT.JURY PANEL NOTIF:...... ADV. RIGHTS FILED :. PRESENTENCE ORDERED: ...... WAIVER OF ATTORNEY :. SUP.BY: ...... :...... WAIVER OF JURY TRL :. DATE OF APPEAL ...... PUB.DEF.BEQUEST DT.:...... DATE APPEAL RETURND:...... DT.PU8.DEFENDER APP:...... APP.RESULTS:......
73 Criminal Case Management Overview The crimimal case management system supports the entry and subsequent monitoring of citations and criminal cases from filing through disposition. The system manages limited felony, DUI and other traffic, and misdemeanor cases. It can monitor warrants and probation. Cases can be accessed by case number, docket number (if different), citation number, or defendant name. Automatic selfdocketing generates standard entries for all system transactions. In addition, multiple nonstandard docket entries can be entered. Prompts guide the user through the data-entry process. The criminal system maintains permanent alphabetic and numeric indexes for all cases. Filing date, offense, alias, disposition, and finding-entered date are contained in the indexes. Information on inactive (off-line) cases is maintained on-line in a case research file. An integrated "tickler" file tracks future case and noncase-related events. Calendar notices can be edited before they are printed. Word processing allows users to custom design their own forms and documents. The citation-processingmodule enables users to enter and dispose standard citation cases quickly. On forfeiture offenses, the system will forfeit bond after the appearance date has passed, create account- ing entries, and generate the final Abstract of Court Record for the court, arresting agencies, and the department of motor vehicles (DMV). Failure to Appear (FTA) notices (formatted for standard window envelopes), or Non-Resident Violator Compact (NRVC) notices can be generated on demand. The criminal-case-processing module supports the entry, tracking, and disposition of cases originat- ing on an information or complaint. Cases may have multiple counts and may be logically linked or cross-referenced to other cases. The system automatically maintains case dockets and can display or print them on request. The FTA processing module allows the user to initiate the system's FTA notification procedures, which are executed in batch mode. The system searches for all cases where a defendant failed to appear and checks the arraignment date and FTA action fields to determine what type of processing is required. The system will produce FTA letters and NRVC notices and print a series of reports identifymg those cases that have not responded to previous FTA or NRVC notices. The system can handle as many as 99 parties associated with a case. These may include witnesses, defense attorney, bondsman, probation officer, parole officer, alcoholism counselor, prosecuting attorney, victim, and interpreter. Interested party types are defined by the court. Other courtdefined tables include statute and offense, municipal ordinance (if applicable), case status, case events (standard docket entries), and name and address. Cash transactions are posted to the accounting system. The system supports both automated receipts and those filled out by hand. The system generates receipt numbers using the criminal parameter file, which is automatically updated with the last system-assigned receipt number. Time payment schedules can be established for fine payments; fine statements can be printed upon request. The accounting system follows standard double-entry general ledger accounting procedures. The system also supports accounting for off-line cases. Reporting is flexible and includes case-specific, general case management, and system reports. The AIMS database provides menudriven ad hoc reporting capabilities to supplement the system's standard set of reports. This provides significant flexibility in case tracking and case managment. State-mandated monthly caseload statistics are calculated by the system based on the number of standard docket entries.
74 FIGURE 13 CRIMINAL CASE MANAGEMENT MENU
1 = CITATION ENTRY & UPDATING
2 = CREATE CRIMINAL CASE
3 = ALPHA INDEX
4 = CASE INQUIRY, UPDATE & DOCKETING
5 = FTA PROCESSING
6 = GENERAL ACCOUNTING
7 = CRIMINAL REPORTS
8 = TICKLER FILE FUNCTIONS
9 = FILES, TABLES & PARAMETERS
I
TIME = 10:33 AM WYOMING COURT DEVELOPMENT SYSTEM l=DN End=PREV. MENU DATE = 12/26/90 Copyright (c) 1985 The Software House l=UP cEd=LOG OFF
From this menu, the user can access the citation entry and update functions; create a criminal case; display the case index in numeric or defendant name order; perform case inquiry, update, and docketing; process Failure to Appear cases; perform accounting and end-of-period procedures; generate standard criminal reports; create and maintain tickler records; and maintain files, tables, and parameters.
75 FIGURE 14 EXISTING CITATION
CKLER :AMY :L 5 PLYMOUTH AVE
PINEDALE 2WY-L-
31-5-301 biv SPEEDING 79 IN 55----
OTHER DEEGAN/ MICHAEL
'B' = BOND ACTIONS, 'A' = ARRAIGNMENT - PRESS ANY KEY
Figure 14 shows an existing citation record. Existing citation (and criminal cases) can be accessed by citation number, case number, docket number, or part of the defendant name. Using the parameter file, the court can limit the number of fields required for entering the citation. The Link Case ## field has two functions. First, it allows users to enter multiple citations issued to the same defendant at the same time without having to re-key data, and second, it allows users to cross-reference or logically link one case to any other case. The system prompts the user for different fields based on whether the defendant has an in-state or out-of-state driver's license or has no driver's license. When the user enters the statute number, the system references the statute table and places the description of the violation into the description field on the screen. If the entered statute does not identify an offense, the system displays the statute table, allowing the user to select the correct entry. Once the statute information has been entered, the system retrieves the NCIC code, the uniform bond amount (if one exists for the statute), the court costs associated with the violation, and whether the offense requires a court appearance. If the offense involves a motor vehicle (as indicated in the offense table), the system automatically displays a screen for entering motor vehicle-related information. If the arraignment date is to be placed on the calendar, the system creates the calendar event record. If the arraignment date is on or before the current date, the system will not create an event record but will display the Arraignment screen (Figure 15).
76 FIGURE 15 ARRAIGNMENT/BOND
101590
MDDYY 0 75 0 ECS
1=1 T=T PgD=PAGEl PgU=PAGET F5=MODULEl F6=MODT End=EXIT Hom=SAVE
~ ~ Bond and arraignment information are entered and updated on this screen. The Bond Status field indicates whether the bond has been posted, set, or forfeited. The total bond amount will be set from the offense table, if applicable, and can be edited. If a receipt has been written out manually, the number of that receipt should be entered. Otherwise, if the receipt number is left blank, the system will automati- cally assign the next receipt number, print the receipt after the citation has been entered, and create all applicable accounting entries. After entering the arraignment on a citation case, the user can print any number of copies of the DMV Abstract of Court Record. Typically, three copies are printed: one copy for the DMV,one for the officer, and one for the court record. The abstract includes case, defendant, offense, motor vehicle, disposition, forfeiture, fine, cost, and miscellaneous information. If an installation is linked to a statewide system, the abstract informationcan be electronically transmitted to a central site, eliminating the need for local printing.
77 FIGURE 16 CREATE A CRIMINAL CASE
CR-9012-0095
CARROLL/ PETER 122690 DWUI,APCWUI;COMBINATION/
:us :
Horn = CONTINUE RETURN =: REVIEW End = PREVIOUS MENU
This screen is used to enter information for a criminal case initiated from an information or com- plaint. The screen allows for the creation of cases with up to 999 counts. After entry of the first count, all applicable informationis repeated for remaining counts, allowing the user to enter the appropriate offense for each count. When the complete docket is printed, the system will print the docket for all counts. If an Information supersedes a previously entered citation, the system will ask for the original case number. The system will supersede the original citation and create docket entries accordingly. In addition, the case will be linked to any case or cases to which the original citation was linked. Multiple cases involving the same defendant or cases involving similar issues can be linked or cross- referenced using the Link Case number field. A series of linked cases form a chain and reference back to the same case number (or mother case). This chaining allows rapid switching between linked cases.
:7a FIGURE 17 CASE DISPLAY & UPDATE
ONES :JOHN :J. I ATS IS IS A TEST MUNI OFFENSE 82490 U 90190 100.00 40.00
1 = CASE DATA DISPLAYS 2 = CASE UPDATE SCREENS 3 = SENTENCE & DISPOSITION UPDATES 4 = DOCKET ENTRY AND PRINTOUT 5 = APPEARANCE BOND ACTIONS 6 = OPTIONS FOR OTHER COUNTS & LINK CASES
End=PREV.MENU
Case Inqujl, Update, and Docketing The main case maintenance program, accessed from the main criminal menu, provides inquiry, update, and docketing functions. Case information can be retrieved by case number, docket number, citation number, or portion of the defendant name. Once the case has been located, the system will display the Case Display t3 Update screen. Case Datu Displays allows the user to look at case management data, bond and miscellaneous data, sentence data, motor vehicle information, and interested party information. With the exception of motor vehicle and interested party information, most of the data presented on display screens cannot be modi- fied.
79 FIGURE 18 CASE MANAGEMENT DATA
~~ 31 5-23 biiCe T MUNI OFFENSE
0190 40.00
PRESS ANY KEY
FIGURE 19 BOND & MISCELLANEOUS DATA
......
EACHAM/ MARGIE M. 234 TESO OOKE/ KIM
MDDYY MDDYY MDDYY MDDYY MDDYY MDDYY MDDYY MDDYY MDDYY MDDYY MDDYY MDDYY MDDYY MDDYY MDDYY
PRESS ANY KEY
Examples of the Case Management Data and Bond b Miscellaneous Data screens are shown in Figures 18 and 19. FIGURE 20 CASE DISPLAY & UPDATE
B JORNSEN :LESLIE 5-301 biii SPEEDING 74 IN 65
1 = DEFENDANT AND OFFENSE CHANGES 2 = WARRANT AND SUMMONS UPDATES 3 = INITIAL APPERANCE 4 = PRELIMINARY HEARING 5 = PRETRIAL CONFRENCE 6 = TRIAL AND DISPOSITION 7 = JUDGE,PROSECUTOR & MISC. 8 = DATES AND OTHER INFORMATION ENTER YOUR SELECTION : End=PREV.MENU
Case Update screens allow the user to enter and update the following information: defendant and offense, warrant and summons, initial appearance, preliminary hearing, pretrial conference, trial and disposition, miscellaneous descriptive data, miscellaneous dates, and other information. Figure 20 shows the Case Display & Update screen. When entry and editing are complete, the system displays the standard docket entries that will be made as a result. If desired, the user may edit the standard docket entries as they are being made. After each standard entry, the user may make miscellaneous (nonstandard)docket entries.
81 FIGURE 21 SENTENCE UPDATE
MDDYY
Horn = CONTINUE RETURN = REVIEW End = PREVIOUS MENU
L / Sentence and Disposition Update allows the user to enter or update sentence information, receipt a fine payment, enter changes to a fine payment schedule, or print a fine statement. This module provides for entry and tracking of sentences, including jail, fines, costs, victim’s compensation, restitution, community service, and probation information for each count. Free-form fields are provided for entering additional jail or probation conditions. The system also totals the associated fines, fees, and costs for all counts and allows the user to estabIish a payment schedule for the defendant. The system can distribute payments to the appropriate accounts based on the court-defined chart of accounts or allow manual distribution, if desired. A fine statement may be printed on demand. Finally, this screen allows the user to alter any or all of the sentence information and increase or add additional fines, costs, and victim’s compensation. All sentence information is automatically docketed to the case.
82 FIGURE 22 DOCKETING MENU
THIS IS A TEST MUNI OFFENSE
1 = INITIAL PHASE 2 = WARRANTS AND SUMMONS 3 = MOTION FILING AND RESULTING ORDERS 4 = BOND AND SHOW-CAUSE HEARINGS 5 = ACTIONS BEFORE DISPOSITION 6 = APPEAL 7 = NON-STANDARD DOCKET ENTRIES 8 = DISPLAY DOCKET 9 = PRINT DOCKET 10 = EDIT DOCKET ENTRIES
End = PREVIOUS 1 = DOWN MENU T = UP
Docket Entry and Printout functions allow the court to maintain standard docket entries used by the system, create nonstandard docket entries for a case, and display and print a docket for a specific case. Standard docket entries (items 1-61 are organized into six categories. Each entry in the table includes the description of the event, a threedigit code (used by the system to calculate docket-based statistics), and the associated case status. The case status codes can be used to monitor cases throughout the judicial process. Case status is continuously updated based on the last docket event added and is displayed with the basic case information. Nonstandard docket entries can be added to a case to supplement the standard entries. The system uses only the standard entries to calculate and report docket-based statistics. Users can display or print the complete case docket. The docket can also be displayed and edited on the screen. If desired, a flag can be set in the standard event table to inhibit user editing.
83 FIGURE 23 CRIMINAL CASE MANA.GEMENT REPORTS MENU
1 = ACTIVE CASE LIST (ALL CASES)
2 = ACTIVE CASE LIST (BY JUDGES) 3 = CASES ON APPEAL 4 = OUSTANDING WARRANTS LIST 5 = EXPIRED FTA WARRANT LIST 6 = COMPLETE CASE STAGING
7 = PRINT CASE INACTIVITY REPORT
TIME = 11:57 AM WYOMING COURT DEVELOPMENT SYSTEM I=DN End=PREV. MENU DATE = 12/26/90/I Copyright (c) 1985 The Software House /I l=UP cEd=LOG OFF /I
Criminal system reports are grouped into three categories: case management reports, case-specific reports, and system reports. The case management reports provide information used for monitoring the caseload (Figure 23). Case-specific reports will generate the docket, sentencing data, and list of interested parties for a single case. The user can merge this information into a word-processing document for generating custom notices and correspondence. The criminal system reports allow the user to print the information contained in system tables and parameter files, status table, events table, case status codes, name and address file, and criminal and accounting system parameters.
Criminal case management reports include: Active Case List. The active case list can be printed for all cases and sorted by judge. Cases are listed in case number order. Outstanding Warrants List. This list includes all cases for which a warrant has been issued but not yet executed or canceled. Cases are sorted by warrant type and printed in case number order within warrant type grouping. Expired FTA Warrant List. The system can search for all outstanding ITA warrants whose date of issue is more than one year old. The selected cases are printed in case number order. Complete Case Staging. The system can print, grouped by case stage, all active cases in case number order. Subtotals are calculated, and page breaks occur after each stage type. ADDITIONALFEATURES is easy to use, providing menu-driven capabilities to search, sort, edit, and print data from any General Accounting calendar, criminal, or civil database file. All active case-related accounting procedures Courts can use the AIMS design capabilities to are integrated into the case management functions develop their own unique files and applications. of the criminal system. Manual accounting (For example, as a temporary measure before the procedures supplement the integrated accounting civil system implementation, the clerk of the and enable the user to receive cash for off-line Natrona County court developed a civil case cases; record miscellaneous accounting transac- management system using AIMS). AIMS allows tions, such as journal entries or receipting cash for users to search, edit, or print reports. These another court; and void a receipt and reset the database procedures and reports can be saved and next receipt number. easily added to standard report menus for access A variety of accounting reports are available, by other users. including chart of accounts, standard account distributions, fines receivable, month-todate cash Multi-processing Environments receipts and disbursements, trial balance, and Windowing, or multi-tasking, allows a user to transaction details. have the calendar, criminal case management The master chart of accounts and standard system, word processing, and electronic mail account distributions are userdefined tables. The running concurrently on a workstation. Although system supports any fiscal year and can provide the Wyoming software is “Microsoft Windows complete audit trails. compliant,” true multi-tasking requires a signifi- cant amount of memory at the workstation Form and Notice Generation (enough RAM to run each concurrent application, Calendar notices and addresses reside in user- plus overhead). However, the standard Wyoming defined database text files. When producing these workstation configuration has only 512K RAM,not notices, the user may modify the standard text, enough for multi-tasking. Thus, working within which can be displayed on the screen for editing. this limitation, ECS is implementing a ”task- The edited text can be used for one or all of the swapping” solution to provide similar (window- notices. If the standard notices are changed, the ing) capabilities to users. court can modify the text file without programmer Users can open multiple applications and hot intervention. key (use a special keystroke) to switch between A word-processing interface supports the them. The inactive application is then swapped to need to develop custom notices, forms, and other disk, and the desired application is loaded. On a documents. These documents can be merged with typical Wyoming network, this takes approxi- data from the calendar, criminal, and civil data- mately eight seconds. For example, if during base files. DATA 3500 (document and text assem- entry of a citation, the clerk receives a telephone bler) is the multi-user word-processing system inquiry about a scheduled event, the clerk would used by the Wyoming courts. A laser printer hot-key to the calendar, answer the question, hot- driver provides line and box graphics, multiple key to the electronic mail system, send a memo to fonts, screening, and special legal characters. the judge requesting consideration of a continu- The AIMS report writer is available for the ance, and hot-key back to the citation, to continue court to create custom reports and forms. This entering the citation from the point at which the system allows users to create standard column, clerk was interrupted. Before implementation of free-form, and word-processing merge reports. this feature, the clerk had to complete entry of the The procedure for searching, sorting, and printing citation and exit out of the citation program before the report can be remembered by the system and accessing the calendar. placed on a menu for future access. All of these functionsare accomplished without programmer Telecommunications and Polling intervention. Statewide data collection was necessary to meet the requirements for a comprehensive Ad Hoc Inquiry criminal information database containing current, Ad hoc inquiry is the ability of the software to accurate information on all pending criminal cases respond to the unique requirements of an indi- and disposition data on all prior offenses. Each vidual court. The database management system is court configuration includes all the telecommuni- flexible and easy for clerks to use. Wyoming’s cations (TC) hardware and software necessary for calendar, criminal, and civil application software collecting this data. was developed using AIMS, an application devel- At day’s end, an extraction program collects opment and database management system. AIMS and writes all updated records to a TC file on the
85 network. Overnight, an unattended polling supported in the calendar and criminal systems, system on the supreme court’s network in Chey- including selfdocketing, extensive use of court- enne collects the TC files from the individual defined tables and parameters, accounting, and networks. This is done after 1190 P.M. when on-line field-IeveI help. The civil system will telephone rates are lowest. The following mom- support entry and monitoring of small claims, ing, the collected data is combined into one large civil, and domestic violence matters from filing file and is uploaded to the state’s IBM mainframe through disposition. AIMS will provide flexibility to update the statewide criminal information in reporting and ad hoc inquiry. A word-process- database. This same TC and polling system is ing interface will provide customized forms. used by the supreme court to collect monthly caseload statistics. HARDWAREREQUIREMENTS Call-back security can be used in the TC process. If so, the supreme court computer Each Wyoming court uses a Novell local area initiates the call to each court. The initial connec- network (LAN) and NCR PCs for workstations and tion is terminated, and the court computer calls file servers. The networks range in size from a the computer at the supreme court back to pro- single-user PC with 44 megabytes of disk storage ceed. A court will be called a maximum of five at the smaller courts to 14 workstation networks times to establish the connection. Once the with more than 230 megabytes of storage at the connection is established, the computers exchange larger courts. User workstations are primarily passwords before transferring data. diskless to facilitate security and promote unifor- A computer-generated log documenting the mity. One high-speed (42Ocps) dot matrix system nightly polling process is created at the supreme printer and one or more laser printers are included court. For each court, the log contains the number at each site, while additional cash receipt printers of attempted connections, time spent in data are provided for the higher volume courts. Addi- transmission, and whether the transmission was tionally, each site has an NCR PC with a 1200 or successful or unsuccessful. 2400 baud modem to facilitate telecommunications At the individual court, the end-of-day over standard phone lines between individual extraction program will check to see if the data courts and between individual courts and the was successfully polled the previous night. If so, supreme court. ,ThisTC workstation is also used the previous day’s data is deleted and replaced by ECS to provide remote software support and with the current day’s information. If the court updates to the court site. was not successfully polled, the current day’s data The supreme court’s network is a 2!5-worksta- is extracted and added to the previous day‘s data tion Novell LAN with 600 megabytes of storage. held in the TC file. Upon successful transmission, To minimize the cost of cabling, existing phone the supreme court computer sends back an wiring was used to hook up one-half of the acknowledgment file, indicating that a successful network. It is on this network that the criminal polling session was completed, and updates the information from individual courts is collected via date of last extraction. the polling system. In consideration of performance factors, ECS FUTUREENHANCEMENTS recommends the following minimum configura- tions for single-user or multi-user networked MS- Statewide Judicial Wide Area Network (WAN) Dos systems ECS is installing the Higgins electronic mail system on each court network. Users will be able 80286 CPUs (10MHz or faster) to send electronic memos back and forth across the 512K RAM on workstations (additional RAM network and to other users across the state. required for windowing) As a result of the telecommunications equip- Hercules-compatible monochrome monitor ment installed for statewide polling and remote 1.5 to 3.0 MB RAM on file servers (if net- logon, most of the hardware required to tie the worked) networks together into a wide area E-mail net- Hard disk in workstation (or file server if work was already in place. Memos, word-process- net worked) ing documents, and case files can be sent by any user, from any workstation, to any other user on The proprietary software currently required to the statewide judicial WAN. run the Wyoming Court Automation System is as follows Civil Case Management System The civil case management system will Niakwa BASIC-2C compiled Basic language incorporate the same conventions and features AIMS 4.3~with Remember DataBase Manage- ment System
86 HOOK Data Base Manager AIMS database management system, the Court DATA 3500 Word Processing (optional) Calendar, and Criminal Case Management system. A supported operating system, (that is, MS- DOS, Novell Netware, Xenix, Unix, or VMS) support ECS provides on-site, telephone, and remote SECURITY support via modem. In addition, courts and ECS will be able to handle some support calls via Multiple levels of security are available. At the electronic mail. network level, Novell offersmany security options Diskless workstations minimize potential for networks and operating systems, including problems that can occur in networked installa- user password, directory access, read only, read/ tions. Courts wanting to try new generic software write, and parental. applications are instructed to contact ECS. Once At the application level, additional multiple the vendor tests the generic application in the levels of security can be established, including network environment and determines there are no menu item, file, record, field, and report. Transac- problems, the application is made accessible to tion tracking (user/date/time) can be imple- users. From the vendofs perspective, this proce- mented using the docket file, if access is restricted dure has made support for this statewide system on other levels. User logs can track every menu manageable. selection made by a user. In Wyoming, after initial implementation of Support Newsletter multiple levels of security, court personnel deter- ECS publishes a support newsletter that mined that the complex security structure was documents common problems and questions from more burdensome than it was worth and decided around the state (with appropriate solutions) that to employ only login security for all of the court‘s is distributed to all Wyoming court installations. bonded employees and read-only security for The newsletter also contains information from guests. meetings of the Wyoming court automation procedures committee. DOCUMENTATION ISSUESAND CONCLUSIONS Draft user manuals for criminal and calendar systems are currently available. These manuals do The current release of the Wyoming court automa- not reflect the numerous system enhancements tion system is in the public domain. Every effort that have been implemented to date. Final ver- was made during system development to ensure sions of the criminal and calendar system user that the software would be supported in multiple manuals will be available the first quarter of 1991. operating environmentsand across multiple Manuals are organized in sections based on main hardware platforms. Courts will be able to take menus and the functions available from each. some advantage of the system without having to Sample screens and descriptive text guide users change existing hardware. through the system. System documentation, file The Wyoming software has been targeted to and database layouts, program flowcharts, and support courts that process a relatively low program indexes are available from the supreme volume of cases. The vendor acknowledges that court. the current Niakwa and AIMS application environ- In addition to the application software docu- ment cannot effectively process and manage high mentation, ECS provides the manufacturers’ volumes of cases. ECS is considering rewriting the documentation for Niakwa Basic-2C, AIMS Data- software to alleviate this problem or porting the base Management System, and DATA 3500 Word system to an environment more suitable for high Processing. volume courts. The final versions of the calendar and criminal TRAININGAND SYSTEM SUPPORT case management system user’s manuals are being completed. Current documentation represents the Court Automation Training Center original version of the software and does not In their continued support and commitment to include enhancements and modifications made to the Wyoming court automation project, the date. Wyoming Supreme Court has established a The ad hoc capabilities provided with most centralized training facility at the Natrona County court application software are difficult to use, Court in Casper. Managed and staffed by ECS, the especially for the clerks-those whom the ad hoc training center provides clerks and judges with capabilitiesare intended to help. The purported introductory classes on computers and networks strength of ad hoc inquiry and reporting is to and user classes on DATA 3500 Word Processing, enable the court to customize inquiries and reports
87 to enhance the standard reports and inquiries cesses. Once uniformity has been established, provided with the software. Clerks in the Wyo- Wyoming personnel suggest that technical ming courts are using the AIMS database manage- staff increase their level of understanding ment system to create files, process inquiries, and about court operations and promote effective generate custom reports outside the court applica- communication between themselves and end tion. Courts evaluating software applications with users. ad hoc capability need to assess their level of computer sophistication and decide whether a The success of Wyoming's statewide automa- clerk with a novice orientation will be able to use tion project is attributed to the ongoing commit- this feature or will be dependent on computer ment and support of the supreme court. Through support staff for developing custom inquiries and establishment of a statewide training center, reports. involvement of the users through automation and Wyoming court personnel suggested several design committees, and dedication, cooperation, areas that courts should consider when planning and support from the vendor, Wyoming has an automation project: achieved its project objectives. For further information about the Wyoming Timing, with respect to availability of funds Court Automation Project and the calendar, and the availability of staff and resources to criminal and civil case management systems, perform the work, is critical in project sched- readers are invited to contact: uling. In Wyoming, the vendor was ready to commence work, but funding was not avail- Hon. Richard V. Thomas able for three months. When funding became Chairman, Advisory Committee on available, the vendor had assigned staff to Court Automation other projects, resulting in a six-month lag in Supreme Court of Wyoming the project schedule. Cheyenne, WY 82002 Wyoming personnel strongly recommend the (307) 777-7503 democratic process they used when designing the system, but caution that the process seems Mr. Allen T. Stewart I11 to work best with complex problems and Vice President tends to slow the resolution of simpler prob- Ea, Inc. lems. 78 N Main St. For a statewide automation effort to be P.O. Box 167 successful, all courts must adopt uniform Driggs, ID 83422 procedures. Time should be spent examining (208) 354-8200 and streamlining the court's manual pro- Alabama State Judicial Information System Juvenile System
Administrative Office of the Courts Montgomery, Alabama
The latest major SJIS application reflects the AOC's current approach to mainframe applications from planning; analytical, and technical perspectives.
Prepared by J. Douglas Walker Senior Staff Associate ALABAMA STATE JUDICIAL INFORMATION SYSTEM Traffic Civil Criminal Juvenile System Features/Functions Docketing/Register of Actions X X Indexing Scheduling (AutomaticAssignment) Calendar Preparation X X Individual Calendar X X Master Calendar X X Notice Generation X X Management/Statistid Reporting X X Warrant Generation and/or Monitoring Diversion Tracking Prosecutor and/or Public Defender Scheduling Automated Minute Sheets Exhibit Management Sentencing Guidelines Determination X X X Judgment/Disposition Probation Monitoring Case Consolidation Ticket/Citation Book Control Physical File Control X X Moving Violations X X Nontraffic Ordinance Violations Parking Ad hoc Reporting On-line Help Facility Accounting Automatic Distribution of Fine/Fees Revenue Accounting [not integrated1 Bail and/or Bond Res ti tu tion Recondliation Cashiering Indigent Defense Tracking Reconciliation Reimbursement of Costs Environments Supported IBM IBM IBM IBM Hard ware Manufacturer U U U U LAN Micro-based Multi-user Mini X X X X Mainframe COBOL COBOL COBOL COBOL Primary Programming Language Documentation X X X X Useis Instructions Operations Instructions X X X X System Specifications X X X X Program Index System Documentation Installation Guide support X X X X Telephone X X X X On-site X X X X Remote 14 14 14 5 Number of Court Installations Legend X = Operational U = UnderDevelopment Alabama State Judicial Information System Juvenile System
Administrative Office of the Courts
THE ALABAMA STATE JUDICIAL INFORMATION System (SJIS) was developed by the administrative officeof the courts (Am) to serve the operational and management needs of the trial courts across the state. Automation of the trial courts began in 1977 with a statistical caseload reporting system that summarized case-filing and disposition information collected from all the trial courts. In 1980 the AOC made plans to automate the day-to- day operations in the individual trial courts by 1982. An advisory committee developed criminal case-processing and -indexing systems at the circuit court level and implemented them on minicomputers in two pilot counties. By 1983, the AOC had established the judicial policymaking and regulatory body, the committee data center with an IBM 4300 (small mainframe) is responsible for reviewing, coordinating, and computer and telecommunicationsnetwork. approving all requests for improvements from the Applications in the pilot courts were moved from different courts. The AOC’s MIS staff provides the local minicomputers to the central mainframe technical advice to the committee, but the commit- network, and three more courts were added to the tee decides which changes will be incorporated pilot counties. The AOC gradually expanded the statewide. management information services (MIS) staff and SJIS comprises several different application developed and tested additional applications. As systems that have been developed and revised the computer and telecommunications network over the years. They include capabilities were upgraded, other large courts around the state were automated. Criminal Case Processing Currently, SJIS is implemented in 14 courts Civil Case Processing located in 16 sites around the state. With one Traffic Case Processing exception, the system supports both the circuit Juvenile and district courts at each location. Because these Name Index courts are the largest among Alabama’s 67 trial Attorney courts, the system handles over two-thirds of the Witness Subpoena total state caseload. Court Payment The Alabama AOC works closely with court Jury Management personnel throughout the process of developing, testing, implementing, and maintaining SJIS. Staff While minor corrections and enhancements are from the original pilot courts provided valuable made continually, the MIS division schedules a feedback as systems were improved. As SJIS complete review for each major application every spread beyond the original pilot counties, the AOC three to four years, thereby ensuring that all established a formal committee of court represen- applications remain responsive to user needs, tatives to set standards and regulate changes to retain clean and structured programming, and the applications. Functioning as both a benefit from enhancements made to other systems.
91 Consequently, most applications are now in their slowed the spread of SJIS to additional courts. second or third generation. Committed to serve the remaining courts in The juvenile system is the latest major applica- the state, most of which are clamoring for automa- tion to be developed and reflects the AOC‘s tion, the AOC plans a two-pronged approach to current approach to mainframe applications from expand SJIS. Part of the plan involves replacing planning, analytical, and technical perspectives. the venerable 4381 computer with a larger main- Its development began in 1988 and was largely frame that will add the next tier of medium-sized funded under a grant from the State Justice courts and expand the juvenile system to the Institute. When this review took place, the remaining SJIS users who want it. As the main- application had been installed in only five sites. frame-processing capabilities are increased, the Since the judicial data center was established, MIS staff will also explore alternatives for shifting SJIS has been exclusively a centralized system, from COBOL and flat-file application development operating on the AOC’s mainframe computer, with to a fourth-generation language (4GL) and data- remote terminals and printers located in the courts base management system (DBMS), perhaps within and tied into the computer through the state’s the next two years. communicationsnetwork. Each court, therefore, For the smaller courts, the AOC is testing a accesses essentially the same software, which version of the software applications that will run resides on the central mainframe and is main- on a personal computer local-area network (PC- tained by MIS. MIS staff set up and maintain LAN) installed in each court. Banyan Vines was individualized control files for each court. All of chosen as the network operating system for the the major applications on the mainframe are PC-LAN, and the applications will be developed programmed in COBOL, using a flat (VSAM) file using Dataflex, a relational DBMS package. The structure. Interactive programs run under IBM’s MIS staff plans to capitalize on the experience command-level CICS, and Pansophic Systems’ gained from converting the basic design of SJIS GENER/OL is used mainly as a print facility applications to a PC-LAN system based on a 4GL/ (earlier attempts to develop interactive programs DBMS approach when the time comes to perform a under GENER/OL were abandoned because the similar conversion for the mainframe version of AOC wanted to minimize the technical complexity SJIS. As the PC-LAN development process nears for court personnel). completion, the AOC will determine the relative The judicial data center currently operates an cost-effectivenessof implementing the mainframe- IBM 4381 Model P13 computer with 16 megabytes based system in progressively smaller courts and of main memory and 20 gigabytes of disk storage the LAN-based system in progressively larger (DASD). The computer runs under the VSE/SP courts. It will then be able to select the most operating system. Communications are handled suitable option for each of the remaining courts. through an IBM 3725-002 JO4 communications controller, and the state’s network operates under ACKNOWLEDGMENTS IBM’s SNA/SDLC communications protocol. The computer system serves nearly 600 terminals and NCSC staff visited the AOC in Montgomery and 100 printers throughout the state and supports the the courts in Montgomery and Lee counties to AOC’s administrativeapplications and the MIS interview data-processing staff, administrators, staff‘s development efforts as well as the normal court managers, and staff who use SJIS. The operation of SJIS. The system processes, on the following persons contributed to the report: average, over 110,OOO on-line transactions and 7300 print jobs per day. ACE Through continuous fine tuning of the soft- Robert H. Tillman, Director of Management ware, operating system, and hardware, the MIS Information Services operations staff has maintained an average terminal response time of less than two seconds Mike Carroll, Assistant Director of MIS except during times of peak usage, which is remarkable for such a processing load on this class Cary Thornton, Programmer/Analyst of computer system. Most batch reports are run at night so that court users can obtain printouts of Jerry W. Young, Programmer/Analyst essential documents quickly during the business day. Despite the MIS staff‘s ability to wring every Mary Ann Breunig, Programmer/Analyst ounce of performance from its system, the present computer is overburdened and unable to handle John J. O’Sullivan, Manager of the Judicial any increase in work load. This limitation, to- Data Center gether with general budgetary constraints, has
92 Montgomery County: district court handles small claims cases and Debra P. Hackett, Clerk of Court criminal traffic cases. Although the probate court is established by Bruce R. Howell, Chief Probation Officer the constitution of Alabama as part of the judicial system, it is locally funded by each of the 67 Michael Provitt, Juvenile Intake Supervisor counties and is not supported by SJIS. The 276 municipal courts in Alabama are also locally Beverly Wise, Juvenile Casework Supervisor funded and do not participate in SJIS. If munia- palities elect to abolish their municipal courts, Lee County: jurisdiction is transferred to the district court. Annette H. Hardy, Clerk of Court 15m JUDICIAL DISTRICT, Barbara Coats, JuvenileClerk MONTGOMERYCOUNTY Karen B. Trussell, Chief Probation Officer The 15th Judicial District serves a metropolitan area population of 310,000. The court handles Perry R Hinds, Juvenile Probation Officer approximately 13,000 total cases at the circuit court level and 29,000 cases at the district court Valerie Lincoln, Juvenile Probation Secretary. level annually. There are seven circuit judges and three district judges in Montgomery County. The ALABAMACOURT ORGANIZATION clerk of court has a staff of 11 for circuit court functions, 17 for district court functions, and 14 for The Alabama court system consists of a court of domestic relations cases. last resort-the supreme court; two intermediate As one of the original pilot sites, Montgomery courts of appeals-the court of civil appeals and County has used SJISsince 1982. It began with the court of criminal appeal; a general jurisdiction only the name index system and added applica- court-the circuit court; and three courts of tions as they were developed by the AOC staff. limited jurisdiction-the district court, probate This court was also one of the two pilot courts for court, and municipal court. The state is divided the new juvenile system focused on in this report. into 39 judicial circuits, which are composed of SJIS is an integral part of the daily operation of the one to five counties, but circuit court is held in clerk's office, where a terminal is located on nearly each of the 67 counties. The district court is the every desk. state trial court of limited jurisdiction, and it is a nonjury court of record. There is a district court in 37TH JUDICIALDISTRICT, LEE COUNTY each county. SJIS supports both the circuit and district The 37th Judicial District, serving a population of courts, which have many of the same case-process- approximately 75,000, is among the smaller of the ing needs. Both courts handle civil, criminal, and courts currently served by SJIS. The court handles juvenile cases, with the differences being mainly in approximately 2,500 cases at the circuit level and the amount of damages sought or the seriousness 15,000 at the district level. There are two circuit of the offense. In addition, the circuit court court judges and two district court judges in Lee handles domestic relations cases and cases ap- County. The clerk of court has a total staff of 14 pealed from district and municipal courts; the full-time employees plus one warrant clerk who works only at night. Each of the clerk's office staff has a terminal and uses SJISextensively. Although the court did not have SJISimplemented until 1986, it was one of the two pilot courts for the development of the juvenile system.
GENERALSYSTEM OVERVIEW The Alabama State Judicial InformationSystem provides operational and management support to the trial courts in the state and provides statistical data required by the AOC. In addition to routine use by court personnel, SJISis accessible to the public in most of the courts in which it is installed through public-access terminals located in the
93 court. Some courts reserve one or more terminals In addition to the case summary sheet and for public use, while others allow public access court calendars, overall SJISproduces approxi- through one of the counter terminals used by staff mately 65 forms and various types of orders, in the clerk's office. Many of these terminals summonses, judgment certificates, failure-to- receive heavy use by probation officers, law appear notices, cost bills, witness subpoenas, and enforcement officers, prosecutors, attorneys, and executions. An extensive complement of manage- credit bureau personnel. In three counties, ment and statistical reports can also be produced moreover, SJIS is accessed by law firms through by local court users, including those needed for remote terminals located in their offices. Cur- local court management and those required by the rently, about ten firms use this capability. Public state. SJISprovides over 90 of such predefined access to SJIS is limited to inquiry functions only, reports across all applications. Although there is and even inquiry is not permitted in sensitive no provision for ad hoc queries and report genera- areas such as juvenile records, child support tion by the local users, the AOC staff can provide payment records, and youthful offender records in additional onetime and special-purpose reports the criminal system. as needed. SJISis accessible through a master menu Although the system supports various screen, and each application is predominantly casetypes, this review highlights the entry of a menu- and function keydriven. The different juvenile matter from intake through disposition. application systems constituting SJIS are largely The following pages present sample screens and independent, although some applications are output to illustrate the flow and accessibility of universal. For example, a person involved as a information throughout the system. party in both a civil and a criminal case would have to be entered separately into the civil and JUVENILESYSTEM OVERVIEW criminal systems. Once entered, however, the party would show up for both cases in the SJIS The Alabama JuvenileSystem is the latest of the Name Index System. Two other universal applica- major applications developed by the AOC. Its tions, the Court Payment System and the Witness development was made possible through a grant Subpoena System, can be used for any type of awarded by the State Justice Institute and took case; there is, however, no linkage between the place over approximately 18 months, beginning in case-processing files and the financial files, or October 1988. A full-time programmer/analyst between subpoena records and case records. was hired exclusively for the juvenile application. SJIScaptures most of the information needed Working with other AOC personnel and a juvenile for reference during subsequent case-tracking and automation user committee of court personnel inquiry activities, for production of numerous appointed by the chief justice of the Alabama forms and other papers, and for management and Supreme Court, the programmer/analyst devel- statistical reports. For example, the civil, criminal, oped the system in seven major phases. tnitially, and juvenile systems all capture basic case and two pilot courts were involved in this effort, but party identification and classification data the grant was later extended to cover two addi- throughout the life of a case. Important dates for tional pilot counties who funded their own many of the standard milestone events are also equipment. captured in date fields on the screens. The sys- The Alabama Juvenile System is designed to tems also provide for entry of scheduled events be comprehensive, providing extensive daily and subsequent production of calendars. Unfortu- operational support to juvenile court personnel as nately, none of the systems provides a full elec- well as management information to the courts and tronic register of actions (or electronic "docket to the AOC. It can capture information on juvenile sheet") through which all documents filed and all cases from the initial intake process through case events can be recorded. Such activities must complete adjudication of each incident. Consis- be recorded manually to form a complete case tent with the other applicationsof SJIS, the differ- history. The systems do produce the case sum- ent functions within the juvenile system are mary sheet on which the manual entries are made, controlled through a combination of menu screens however, with the basic case and attorney infor- and function keys. mation printed at the top.
94 FIGURE 1 SJIS MASTER MENU
soooo ALABAMA JUDICIAL INFORMATION SYSTEM ***** M A S T E R M E N U *****
1 INDEX SYSTEM 2 CRIMINAL SYSTEM 3 TRAFFIC SYSTEM 4 CIVIL SYSTEM 5 ATTORNEY SYSTEM 6 ELECTION OFFICERS SYSTEM 7 JAIL REWRTING SYSTEM 8 MESSAGE & REQUEST SYSTEM 9 COURT PAYMENT SYSTEM 10 WITNESS SUBPOENAS 11 JUROR PAYMENT SYSTEM 12 JUVENILE SYSTEM 13 JUROR SUMMONS SYSTEM
ENTER YOUR SELECTION AND DEPRESS ENTER, ANY OTHER KEY TERMINATES THIS SESSION,
Users signing on to the system first see the SJISMasferMenu screen. It permits the user to select the mapr application system needed for the particular task to be accomplished. The exact items that appear on the Muster Menu will depend on the identity of the user and the location of the user's terminal.
95 FIGURE 2 JUVENILE SYSTEM MASTER MENU
e Y JUVOO ALABAMA JUDICIAL DATA CENTER 5/29/90 MERCER ***** JUVENILE SYSTEM MASTER MENU ***** AJOO w ILCOX
1 INTAKE MAINTENANCE 2 INTAKE NAME BROWSE 3 PARTY MAINTENANCE 4 PARTY NAME BROWSE 5 PARTY NUMBER BROWSE 6 COMPLAINT MAINTENANCE 7 COMPLAINT BROWSE 0 TREATMENT MAINTENANCE 9 TEXT INQUIRE 10 TEXT BROWSE 11 CODES MAINT/BROWSE 12 FORMS MENU 13 REPORT MENU 14 COMPLAINT/PETITION PRINT 15 DOCKETING MENU 16 SUBPOENA/NOTICE/SUMMONS
ENTER =SELECTION F1 =REV MENU
c d The Juvenile System Master Menu screen provides the operator with access to major functions of the juvenile system. Upon typing the penu number of the desired function and pressing the Enter key, the user is taken to the data screen or submenu screen listed on the master menu. To exit the juvenile system altogether, the user presses the PFl function key to return to the overall SJISMaster Menu screen.
96 FIGURE 3 JUVENILE SYSTEM INTAKE MAINTENANCE
JUVO3 ALABAMA JUDICIAL DATA CENTER JUVJVO3 ***** JUVENILE SYSTEM INTAKE MAINTENANCE *****
JU 00 COMPLAINT : co :
205 / 000 - 0000
LAST UPD: OPER : PFl=SJIS PF2=JUV PF3=NAME BRW PF4XLEAR PF5PRTY NAME BRW PFQPRTY NO BRW PF7=COMPLAINT PF8zCOMPLNT BROWSE PF9-TREATMENT PFll=DUP ADD PF12zPRTY
The Juvenile System Intake Maintenance screen is used to enter a juvenile case into the system. The juvenile intake officer enters basic personal information about the juvenile. Thereafter, the screen is used directly for reference, and the data in the file are also referenced by other screens and functions. The case number may be entered by the user, or, if it is left blank, the system automatically assigns the next available case number. The complaint field displays the total number of complaints that have been filed against the individual once complaint information has been entered into the system files. Both a legal name and an alias may be entered for each intake record, although the alias field is not cross- referenced on a subsequent name index search. The remainder of the screen contains mostly identifying and locating information about the juvenile. Only the name and date-of-birth fields are mandatory, but the other information is usually known at the time of initial intake or is added to the screen later. Listed at the bottom of this screen are the function keys that can be used to jump directly to other functions in the system. Every data screen in the system has a similar list of available function keys that can be invoked. These keys permit an experienced user to move around in the system quickly and efficiently, without relying completely on the menu screens.
97 FIGURE 4 JUVENILE SYSTEM INTAKE NAME BROWSE
JUVO4 ALABAMA JUDICIAL DATA CENTER JUVJVO4 ***** JUVENILE SYSTEM INTAKE NAME BROWSE -*** ......
AARON JEFFERY JU 88 000294 00 102079 MB I RTM AARON VIRGINIA JU 89 081764 00 121848 FE A WBA AARON WILLIE EASTER JU 89 000914 00 032658 FB A RTM AARON WILLIE FRANK JU 86 000157 00 111571 MB A WBA ABATE THOMAS (NMN) JR JU 89 000087 00 022678 MW A SFW ABATE TIMOTHY JU 89 000108 00 042081 MW A SFW ABBOTT JEFF NEAL JU 89 000711 00 011474 MW A ABERNATHY ANDRIA GAYLE JU 89 001034 00 000008 FW A ABERNATHY BONNIE JEAN JU 87 000242 00 030470 A TLD ABNER ALBERT J JU 87 000282 00 060571 MB A WBA ABNER IJESTER LEE JR JU 90 000693 00 052976 MB A MLW ABNER LOUELLA JOANN JU 89 000976 00 122774 FB A MWM ABNER WILLIE JAMES JU 87 001001 00 021873 MB A MLW ABRAMS...... CHARLES ANTHONY JU 85 014190 00 032070 A SET
PFl=SJIS PF2=JUV PF4=CLEAR PF5=PRTY NAME BROWSE PF6=PRTY NO BROWSE PF7XOMPLAINT PF8zCOMPLNT BROWSE PFS-TREAT PFlO=FWD PFll=INTAKE PF12=PRTY
~~ ~ The Juvenile System Intake Name Browse screen allows the user to search for all juveniles who have been entered through the Intake Maintenance screen. This screen is used for initial entry of a juvenile into the system and to make sure that the individual does not already have an intake record. Thereafter, it is used to retrieve a record on the basis of the intake name for any pu'pose. The user types in as much of the name as is known, and the system retrieves all names in the intake file that are alphabetically equal to or greater than the entered name. The system does not use phonetic coding to retrieve names, but it allows the user to broaden the search by entering as little of the name as desired, down to a single letter. For each record in the intake file, the system displays the full name, case number, date of birth, sex, race, status of the juvenile (for example, active, inactive, transferred), and assigned probation officer. The user may retrieve an intake record directly from this screen by placing the cursor next to the desired name and pressing the ALT and PFll keys simultaneously. This system then displays the Intake Muinte- nume screen with the selected case number already entered.
98 FIGURE 5 JUVENILECOMPLAINT MAINTENANCE
r > JUVOl ALABAMA JUDICIAL DATA CENTER JUVJVOl ***** JUVENILE SYSTEM COMPLAINT MAINTENANCE we***
JU 00
PFl=TREAT PF2=JUV PF3=NAME BRW PF4zCLEAR PF5=PRTY NAME BRW PF6=PRTY NO BRW PF7zFORMS PF&COMPL BRW PFS-C/P PRT PFlO=DUP ADD PFlkINTAKE PF12ZPRTY
c / Once an intake record has been entered for a juvenile, the system accepts complaints filed against that person. The Juvenile Complaint Maintenance screen is used to enter each complaint or to retrieve complaint information for review. If the user has jumped to this screen from the intake screen, the system automati- cally fills in the case number and name fields. Each complaint entered will have the root case number plus a two-digit sequential number after the decimal point (that is, from .01 to .99); the system will accept up to 99 complaints for a single juvenile intake record. The top half of the screen contains fields describ ing the nature of the complaint and information about the arrest and detention of the juvenile. The bottom half of the screen contains information about the petition and adjudication, if the com- plaint results in a petition that is heard by the court. The system can assign the case to a judge automati- cally upon the basis of a ratio specified by each court. Attorneys for the child, parent, and any other party are entered through the use of codes corresponding to the overall SJISattorney table file. Also, through this screen, the hearing date can be set and the priority order within a date can be established. Court calendars can subsequently be produced on the basis of the hearing date and time entered on this screen.
99 FIGURE 6 COMPLAINT NUMBER BROWSE
JUVO2 ALABAMA JUDICIAL DATA CENTER JUVJVO2 ***** JUVENILE SYSTEM COMPLAINT NUMBER BROWSE *****
su @ 00
JU 81 007061 01 110689 110689 1 000000 JCIC JU 82 829100 01 120489 120489 0 000000 JCIC JU 82 829101 01 120489 120489 0 000000 JCIC JU 82 829102 01 120489 120489 0 000000 JCIC JU 82 829103 01 120489 120489 0 000000 JCIC JU 85 014836 02 112789 112789 1 000000 JCIC JU 86 000003 01 031789 000000 000000 JRUN JU 86 000003 11 031789 000000 000000 JRUN JU 86 000003 12 032089 000000 032089 JRUN JU 86 000003 13 032789 032789 Z 032789 JUNG JU 86 000003 15 081389 081389 2 081389 JRUN JU 86 000003 16 091289 091289 2 091289 USMV JU 86 000003 17 091289 091289 2 091289 JRUN JU 86 000005 13 042989 042989 2 042989 PREV
PFl=TREAT PF2= JUV PF3=INTAKE BROWSE PF4=CLEAR PF5=PRTY NAME BROWSE PF6=PRTY NUMBER BROWSE PF7=COMPLNT PFlO=FWD PFll=INTAKE PF12=PARTY
The system provides a simple means to view the entire history of complaints against a particular juvenile. The Complaint Number Browse screen lists all complaints filed under a specific base case number in case number (complaint number) order, one line per complaint. In addition to the case number, the screen shows the complaint date, action date, action code (indicating the action taken on the complaint, rather than the disposition of the petition by the court), petition date, incident code, and court number (a cross-reference number used by some courts, chiefly for referencing a previous case for the same juvenile that was filed under a former numbering system). The user may view any detailed complaint/petition record by placing the cursor next to the line displaying the desired complaint summary and pressing the ALT and PIT keys simultaneously. The system then displays the Complaint Maintenance screen with the selected case number and complaint suffix already filled in. FIGURE 7 JUVENILE SYSTEM PARTY MAINTENANCE
JUVO5 ALABAMA JUDICIAL DATA CENTER JUVJVO5 ***** JUVENILE SYSTEM PARTY MAINTENANCE *****
JU
I 205 / 000 - 0000 205 / 000 - 0000
PFl=SJIS PF2=JUV PF3zINTAKE BRW PF4=CLR PF5=PRTY NAME BRW PFQPRTY NO BRW PF7=COMPL PF8=COMPL BRW PFS=C/P PRT PFlO=TREAT PFlkDUP ADD PF12zINTAKE
d The juvenile system permits court personnel to maintain a record for any party involved in a juvenile case. Whereas information about the primary juvenile was entered through the Intake Maintenance screen, the Juvenile System Party Maintenance screen captures information about all other parties, such as com- plainant, petitioner, victim, witnesses, and various relatives. Parties who are relatives of the primary juvenile can be entered into the system as soon as the intake record has been created. Before any party associated with a particular complaint is added, however, a corresponding complaint record must have been created through the Complaint Maintenance screen. The Party Maintenance screen captures the name and address of each party and indicates the specific relationship of the party to the juvenile via a code (for example, MO = Mother, FA = Father, VT = Victim, A0= Arresting Officer). In addition, the screen contains a notice status field to indicate whether the party being entered should receive any notices sent out by the court. A 6kharacter free-text field is provided for any comments pertaining to the party that the court may wish to record. Analogous to the Intake Name Browse screen, the system provides a Party Name Browse screen to enable the user to search for any party by name. In addition, the system provides a Party Number Browse screen to display all parties associated with a given juvenile case.
101 FIGURE 8 COMPLAINTA’ETITION PRINT
C/P: B 1: 0001 2: 3: CASE NUMBER: JU 90 000001 01 ON OR ABOUT 05/29/90, david edward clayton DID, WITH INTENT TO CAUSE PHYSICAL INJURY TO ANOTHER PERSON, CAUSE PHYSICAL INJURY TO jon Sean fitzpatrick-BY-beating him about the head and shoulders with a baseball bat while arguing over a game call
IN VIOLATION OF SECTION 13A-6-22 OF THE CODE OF ALABAMA, AGAINST THE PEACE AND DIGNITY OF THE STATE OF ALABAMA,
*** TEXT RETURNED *** ENTR=PRT/CLR PFkSJIS PF2=JUV PF4= CLR PF6=FORMS PF-/=COMPL PF8=TXT BRW PFS=PRT/SAVE PFlO=RET TXT PF12=PARTY
Once the complaint (and petition, if applicable) information has been entered through the Complaint Maintenance screen and all parties associated with the juvenile and the particular complaint have been entered, the user can print the complaint, the petition, or both forms by filling in the Complaint Print screen. This screen can be accessed from the Iuvenile Master Menu, or it can be directly accessed by using the PF9 key from the Complaint Maintenance screen. This screen creates the text of the complaint or petition describing the offense, so that this information can be merged with the appropriate fields from the intake and complaint records to produce the printed complaint or petition. One of the unique features of SJISis its “text file,” which enables the user to compose standard offense descriptions based on the Code of Alabama and the AOC Warrant and Indictment Book quickly. Each entry in the text file consists of up to seven lines of 75 characters each, containing the description come sponding to each offense code and including blank spaces where needed for the user to enter case-specific or clarifying information. On the Complaint Print screen, the user may specify up to three sets of text file entries to be retrieved and inserted on the complaint by entering the corresponding fourdigit code. A Text Browse screen can be invoked from the Complaint Print screen to help the user retrieve the desired text file entries. Once all the text file entries have been assembled on the Complaint Print screen, the user then types in the required information to completely customize the complaint text. The actual printing of the com- plaint or petition is initiated through a function key from the Complaint Print screen. The system simpli- fies the task of creating several similar complaints by permitting the user to retain the composed text for subsequent complaints, changing only the unique information. See Figure 9 for an example of a printed complaint.
102 FIGURE 9 SAMPLE PRINTED COMPLAINT e 1
COMPLAINT COMPLAINT
IN THE JUVENILE COURT OF W ILCOX COUNTY
IN THE MATTER OF CLAYTON DAVID EDWARD AKA: DAVY 334 EAST MAIN STREET PHONE 205/269-1010 APARTMENT 2-8 DOB: 05/29/75 MONTGOMERY AL 36106 RAE: W SEX: M HT: 5 08 WT: 145 SCHOOL NAME: MONTGOMERY HIGH EYES: BLU HAIR: BLD SSN: 123-45-6789
FATHER: CLAYTON DAVID JOSEPH CUSTODIAN: ADDRESS: 1944 FORREST TERRACE ADDRESS : MONTGOMERY AL 36123
HOME PHONE: 205/244-8989 HOME PHONE: WORK PHONE: 205/277-9898 WORK PHONE:
MOTHER: CLAYTON JESSICA LAUREN VICTIM: ADDRESS: 334 EAST MAIN STREET ADDRESS: APARTMENT 2-8 MONTGOMERY AL 36106 HOME PHONE: ,205/269-1010 HOME PHONE: WORK PHONE: 205/834-7890 WORK PHONE:
ALLEGED VIOLATION/INCIDENT: ASSAULT 1ST DEGREE DATE OF VIOLATION/INCIDENT: 05/29/90 CATEGORY: DELINQUENT ARRESTING OFFICER: DATE OF ARREST: 05/29/90
DEPT :
IAGREE TO SIGN A FORMAL PETITION AND TESTIFY IN COURT IF NECESSARY TO SUBSTANTIATE THE COMPLAINT,
COMPLAINANT : SIGNATURE: ADDRESS : HOME PHONE: WORK PHONE: FACTS OF VIOLATION/INCIDENT:
ON OR ABOUT 05/29/90, DAVID EDWARD CLAYTON DID, WITH INTENT TO CAUSE PHYSICAL INJURY TO AN~THERPERSON, CAUSE PHYSICAL INJURY TO SEAN PATRICK- FITZGERALD BY-BEATING HIM ABOUT THE HEAT AND SHOULDERS-WITH A BASEBALL Br
IN VIOLATION OF SECTION 13A-6-22 OF THE CODE OF ALABAMA, AGAINST THE PEACE AND DIGNITY OF THE STATE OF ALABAMA.
c d
103 FIGURE 10 SAMPLE CASE ACTION SUMMARY . ALABAMA JUDICIAL DATA CENTER CASE ACTION SUMMARY JUVENILE CASE: JU 90 000001 01 ------.------THE JUVENILE COURT OF WILCOX
NAME: CLAYTON DAVID EDWARD IO: JPS PO: ALM JID: XXX ADDR: 334 EAST MAIN STREET APARTMENT 2-8 C A'TTY: MONTGOMERY AL 36106 0 ATTY: PHONE: 205/269-1010 CHAfIGE : ASSAULT 1ST DEGREE DOB: 05/29/75 SEX: M RACE: W CASE TYPE: Q FILING DATE: 05/29/90 ...... COMPLAINANT NAME: HARRIS PATRICIA ATTY : ADDR: 259 FIFTH COURT MOBILE ALA 36603
HOME PHONE: 205/433-8012 ALT NAME: WORK PHONE: 205/000-0000 ADDR :
05/23/90 SAMPLE FORMS
When a complaint is filed and the juvenile court official has printed a complaint, a Case Action Summay is also generated. This form remains with the case file and is used by court officials to record manually all case events pertaining to the complaint. The Case Action Summay is printed with the identifying and characterizing information about the case at the top of the form and blank lines on the remainder of the page. Whenever the case history needs to be updated as pleadings are filed or hearings are held, the Case Action Summay sheet is filled in by hand. FIGURE 11 JUVENILE SYSTEM TREATMENT MAINTENANCE
JUV16 ALABAMA JUDICIAL DATA CENTER JUVJV16 ***** JUVENILE SYSTEM TREATMENT MAINTENANCE ***+HE
JU 00
N N
PFl=SJIS PF2=JUV PF3=NAME BRW PF4-CLEAR PF5zPRTY NAME BRW PF6zPRTY NO BRW PF7XOMPLNT PF8XOMPL BRW PF9-RPT MENU PFlO=DUP ADD PFlkINTAKE PF12=PRTY
Once a juvenile case petition has been adjudicated, the juvenile probation office uses the Juvenile System Treatment Maintenance screen to record the treatment of the case. Information is entered regarding the findings, terms, and conditions resulting from the adjudication process. The screen includes fields for restitution, costs, fees and fines, risk and needs assessment codes, detention and supervision information, custody and placement descriptions and dates, and free-text comments. The Treatment Maintenance screen is used directly for reference and inquiry, and some of the information captured through the screen is used by a few of the batch report programs.
105 OTHER SYSTEM OUTPUTS Index Card-a form printed with basic information on a juvenile case and used as a The Alabama Juvenile System produces a number back-up reference in the event of automated of forms, notices, and reports in addition to those system failure. already described. Forms are produced through Notice of Detention Rights-a form that GENER/OL and, therefore, can be printed almost provides the juvenile with a notice of the immediately on local printers. Reports, however, charge against him or her, the reason for go into the batch queue, from which they are detention, and his or her rights. printed as resources permit. This arrangement Statistical Reporting Card- form that ensures that the short, case-specific forms needed provides information regarding a juvenile and by the juvenile court for processing individual a juvenile crime that is submitted to the cases can be produced as needed with minimal Alabama Department of Youth Services or the delay, while the aggregate case management Alabama Department of Human Resources. reports that require complex manipulation of the Notification of Right- form that provides a entire database do not adversely affect the system juvenile with an explanation of his or her response time for on-line operations. rights when charged with a crime, whether or The system contains four menu screens to not the juvenile has been placed in detention. facilitate the selection and specification of the Consent Decree-a form that lists rules and available documents: the Dockefing Menu screen, regulations that are imposed on a juvenile by the Subpoena/Notice/Summons Menu screen, the the juvenile court. Forms Menu screen, and the Reports Menu screen. Probation Officer's Report- form that A brief description of these documents follows. provides information concerning a juvenile, including demographic data, information Dockets (Calendars) about parents, legal guardians, and Custodi- JuvenileHearing Docket-a printed calendar ans, and summary information about one or showing all juvenile cases that have been set more specific complaints filed against the for a hearing. juvenile. Juvenile Adjudication Docket- printed Order of Service and Retum-a form that calendar showing all juvenile cases that have directs a law officer to deliver a specified been set for adjudication. document to a juvenile defendant. Notices Reports JuvenileSubpoena- notice used to serve a Comdaint Filines-a list of all comdaints party with an order either to produce specific filed bn a givenudate, month, or yeir; includes records and documents or to appear in person case number, juvenile name, judge name, at a juvenile court proceeding. The printed charge, filing date, disposition date, disposi- subpoena is an official court order and will be tion status, number of days between filing and served by an officer of the law. disposition, and probation officer's initials. JuvenileNotice-a notice used to notify a Petition Filings-a list of all petitions filed on party to appear for a juvenile court proceeding a given date, month, or year; includes case on a specific date and time. Notices are number, juvenile name, judge name, charge, usually mailed to the parties. filing date, disposition date, disposition status, Juvenile Summons-a notice used to summon number of days between filing and disposi- a juvenile to court. The printed summons is tion, and probation officer's initials. served on a juvenile or his parents by an Complaint Dispositions-a list of all com- officer of the law. plaints disposed on a given date, month, or year; includes case number, juvenile name, Forms judge name, charge, filing date, disposition Fee Sheet-a printed sheet used to record date, disposition status, number of days manually all fees associated with a juvenile between filing and disposition, and probation case, such as docket fees, law library taxes, officer's initials. and service fees. Petition Dispositions-a list of all petitions Pick-Up Order-a form printed with case- disposed on a given date, month, or year; specific information and used by law enforce includes case number, juvenile name, judge ment or other officials as legal authorization to name, charge, filing date, disposition date, deliver a juvenile to a specified destination, disposition status, number of days between such as the juvenile court or youth facility. filing and disposition, and probation officer's initials. 0 Complaints Pending- list of all complaints charge, showing the number of complaints pending on a given date, month, or year; involving each type of charge. includes case number, juvenile name, judge name, charge, filing date, disposition date, SECURITY disposition status, number of days since filing, and probation officer's initials. The Alabama SJISenjoys the system security 0 Petitions Pending- list of all petitions features inherent in a central mainframe. All data pending on a given date, month, or year; files reside on the mainframe, under direct control includes case number, juvenile name, judge of the MIS staff. Access to the system is strictly name, charge, filing date, disposition date, controlled by logon ID, terminal location, and disposition status, number of days since filing, passwords. Users in the courts do not have and probation officer's initials. update capability for any of the table and control 0 Court Activity Summary- statistical sum- files in the system, and only certain users are mary report showing the number of filings, authorized to update the various court record dispositions, pending cases, and referrals for a files. Users in one county may inquire on most specific date, month, or year, broken down by public information in another court's files. Certain complaints and petitions; the report also types of records, however, are restricted from shows the number of each type of complaint cross-county inquiry, even by legitimate court action that occurred during the reporting personnel. Juvenile records in one county, for period. example, cannot be accessed in any way from 0 JuvenileCode List- reference list of all another county, even by juvenile court officers in juvenile charge codes, showing the code, code the second county. System functions that are not type, literal code title, division of youth available to certain users do not even appear on services statistical code, dependency or their menu screens. delinquency code, and Code of Alabama numerical reference. DOCUMENTATION 0 JuvenileText List- reference list showing the text number corresponding to each charge. User documentation for SJISis generally adequate, 0 Juvenile Index Report--an alphabetical list of especially for the newer juvenile system. The all juveniles in the automated system, show- user's manual explains the purpose and provides ing the case number, race, sex, date of birth, examples of each screen and report. For each of and probation officer. the major screens in the system, the manual 0 Pick-Up Order List-a list of all cases with a includes an explanation of each field on the screen. pick-up order issued, showing the case Manuals for all applications would benefit from number, juvenile name, judge name, pick-up the addition of a complete table of contents, a order date, pick-up order status, disposition subject index, and a good introductory overview date, and probation officer. of each system. Minor updates to user's manuals 0 Complaint/Petition Status Report-a demo- are usually handled through memos to the users. graphic breakdown of juvenile complaint The system can broadcast messages to alert users filings by age group, race, sex, and type of to changes. Replacement pages and revised filing. manuals are reportedly somewhat slow to reflect Incomplete Statistical Card List-an exception additions and changes. report listing juvenile statistical cards that are SJISprovides almost no on-line help. While missing required information. the manual gives brief, but fairly clear, directions Detention List-a list of all juveniles in for entering and updating information on the detention, showing the number of days each screens, the system itself provides little in the way has been detained. of prompting messages and offers no on-line PO Disposition Pending- list of all pending instructions that the user can invoke. With few cases awaiting disposition by a particular exceptions, users cannot look up the table files of probation officer. various codes used throughout the application Supervision Report- list of juveniles broken screens while using them. System users must rely down by supervision status (active or inac- on their memory or on printed code lists. The tive), showing case number, judge name, type user's manual does contain complete lists of codes, of supervision, supervision beginning and conveniently located in the sections describing the ending dates, and probation officer. screens in which they are used. Although data- 0 Court Action Summary by Charge-a statisti- entry errors are clearly indicated by the system, cal summary report organized by type of error messages are not very informative. The MIS
107 staff cited system resource limitations as a major appear to be pleased with the system. Most of the constraint in providing more on-line help. personnel in the two courts visited for this study were very enthusiastic about SJIS, even while TRAININGAND SYSTEM SUPPORT recognizing that improvementscould be made. Assistant clerks and probation officers cited the When a new court is added to the SJIS user com- immediate access to data for inquiry purposes as munity, the AOC staff conducts on-site training in one of the major advantages of the automated the court, using both classroom and hands-on system and were also pleased with its ability to instruction to help new users become familiar with produce much of the routine output with minimal the equipment and software. When a new appli- effort by the staff. The index search capabilities cation system is installed in a court that is already were mentioned as one of the most widely used on SJIS, the AOC provides training in Montgomery features. for the court personnel who will be using it. Court clerks and chief probation officers The AOC provides user support in several appreciated the ability of SJISto produce the ways. A toll-free telephone hotline is available for reports they needed, giving them more complete immediate operational problems. If their terminal information than they were able to produce by is functioning, court users can also send an on-line hand and saving significant time and effort. They message to the MIS division. Through the central- also noted that automation had permitted their ized system, the MIS staff can look directly at the offices to handle an increased work load without a files the user is accessing, and, if necessary, they corresponding increase in staff positions. The use can monitor the transmissions between the of public-access terminals for inquiry alone has computer and the terminal that is experiencing the noticeably reduced the demand on the clerical problem. staff's time. One clerk also mentioned the flexibil- Aside from addressing immediate problems, ity in staff reassignments made possible by having the AOC promotes communication between the any function accessible from any clerk's worksta- individual courts and the SJIScommittee regarding tion. modifications to SJIS. The SJIScommittee meets Generally, the performance of SJISis very quarterly to consider all requests for system reliable. However, as may be expected with any changes. The courts may submit requests to the largescale software system, it has some shortcom- committee in writing, and they can also use a ings. These shortcomings result from an absence special electronic memo facility set up by the AOC of features, functions, and capabilities. For to simplify communication of desired changes. example, the system lacks an electronic docket This facility is easily accessed from the SJIS Master sheet or register of action-a feature found in Menu screen. After each meeting, the SJIScommit- most automated court systems. The system does tee sends a memo to the courts concerning the capture in fixed data fields many of the important issues and requests that were considered and the dates and events that are manually recorded on action that was taken. the case summary sheet (which functions as a register of actions). The system does not capture ISSUES AND CONCLUSIONS other document filings and less important events, however, and there is no means to review a The overall experience of statewide automation in complete and consolidated chronological case Alabama has been positive. Rather than attempt- history without resorting to the physical file ing to develop the most functionally sophisticated folder. Because a clerk has to both update the data and technologically current applications, the AOC fields in the system and manually record the event has involved the court users in developing sys- on the case summary sheet, no clerical time is tems that provide the basic functions needed by all Saved. the courts in a manner that is suitable to most of Another shortcoming is that the system them. With a surprisingly small technical staff performs relatively little edit checking of some and a modest computer facility, the AOC has data fields as they are entered. In at least one provided effective automated support for over application, for example, dates are not even edited two-thirds of the total state caseload within a very to ensure a legitimate date. Although the system few years. As funding permits, it is now automat- uses many coded fields that are edited against ing the remaining courts across the state and internal tables or external table files, in most gradually upgrading the entire SJISsystem. instances it does not display the translation of the While a few courts are reportedly somewhat code for verification by the user. Users would like dissatisfied with certain aspects of SJIS, most specificenhancements to certain applications, but
108 they are satisfied that the SJIS committee process is center, the development of LAN-based SJIS soft- effective in determining where the limited re- ware for the smaller courts, and the eventual sources of the MIS staff and the current computer conversion of the mainframe system to a 4GL could best be applied. The only other significant DBMS application environment, all of the short- overall weakness of SJISnoted during the review comings of the present SJIScan be addressed. In was the lack of integration among applications the meantime, the system continues to provide an (for example, between financial accounting and increasing number of users with functional and case processing). reliable automated support for most of their The AOC management and MIS staff are operations. generally satisfied with the development, perfor- For further information, readers are asked to mance, and progress of SJIS. The MIS director contact: would like to see the system converted to a fourth- generation language and database management Mr. Robert H. Tillman system environment with sufficient computing Director of Management Information power to support it. Given the available technol- Services ogy and budgetary constraints that existed during Administrative Office of the Courts the early development of SJIS,however, he be- 817 S. Court St. lieves the proper decisions were made. He feels Montgomery, AL 361304101 that with the planned upgrade to the judicial data (205) 834-7990
109 Own Recognizance Management System (ORMS) Los Angeles County Superior Court Pretrial Services Division
Systemhouse, Inc.
This system improves quality of services through on-line access to case information, promoting uniform investigation procedures, balancing staff work load, and providing access to accurate and timely information.
Prepared by Ronald H. Jape NCSC Consultant OWN RECOGNIZANCE MANAGEMENT SYSTEM Svstem FeaturedFunctions Docketing/Register of Actions X Indexing X Scheduling (AutomaticAssignment) Calendar Preparation Individual Calendar Master Calendar X Notice Generation X Management/Statistical Reporting X Ad hoc Reporting X On-line Help Facility Environments Supported IBM Hardware Manufacturer U LAN U Micro-based Multi-user U Mini X Mainframe ADABAS Primary Programming Language Documentation X User's Instructions X Operations Instructions (System Maintenanceand Recovery Procedures) X System Specifications (Original System Design Document) X Program Index (List of Program Names and Functions) X System Documentation (Flowcharts, Program Narratives, etc.) support X Telephone X On-site Remote via Modem 23 Number of Site Installations Legend X = merational U = U;\derDevelopment Own Recognizance Management System (ORMS) Los Angeles Superior Court Pretrial Services Division
Systemhouse, Inc.
THE OWN RECOGNIZANCE MANAGEMENT System (ORMS) implemented by the Los Angeles Superior Court was designed to improve the quality of service provided to all municipal and superior court jurisdictions by pretrial services in Los Angeles County. Pretrial services and ORMS are the result of a pretrial release program, con- ceived initially from the 1961 Manhattan Bail Project. The Vera Foundation, sponsored by Louis Schweitzer, instituted the Manhattan Bail Project in 1961. Law student investigators went to New York City‘s detention facilities to evaluate the residences, families, jobs, past records, and other indicators of stability of defendants waiting bail setting. The students recommended that judges release defendants with established roots in the community without monetary bail. They based these recommendations on a point system for rating the defendant’s community ties. Following national attention to the Manhattan On January 21,1984, a bail deviation (BD) Bail Project, Los Angeles Superior Court presiding program was introduced, providing arrestees with judge McIntyre Fans visited the New York-based the opportunity to apply for deviation from the program in 1963 and reported favorably on the bail schedules with the magistrate on call. This feasibility of establishing an own recognizance program resulted from a ruling in Youngblood/ (OR) division for the county of Los Angeles. Its Kiatifs m. Gates that required a bail commissioner responsibilities would include assisting magis- to be available, upon request, to all prearraign- trates and commissioners with pretrial release ment arrestees to evaluate and determine all decisions by collecting pertinent information on requests for bail reduction and release on recogni- felony defendants and monitoring the release of zance. The OR division was subsequently re- defendants from arrest to sentencing. named pretrial services (PTS), so that both pro- Judge Fans appointed local officials to a grams could be included under one entity. committee to develop guidelines for a pilot Beginning on November 6,1988, the software pretrial release program. This ”OR Committee” program Own Recognizance Management System was chaired by superior court judge Joseph A. (ORMS) provided automated support to ITS. The Wapner, who directed the pilot program. On primary purpose of the ORMS system is to im- December 11,1964, following favorable results of prove the quality of service through increased the pilot release program, the OR committee staff productivity, ease of case processing, reduc- recommended that the presiding judge gradually tion in investigation time, automation of the expand the program to include all criminal courts evaluation process, and enhanced report writing in Los Angeles County. and recordkeeping.
113 Before implementation of ORMS, PTS staff 1. Upon receiving the arrestee’s initial telephone provided services manually. Limited access to request, BD staff completes an OR application. some automated defendant data was available via 2. The arrestee’s criminal history is checked. a computer terminal linked to other criminal 3. A background investigation is performed justice information databases. In 1984 a study by using a point scale as a preliminary screening Arthur Young justified the automation of PTS procedure. activities. In 1987 Touche Ross designed ORMS, which was developed by Systemhouse, Inc. Positive and negative points can be assigned PTS, consisting of 19 branch offices and OR for such criteria as the arrestee’s community, and BD headquarters, with a full-time, budgeted residence, family and employment ties, severity of staff of 147, serves all municipal and superior criminal record, bail from the bail schedule, and court jurisdictions. Using 123 terminals, PTS staff references’ statements regarding the arrestee’s access ORMS, which runs on one of the county‘s reliability. Relevant information on all assess- IBM 3090 mainframes. Since the inception of PTS, ments is relayed to the bail commissioner. On approximately 64,OOO defendants have been freed assessments with a total of five points or more, a on recognizance. The jurisdiction has thus favorable recommendation for release on recogni- avoided 6,193,039 days of daily jail bed costs of zance is made. approximately $l!j4,2OO,ooO. All OR, bail reduction, or bail increase deci- Currently, PTS is divided into three non- sions are sent, via teletype, to the appropriate adversarial programs that provide magistrates or police agency. In Los Angeles County, the time judges with background information on arrestees from the arrestee’s initial telephone request and for releaddetention determination-OR, BD, and the determination by the bail commissioner supervised release program. averages three hours. While arrestees may only request a bail deviation before arraignment, this Own Recognizance (OR) does not preclude them from applying for a The OR program serves one superior court, release on recognizance later. divided into 10 districts and 24 municipal courts. Defendants currently released on recogni- PTS staff assigned to designated arraignment zance are supervised. They are sent Notices of courts provide eligible defendants with applica- Release, detailing their responsibilities. They are tions for release OR before arraignment. Defen- also provided prior notification of court appear- dants are interviewed to assure the accuracy of the ances by telephone or by notification letters in application before verification inquiries are Spanish or English. Further, the court is advised if initiated. Information obtained during the inter- the defendant is rearrested. If a defendant fails to views includes comments and evaluations of the appear for any scheduled court appearance, the defendant’s personal references; the defendant‘s defendant and his or her references are contacted criminal record through local, state, and national to try to get the defendant to court. The court also information systems; pertinent facts from other sets the matter on its calendar for resolution of the agencies such as parole, probation, and social failure to appear. services; and criteria from the arresting agency pertaining to an applicant’s qualifications for SYSTEMHOUSE,INC. pretrial release. Following the interview and investigation, a The ORMS developer, Systemhouse, Inc., is a Notice of PTS Investigation containing the findings Canadian corporation specializing in systems is submitted to the arraignment court. The integration with 19 offices worldwide. Although arraigning magistrate uses this report to help most of its developments use fourth-generation determine if the defendant should be released or languages, some applicationsare developed in remain in custody. third-generation languages, depending on the In courts not served by an office of PTS, requirements of the application. Systemhouse eligible defendants cannot apply for release on offers such services as software development, recognizance until they are transported to the Los consulting, installation, training, support, and data Angeles County sheriff‘s department jail. Follow- center management. ing interviews of defendants at the jail, an investi- gation may be completed with a Notice of ITS ACKNOWLEDGMENTS Investigation submitted to the court. National Center project staff conducted a site visit Bail Deviation (BD) in Los Angeles, where staff and support personnel Pursuant to California Penal Code Section of the Superior Court, Los Angeles County, 810(b), PTS developed procedures to facilitate the pretrial services division, demonstrated the arrestee’s bail deviation requests as follows: system and discussed its effect on court opera-
114 tions. The following people cooperated in the deviation applications. ORMS was developed with review: the cooperation of the countywide criminal justice coordination committee and under the guidance David M. Davies, Director, Criminal Court of the information system advisory body. ORMS is Operations one of several modules composing the Los Ange les County Justice Information System (LAJIS). Terry Clark, Assistant Director, Pretrial LAJIS supports the offices of the superior court, Services Division pretrial services, adult probation, the public defender, and sheriff. A sophisticated integration Al Barber, Data Processing Manager I, Justice of the data-sharing resources of these agenaes is Systems Support achieved by the proactive information exchange system (PIX). Although not reviewed by NCSC Vince Wackerman, ORMS System Manager staff as a part of this project, PIX is mentioned because it facilitates the data-sharing activities that Los ANGELESSUPERIOR COURT, are required to fully implement ORMS. PRETRIALSERVICES PIX software receives data from any source system, reformats the data to meet the require- Los Angeles County Superior Court serves an area ments of one or more receiving systems, and of approximately 4,000 square miles with a routes it to all authorized applications. As a population of more than 10 million. It is governed sophisticated data transfer and conversion soft- by a five-member board of supervisors and is ware program, PIX is critical for overall system divided into 86 separate city governments, each of integration throughout LAJIS. which is administered by its own city council and The ORMS pilot program began on November mayor. 6,1988, at the pretrial services division, Long The county includes 50 independent police Beach branch office. It was expanded to include agencies, over 80 booking locations, 24 municipal the central and division 30 branch offices and bail court jurisdictions, and one superior court jurisdic- deviation on December 4,1988. The system tion divided into 10 districts. The district attor- became operational countywide on February 26, ney’s office anticipates 88,000 felony filings in Los 1989. Angeles County for fiscal year 1990-91. Using Increasing staff productivity and improving ORMS, pretrial services personnel conduct investi- the quality of service provided by PTS were the gations for the court to assist magistrates in principal objectives for moving from a manual to determining pretrial release. an automated system. ORMS was designed to improve the accuracy and timeliness of manage- GENERALSYSTEM OVERVIEW ment information and to provide automated support for labor-intensive activities, which ORMS supports the Los Angeles County Superior include logging and indexing cases, updating case CourYs pretrial services division (PTS) in the information, tracking cases, and linking PTS data administration of own recognizance and bail with other CJISapplications. On-line access to case information, uniform investigation procedures, and balanced work loads are direct benefits of ORMS. ORMS allows a defendant’s application for release or bail deviation to be processed almost entirely on-line from the time of initial application through the completion of the investigation. All prior investigations for a particular defendant can be cross-referenced. A risk assessment or point scale can be calculated on-line, case information can be updated during and after the investigation is terminated, and cases can be transferred from one PTS program to another. On-line functions help notify defendants of court dates, and daily printouts list all defendants receiving favorable recommendations, for which release information and court dates need to be determined. After the release is verified, ORMS automatically generates a Notification of Next Court Appearance, which is mailed to the defendant. ORMS also generates a
115 telephone contact list four days before the court pages in length. The management reports provide date so that the defendant can be contacted by information for monitoring the performance of phone. Before system implementation, staff IT3programs, such as investigative staff produc- manually searched a chronological file each day to tivity and custody cost savings. Staff productivity determine which defendants needed to be called. has increased by over 24 percent since the imple- ORMS provides a menu-driven user interface. mentation of ORMS. An additional l0,oCaO OR The system supports an on-line table look-up cases and an additional 9,000 BD assessments can facility, utilizing 70 ORMS tables and approxi- be processed annually with the automated system. mately 30 tables in the LAJIS system. Extensive Hours per investigation have been reduced from field edit checks, user-friendly on-line help tables, 2.5 to 2.0. and formatted screens provide an easy-to-use The screens that follow provide a brief over- system for inexperienced users. A field-level, text- view of ORMS. The first set reviews many of the sensitive help facility is being developed. The functions performed by the investigative staff. system supports full-screen color, displaying error The second set provides an overview of the messages in red and informational messages in management functions performed using ORMS. white. Similar program control and screen The names of reports and documents generated navigation conventions are used throughout the from the information entered on each screen are system. listed in the screen description. Several reports ORMS contains a batch-reporting facility that and documents are further described in the Reports produces 20 standard management reports. Most section. reports are summaries and average one to two
116 FIGURE 1 MAIN MENU
~~ 7 ORMM ORMS - INVESTIGATIVE 09/17/90 V WACKERMA MAIN MENU 09:51:33
SEL DESCRIPTION SE L DESCRIPTION --- ...... ---__- ______------...... AA ADD APPLICATION PT NOTICE OF PTS INVN UPDATE IP DISPLAY IN-PROGRESS INVNS TI TABLE INQUIRY AI APPLICATION INQUIRY RP ONLINE REPORT REPRINT AU APPLICATION UPDATE AF ADD FOLLOW UP PS POINT SCALE UPDATE NI NAME INQUIRY BD BAIL DEVIATION DECISION UPDATE DI DEFENDANT IDENTIFIER INQUIRY AC APPLICATION CLOSE OUT RI RECOMMENDATION CODE INQUIRY FOLLOW UP UPDATE GR GOOD RISK OR REPORT
-- I-0
- Enter-PF1---PF2---PF3---PF4---PF5---PF6---PF7---PF0---PF9---PFlO--PFll--PFl2--- I HELP CNCL
ORMS is a menu-driven system. When a user logs on, the ORMS Main Menu screen displays the available functions. The Investigative Main Menu is displayed automatically for investigative staff; the Management Main Menu is displayed automatically for PTS management (see Figure 10).
117 FIGURE 2 ADD APPLICATION
AAPP ORMS - ADD APPLICATION 09/17/90 V WACKERMA 09: 08: 25
-0
------00 - - CURRENT SCHEDULED
Enter-PFl ---PF2---pF3---PF4---PF5---PF~---PF7---PF8---PF9---PFlO--PF 1 1 --PF 12--- HELP TBLS CNCL 56941 NEW RECORD ADDITION - ENTER NEW KEY INFORMATION
A defendant's application can be initiated by law enforcement agencies, courts, the defendant, or other interested third parties. The defendant's application for OR or BD is entered on the Add Application screen. The system then automatically searches for duplicate or existing records, and brings pertinent data forward or notifies the user of existing records. A phonetic name search algorithm (sensitive to Hispanic names) is a part of ORMS. Once the data are entered into the file, the system can generate one or more of the following: Work Flow Sheet, Interview Sheet, BD Assessment Sheet, OR/BD File Recap Sheet, and Application Error/Warning Sheet.
1118 FIGURE 3 APPLICATION UPDATE (PAGES 1 & 2)
90000069 - 5
- ooooooooooooooo= 0 000000000 0 0 o= 0
Enter-PFl---PF2---PF3---PF4---PF5---PF6---PF7---PF8---PF9---PFlO--PFll--PFl2--- HELP TBLS RTRN CNCL UP DOWN 20171 ENTER UPDATES AND PRESS ENTER TO VALIDATE
I 11:23 - 00 :00 ------11:38 - 00 :00 --- CEN CURRENT SCHEDULE
000 0000000 x 0000 - 000 0000000 x 0000 Enter-PFl---PF2---PF3---PF4---PF5---PF6---PF7---PF6---PF9---PFlO--PFll--PFl2--- HELP TBLS RTRN CNCL UP DOWN 20171 ENTER UPDATES AND PRESS ENTER TO VALIDATE
All PTS staff use the Application Update screens. These two screens allow the user, depending on his or her security profile, to change various application infomation. An OR File Recap Sheet and the Notice of Discontinued Investigation can be created from this information.
119 FIGURE 4 FELONY POINT SCALE UPDATE
f \ PSRA ORMS - FELONY POINT SCALE UPDATE 10/17/90
COMMUNITY TI E s (YRS IN AREA, 99=LIFETIMEj RESIDENCE (MOS AT CUR/PRV ADDR, O=TRANSIENT) FAMILY TIES (A,B,C 1 EMPLOYMENT/MEANS OF SUPPORT (A,B,C,D,E) CRIMINAL RECORD (A,B,C,D) MISDEMEANOR ARRESTS ( # ARSTS, LST 5 YRS) FELONY ARRESTS (# ARSTS, LST 5 YRS) RELIABILITY (A,B, C) MISC: PAROLE STATUS (YrN) PROBATION/DIVERSION STA'PUS (Y,N) FTA'S/PEND MISD CASES ( NMBR)
90050469-5 LEE, DANA E~~~~-PF~---PF~---PF~---PF~---PF~---PF~---PF~---PF~---PF~---PF~~--PF HELP TBLS RTRN CNCL TEXT
BD staff uses the Point Scale Update screen (felony or misdemeanor) to calculate the point total for a BD application. Once the proper information is entered, the point total that is generated is binding. The bail commissioner uses this figure to determine the bail. The Interview Sheet and the BD Assessment Sheet can be generated from this screen.
120 FIGURE 5 FELONY RISK ASSESSMENT
P Y PSRA ORMS - FELONY RISK ASSESSMENT 10/17/90 : V WACKERMA---______-__ -_------______13:43 47 RES. CIRCUMSTANCE LAST 12 MO. (1,2,3,4,5,6) CHILDREN/SUPPORT f1.2.3.4).... VERIFIABLE TIME EMPLOYED (1f2f 3f4f5f 6j ALCOHOL USAGE PROBLEMS (1t2r3) DRUG USAGE PROBLEMS (1t2t3) AGE AT FIRST CRIMINAL CONVICTION (1,2f3f4f5) SUP. PROB/PAROLE NOT COUNTED ABOVE (Y/N) FELONY CONVICTIONS NOT COUNTED ABOVE (1f2,3f4) FELONY NARCOTIC CONVICTIONS (YfN) PROB/PAROLE REVOCATIONS (YfN) PENDING FELONY CASE(S) (Y/N) NUMBER OF PRIOR FAILURES TO APPEAR (Of1f2) RISK ASSESSMENT SCALE/PRESS PF12
90050340-2 MASSIE, RICARDO ANTONIO - Enter-PF1---PF2---PF3---pF4---PF5---PF6---PF7---PF8---PF9---PFlO--PFll--PFl2--- HELP TBLS RTRN CNCL TEXT 54041 OR APPLICATION TYPE SELECTED BY USER
The OR investigator uses the Felony Risk Assessment screen (felony or misdemeanor) to calculate a point total for an OR application. The point total assists the investigator on an OR recommendation. The proper information is entered in each of the fields, and a point total is generated. This point total is not binding. Documents created include the Interview Sheet and OR Assessment Sheet.
121 FIGURE 6 BAIL DEVIATION DECISION UPDATE
ORMS - BAIL DEVIATION DECISION UPDATE 09/05/90 V WACKERMA 11:06:32 I BDUP 90042653 - 1 WASHINGTON W
BD - -
- Enter-PF1---PF2---PF3---PF4---PF5---PF6---PF7---PF~---PF9---PFlO--PFll--PFl2--- HELP TBLS RTRN CNCL
The Bail Deviation Decision Update screen is used by authorized bail deviation staff to enter the bail commissioner's decision. This completes the BD application. The BD File Recap Sheet can be created from this screen.
122 FIGURE 7 INVESTIGATION CLOSE OUT
COUT ORMS - INVESTIGATION CLOSE OUT 10/17/90 V WACKERMA 13:47:47 90008663 - 3 MARTINEZ, MARIAN0 90047647 - 4 AVALOS, JOEY SAUL 90047955 - 4 GARCIA, FRANCISCO NMN 90048162 - 1 OLIVO , RICHARD 90048372 - 1 BELLO, JESUS CORDER0 90048497 - 0 ROSALES, JESUS VERDUZCO 90048600 - 5 LU, HECTOR ADALBERTO 90048664 - 6 RIVERA, HENRY BALMORE 90048949 - 4 GONZALES, VALENTE 90048966 - 0 MORALES , JOSE 90048996 - 2 RODRIGUEZ, VICTOR 90049114 - 1 SOSA, FRANCISCO LESS0 90049179 - 3 MCQUEEN, JAMES ERVIN 90049235 - 3 RIVERA , JAVIER 90049240 - 1 WILLIAMS, JOHN EVERETT 90049282 - 1 BARROW, DEDRICK RAY 90049302 - 0 HOLLOWAY , JAMES EDWARD - Enter-PFl---PF2---PF3---PF4---PF5---PF6---PF7---PFE---PF9---PFlO--PFll--PFl2--- HELP TBLS RTRN CNCL UP DOWN 59891 USE 'S' TO SELECT A RECORD
Investigation Close Out allows PTS to close a11 OR/BD applications. When this screen is selected, the system searches the database for OR/BD application records that can be closed out. The records are displayed in ascending application number order. The Late Close Out List can be generated from this screen.
123 FIGURE 8 FOLLOW UP UPDATE
7 ORMS - FOLLOW UP UPDATE 10/17/90 13:48:16 -0 I 00000000 RELEASE INFORMATION
_-- ---
- - - (NEW) ------Enter-PFl---PF2---PF3---PF4---PF5---PF6,---PF7-~PF8---PF9---PFlO--PFll--PFl~ HELP TBLS RTRN CNCL UP DOWN RSET AUPD 9994E APPLICATION MUST BE ENTERED
The Follow Up function allows PTS staff to track and report on the court activities of defendants who were recommended for release OR. The Follow Up Update screen is limited to personnel with the proper security profile. Eventually, data will be received from other systems interfacing with ORMS that will automatically update this screen. Documents and reports that can be created from this information include Notice of Next Court Appearance, Notice of Release, Notice of Failure to Appear, Telephone Contact List, Open Application List, FTA Work Sheet, ITA with Court Activity List, Error/Warning Sheet, Follow Up Court List, and Rearrest List.
124 FIGURE 9 NOTICE OF PTS INVESTIGATION UPDATE (PAGES 1 & 2)
PTSU ORMS - NOTICE OF PTS INVESTIGATION UPDATE (PAGE 1) 10/17/90 V WACKERMA 90050340 - 2 KA005839 02 E --
- Enter-PFl---PF2---PF3---PF4---PF5---PF6---PF7---PF8---PF9---PFlO--PFll--PFlZ--- HELP TBLS RTRN CNCL UP DOWN RUPD 59901 PRESS ENTER TO VALIDATE / PRESS PF3 TO UPDATE
\ A
PTSU ORMS - NOTICE OF PTS INVESTIGATION UPDATE (PAGE 2) 10/17/90 V WACKERMA 90050340 - 2 13:57: 31 -
HELP TBLS RTRN CNCL UP DOWN RUPD 59901 PRESS ENTER TO VALIDATE / PRESS PF3 TO UPDATE
The Notice of PTS Investigation Update (PTSU) screen contains information on community and family ties, employment, criminal record, agency comments, evaluations, and recommendations that will be presented to the court. Documents and reports generated from this data include OR File Recap Sheet, Notice of Discontinued Investigation, and Notice of PTS Investigation.
125 FIGURE 10 MANAGEMENTMAINMENU
ORSM ORMS - MANAGEMENT 09/17/90 V WACKERMA MAIN MENU 09 :49: 06
SEL DESCRIPTION ______c------.~--_------______c------_____------AL UNASSIGNED APPLICATION INQUIRY RN RUN CONTROL SP STAFF PRODUCTION HOURS UPDATE AD APPLICATION DELETION AC APPLICATION CONSOLIDATION IM INVESTIGATIVE STAFF MAIN MENU SE APPLICATION SECURITY MAINTENANCE RA REVIEW AUDIT FILE (CTAF) RS REVIEW SYSTEM STATISTICS PC PRINTER CONTROL
- Enter-PFl---PF2---PF3---PF4---PF5---PF6.---PF7---PF8---PF9---PFiO--P~ 12--- HELP CNCL
The ORMS Management Main Menu allows access to a variety of functions, including lists of UMS- signed applications, work load statistics, deletion and consolidation of applications, system maintenance, and system statistics. Access to the Investigative Main Menu or the Management Main Menu depends on the security profile of users; only those functions previously assigned to each user will be displayed.
126 FIGURE 11 UNASSIGNED APPLICATIONS
UUAL ORMS - UNASSIGNED APPLICATIONS 10/17/90 V WACKERMA 13: 31:22 <-- --- > <------>
05/29/90 90000046 3 ALH 90000091 91 BD BCS CDE: 96 LAN CDE: A04 MULT DEF: INV CDE: - REC CDE: - - 06/26/90 90000054 4 BD 200 EO 1 03/13/90 90000015 0 ATP 00000200 00 BI E01 03/21/90 90000029 0 BI E01 05/30/90 90000049 6 ALH 90000095 95 BI A0 3 09/18/90 90000074 3 BI A0 1 09/13/90 90000069 5 KA005432 01 OM 2 760 EO 1 - Enter-PFl---PF2---PF3---PF4---PF5---PF6---PF7---PFE---PF9---PFlO--PFll--PFl2--- HELP TBLS RTRN CNCL UP DOWN 59891 ENTER INVSTIGTOR'S INITIALS OR RECOMMENDATION CODE
The Unassigned Applications screen displays OR applications that are currently unassigned. Manage- ment uses this screen to assign the applications to various investigators or to complete the application by assigning a recommendation code of 6 (Not Investigated) or 7 (Not Qualified). Reports available from this screen include the Unassigned Application List and the File Recap Sheet.
127 FIGURE l2 APPLICATION CONSOLIDATION
ICON ORMS - APPLICATION CONSOLIDATION 10/17/90 V WACKERMA 13:34:03
UPDATE TO E ERS )
(NEED ENTER ONLY ONE)
HELP TBLS RTRN CNCL
The Application Consolidationscreen allows management staff to consolidate application records belonging to the same defendant that had not been connected at the time the applications were created. It also allows management to disconnect records that were consolidated in error.
128 FIGURE l3 IN-PROGRES S INVESTIGATION
7 ORMS - IN-PROGRESS INVESTIGATION 09/17/90 V WACKERMA 09: 27 :03
INV CODE ------DAYS CURRENT SEQ ASGN APP REAC SINCE CRT DATE CDE INV NAME TYPE CNT ASGN DATE ASSIGNED APP #
- Enter-PFl---PF2---PF3---PF4---PF5---PF6---PF7---PF8---PF9---PFlO--PFll--PFl2--- HELP TBLS RTRN CNCL UP DOWN 59891 APPLICATIONS MARKED WITH AN ASTERISK ARE OVERDUE
The In-Progress Invesfigufion screen allows inquiry about the applications that are in progress. An application is in progress if it has been assigned to an investigator and if no recommendation code has been entered.
129 FIGURE 14 APPLICATION INQUIRY
IREQ ORMS - APPLICATION INQUIRY 09/04/90 V WACKERMA 15:57:17
------Enter-PFi---PF2---PF3---PF4---PF5---PF6---PF7---PF6---PF9---PFiO--PFii--PFl2--- HELP TBLS CNCL
Management, investigative, and clerical staff use the Application Inquiry screen to request data searches. Information can be searched by application identifiers, defendant identifiers, name search identifiers, and recommendation code identifiers. The user enters the request for data, and the system finds the matching application and defendant information and displays it on the Application Inquiry Response screen.
130 REPORTS Management Staff Application ErrorlWarning Sheet. This is a list of As mentioned within each screen description, all potential errors within ORMS. ORMS provides flexibility in selecting the data for Arrest BD Maintenance inclusion in a variety of management reports. Late Completion List This function contains 20 predefined reports that Late Close Out List are produced nightly in batch mode. Since the In-Progress List reports are summary in nature, most reports are only one to two pages in length. They provide Notices are generated only when a defendant information for monitoring the performance of needs to be notified of certain court-related PTS programs, such as investigative staff produc- matters. Once generated, the notice is mailed to tivity and custody cost savings. Ad hoc reporting the defendant. Types of notices include Notice of is provided through Supernatural, a proprietary FTA, Next Court Date Notice, Release Notice, and software product offered by Software AG. Reference Notice. ORMS reports are broken down into four Management reports can be generated categories: daily, notices, infrequent, and manage- monthly, quarterly, semiannually, and on a fiscal ment. The daily reports are used by staff as year basis. PTS management staff uses these follows: reports to evaluate the performance of individuals, as well as the program as a whole. Management Follow Up Staff reports supply statistics on all facets of the PTS Active Code 1 Not Released. This list identifies function. defendants that PTS has recommended for Infrequent reports are used to verify the data release but who have not, according to the integrity of the system. There are currently four information currently on file, actually been reports with the status of Infrequent Report: released. Archive History Records lTA with Court Activity Load Cumulative Statistics Total FTA Worksheet. When a defendant fails to Database Validation Report appear, ORMS automatically generates this Follow-up Validation Report worksheet. Follow-up uses it to track the defendant and get him or her back to court. HARDWAREKOFTWAREREQUIREMENTS FOll~-UpCourt List Open Application List ORMS is one of many application software prod- Rearrest List ucts running on an IBM 3090 MVS/XA mainframe Telephone Contact List at the Los Angeles County data-processing facility. Running under CICS, ORMS is written in Natural 2, OR Support Staff a proprietary, generic database management Arrest Incident Report system. COBOL was used to develop the statistics Preliminary Check List. This list is generated 10 modules. ORMS users have access to 125 tenni- days after the investigation has been nals, 30 personal computers, 150 dot-matrix completed. It lists items that are missing printers, 26 laser printers, and 23 fax machines. and provides the first opportunity to gather Staff have found that the dot matrix printers are this information. inefficient and nondurable. Current budget Clean Up Check List. This list is generated 90 requests, if approved, will replace the dot-matrix days after the investigation has been printers with stronger, more durable laser print- completed. It is the final opportunity to ers. gather missing information before the case moves to history. SECURITY Potential OR Candidates List. This is a list of all felony defendants still in custody after six Management-defined user profiles assign staff days in the Los Angeles County jails who access rights to various components of the ORMS have not had an OR investigation com- system using a sophisticated password security pleted. algorithm. Users signing on to ORMS will be Unassigned Application List shown different screens or menu items, depending BD Candidates for OR List upon their user profile. ORMS maintains a log of
131 access or attempted access into the system. Secu- All new investigators receive two months of rity is provided at the application, operating on-the-pb training; investigator aids are provided system, and hardware levels. A third-party a three-week training class. Extensive training on mainframe security software package (ACE) also ORMS is a part of the curriculum during these protects all levels of access throughout the system. training programs. An in-house staffof four IJTS employees provides ongoing support and devel- DOCUMENTATION opment of recommendations for enhancements to the system. Updates and enhancements to the An impressive effort was made to identify, ORMS software are currently completed through a prepare, and implement technical standards, combined effort of Pretrial Services’ ORMS support naming conventions, and documentation for staff and Systemhouse. The county is migrating, ORMS. A handbook defining these standards was however, to full in-house support from county published in October 1988. Since the documenta- da ta-processing staff. tion prepared for ORMS provides an excellent example of the amount of effort required to ISSUESAND CONCLUSIONS properly document an automated system, major components of the ORMS documentation have The county of Los Angeles owns the ORMS source been listed here for your review. code. It is transferable to other agencies for a This documentation is extensive and well negotiable fee. Pretrial Services is willing to assist developed. Manuals prepared for ORMS include, in the transfer. When asked to identify problems, but are not limited to, the following: Project PTS staff stated that most problems occurred with Control Document, Software Productivity Tools hardware, not with the application software. Document, Technical Standards and Naming Office wiring and equipment malfunctions Conventions Handbook, External Design Issues presented the majority of obstacles. In thinking Report, Critical Design Review, Detailed Program about how things could have been done differ- Specifications,System Test Plan and Procedures, ently, PTS stated that the Follow-up Function Terminal Operators Guide, Computer Operations should have been automated earlier in the process Run Books, Procedures Manual, Users Manual, due to the valuable information that this module Programming Documentation, System Test Final provides regarding OR and BD investigations. Report, Training Plan, manuals and end-user/ Enhancements are ongoing. PTS is determining management training program, Acceptance Test the feasibility of using a hand-held computer to Plan and Acceptance Report, Support Plan, gather information that can be downloaded into Implementation Plan, and Implementation Report. ORMS. For further information, contact: TRAININGAND SYSTEM SUPPORT David M. Davies, Director, or Systemhouse provided acceptance testing and Terry Clark, Assistant Director training for a number of PTS staff personnel: Pretrial Services Division Los Angeles County Superior Court Acceptance testing - 10 people, 2 days 433 Bauchet St. Pilot branch - 9 people, 2 days Los Angeles, CA 90012 Management - 9 people, 2 days (213) 974-5821 Investigators - 40 people, 2 days Investigator aids - 49 people, 2 days Support - 15 people, 2 days External users - 1/2 day
132 Prerecorded Videotaped Trials
Erie County Common Pleas Court, General Division Sandusky, Ohio
Delay reduction, lower litigation costs, more efficient use of judicial resources, and reduced juy costs are some of the benefits of this application of video technology.
Prepared by Peggy A. Walsh Staff Associate Kevin P. Kilpatrick Staff Associate PRERECORDED VIDEOTAPED TRIALS (PRVTT) Implemented in 1971, Erie County Common Pleas Court, General Division
Equipment Used: Two video color cameras Three video recorders One video playback unit Four large color monitors One large-screen projection system Three small monitors Two &track audio recorders One &track audio recorder Audio mixer Two time-clock generators Equipment for "on-location" set-ups (tripods, equipment boxes, etc) A courtroom that doubles as a videotape recording studio
Staff Employed: Two full-time court reporters (employed by court) One audio/video technician (hired by the Erie County Bar Association)
Features: Low-cost VHS videotape camera equipment Low-cost VHS videotape playback equipment Portability of equipment to remote sites
Benefits: Once taped, both parties are aware of all facts in the pending litigation. Prerecording often leads to out-of-court settlements before live trial date is set. Because all videotaping must be completed by a specified date, with taping dates agreed upon by counsel, continuances can be reduced. Live trials using videotaped material exclusively are shorter and incur less jury cost. Juries do not hear potentially damaging material during the course of examination by counsel. Prerecorded Videotaped Trials
Erie County Common Pleas Court, General Division Sandusky, Ohio
IN NOVEMBER 1971 THE FIRS PRERECORDED for taping of evidence and testimony. Once this videotape trial (PRVTT) in United States judicial phase has been completed, the case is set for trial, history was held in the Erie County Common and a jury will watch the videotapes. While this Pleas Court, General Division, in Sandusky, Ohio. takes place the judge can preside over other trials In 1972 the Supreme Court of Ohio enacted a in other courtrooms. This allows many of the less comprehensive set of rules dealing with the use of complex cases to be disposed of faster than more audio- and videotape in the courtroom. Rule 40 of complicated civil disputes. the Ohio Rules of Civil Procedure states, "All of Judge James L. McCrystal initiated the use of the evidence, and such other evidence as may be prerecorded videotape trials in Erie County in appropriate, may be presented at trial by video- 1971. In 1976 Judge McCrystal was assigned to tape, subject to the provisions of the Rules of assist in the handling of a large number of eminent Superintendence." Since the enactment of Rule 40, domain cases backlogged in another Ohio metro- more than 200 prerecorded videotape jury trials politan county. Of the approximately 90 pending have been conducted in Ohio. cases, 75 percent were terminated by settlement or For many civil cases in Erie County Common trial in less than a year. Judge McCrystal presided Pleas Court, General Division, testimony is given over 27 cases in 21 days using two courtrooms. before the videocamera rather than in front of a He also edited a number of videotapes in Erie jury. According to the judge, the Prerecorded County, and a local judge in the other county Videotaped Trial (PRVlT) system permits more presided over the trials. effective use of his or her time, reduces the num- ber of jury trials, and speeds up those cases that ACKNOWLEDGMENTS have been recorded and are still heard by a jury. The court often schedules two cases concurrently, NCSC staff visited the Erie County Common Pleas one using the PRWsystem before a jury and a Court, General Division, in Sandusky, Ohio, and second presided over by the judge. The PRVTT received a complete demonstration of the system system is not complex and does not require any from initial videotaping to final playback of specialized equipment that could not be pur- prerecorded tapes. The following people contrib- chased in most electronics stores. Further, the uted to this review: videotape, once recorded, becomes the official court record after review by the common pleas Hon. Ann B. Maschari, Judge, Erie County court judge. Common Pleas Court The PRVTT system permits testimony to be recorded on videotape and subsequently played Hon. James L. McCrystal, Judge (retired), Erie back before a jury. The most significant feature of County Common Pleas Court this system is that it requires no further testimony or presentation of evidence during the trial. The Mr. Robert Windau, Video Technician, Erie jury sees only the videotapes; any recorded County Bar Association objections are manually suppressed during playback by the court representative. The original Ms. Barbara Johnson, Clerk, Erie County file tapes are not edited. Common Pleas Court Erie County Common Pleas Court routinely assigns factually simple civil cases, irrespective of Ms. Anita Claubaugh, Deputy Clerk, Erie the dollar amount involved, to the PRVTT calendar County Common Pleas Court
13 OHIO COMMON PLEAS COURT Cases filed in 1989 Civil: 523 The common pleas court is Ohio's court of general Criminal: 287 jurisdiction, serving 88 counties with 339 judges. It exercises jurisdiction in torts, contracts, real GENERALSYSTEM OVERVIEW property rights, appeals of administrative agency cases, traffic cases (juvenile cases only), and For a number of years various courts across the miscellaneous civil matters and has exclusive country have used videotaped evidence and jurisdiction in domestic relations, mental health, disposition. Only in Ohio, however, can a trial estate jurisdiction, triable felony, miscellaneous court require that videotape be used in civil criminal, and juvenile matters. Ohio Common proceedings. This technology offers a variety of Pleas Court judges are selected and retained by benefits to the court and to litigants in moving nonpartisan election for six-year terms, and their routine civil actions through the judicial process salaries are funded through joint state and local by providing justice that is accessible, fair, and sources. quick. Further, the system uses judges' time more efficiently. A judge can begin a videotaped trial in ERIECOUNTY COMMON PLEAS COURT, one courtroom and preside over a live or video- GENERALDIVISION, SANDUSKY, OHIO taped trial in another courtroom. Approximately one-third of all civil filings in The Erie County Common Pleas Court, General the Erie County Common Pleas Court are assigned Division, located in northwest Ohio, serves a to the videotape trial docket. These cases are population of approximately l00,OOO. This typically disposed 10 to 12 months earlier than division has one full-time judge, one retired part- cases tried in the traditional manner. Although time judge, and one law clerk. Over 800 cases are PRVTT is not appropriate for all trials, the tech- filed annually in the general division with at least nique accommodates most civil cases in which an equal number terminated. A significant claims are under $lOO,OOO and are handled by two portion of these cases involve minor automobile attorneys and present a maximum of six wit- accidents or simple personal injury actions. nesses. Erie County is ranked thirty-second in popula- The Erie County courthouse has four court- tion of the 88 counties in the state. In 1989 Erie rooms, each equipped with a multi-track audio- County ranked eighth in filings, fourth in termina- recording system. The common pleas court, tions, and first in jury trials per judge. In 1989 general division, uses two courtrooms, either of approximately one-third of civil cases filed were which may be used to prerecord evidence for the disposed of via audio/video technology. PRVTT system.
As seenfiom the courtroom jury box, this is the smaller courtroom used by the Erie County Bar as a studio for recording testimony and depositions as prt of PRWT.
136 A Prerecorded Videotaped Trial involves generator be used to superimpose the year, month, several steps. If, after initial filing and subsequent day, hour, minute, and second onto the tape at all review by the common pleas judge, a civil case times. A safeguard against tampering, this also meets the requirements of PRVIT, the action is makes editing more efficient and enables the placed on a separate videotape trial docket operator to note objections or comments on the maintained by the judge’s staff. The court then required log sheet. advises the parties that the case will be video- If the case is not settled when taping is com- taped. Taping must be completed by a specific plete, a trial date is set and a jury impaneled. At dateusually within six months. The respective this point, the PRVIT case joins the primary court attorneys decide among themselves when and docket system. The judge advises the jurors that where videotaping will take place. These dates they will be reviewing prerecorded videotape in are not set on the court calendar, though a court- lieu of a live trial and that the judge will not be in room may be used for videotaping. A technician, the courtroom during the playback of the tape(s1 who must also be a notary public, operates the but that a court official will be present. The court equipment. official monitors the playback, suppressing both Witnesses are examined and cross-examined video and audio portions as required on the tape by counsel while being recorded on videotape. If log sheets. The Rules of Superintendence of the there are objections by either counsel as to the State of Ohio prohibit the deletion of any testi- relevance or materiality of a question or the mony from the tape; therefore, the court official qualification of the witness to answer during this playing the tape is responsible for ensuring that taping session, the video technician annotates the the marked information is bypassed. At the end of required log sheet at the point where the objection the jury review, the judge may either personally took place on the tape (usually logged as a point in provide jury instructions or, with prior knowledge time-for example, 1:20:15). In Ohio lawyers can of both counsel, have the court official play a object only after the witness has answered, a prerecorded jury instruction tape. practice that eliminates many objections and promotes an organized means of editing. The Recording Costs judge rules on those points during his or her The average hourly cost for recording video- review of the videotapes. If, in the judge’s opin- tape testimony ranges from $20 to $40. Recording ion, either one or both attorneys failed to properly costs are greater if a commercial firm is used. execute their objections according to local rule, the These firms often require that a typed transcript be judge may require the testimony be rerecorded purchased in addition to recording time and the and objections handled in the proper manner on videotape material. In Erie County, where the the tape. Counsel may request a copy of the tape local bar association and four law firms have their and edited log sheets to learn how the judge ruled own equipment, only necessary expenses are on the objections. incurred. Videotape costs vary with each case. If At the conclusion of the recording session, the there is an appeal, which is extremely rare when tape is immediately played back for the witness cases are processed through the PRVIT, the unless the party has waived this right under the videotape is the official court record, and it need Ohio Rules of Superintendence. No witness has not be further transcribed before the appeal is yet requested a complete playback of the recorded filed. An appellate court may, however, require a tape in Erie County. typed transcript. Rules 10 and 12 of the Ohio Rules of Superintendence govern the mechanics of PRVIT. court costs Specifically, Rule 12 requires that a date and time PRVIT can eliminate or significantly reduce many of the court costs associated with a live trial. Costs resulting from unexpected continuances or courtroom unavailability are eliminated as it is the responsibility of counsel to arrange for recording sessions before setting a live trial date. These delays are wholly incurred by the respective law firms and not the court. Many PRVTT trials are settled before trial; if tried, they take far less courtroom time, and annual jury costs are re- duced. (Note: Erie County has not tracked actual jury cost differences between PRWand non- PRVIT cases; however, according to Judge Maschari, the presentation of evidence in a PRVIT
137 trial lasts on an average of a day and a half, year by many midsized Ohio courts in jury whereas the presentation of evidence in a non- savings alone. PRVTT civil case lasts an average of almost two and a half days. This could be due to the types of Allocation of Costs cases assigned to the PRVTT calendar.) Ohio Superintendence Rule 15, Section F, describes how the costs are allocated: Equipment Costs PRVTT requires a color camera, a video (F) Costs. recorder and playback unit, date/ time generator, 1. Depositions. audio mixer, and a color TV monitor. This basic (a) The cost of videotape, as a material, equipment represents an investment of approxi- shall be borne by the proponent. mately $7,500 according to Mr. Robert Windau, (b) The reasonable costs of recording the audio technician for the Erie County Bar Associa- testimony on the videotape shall be tion. treated as costs in action. (c) The cost of playing the videotape recording to the jury in the course of the trial shall be treated as a general cost of the operation of the trial court. (d) The cost of an audio reproduction of the videotape recording sound track used by the trial court in ruling on objections shall be treated as costs in the action. (e) The cost of playing the videotape recording for the purpose of ruling upon objections shall be treated as costs in the action. The Erie County court equipment is available to local attorneys. Four local law firms also have their own video-recording equipment and do their own taping. One of these firms recently com- pleted a videotape studio with sophisticated screen-mixing capabilities. This technique allows both the speaker (witness) and inanimate objects, such as photos, records, or books, to be recorded by individual cameras on the same videotape. Erie County is experimenting with another aspect of this technology: the development of computer-generated graphics for accident scenes, which are then electronically videotaped directly to a VHS cassette. Although this requires addi- tional, and often expensive, equipment, it opens up a new realm of possibilities for portraying historical events before a jury.
EFFECTOF TECHNOLOGYON USERS This is the PRVTTcontrol area in the smaller courtroom used Ohio Civil Rule 40, implemented by the Rules of to monitor and tape proceedings. Playback suppression equipment is also located in this area. Superintendence, dictates how videotape testi- mony is to be recorded, filed, edited, and played back to the jury. Erie County Common Pleas Ohio Superintendence Rule 12 requires that Court issued its own rules to further govern this courts furnish videotape playback equipment- technology. A major portion of these rules ad- cost of less than $1,700. According to Judge dresses the handling of objections on the video- McCrystal, this cost could be recouped within a tape and by the reviewing judge.
138 The duties of the staff of the Erie County did not significantly affect juror judgment of Common Pleas Court have not considerably testimony or their verdicts. changed. The Erie County Bar purchased most of A 1978 study on the effects of videotaped the equipment used in the smaller courtroom and testimony on juror behavior by Barbara Lane Hart also supports the salary of the audio/video concluded "that varying the means of testimony technician. The attorneys are required to manage presentation had no significant effect upon a their own taping calendars; many times, cases are juror's verdict, his retention of trial related infor- not set on the court calendar until after taping has mation, his evaluation of trial participants, or his been completed. While the court has acquired evaluation of the trial." Research completed by some equipment, its overall capital investment is Gerald R. Miller and Norman E. Fontes in 1979 less than that of the Erie County Bar. similarly found that studies "fail to indicate that Once a case has been filed, the judge reviews the use of videotaped trial materials produces any the complaint to decide if the case merits PRVTT. deleterious effects on juror response."' Attorneys may request reconsideration of the Though no dedicated studies have been assignment, but the decision is rarely changed. completed on the topic, there is potential for On the other hand, in the cases assigned to the savings in juror costs. Since 1974, according to PRWdocket, 25 percent are requested by the Judge McCrystal, of approximately 1,700 civil attorneys of one or both parties. cases that were prerecorded, at least 250 were When prerecorded VHS tapes have been heard by juries and at least 50 percent were submitted to the court, the judge reviews only the terminated less than a year from filing. portions of the tape where objections occur. For For many litigants, PRVTT usually means example, on a 6cminute videotape with three speedier civil justice. Typically, completion of a objections, the reviewing judge looks at one to two PRVTT case requires less than one full year. minutes of tape leading up to the objection, the According to Judge Maschari, these same cases objection itself, and a few minutes following the would traditionally require more than 18 months objection before making a ruling. Usually, a judge and, in a few circumstances, more than two years. can handle the editing process alone. Typically, a Further, taping of testimony permits out-of-town judge can review all the objections and make the litigants to meet schedules that are more suitable rulings within an hour, even though several hours to their needs, rather than to the needs of the of total videotape time may be involved. court. Finally, for many individuals, the possibil- Videotaped trials have an immediate effect on ity of sitting before a jury can be intimidating. attorneys. To compete with opposing counsel Often they are more relaxed sitting in a courtroom who have videotaping experience and equipment, before a video camera without the judge and jury. attorneys need to invest time and resources in this According to Judge Maschari, the single most technology. Further, where depositions were once important effect of PRWis the capability for the taken at the attorney's office, they may now be judge to manage two or more trials concurrently. taken at the incident site. According to one senior The judge can begin a PRVTT trial in one court- partner, his firm feels strongly about the use of room and cross the hall to preside over another videotape and its potential to substantially sup- live or PRVTT trial in another courtroom. More port the client's position in a suit. civil cases can be terminated than would other- Many attorneys, concerned that videotaping is wise be possible given the limitations of a single less effective than presentations before a judge and judge. Further, it significantly lessens the amount jury, prefer live trials. Some plaintiffs want their of judicial time required to hear and decide the "day in court," despite PRVTT. In spite of these more simple civil matters. opinions, Erie County attorneys have adjusted to PRWhas had little effect on Erie County PRVTT, and many now have their own videotape clerks. The clerk's office does not manage the equipment. courtroom calendar, or become involved with the In 1973 the Law and Justice Center of the PRWsystem or its docket. PRVIT equipment is Battelle Memorial Institute, University of Wash- managed by the judge's office, the court reporters ington, surveyed over 500 jurors who had decided employed by the court, or by the technician PRVTT cases. According to the survey results, employed by the local bar. over 60 percent of the jurors preferred a prere- All court reporting is done electronically in corded trial over a live trial. A second four-year Erie County either by multi-track audio systems or study by the department of communications at by videotape. The court reporter operates both Michigan State University, published in 1979, types of equipment, depending on the particular showed the use of videotape in lieu of live trials trial being held. In all PRWcases heard before a
139 jury, the videotape is the official court transcript the videotaped testimony is recorded and played and is not required to be transcribed to text. back, there appear to be no constitutional impedi- PRWis not consistently used in other Ohio ments.) Further, PRWis not practical in cases courts. This technology has apparently been involving two or three parties or multiple issues. reviewed or tested in several other states, includ- All agreed, however, that PRWdid provide two ing Texas and California. Many states permit significant advantages for the local bar. According videotaped testimony in lieu of a live witness to one attorney, he had not had a single live trial during a jury trial. for cases within PRVTT. The capability of a judge The largest single obstacle to broader use of to preside over two trials permitted speedier PRWappears to be local attorneys, who make resolution of all cases. All four attorneys ulti- three major arguments against it. According to mately felt that justice was primarily for the Judge McCrystal, many attorneys are of the litigants and not for the attorneys. Any process opinion that their presence in a courtroom cross- that would speed justice for their clients should be examining a witness bears heavily on how jurors thoroughly examined and, if appropriate, imple- will decide a case. There appears thus far to be mented. The attorneys interviewed feel PRWis little evidence to substantiate this, and in fact, the in Erie County to stay, and they support the previously mentioned studies have shown that process. jurors are not greatly affected by the live actions of For further information about the Prerecorded attorneys. Videotaped Trials in Erie County Common Pleas Attorneys argue that because a judge is not Court, readers are invited to contact: present during the playback of the videotape, it is not a "real" trial. Erie County judges respond that Hon. Ann B. Maschari their presence is not required because objections Judge, Erie County Common Pleas Court are suppressed during playback before the jury 323 Columbus Avenue and no further objections will be heard. Previous 3rd Floor studies indicate that jurors do not feel a lack of Sandusky, OH 44870 decorum with the absence of the judge. (419)627-7731 A final argument concerns witness reaction during a live trial compared to their reaction Hon. James L. McCrystal (retired) during videotaped questioning. During a P.O. Box 598 roundtable discussion, one local attorney argued Sandusky, OH 44870 that it was preferable to see the witness "squirm" (419)625-7845 before a jury. The same attorney felt that better testimony was obtained, especially if the witness was for the opposition. Although this would seem to have merit, there appears to be little evidence that this actually has any influence in the more Note simple civil matters settled via PRV'IT. PRV'IT has limitations. The consensus of four 1. G. Miller and N. Fontes, Real versus Reel: What's Erie County attorneys is that the system could not the Verdict? The Effects of Videotaped Court Materials be used for criminal proceedings, although Erie on Iuror Responses (E. Lansing, Mich.: Michigan County has used the procedure in several criminal State University Department of Communications, trials. (As long as the defendant is present when 1979).
140 Computerized Information Centers for Pro Se Access
Colorado State Judicial Department Division of Planning and Analysis Denver, Colorado
The incorporation of graphics and text using touch-screen technology and a synchronized laser-disk audio track (English and Spanish) provides information to pro se litigants in small-claims and child support matters.
Prepared by Cheryl H. Letchworth Staff Associate COMPUTERIZED INFORMATION CENTERS Touch-Screen Technology
Text and Graphics Display
Audio Portion Complementing Graphics and Text English Spanish
Small-ClaimsInformation Small-Claims Filing Form
Child Support Information Child Support Worksheet
Hardware Requirements IBM Model 30 PC 40MB Hard Disk IBM Infowindow (Touch Screen) monitor IBM Infowindow Color Display software Videodisc player Laser printer
Software DOS-based IBM Infowindow Program 'C' for some program subroutines Computerized Information Centers for Pro Se Access
Colorado Judicial Department Division of Planning and Analysis Denver, Colorado
A 1986 STUDY OF COURT CLERKS’ OFFICES IN In small-claims matters, the system provides Colorado indicated that matters involving pro se litigants with procedural information and instruc- litigants required three times more staff attention tions for completing and printing the small-claims than cases where both parties were represented by filing form. A postjudgment module recently attorneys. In Colorado, where attorneys are added to the system provides information about barred from appearing on small-claims matters, a collecting the monetary award. Litigants can also large number of informational and procedural access procedural and instructional information in questions asked by pro se litigants increased the child support matters. The system also assists work load of court staff. Litigants asked clerks to litigants in completing the court-mandated guide them through each step of the judicial worksheet to calculate what amount of child process, from initial filing through collection support could be ordered by the court. Small- procedures. Because most of the questions dealt claims and child support modules are self-paced, with the same information, these repetitive and the user can repeat the information presented requests could be addressed with an automated as needed. It takes approximately half an hour to system. go through the entire small-claims module. The In October 1987, with funding from the State child support module takes longer if the Justice Institute, the Colorado Judicial Department worksheet is completed. began a pilot program to test computerized Surveys were conducted before and after the audio/video self-help information centers for pro installation of each center to gauge staff accep- se litigants involved in small-claims and child tance of the system compared to their expecta- support matters. The project has achieved two tions. Time studies, conducted on approximately major goals: to provide pro se litigants with an 100 randomly selected small-claims cases, indi- accessible source of information about the judicial cated the amount of staff time spent processing a process in small claims and child support matters case using the standard forms. These studies and to alleviate some of the staff work load focused particularly on the amount of time staff involved in assisting pro se litigants. spent in providing information. Court staff The pilot project site was the large limited logged every request for small-claims information jurisdiction metropolitan court in Jefferson received at the counter to determine the average County, serving a population of 372,000. In June number of daily requests received before and after of 1988, the project was expanded to include the implementation of the centers. county courts in Arapahoe and Mesa counties and Child support cases were not included in this has now been successfully implemented in seven study. Rather than saving court staff time, the additional sites. child support module is intended to help pro se Using a personal computer with interactive litigants complete the complex forms and to allow touch-screen technology and a laser disc, litigants court staff to verify the accuracy of child support receive information in English or Spanish and in computations. graphic or written form. Information is tailored to One month after installation, an independent the litigants’ specific needs. For example, the evaluator tested the system and conducted user plaintiff can learn how to initiate a filing; the surveys through inconspicuous on-site observa- defendant can find out how to file a counterclaim. tions and personal interviews. Through hands-on
143 testing of the system, the evaluator also made judges in 63 counties serve a statewide population suggestions for improving the centers. Sugges- of approximately 2.9 million. tions from the independent evaluator and from The county courts handle approximately court staff have been incorporated into the current 377,000 cases annually, a 56 percent increase over system. the past 10 years. The county court has jurisdic- Colorado's computerized self-help informa- tion in civil matters (less than $10,000), small tion centers have provided several benefits to claims ($0-3,500),traffic infractions, misdemean- court staff and to the public. The centers assure ors, and some felony preliminaries. A total of that all litigants have access to accurate and 377,332 cases were processed during fiscal year consistent information. Spanish-speakinglitigants 1990. have the same access to the system as English- The district courts are Colorado's court of speaking litigants. The system has simplified general jurisdiction. These courts exercise juris- procedures for people who do not have strong diction in civil matters (concurrent with county reading skills. Because the information provided courts), all domestic and juvenile matters, probate, by the computer is accurate, clerks and referees mental health, and felony matters. A total of can direct litigants to it for clarification of informa- 137,279 cases were filed during fiscal year 1990, an tion, eliminating both misunderstandings and the 11.6 percent increase over fiscal year 1980. The possibility of litigants blaming clerks for problems district courts are served by 113 judges. with their cases. The computerized information centers serve the county courts for small claim and the district ACKNOWLEDGMENTS courts for child support. NCSC project staff conducted a site visit at the GENERALSYSTEM OVERVIEW Colorado State Judicial Department, Division of Planning and Analysis, where staff demonstrated Using touch-screen technology and the combina- the system and discussed the history, design, tion of text, graphics, and audio, the computerized development, and implementation of the comput- information centers provide information to pro se erized information center. Project staff also litigants about the small-claims process and child observed the information centers at the Brighton support matters. The touch areas of each screen and Arapahoe county courts. The following are well defined, using graphic representations of people from the Colorado State Judicial Depart- the information provided in that section. A soft ment contributed to this review: tone from the terminal indicates that a "correct touch area" has been selected and that the system Mr. Dan Hall, Director, Division of Planning will proceed to the desired selection. An "incor- and Analysis rect touch" will result in a low-pitched tone, indicating that the user should try again. Ms. Sherry Kester, Policy Analyst A kiosk houses the equipment and provides a workspace for the litigants using the system. A Mr. AI Conner, Director, Management partition provides privacy during a session. The Information Systems kiosk gives the litigant access only to the touch screen monitor and any document that is printed. Ms. Mary Sherrill, New Technologies An introductory screen allows litigants to Specialist select the English or Spanish audio track. Once the language is selected, the next screen provides COLORADO COUNTY AND DISTRICTCOURTS the choice of the smallclaims or the child support information module. A touch area at the top of The county court is Colorado's court of limited the screen allows the user to back out and select jurisdiction. Forty-three full-time and 54 part-time the other language.
144 FIGURE 1 HELP OPTIONS
Once in the small-claims or child support module, additional options are available: Help, Stop, Dictionary, Main Menu, Review, and Next Page.
145 FIGURE 2 DICTIONARY
The Dictionary allows the user to look up a limited number of frequently used terms by selecting the section of the appropriate alphabet and then touching the term to be defined.
146 FIGURE 3 FILING A SUIT (PLAINlTlT)
Small Claims
The small-claims module presents information in five areas: 1. Small-Claims Informat& provides basic information about small-claims court: who can use it, when to use it, examples of suits, where to file, what costs will be involved, how to settle outside court, how to set a trial date, and information about the use of attorneys or a jury. 2. Filing a Small-Claims Case explains, section-by-section, how to fill out the summons and complaint form, what the plaintiff fills out, and what the clerk's officefills out. 3. Defendant Information provides the litigant with the necessary information to respond to a small- claims suit: what to do if sued, what costs will be involved, how to file a countersuit, how to prepare for the trial, what to do at the trial, what to do if you win, and what to do if you lose. 4. Plaintifflnformafion(illustrated in Figure 3) provides the litigant with the information required to initiate a suit: how to notify the defendant, what costs will be involved, how to set the trial date, how to prepare for the trial, what to do if you win, what to do if you lose, how to collect the judgment, and how to file the suit and fill out the required forms. 5. Collecting Your Judgment provides information about the steps to take when collecting the judgment and about various methods for collecting when the debtor cannot pay. Options discussed include garnishment of wages or bank account, real estate lien, bad credit of debtor, and personal property. Most important, the system reinforces that the collection process must be initiated by the creditor, explains what and how to serve the debtor, and states the time limits involved.
147 The system was modified to eliminate the printing of the small-claims summons and complaint form. Interviews with staff and litigants indicated that people preferred to fill out the form by hand. kevi- ously, the system accepted information entered by the user directly on the touch Screen. A keyboard was displayed on the Screen with numbers 0-9, letters A-Z, space bar and backspace keys. Screen entry was cumbersome, and correction of typing errors was difficult. To make the system more user-friendly, the forms module was replaced with a "how to" section that guides users through the process of filling out the form by hand. Studies have not yet been conducted to determine if this has been useful. The narrative used in the audio portion of the program was designed for a fifth-grade level of under- standing. The laser disc was professionally recorded, using a script written by the project staff.
148 FIGURE 4 CHILD SUPPORT REQUIREMENTS
Child Su~uort The ckd support module presents information in three areas: 1. Child Support Requirements (Figure 4) explains the information a litigant must know before filing for support: divorce case number; monthly gross income for both parents; monthly cost for children's health insurance (both parents); need for and cost of additional medical expenses (dental, orthodon- tics, physical therapy); need for and cost of extraordinary expenses (private schools, college funds, traveling expenses for visitation); annual work-related child care expenses; tax credit for child and dependent care; number of nights per year that children spend with each parent; the amount of child support payments from previous marriages and relationships (each parent); the amount of alimony payments from previous marriages (each parent); and the child's income, if applicable, from social security benefits, trust funds, or an employer. 2. Custody Znfomratwn explains the three types of custody or visitation-sole, split, and shared- and defines the responsibility of support payments under each. 3. Child Support Worksheet. In this module the litigant is able to answer questions and fill out the worksheet to determine the amount of support that wouId be awarded under the child support guidelines. To complete the worksheet, the litigant must provide financial and custodial information about him or herself, the other parent, and the children. The litigant is told at the beginning of the process that the information is confidential and not saved by the system.
149 FIGURE 5 ON-SCREEN KEYBOARD
Litigants use this keyboard in the child support worksheet module to enter some of the required information. This process is rather labor intensive, and the on-screen keyboard is difficult to use. A calculator screen (not pictured) is also used in this module. The calculator screen is easier to use because it has only 11 keys.
150 LITIGANTRESPONSE TO THE SYSTEM smallclaims cases. System usage information was based on a count of the number of sessions Studies were conducted to determine if the project initiated during a month. Sessions defined as was effective in meeting its two major goals: 1) curiosity use, where users looked at only the increasing public access to routine court informa- introductory screens, were not counted as system tion and 2) alleviating some staff work load Use. involved in providing information to pro se Arapahoe County (Littleton). The system in litigants. System use at the pilot sites in Arapahoe Arapahoe County handles only smallclaims and Mesa counties was evaluated and the results information. Child support matters are handled published in March 1990. A tracking mechanism by the district court at another site. System use built into the software measures system use by during September, November, and December 1989 recording the type of information requested and indicated that an average of 76 people a month the number of times the system has been accessed. were accessing small-claims information. The The potential work load diverted from court staff smallclaims filing rate during this same period to the automated system was determined by the was 70 case filings per month. Table 1 illustrates number of informational sessions. the comparison of the number of informational In both locations, the number of people using sessions with the number of filings during Seg the computer to obtain information about the tember, November, and December 1989. smallclaims process exceeded the number filing
TABLE 1
ARAPAHOE COUNTY COMPARISON OF INFORMATIONAL SESSIONS TO CASES FILED
No. of No. of Informational Small-Claims Rate of Month Sessions Cases Filed Use*
September 70 91 76% November 110 70 157% December 50 49 102% 3-Month Total 230 210 109%
Average per Month 76.6 70.0 109% * As compared with number of filings.
Mesa County (Grand Junction). The Mesa 13 percent. Table 2 illustrates the comparison of County system provided information to small- the number of informational sessions with the claims litigants at a rate of 43 sessions per month, number of filings during November and Decem- exceeding the monthly small-claims filings rate by ber 1989 and January 1990.
151 TABLE 2
MESA COUNTY COMPARISON OF INFORMATIONAL SESSIONS TO CASES FILED
No. of No. of Informational Small-Claims Rate of Month Sessions Cases Filed US€!* November 50 30 166% December 44 38 115% January 35 47 74% 3-Month Total 129 115 112%
Average per Month 43 38 113% * As compared with number offilings.
The Mesa County system includes the child dissolution-of-marriagefiling rate of 67 cases per support informational worksheet modules. An month. Fifteen child support worksheets were average of 27 people per month accessed child completed each month. The number of support information during November and worksheets prepared was approximately 22 December 1989 and January 1990 compared with a percent of the total number of dissolution filings.
TABLE 3 COMPARISON OF INFORMATIONAL SESSIONS TO DISSOLUTION CASES FILED Estimated Total No. of No. of No. of Pro Se Informational Dissolution Dissolution Child Support No. of and Support and Support Sessions per Worksheets Cases Cases Month Month Printed Filed Filed*
November 50 22 64 26 December 29 4 49 20 January 31 18 90 36
3-Month Total 110 44 203 82
Average per Month 37 15 68 27 * This number is estimated based on the assumption that approximately 40% of all dissolution cases are prose. Of the total number, a certain percentage of cases will not involve children.
STAFFRESPONSE TO THE SYSTEM questions themselves. The court's telephone operators request that litigants use the computer Staff of the Arapahoe and Mesa County courts are centers at the courthouse instead of tying up enthusiastic about the computerized information telephones to obtain routine procedural informa- centers. Clerks are encouraged to refer litigants to tion. According to the clerks, litigants have the system rather than trying to respond to complied with this request.
152 Clerks and court administrators consider the The table also illustrates the break-even point main benefits of the computer system to be: for each court location-the point at which the elimination of clerks' concerns about crossing system will save the amount of staff time equiva- the line between providing assistance and lent to the cost of the equipment. It is anticipated providing legal advice; that six urban courts will break even in two years provision of equal access to accurate informa- or less and two other urban courts in less than tion for litigan-ourt staff can redirect four years; the rural court will break even beyond litigants to the computer to clarify misunder- the life of the equipment. The entire project will standings; pay for itself in two years. provision of information to Spanish-speaking The addition of the postjudgment module will litigants in courts that do not have staff increase system use. This module should add 975 proficient in the language; hours of savings annually across all eleven loca- reduction of the amount of staff time spent tions. providing routine information to litigants In addition to the cost savings, the system about smallclaims and child support matters. offers other benefits: The child support module provides accurate COST/BENEFITANALYSIS information to litigants who cannot afford legal representation. The system's ability to A costbenefit analysis (see Table 4) indicates that accurately compute the information on the the computerized information centers will gener- child support worksheet will save valuable ate $224,112 in benefits over a six-year period. court time otherwise spent in rechecking This figure is based on an annual staff savings of calculations. $37,352 and a computer life expectancy of six The Spanish component of the system assures years. This is compared to $88,000 in equipment that equal access to accurate information is costs over the same period, a cost-benefit ratio of provided to a significant portion of the one to three: for every dollar in cost, the centers population that might have to turn elsewhere will generate three dollars in benefits. The cost for assistance. savings was computed using only the savings The system provides consistent, accurate realized from small-claims information requests. information, reducing misunderstandingsand Additional court savings are expected from the the potential for information to be interpreted child support modules but are not included in the as legal advice. analysis.
TABLE 4
COSTBENEFIT ANALYSIS Expected Total Annual Annual Annual Hours of FTE FTE cost Brea keven Court Savings Savings Saving year* El Pas0 645.95 .43 $10,253 .78 Larimer 283.39 .19 4,498 1.78 Pueblo 156.79 .lo 2,489 3.21 Adams 299.94 .20 4,761 1.68 Littleton 247.60 .16 3,930 2.04 Aurora 247.60 .16 3,930 2.04 Douglas 73.59 .05 1,168 6.85 Boulder 294.57 .19 4,676 1.71 Mesa 103.78 .07 1,647 4.86
This column demonstrates the year at which costs and savings are equal.
153 STUDYAND EVALUATION observations and personal interviews. Based on hands-on testing, the evaluator suggested revi- Evaluations were conducted before and after sions to the centers. system implementation, in July 1988 and January 1989. RESULTS Time. Time studies were conducted on approximately 100 randomly selected small-claims Time. The preimplementation time study in July cases in the Jefferson County pilot court. The 1988 1988 showed that clerks in Jefferson County spent and 1989 studies used the same methodology. almost 20 hours per week on informational Court staff logged every request for small-claims activities. The postimplementation study in information received at the counter and recorded January 1989 indicated that clerks spent only 9.6 the time spent providing information over the hours per week on such requests-a 51 percent telephone or at the counter to process a case on decrease in overall time spent by clerks providing standardized forms. information to small claims litigants. This information was analyzed to determine This overall decrease was caused by a drop in the average amount of time spent on informa- the number of information requests. In July staff tional requests and the average number of daily received a weekly average of 205 requests for requests. By combining these aspects of the study, information. In January information requests had the total amount of staff time spent on informa- dropped to 96 per week, a 53 percent decrease. tional activities was determined. The results were During the same period, small-claims filings converted to a per case basis by applying total increased 9 percent, suggesting that the decrease informational time to the number of filings during in information requests was not related to a drop the study period. (Child support was not in- in caseload. cluded in the study.) While the overall time spent by clerks on the Attitude. The State Court Administrator’s information function decreased, the average Office conducted two self-administered attitudinal amount of time clerks spent with each case rose. surveys of the court clerks before and after system Time studies indicated that the amount of time implementation. Clerks were asked to indicate spent per request increased from 5.4 minutes to 6.0 their level of agreement with certain statements minutes per request. pertaining to their work load and their expecta- The decrease in requests, and the increase in tions of the computerized information centers. time spent helping litigants who continue to The mean score was used to measure changes in approach the clerks for information, suggest that staff attitude. the computer was diverting the easier, less time- User. User surveys were conducted by an consuming questions from the clerk’s office. The independent evaluator using unobtrusive on-site Table 5 summarizes the results of the time study.
TABLE 5 EFFECT OF INTRODUCING COMPUTER CENTERS ON THE NUMBER OF REQUESTS FOR INFORMATION AND TIME SPENT BY CLERKS PROVIDING :INFORMATION
Number of Average Requests for Time per Total Weekly Information Request (Min.1 Time (Hours)
July 1988 205 5.46 18.65 January 1989 97 6.00 9.70
Attitude. Clerk‘s attitudes about the computer training and orientation sessions for future system improved slightly over the baseline installations. survey. Clerks indicated an increased confidence in litigants’ ability to learn how to use the com- HARDWAREREQUIREMENTS puter and the ability of the computer to provide the required information. Overall, attitudes of the The computerized information centers use the IBM clerks improved slightly in all areas. The results Infowindow Touch Screen, IBM Model 30 PC with of the attitudinal surveys are being used to design a 40MB hard disk. For the audio portion, a video-
‘154 disc player is required, although an audio track is The notable challenges encountered during not required for operation of the software. The the project were limitations in the amount of hard cost for the hardware and software required for disk storage required by the system’s graphics and the information center is approximately $9,OOO; some inherent problems with the IBM IWPS this does not include the recording and produc- (Infowindow Program Software). IWPS does not tion cost for the audio track. allow the user to delete or erase graphics. This The IBM Infowindow system incorporates poses a potential disk space problem when graphics, text, audio, and video. The system existing graphics need to be replaced or updated. receives audio from a videodisc, graphics and text IBM is working toward a solution. from the computer, and synthetic speech from the Another consideration is the expense of Infowindow Color Display. recording the audio portion of the presentation on The Colorado Computerized Information videodisc and rerecording the disc to accommo- Center does not use the synthetic speech capabil- date changes. Staff of the Colorado Judicial ity. The system incorporates the IBM Infowindow Department stated that the technology was Color Display, a system unit and keyboard from a evolving to eliminate the need for recording on a supported personal computer, and a commercially videodisc and enable recording via an audio/ available videodisc player. visual connection at a PC. When asked for advice that would be useful to TRAININGAND SUPPORT other courts considering a similar project, Colo- rado Judicial Department staff stressed the impor- The software for the Colorado Computerized tance of involving the clerks early in the project Information Center is available to courts free of and throughout the development and implemen- charge. Very limited telephone support for tation process. Training clerks in the use and installation will be available from the Colorado operation of the system before implementation is Division of Planning and Analysis. extremely important, as well. Apparently, this method was not employed in the pilot court ISSUESAND CONCLUSIONS implementation. As a result, clerks did not refer litigants to the information centers because they The main objectives for using touch-screen tech- did not know how to use it themselves. nology are to increase the public’s access to In addition to the application used in Colo- important information; provide the information in rado, touch-screen technology can be effectively a consistent, concise, and thorough manner; and used in other areas. This could be an excellent decrease the work load of those who provide way to present juror, voter registration, and information. drivefs license information. For personnel Touch-screen technology can be an effective matters, this technology could present job orienta- tool for concise, consistent, and thorough dissemi- tion information about an organization, depart- nation of routine information. The effective use of ment and job responsibilities, and employee graphics, text, and audio ensures that people with benefits (medical, dental, and life insurance plans varying levels of understanding will be able to and optional financial plans). New employees obtain the necessary information. Because this could review this information at their own pace technology is portable, it can be placed in a variety and formulate well-thought-out questions, making of highly visible locations, such as public libraries, the orientation process more productive and less city halls, departments of motor vehicles, voter overwhelming. Information about benefits would polls, and shopping malls, increasing the general be useful to current employees, as well. Overall, public’s access to information. this technology would ensure consistency in the Alternatives to the touch-screen technology, way the information is presented and that impor- such as printed brochures and videotape, were tant information was not excluded. considered for this project. Printed brochures To make this technology effective, the graph- would not reach the nonreading public. Text ics, text, and audio portions of the system would editing and changes in procedures would be require careful study, planning, and evaluation. difficult to accommodate using either medium. The evaluation techniques used by Colorado, Brochures and videotape are neither intelligent before and after implementation, were designed to nor interactive. A litigant would have to watch an determine the effect of the automated system and entire video to obtain the information desired. to measure its effectiveness in achieving the Forms and worksheets could not be produced as a project objectives. Colorado has used the results result of reading a brochure or watching a video. of the evaluation to make necessary changes to the Statistics regarding use of the information con- automated system, making the system more tained in a brochure or video would be difficult to accessible and the information more useful to the obtain. litigants.
155 The costbenefit analysis left us with several brought an increasing amount of impersonality to unanswered questions. Were the savings noted the business environment. As long as these types actually personnel savings or were they increases of systems specify a location or telephone number in productivity? Did the analysis include the cost to call for additional information or “personal” of system upkeep, including programmer staff service, these technologies can be effective. time and rerecording and reproducing the audio For further information about the Computer- track on laser disc? The equipment costs used in ized Information Centers for Pro Se Access, please the analysis were for hardware only and did not contact: include maintenance and repair costs. A jurisdic- tion looking at this type of technology may want Mr. Dan Hall to consider these other costs when calculating Director, Division of Planning and Analysis their potential benefits. Colorado Judicial Department A disadvantage to this type of self-paced, 1301 Pennsylvania St., Ste. 300 interactive technology is the elimination of the Denver, CO 80203-2416 “human factor.” With the introduction of voice- (303) 861-1111 response and voice-mail systems, technology has
156 Jury Management System 22nd Judicial Circuit, Washtenaw County Ann Arbor, Michigan
Vanguard Management and Information Systems, Inc.
This system supports the one-daylone-trial scheme and its variants and accepts tape downloading or data transfer from a single source or multiple sources.
Prepared by Maureen H. Aveno NCSC ComuIfunt JURY MANAGEMENT SYSTEM System Features/Functions __JMS X Loading of Prepared Tape X Random Selection of Venire from Master File X Questionnaire Generation X Summons Generation X Management/Statistical Reporting .x Userdefined Term of Service X One-Day/One-TIial Option . X Juror Payroll X Juror Check Generation X Juror Attendance X Juror History X Disaster Recovery Log Files Ad Hoc Reports Environments Supported IBM Hardware Manufacturer LAN X Microcomputer (Standalone) Micro-based Multi-user Minicomputer X Mainframe COBOL Primary Programming Language Documentation X User's Instructions X Operations Instructions (System Maintenance and Recovery Procedures) System Specifications (OriginalSystem Design Document) Program Index (List of Program Names and Functions) System Documentation (Flowcharts, Program Narratives, etc.) X Installation Guide support X Telephone X On-site X Remote via Modem 2 Number of Court Installations
Legend X = Operational JUT Management System 22nd Judicial Circuit, Washtenaw County Ann Arbor, Michigan
Vanguard Management and Information Systems, Inc.
THE JURY MANAGEMENT SYSTEM OMS) WAS implemented in the 22nd Judicial Circuit, Washtenaw County, Ann Arbor, Michigan, in the second quarter of 1989. The software was devel- oped by Vanguard Management and Information Systems, Inc., headquartered in Florida, and operates on the IBM 370,43XX, 30XX, and 9370 series computers. A single-user microcomputer version of JMS is supported on the IBM pS/2 and other IBM-compatible MS-DOSmachines. JMS is designed to manage the jury process, individual panels for any number of specific from initial questionnaires through juror payroll. courts. JMS can be functionally divided into seven Userdefined codes provide flexibility to adapt the areas: prospective juror selection, initial qualifica- software to varying jurisdictional needs. In tion, summoning of prospective jurors, juror addition, juror term of service is controlled by the service records, juror payroll, jury administration court, and the system lends itself to the oneday/ reporting, and system control functions. one-trial system and its variants. The 22nd The 22nd judicial circuit selected Vanguard to Judicial Circuit uses a monthly term of service create a system that would make better use of its with a juror option for one day/one trial. Finan- jurors; provide financial reporting, summonses, cial controls maintain a service record for each and questionnaires; and ease the process. The jury juror, compute payments, and generate checks. clerk would be a front-line public relations person JMS will calculate juror costs in a case or court and not a "paper pusher." JMS has fulfilled these subdivision. Financial summaries of all transac- needs. The system is maintained by the two . tions are accessible on-line or through batch employees of the jury clerk's office. processing. This review provides an overview of the seven As a management tool, JMS controls prospec- functional modules that compose the Jury Man- tive juror selection, monitors the use of resources, agement System installed in the Circuit Court for and tracks the individual service of each juror. the 22nd Judicial Circuit of Michigan. The software maintains data on prospective jurors who are disqualified, exempted, or excused and VANGUARD MANAGEMENTAND reports this data statistically. Functional areas INFORMATIONSYSTEMS, INC. include programs to select venires, enter and edit juror and system records, disburse payments to Based in Florida, Vanguard Management and jurors, and generate reports. Information can be Information Systems, Inc., provides electronic searched by juror name, identification number, information products and services to courts and master wheel identification (drivers license or related justice system agencies throughout the state ID number), period of service/payroll, or United States. Founded in 1985, Vanguard check number. provides custom application software and profes- JMS accommodates a wide variety of trial sional management services. It markets to courts, courts. It can support a single- or multiple-judge justice system agencies, and firms serving govern- jurisdiction. JMS also accommodates trial courts ment agencies. Vanguard provides proprietary that pool prospective jurors and can manage software packages, court management consulting,
159 custom software design and development, instruc- disposes of approximately 5,000 cases per year. tional services, and the delivery of IBM main- Filings in 1989 consisted of: frame/micro applications. Appeals 375 ACKNOWLEDGMENTS Domestic Relations 2,147 Civil 1,371 National Center project staff conducted a site visit Criminal 990 at the 22nd Judicial Circuit, Washtenaw County, Ann Arbor, Michigan. The following people In Michigan, many county clerks receive a cooperated in this review: tape of names randomly chosen from Michigan driver's licenses or Michigan IDS, which is down- Mr. James E. Inloes, Court Administrator loaded to the individual county's computer system. In the 22nd judicial circuit, JMS randomly Mr. David L. Walsh, Assistant Court selects potential jurors from this file and sends Administrator questionnaires to them, thus beginning the jury selection process. In 1988 over 11,000 personal Ms. Corey Pena, Jury Clerk history questionnaires were sent out by the jury clerk's office, resulting in the qualification of over Ms. Cheryl Evans, Assistant Jury Clerk 7,000 jurors. Over 4,000 jurors were summoned to the circuit court, nearly 3,000 to the district courts, Mr. James M. Harris, Vanguard Management and just over 300 to the probate court. These 7,000 and Information Services, Inc. jurors composed the 166 juries impaneled in 1988.
22nd JUDICIAL CIRCUITOF MICHIGAN GENERALSYSTEM OVERVIEW The Circuit Court for the 22nd Judicial Circuit in JMS is both menu- and tabledriven. Twenty-four Washtenaw County is located in southeastern program function keys (PF-keys)are available for Michigan, approximately 60 miles west of Detroit. user definition. A function line appears on each It is the sixth largest circuit based on the number screen for entering a command or number of a of judges and caseload. The circuit serves a specific function listed on the screen. Short population of 250,000 and consists of 5 judges and English-language commands (string commands) 51 employees. It includes the circuit court and the eliminate stopping at intermediate menus and 14A district court, 14B district court, and 15th functional areas. An example of a string com- district court. mand is MEN.6.9, which accesses the Main Menu, The 22nd judicial circuit is the general jurisdic- enters the System Control Record Maintenance tion trial court for Washtenaw County. The circuit Area (option 6 on the Main Menu), and displays a court hears, determines, and disposes of all cases list of the Exclusion Codes (option 9 on the System and causes of action brought before it under the Control Maintenance screen). Maintenance of laws of Michigan. The court's jurisdiction in- system codes, jurors, and other records is stream- cludes all felony criminal cases originating in lined by list screens, which appear coupled with Washtenaw County, all civil actions where the numbered menus. The placement of a menu amount in controversy exceeds $10,000, equity number on the function line or next to a detail jurisdiction, and domestic relations actions, record line initiates that action on the selected including divorces. In total, the circuit court record. JMS enables each jurisdiction to define the juror term of service. The system supports the one-day/onetrial scheme and its variants. The 22nd judicial circuit summons jurors for a one- month term of service. If authorized by a judge, the oneday/one-trial option is available to self- employed persons, doctors, attorneys, and indi- viduals with employers that terminate pay during active jury service. Summonses for these indi- viduals are issued for a specific day for possible assignment to a trial. The juror is free to go after the trial is completed. JMS also accommodates venires of differing sizes and duration. With this flexibility, the court can adjust to seasonal calendar variations, fluctua-
'160 tions in juror demand, changes in judicial man- JMSwas designed not only to manage the use power, and complex/notorious cases requiring of jurors, but also to be used as a resource to unusually large and dedicated venires. The “host” Vanguard accounting or case management system supports civil, criminal, family, and other software. The vendor provides site-specific departments of large urban courts individually. interface modules for this purpose. These mod- The financial component of JMSmaintains a ules can be written to permit JMSto make entries service record for each juror, computes payments, to files being maintained by case management or and generates paychecks. Summaries of all judicial/county accounting systems. These financial transactions are available on demand. interface transactions eliminate most redundant data entry.
161 FIGURE 1 JMSPROCESSES FOR SELECTION OF A JURY
JUROR CANDIDATES From Approved Government Source Listings
QUALIFIED JURORS Statutorily EIligible Candidates
VEN IREPERSONS Candidates Under Summons
PROSPECTIVE JURORS Venire Reporting
JUROR PANEL Grouping to Court
Trial I JURYJurors JMS 111 JMS #2 JMS #3 I JMS 84 JMS #4 I JMS #S
In most U.S. courts, the term juror refers to a citizen at any point in the juror selection process. JMS uses labels that represent the various stages in the jury process: juror candidates, qualified jurors, venirepersons, prospective jurors, juror panel, and juror. Figure 1 illustrates the steps acknowledged in JMSfor the selection of jurors in most courts throughout the United States. It also displays the various labeling points for individuals as they proceed through the process. Each step is linked to a major function of JMS.
162 FIGURE 2 JMS MAIN MENU
r 7 ENTER DESIRED FUNCTION (1, 2 OR 3) MEN0005 02/05/90 VJMEN2 RDW TOO1 CURRENT MODE: MENU
- JURY - VANGUARD'S JURY ADMINISTRATION SYSTEM (VERSION 1.1) (C) COPYRIGHT 1989
VANGUARD MANAGEMENT & INFORMATION SYSTEMS, INC,
1) SELECTION PROCESSING 2) QUALIFICATION PROCESSING 3) SUMMONS PROCESSING 4) SERVICE PROCESSING 5) PAYROLL PROCESSING 6) SYSTEM CONTROL FUNCTIONS L The Main Menu lists the major steps for JMSjuror processing.
163 FIGURE 3 JURY SELECTION PROCESSING
F 7 ENTER DESIRED FUNCTION (1 - 2) SELOOOl 01/10/90 VJMSELl RDW TOO1 FUNCTION : JURY SELECTION PROCESSING CURRENT MODE : INQUIRE
1) ENABLE LOADING OF NEW MASTER LIST FROM SOURCE LIST(S) 2) SELECT NEW QUALIF/VENIRE POOL FROM MASTER LIST
i- Y oouooooo
Selection Processing Selection processing is the first module in JMS. 'I'he operator accesses this area by placing the number 1 in the function field of the JMS Main Menu. The operator must have a proper security clearance to be granted access to this area. The ]uy Selection Processing screen offers the user a choice of two functions. Function 1produces a master list using sources such as the department of motor vehicles and the voter registration lists. JMS performs a match/merge process to eliminate duplicate records. The master list contains records for individual citizens who are potential candidates for jury service. To become a candidate, the individual must be selected by a JMS process. The number of selection criteria depends on the jurisdiction and methods employed regarding qualification, panel use, and the pooling of jurors. When a new master list is loaded into JMS, the records of candidates who previously qualified but were not summoned can remain, or the software can exclude them from the new master list. This func- tion is defined using the selection criteria fields on the screen. Function 2 is used to select a new qualification or venire from the master list through criteria estab- lished in JMSSystem Control (Function 6 from the Main Menu). The system control record is used to enable or disable the venire selection/qualification process and controls other functions (seeFigure 13). The venire maintained in JMS is a file containing the records of Juror Candidates (see Figure 1). The system will accommodate courts using separate and combined qualification and summoning procedures. In the former, an additional selection process following the venire list creation provides a pool for use in the separate or detached qualification method. Once "qualified," the individuals may be summoned to establish sufficient venirepersons for use in the courts. If the venire selection function is disabled, the master list functionsas the venire list to accommodate courts that receive a source tape (that is, master list) from an outside government agency. The 22nd judicial circuit does not use the selection process. Options of the Iuy Selection Processing screen are 1) Enable Loading of Master List from Source List(s) and 2) Select New Qualification/Venire Pool from Master List. The operator uses a set of input fields to define criteria for size, term, and similar parameters.
1.64 FIGURE 4 QUALIFICATION PROCESSING
r 7 ENTER DESIRED MAINTENANCE OR PAGING FUNCTION QLFOOOl 01/10/90 VJMQLFl RDW TOO1 QUALIFICATION PROCESSING CURRENT MODE : INQUIRE
FUNCTIONS : 1) QUESTIONNAIRE GENERATION LOAD/SELECT DATE: 01/05/90 2) DISPLAY QUALIFICATION DATA POOL SIZE: 00000500 3) UPDATE QUALIFICATION DATA REMAINING: 00000400
VENIRE ------NUMBER ...... NAME ***** TOP OF DATA ***** 0000000001 AAROE,GENEVIEVE E 21 - 0000000002 AARONSON, MICHAEL 19 - 0000000003 ABACAN,ESERANZA I 06 - 0000000004 ABAD,GUMERCINDA F 06 01/23/90 - 0000000005 ABAD,RAMON M 06 - 0000000006 ABAD1,KAMRAN K 11 01/23/ 90 - 0000000007 ABALOS,JAMES 02 0000000008 ABARCA,ARACELY 19 - 0000000009 ABARCA ,MEREDITH E 11
Qualification Processing In the second module of JMS, the jurisdiction can employ a discrete candidate qualification process in its juror selection procedures. The operator can select any number of candidates from the master list and send each a qualification form, such as a questionnaire. Qualification forms can be generated for a user- specified district. As the individuals respond, JMS permits jury managers to post disqualifications, exemptions, selected excuses, deferrals/reschedules, and similar eliminations. The Qualification Processing screen enables the user to invoke three functions. Function 1 generates questionnaires through batch processing. Function 2 allows an operator to view the current status of each individual in the qualification process. Function 3 allows the user to change the informationabout the candidate juror. The Qualification Processing screen is an example of a list/option Screen that allows an operator to define the type of records appearing on the list displayed on the Screen. To do this the operator uses the multiple indexed data fields displayed in the midsection of the screen. On the Qualification Processing screen the indexed fields are Venire No, Ques (Questionnaire)Date, and Name. Using one or a combina- tion of these fields, the operator can pinpoint the record or record group desired for inquiry or updating.
165 FIGURE 5 QUALIFICATION MAINTENANCE e - "RETURN" TO EXIT QLFOOO5 02/06/90 VJMQLF3 RDW TOO1 QUALIFICATION MAINTENANCE CURRENT MODE.: INQUIRE
01/10/90 02/01/90
BABJAK,JOSEPH 607- CANTERBURY
ANN ARBOR 000-000 0000 000 00 0000 M
01 10 90 SUMMON
c 4 Significant information about the candidate juror is entered on the Qualification Maintenance screen. JMSretrieves and displays as much of the data as is available from the system. The operator can enter information that is not filled in by the system. The most significant data entered are the appropriate qualification codes. These and all JMScodes are maintained through JMS System Control Functions. As with all personal data, the information entered on one maintenance screen will be displayed on other maintenance screens where appropriate.
166 FIGURE 6 SUMMONS PROCESSING
7 ENTER DESIRED MAINTENANCE OR PAGING FUNCTION SUMO001 06/04/90 VJMSUMl RDW TOO1 FUNCTION : SUMMONS PROCESSING CURRENT MODE: INQUIRE
1) VENIRE/SUMMONS GENERATION 4) ADD JUROR (PRIOR DEFERRAL) 2) DISPLAY JUROR INFORMATION 5) NTA GENERATION 3) UPDATE JUROR INFORMATION
SMC- 009006
SUMMONS VENIRE JUROR EXCL COURT------DATE PERIOD------NUMBER ...... NAME __------PANEL CODE---- ***** TOP OF DATA ***** SMC 06/04/90 009006 0010 ELASWAD, ELAYED HAFEZ - SMC 06/04/90 009006 0011 BERGMAN,KRISTINE JOYCE - SMC 06/04/90 009006 0012 WILLIAMS,THEODORE A - SMC 06/04/90 009006 0013 DAVIS, SHIRLEY JEAN - SMC 06/04/90 009006 0014 CARPENTER,BARBARA ARLENE - SMC 06/04/90 009006 0015 BERRY, DOUGLAS WILLIAM - SMC 06/04/90 009006 0016 LAMKIN,JODY ALLEN - SMC 06/04/90 009006 0017 MINER, EARL HOWARD - SMC 06/04/90 009006 0018 FRANCIS,AURELLIA ELIZABETH - SMC 06/04/90 009006 0019 HANDS,DALE F
Summons Processing In Summons Processing, a court jurisdiction can generate summonses and notices to appear. This is Function 3 from the JMSMain Menu. Once the summonses are issued, the name of each candidate juror (now called a venireperson) receiving a summons appears on the Summons Processing screen. The func- tions on this screen are summons generation, display and update juror information, and add juror (prior deferral). The user enters only the appropriate number in the function field to perform the desired activity. JMSsecurity controls access to all functions. The operator enters 1 in the function field on the Summons Processing screen to access the process that generates the summonses. A Venire/Summons Generation displays data associated with the results of past venires, candidates remaining in the pool, and qualification data. Completion of fields on this screen provides the necessary instructions to JMSfor producing the summonses or notices to appear. These instructions include the quantity to produce, court or courts, dates and time, reporting location, and other information that can be printed on the summons mailer.
167 FIGURE 7 JUROWSUMMONS MAINTENANCE
7 'RETURN" TO EXIT SUMO005 06/04/90 VJMSUM3 RM TOO1 SUMMONS MAINTENANCE CURRENT MODE: INQUIRE
0000000001 0000000003
HARDMAN,BARRY G 1036- BLACK -- MTN RD I ANN ARBOR
000 00 0000 M
I 04/10/90 SUMMON GNS
Functions 2,3, and 4 on the Summons Processing meen displays the JurorlSummonsMaintenance screen. This screen contains input and display+nly fields that are associated with the juror's (venireperson's) profile. The fields available for modification depend on the informationavailable, security privilege, and option being exercised. Funtion 4 on the Summons Processing screen is used by jury administrators to post deferrals. A candidate summoned for a particular period may wish to perform jury duty, but the scheduled time for service may cause hardship. In such cases the jury administrator may reschedule the service to a "date certain." He or she accesses the Juror/Summons Maintenance screen and enters a userdefined exclusion code and the new venire date in the Deferred to Service Date field. When JMSselects candidates for the venire deferred, the system includes the rescheduled venireperson in that summonsing. FIGURE 8 SERVICE PROCESSING
ENTER DESIRED MAINTENANCE OR PAGING FUNCTION SRVOOOl 06/04/90 VJMSRVl RIM TOO1 SERVICE PROCESSING CURRENT MODE : INQUIRE
FUNCTIONS : 1) DISPLAY JUROR INFO~MATION 4) POST ATTENDANCE 2) UPDATE JUROR INFORMATION 5) PANEL PROCESSING 3) JUROR STATUS RECORDS 6) TRIAL PROCESSING
SMC-
VENIRE JUROR EXCL REPORT STAT STATUS COURT----- PERIOD------NUMBER ...... JUROR NAME ---- CODE ------DATE PANEL CODE------DATE ***** TOP OF DATA ***** SMC 009005 0011 ELASWAS,ELAYED HAFEZ - SMC 009005 0012 BERGMAN, KRISTINE JOYCE - SMC 009005 0013 WILLIAMS, THEODORE A BLUE CD 060490 SMC 009005 0014 DAVIS,SHIRLEY JEAN - SMC 009005 0015 CARPENTER,BARBARA ARLENE - SMC 009005 0016 BERRY,DOUGLAS WILLIAM RD 060490 - SMC 009005 0017 LAMKIN,JODY ALLEN CD 060190 - SMC 009005 0018 MINER,EARL HOWARD - SMC 009005 00 19 FRANCIS, AURELLIA ELIZABETH
Service Processing The Service Processing module enables jury managers and clerks to track jurors reporting for jury service. This chronicle begins when the juror reports (attendance posting). A jurisdiction may secure such data as how a juror was used during a voir dire. Satice Processing allows the jury administration personnel to create a distinct "juror service record for each venireperson summoned. Other functions that can be accessed from the Swoice Processing screen (Figure 8) include posting attendance. Jurisdictions that maintain a juror pool commonly do this. Panel processing enables courts to group prospective jurors into a panel for movement to the courtroom and voir dire. Trial processing determines cost breakdown by mileage and time-served fees for jury and trial statistics. This option can also include a printed message on all, or a specific juror's, paychecks.
169 FIGURE 9 JUROR MAINTENANCE
"RETURN" TO EXIT SRV0005 06/04/90 VJMSRV2 JMH TOO1 ] JUROR MAINTENANCE CURRENT MODE: INQUIRE
CD 06/04/90
,EtSAYED HAFEZ 3966 CROFTON WAY
05/10/90 SUMMON GNS
The Service Processing screen (Figure 8)provides six functions for maintaining juror service records. Functions 1 and 2 display or update the record of a prospective juror through the Iuror Maintenance screen. When the user displays a prospective juror record, the system protects all fields from being modified. When the user has finished viewing the information, another record can be selected from the Service Processing screen.
170 FIGURE 10 JUROR STATUS PROCESSING
? ENTER DESIRED MAINTENANCE OR PAGING FUNCTION STAOOOl 06/04/90 VJMSTAl RDW TOO1 JUROR STATUS PROCESSING CURRENT MODE : INQUIRE I FUNCTIONS: 1) DISPLAY STATUS RECORD 2) ADD 3) UPDATE 4) DELETE SMC BLUE 0000000010 1.0 0.00 0,OO
STATUS STAT FULL HALF P DATE SEQ CODE CASE-ID LOC DAYS DAYS MILES ALLWNC AMOUNT D ------...... ------e------***** TOP OF DATA ***** - 06/04/90 000 CD SUCV -90-0000146 RDWD 1 5-00 ***** END OF DATA *****
Function 3 from the Service Processing screen (Figure 8) displays the Iuror Status Processing screen through which operator posts, updates, and expands pertinent service data. JMScomputes fees and costs associated with a juror’s service based on attendance and posting of miles driven and optional meal and other allowances.
171 FIGURE 11 JUROR STATUS MAINTENANCE
/ T "RETURN" TO EXIT STA0005 06/04/90 VJMSTA2 JMH TOO1 JUROR STATUS MAINTENANCE CURRENT MODE: INQUIRE
SMC 009005 BLUE 00000000 CD ABAYAN ,VICTOR P 05/25/90
05 25 90 CD CASE DUTY RIND REDWOODcI-rY (CENTRAL) SUCV - 90-0000045 -1 5.00 -0 0.00 -0 0.130
5.00
06/01/90 RDW POS
Four functions can be performed from the Juror Status Processing screen (Figure 10). Based on opera- tor security, they allow the user to display, add, updlate, or delete data on the Juror Status Maintenance screen. The screen displays the juror's service location, panel assignment, name and juror number, mileage allowances, payments made to date, number of days served, miles driven, and any other allow- ances given. JMSuses this data to compile statistics at the trial, panel, pool, and venire levels.
172 FIGURE l2 JUROR PAYROLL PROCESSING
ENTER COURT CODE, "UPD" , "NEX" , ' "PRE" , OR "RET" PYLOOOl 02/21/89 VJMPYLl SYS TOO1 JUROR PAYROLL PROCESSING CURRENT MODE : INQUIRE
CSMC ------
Payroll Processing Juror Payroll Processing is the fifth module of JMS.Payroll programs are executed for a specified court or division only. The Check Notations field is used for specirylng a message to be printed on all juror paychecks. The message is printed in a predefined area on the bank draft. Through SmkeProcessing (Figure 8)' a personal message can appear on a juror's check. The Payroll Processing function can also provide the data required for a jurisdiction's accounting or general ledger software. Users can retrieve the necessary data used for check printing at another location. Software required for this linkage is available from the vendor. Washtenaw County does not use this capability.
173 FIGURE 13 SYSTEM CONTROL FUNCTIONS
7 ENTER DESIRED FUNCTION (1 - 15) SCFOOOl 02/08/90 VJMSCFl RDW TOO1 SYSTEM CONTROL FUNCTIONS CURRENT MODE: MENU
1) SYSTEM CONTROL RECORD MAINTENANCE 2) USER PROFILE MAINTENANCE 3) BATCH CONTROL MAINTENANCE 4) DATE/TIME CONVERSION UTILITY
5) COURT CODE MAINTENANCE 6) LOCATION CODE MAINTENANCE 7) DISTRICT CODE MAINTENANCE 8) QUALIFICATION CODE MAINTENANCE 9) EXCLUSION CODE MAINTENANCE 10) CASE TYPE CODE MAINTENANCE 11) JUDGE CODE MAINTENANCE 12) TRIAL CLERK CODE MAINTENANCE 13) STATUS CODE MAlNTENANCE 14) DISPOSITION CODE MAINTENANCE 15) VENIRE CALENDAR MAINTENANCE
Systems Controls Option 6 on the Main Menu screen accesses the System Control Functions screen. This screen provides access to 15 functions. The first four selections are 1) Control Record, 2) User Profiles or Security Func- tions, 3) Batch Control or the Report Generator, and 4) a special utility for date and time conversions. Selections 5 through 15 provide maintenance for the code tables in JMS. The Control Record is used to assign the various PF-key functions to a keyword function, create log records, allow password changes, and enable or disable the venire selection and qualification processes. Information entered on the User Profile screen establishes security for each user (security functions are described later in this report). Batch Control provides for general inquiry and summary reporting. Options for specifying selection criteria and report format are included. Statistical reports that reflect selection summaries, juror utiliza- tion, and other management abstracts are available. A number of standard batch routines provide information to help system administrators project juror selection needs. The software provides statistical information related to juror yields by breaking down data by excuses, exemptions, disqualifications, reschedule or deferments, service returns, and no shows. Information associated with jury panels may be collected to demonstrate juror usage in the courtroom, including tabulations related to peremptory and cause challenges, jurors impaneled, and jurors not reached. Another area of reporting includes examination of financial information. Reporting in this area includes compilations of juror service records, per diem costs, mileage costs, service of summons costs, and others. The Date/Time Conversion Utility provides eight functions for date and time format changes, validation, and adjustments for JMS programs. There are 11 different types of codes maintained within JMS. To access a code table, the operator must have the proper security. A separate privilege must be given for each of the five functions available within any code table. Code maintenance uses a combination of list/option and maintenance screens. The user may choose one of five options from the list screen: 1) display a code, 2) add a new code, 3) duplicate a code, 4) update a code, or 5)delete a code. These five functions are the same on each code maintenance screen in
174 JMS.Up to 12 codes are displayed on the list/option screen. The functions, Top, Forward, Backward, and Bottom may be used for paging through multiple-screen lists. Reports A variety of standard reports are available through each of the on-line modules. Selection Processing Module: Selection Audit-a list of all names selected with pertinent information associated with each name. Various sequence options will be availabld (for example, by name, venire number, etc.). Distribution Audit-a summary showing the distribution of the random numbers generated for selection of names from the source list.
Qualification Processing Module: Questionnaires-the actual questionnaires that are mailed. Currently, a format is custom defined for each jurisdiction and "boilerplated" in the system. Addresses are printed in zip code sequence to take advantage of reduced U.S. postal rates. Questionnaire Audit-a list of all names corresponding to the printed questionnaires. Qualificatwn Audit-a list of all names with qualification information. This report may be sequenced by name or venire number. It may also be separated by Qualification Code. Summons Processing Module: Summons-the actual summons mailed to each juror. Currently, a summons format is custom defined for each jurisdiction and "boilerplated" in the system. Addresses are printed in zip code sequence to take advantage of reduced U.S. postal rates. Summons Audit-a list of all names selected by juror number corresponding to the summons printed, including those printed for deferments that were rescheduled for the service date being processed. Juror Audit-a list of all names corresponding to the summons mailed or served with exclusion information where applicable. This report may be sequenced by name or venire number and will specify the type of exclusion allowed. Information regarding disqualifications, exemptions, excuses, and deferments or reschedules is itemized. Service Processing Module: Alpha Check-in Report-a list of all jurors summoned, less excuses and deferments, in name sequence. This would generally be printed the day before each report date and may be used as jurors report for service. This report can serve as an index to the Attendance Sheets. Attendance Sheets-worksheets that may be used to keep track of attendance for juror payroll pur- poses. The worksheets may be printed by juror number (that is, as they were randomly selected) or by juror name. The worksheets may also be separated into any number of panels and may be printed to support full- or halfday increments for attendance tracking. Worksheets are useful when a computer terminal is not available in the jury waiting area. Trial Sheets-worksheets printed to track service, by case, for seated jurors and to track costs associ- ated with each case. Any voir dire data would be entered onto these sheets.
Juror Payroll Processing Module: Payroll Audit-a list of all jurors selected for the specified service date with a summary of service information and payroll amounts for each juror. This report may be compared to the Attendance Sheets for confirmation. Payroll Checks-one check printed for each juror that reported or served. Provisions are made for including special comments or instructions on the check stub for all checks or individual juror checks. Check Register-a list of all checks printed with pertinent information associated with each disburse- ment. Summary totals are included. Employer Certifiates-ertificates given to jurors provide evidence of jury service to an employer. Disbursements to the juror can appear on the certificate. The software can generate certificates to all jurors or only to jurors requesting them when reporting for service. Certificates of Appreciation-one certificate printed for each juror that reported or served. The court defines the format. The software will print the juror name and dates of service. A message line can provide a personalized note on a certificate.
175 FIGURE 14 USER PROFILE FUNCTIONS
> (ENTER DESIRED MAINTENANCE OR PAGING FUNCTION UPMOOOl 02/08/90 VJMUPMl INR TOO1 *** USER PROFILE FUNCTIONS *** CURRENT MODE : INQUIRE
FUNCTIONS: 1) DISPLAY USER PROFILE 4) UPDATE USER PROFILE 2) ADD NEW USER PROFILE 5) UPDATE USER PASSWORD 3) DUPLICATE USER PROFILE 6) DELETE USER PROFILE
I USER-ID USER NAME CLASS USER-ID USER NAME CLASS ------...... ------...... ------***** TOP OF DATA ***** - CLERKI SYSTEM ADMINISTRATOR - DNB DIANE BALDRIDGE - INR ILSE ROHER SYSTEM - JMH SYSTEM - RNL RUBY LUCAS SYSTEM - TNB TIMJAMES BEN VHARRIS ON CLERKI RDW RONALD D WARFIELD SYSTEM - SYSTEM SYSTEM ADMINISTRATOR - KNO KIM OMAI CLERKI - ENf? EDNA RICE SYSTEM - ***** END OF DATA *****
Security User Profiles are records that control access and security privileges to the various functions. To logon to JMS,an operator must have a User Profile. The User Profile Functions screen consists of the fallowing: a list of available inquiry and maintenance function options numbered 1 through 6; a set of input fields so that the operator may identify criteria for controlling the list of profiles that currently exist; and a list of existing user profiles with User ID, Name, and Classification shown for each profile. The operator may enter the number corresponding to the desired function in the Function field. Most functions also require selection of a specific profile record. The list in the bottom portion of the User Profile Functions screen contains up to 24 profiles at any given time. The functions, Top, Forward, Backward, and Bottom, may be used for paging through the list. A single character input field, provided to the far left of each profile listed, may be used to enter a function from the top portion of the screen that will be performed on the selected record. A function on this screen may be accomplished in one of two ways: it may be entered in the Function field and an X placed next to the record to be addressed, or the function number may be entered in the input field next to the selected record (leaving the Function field blank). This record selection process applies to all of the JMSList/Option screens except for the option to add a new user profile.
176 FIGURE 15 USER PROFILE MAINTENANCE
> ENTER DATA FOR NEW USER, OR "CANCEL" TO ABORT UPM0006 06/08/90 VJMUPM2 JMH TOO1 ** USER PROFILE MAINTENANCE ** CURRENT MODE: ADD
...... FUNCTION ALLOWED------...... FUNCTION ***** TOP OF DATA ***** JURY LOGON MODIFY PASSWORD - SELECTION PROCESSING ENABLE LOAD OF NEW SOURCE LIST SELECT NEW VENIRE _I GENERATE QUESTIONNAIRES - QUESTIONNAIRE GENERATION INQ UPDATE QUALIFICATION DATA - DISPLAY QUALIFICATION DATA SUMMONS GENERATION INQUIRY - SUMMONS PROCESSING DISPLAY JUROR INFORMATION - UPDATE JUROR INFORMATION ADD JUROR (PRIOR DEFERRALS) - SERVICE PROCESSING DISPLAY JUROR INFORMATION - UPDATE JUROR INFORMATION JUROR STATUS RECORDS - DISPLAY JUROR STATUS RECORD ADD JUROR STATUS RECORD - OVERRIDE PAY/MILEAGE RATES
~~ ~~ UPDATE EVENT RESTRICTION DUPLICATE EVENT RESTRICTION** ** ** **** ** ** ** ***** ***
~~~~ ~~ When an authorized operator executes functions 1 through 6 on the User Profile Functions screen (Figure 14), the User Profile Maintenance screen is displayed. This screen contains input and display-only fields that pertain to a specific user profile. A juror manager can allow a user access to each function individually. A security level appears for each function on each screen in the JMSsystem.
177 HARDWAREREQUIREMENTS JMS is delivered with a oneyear warranty and 12 months of maintenance (the initial period) Since March 1990 JMS has operated on the 22nd included in the license fee. Additional support judicial circuit's IBM 4381 with VSE/SP (version may includdut is not limited to-nonproduct- 3.2.0). Before this time, the system operated on an related telephone consultation, environment IBM 4341 under DOS/VSE (version 1.3.5). JMS runs troubleshooting, specialized technical assistance, on IBM 370,43XX, 30XX, and 9370 series comput- sitespecific custom modifications, and the devel- ers. The system uses CICS command level COBOL opment of custom interface modules for host as its programming language, with VSAM data application software. The warranty may be sets for DOS/VSE and MVS operating systems. The renewed annually. Contact the vendor for specific system is designed for use on an IBM 3270 type cost information. and look-alike CRTs with 1920 character display screens. FUTUREENHANCEMENTS A single-user PC version of JMS is also avail- able for operation on IBM pS/2 and compatible To keep the 22nd judicial circuit current with MS-DOS machines. changing regulations, industry trends, and techni- cal improvements, Vanguard con tinually reviews DOCUMENTATION and updates JMS. Enhancements are provided as part of the initial maintenance period and will be Documentation includes a jury training manual, continued when maintenance is renewed by the JMS operation guide, and technical system docu- licensee. Each enhancement is provided via an mentation. The jury training manual provides an update tape and includes a complete change list introduction, a narrative reviewing the six major and end-user documentation revisions to the functional areas of JMS, and a collection of screen operations guide. images corresponding to transparencies, which the A major enhancement planned by Vanguard is vendor uses during on-site training. an ad hoc notice/forms generation package, which The JMS operation guide provides a clear will allow the user to define forms, notices, and presentation of all features of the software. Sys- letters to be generated by JMS for a specific group tem backup procedures, purge routines, edit and of jurors. error messages, and illustrations of all screens and A future release of the software will provide report formpts are also included. For each func- the ability to modify documents generated. Such tion, the guide displays the screen and describes flexibility will permit changes to the format of each field. Stepby-step instructions are presented various documents without requiring program- in an easy-to-follow format. This guide also mer intervention. provides a message index, technical reference, and appendixes. The message index summarizes error ISSUESAND CONCLUSIONS and informational messages generated by on-line modules within JMS. The technical reference The generic design of JMS lends itself to a variety summarizes the technical aspects of the system for of jury management methods. The system sup data-processing personnel who install and main- ports the one-day/ one-trial scheme and its tain the system. This section provides an explana- variants. The user can define the term of service tion of system requirements, a technical system as well as enable or disable certain system func- overview, a list of modules and files, installation tions, such as the qualification process. JMS is procedures, and instructions for routine opera- menu- and table-driven. Each table is user de- tions. The appendixes summarize the revisions to fined, making the system flexible for each jurisdic- previous versions that are now included in JMS. tion in which it is implemented. Technical system documentation is available For each new installation, three areas of for system managers and data-processing person- processing must be customized: 1) tape down- nel and includes program documentation, flow- loading or data transfer (a program must be charts, file layouts, and backup and recovery written to download information from a single procedures. source or multiple sources and converted to the proper JMS format); 2) design of forms such as TRAININGAND SUPPORT questionnaires and summonses; 3) downloading of financial information to a state or county The vendor provided the 22nd judicial circuit with accounting system, if applicable. three days of on-site training for the jury clerk's When users and administrators in the 22nd two employees. The vendor can provide tele- judicial circuit were asked to list the benefits of the phone support and remote support via modem. system, they mentioned time saving, ease of use,
1Y8 and excellent vendor support. Administrative Mr. James E. Inloes benefits include the improvement of the use of Court Administrator juries and of financial reporting. An additional 22nd Judicial Circuit of Michigan benefit is that the jury clerk can be freed from Washtenaw County Courthouse timeconsuming manual tasks to serve as a front- P.O. Box 8645 line public relations person. Ann Arbor, MI 48107-8645 Although the 22nd judicial circuit did not cite (313) 994-2550 any shortcomings of JMS,the system's current inability to accommodate user-modification of Mr. Ronald D. Warfield forms and documents would force a site to rely on President the vendor for such modifications. The vendor Vanguard Management and Information has stated that such modification of forms and Systems, Inc. documents will be available soon. For further Koger Center at the Quadrangle information about JMS,readers are invited to 3452 Lake Lynda Dr.,Ste. 340 contact: Orlando, FL. 32817 (407) 249-2800
179 District Court Automation Software (DCAS)
District Court of Maryland Annapolis, Maryland
This is an integrated, decentralized approach using PCS as workstations, reducing the central mainframe computer inputloutput operations. The system uses bar coding for data entry and case management.
Prepared by Ronald H. Jape NCSC Consu2tant DISTRICT COURT AUTOMATION SOFTWARE (DCAS) Traffic/ Criminal System Features/ Functions X Docketing/Register of Actions X Indexing X Scheduling (AutomaticAssignment) Calendar Preparation Individual Calendar X Master Calendar X Notice Generation X h4anagement/Statistical Reporting X Warrant Generation and Monitoring Diversion Tracking Prosecutor and/or Public Defender Scheduling SentencingGuidelines Determination Probation Monitoring Automated Minute Sheets Arbitration/Media tion X Judgment/Disposition Exhibit Management Case Consolidation Physical File Control X Moving Violations X Nontraffic Ordinance Violations Parking Ticket/Citation Book Control X Ad hoc Reporting X On-line Help Facility Accounting Fee Accounting X Automatic Distribution of Fine/Fees X Revenue Accounting X Bail and/or Bond Indigent Defense Tracking Reconciliation (Attorney Billing) X Reimbursement of Costs Environments Supported IBM and compatible micros running MS-DOS used as workstations IBM 3090 CICS Mainframe Primary Programming Language C, Assembly, Clipper on PC COBOL on IBM 3090 Documentation X User's Instructions X Operations Instructions (System Maintenance and Recovery Procedures) X System Specifications (Original System Design Document) X Program Index (List of Program Names and Functions) X System Documentation (Flowcharts, Program Narratives, etc.) support X Telephone X On-site Remote via Modem 12 Number of Court Installations Legend X Operational District Court Automation Software (DCAS)
District Court of Maryland Annapolis, Maryland
THE DISTRICT COURT AUTOMATION SOFTWARE received were keyed into an electronic cash (DCAS) was designed, developed, and installed by register. District Court and Judicial Information Systems Delays associated with this sequence resulted 01s) personnel for the District Court of Maryland. in slow data entry, slow posting of payments in DCAS is a software system stored on PCs that work the central computer, and misplacement of with the statewide database on the state's IBM information. Automation of this process could mainframe. This report focuses on the PC-based effectively address these issues, including the modules that are composed of three integrated generation of necessary forms at the PC level. programs: the district court commissioner mod- Clerks could concentrate on other pretrial and ule, the clerk's office/information center module, posttrial case-management functions. and the cashier module. A fourth module is being Providing each clerk's office with a similar developed to collect case disposition information interface would free staff from manual creation of and produce required forms in the courtroom. mu1tipart summonses, subpoenas, expungements, Connection with the central computer pro- and tertiary forms that support citizen needs vides for statewide creation and maintenance of ("walk-in support") and would simultaneously records for criminal, serious traffic, department of update the statewide central computer. Finally, natural resources, municipal ordinance, and automating cashier functions related to recording public local law violations. Certain circuit court payments would relieve clerks from entering functions are performed by the district court payment receipts and closing payable cases. DCAS commissioners, primarily initial appearance software addresses these needs. hearings, commitments, bond posting, and release from commitment. As the central computer ACKNOWLEDGMENTS system is updated, the PC automatically produces the required forms. National Center project staff conducted a site visit The court commissioner module was tested in in Annapolis, Maryland. The following people in one of Maryland's 12 districts during August 1989 the district court and Judicial Information Systems and is now used in 9 of the state's 12 districts. The cooperated in the review: clerk's office and commissioner's modules were installed concurrently in each district. The cashier Jerry Powell, Director, JIS module (first installed in July 1989) is now in- stalled in all 12 districts. Cheryl Cogan, Mainframe Analyst, JIS DCAS was developed in response to the increasing volume of cases in the Maryland Frank Beale, KCM Computer Consultant District Court. In 1988 all case reports were handwritten by the court commissioners. They Limited time was available for system demon- were then sent to the clerk's office for data entry of stration; Mr. Buck Webb, Senior Systems kogram- the complete case. At each court appearance, mer, provided necessary background information. more forms were created and keyed into the The National Center for State Courts gratefully central case management system. Any payments acknowledgeshis assistance in this effort.
183 DISTRI~COURT OF MARYLAND tory and some county systems. The court commissioner creates criminal and The District Court of Maryland came into being on serious traffic cases when a citizen, a law enforce- July 5,1971, to replace a system of trial magis- ment officer, or the state’s attorney files an infor- trates’, people’s, and municipal courts. It is a mation. The commissioner determines if there is state-funded court of record and has statewide probable cause and, if so, issues a statement of jurisdiction. The district court is divided into 12 charges (applications or informations) or a charge geographical districts, each containing one or summary (warrantlessarrest by law enforcement). more political subdivisions. There is at least one If the defendant has been arrested, the commis- judge in each subdivision. sioner conducts an initial appearance hearing at There are 93 district court judgeships, includ- the time, usually setting the trial date. The defen- ing the chief judge. The chief judge is the adminis- dant is advised of the charges and of his or her trative head of the court and appoints administra- rights under law. Pretrial release conditions are tive judges for each of the 12 districts, subject to also set at this time, including bail. the approval of the chief judge of the court of If the commissioner incarcerates a defendant, appeal. The chief judge also appoints a chief clerk a commitment pending hearing is held. If the of the court, administrativeclerks for each district, defendant is committed in default of bond, the and commissioners. defendant or his or her representative may post The district court has jurisdiction in criminal bond and be released. All defendants not released and civil matters. The exclusive jurisdiction of the before the next session of court are given a bail district court generally includes all landlord/ review by a district court judge. The commis- tenant cases; replevin actions; motor vehicle sioner produces all dockets used in the courtroom. violations; criminal cases, if the penalty is less than If the defendant is not present, the commissioner three years‘ imprisonment and does not exceed a issues either a summons or a warrant, depending fine of $2,500; and civil cases involving amounts on the seriousness of the crime, the defendant‘s not exceeding $2300. It has concurrent jurisdic- prior record, and the commissioner‘s own prob- tion with the state circuit courts in civil cases over able cause findings. $2300, but not exceeding $lO,OOO, misdemeanors, The cases are sent by courier to the clerk‘s and certain enumerated felonies. Since there are office, where they are reviewed on the statewide no juries in the district court, a person who central computer (having been created by the chooses a jury trial must proceed to the circuit commissioner’s module). Trial dates are set (if court. necessary), witness information is entered, and the District court criminal, traffic, and civil case case is filed. Case folders are color coded to reflect filings for 1989 were reported as follows casetype and contents. The clerk’s office performs all case management, payment receipt, and forms criminal cases: 167,417, generation supporting these activities. Sum- traffic cases 1,066,296, and moms and subpoenas are automatically gener- civil filings: 706,126. ated by the central computer system, as are required reports to the criminal justice repository The Judicial Information System 01s) provides and the motor vehicle administration. computer and automatic data-processing support to the judiciary, primarily the district and circuit GENERALSYSTEM OVERVIEW courts, and the administrative office of the courts. There are 42 district court and 52 commissioner All modules of DCAS are formdriven using a locations in the state. Most Commissioner loca- variety of menus and commands to complete user tions operate 24 hours a day. requests. Users select an option to produce a District courts and commissioners are linked printed form (Warrant, Initial Appearance, etch via a leased telephone line with the central com- The software brings forward any existing case puter system in Annapolis. In addition to district information and requests any needed user input. court personnel, many other organizations within It produces the form in the required number of the state have access to the central system. While copies and updates the central computer. the JIS central computer provides case-manage- Extensive use is made of table validation; most ment functions, it also connects other agencies, tables are identical in form to those used for including the Criminal Justice Information Reposi- validation by the state’s central computer. Case numbers, bonding corporations, common munici- performed at the central computer are update of pal orders and public local laws, citation numbers, the state criminal justice repository, printing of and about LOO0 of the most frequently used subpoenas and summonses for mail delivery, criminal violations are bar coded using standard collection of defendant incarceration locations for Code 39 bar codes. Software enhancements and writs of habeas corpus, recording of bond forfei- table updates are distributed to the user PCs tures and satisfactions, and closing of cases upon through the central computer's communication receipt of payment of fines and restitutions. links. All software is integrated. All biographical Each time an action is taken on the case, it is data, charge information, trial/hearing dates and automatically registered on the statewide system. times, and case venue information on defendants In addition, any ancillary forms that are required are preserved and automatically placed in forms (new docket forms, commitments, etc.) are pro- as required. This enhances consistency and results duced by the PC. When the central computer in forms that are more completely filled in with all receives a transaction, it produces any other biographical data and all charges. required activity. Among the many functions
185 FIGURE 1 MAIN MENU
HENil i 01- 4
2 - PRINT LADEL PAGE 3 - FORMRT A 3 1/2 IN. FLOPPY DISK 4 - BACKUP DAThBfiSES ON 3 1/2 IN, FLOPPY 5 - LOGOFF THE DISTIICT COURT SYSTEM
Commissioner's Module Commissionersaccess DCAS through the Main Menu. The Main Menu allows them to perform general maintenance activities and automatically logs them on to the central computer. Users can switch back and forth from the PC to the central computer databases by simultaneously pressing the left and right shift keys on the keyboard. This "context-switching" function is available at all times (even when running a selection from the menu) and takes less than one second. Menu 2 provides administrative options to the user. The logoff option updates databases, produces activity reports, and accesses the central computer tb receive (or send) any files. This option is performed at the end of a commissionefs shift. Most court commissioner locations are active 24 hours a day. Upon logoff, the PC automatically connects to the central computer and checks for files addressed to its identifier, which are transferred to the PC and installed as appropriate for each type of file. Memorandums, new databases, updates to databases, and new executable files are distributed in this manner. There is no Sign On option listed on the menu. The system automatically forces a Sign On when any menu item is selected and the logged off state is sensed, thereby easing user access to central computer databases without having to go through a logon/lognff process each time.
186 FIGURE 2 MENU2 f I IllWiJ i OT 4
2 - CREATE CASE FOR ON-VIEW 3 - ISSUE R CRIIINAL SUIIIIONS 4 - ISSUE A WARRANT 5 - HOLD BN INITIhL APPEBRANCE
6 - ISSUE A COtllITnENT 7 - POST B BONB 8 - ISSUE A RELEASE
Menu 2 provides most of the functions for the commissioner's module. Prepare Statement of Charges provides all necessary interfaces to create a new district court criminal case. The module contains each criminal code in the state criminal justice information system, a short description, and the maximum first-offense penalty; indicator as to whether the defendant can be incar- cerated for this offense, felony, or misdemeanor; and presents formal charges in an editable form for the most common offensescharged in the state. This module also allows the creation of charges for offenses that have not yet been defined in the coded system and for the conversion of defined offenses to common law attempts and conspiracies. The central computer maintains the district court case-numbering system. Each PC automatically monitors its assigned cases. When the number of available case numbers falls below a predetermined number, the PC program requests the central computer for more. The central computer allocates the next- available number to the PC from the block assigned to that district. This unique case number is used not only by district court but by other courts and the criminal justice information repository to track report- able events. Option 2, Create Case for On-View, allows the commissioner to create a case for a warrantless arrest. There is significant distinction between this process and that for applications. In a warrantless arrest, the defendant is first processed by the law enforcement agency, which provides the commissioner with a statement of charges already completed with the facts and charges against the defendant. These state ments of charges are prenumbered and preprinted. The commissioner can produce a Charge Summary containing specifics on the complainant and defendant and the codes corresponding to the charges. While all charges are processed by the commissioner, his or her determination of probable cause will affect any pretrial release conditions that will be applied. Hold an Initial Appearance (option 5) produces several documents: initial appearance document, a notice of advice of right to counsel, a commitment pending hearing if required, a pretrial docket, a trial docket, a bail review docket if required, and a felony/preliminary hearing docket if required. This module is also the primary means for setting trial or hearing dates. Issue a Commitment produces a commitment pending hearing. This module is used when a defen- dant is arrested on a bench warrant, the issuing judge has preset the bail amount for the defendant, and no pretrial release determination is required. FIGURE 3 MENU3
_____~ tani 5 03 4
2 - PRINT A DOND/DECI. TRUST 3 - CREATE NOT-YET-ENTERED/HOST DOWN CASE 4 - PRINT A NEW INIT. APPEARflNCE SCANNING rVtT 5 - CREI1TE AND PRINT rZEHORANDA
61. I I
ihFS HliM
Less-frequent activities performed by the commissioner are found on Menu 3. Add an Alias allows the commisbioner to add an also-known-as entry to the case. There is no limit to the number of aliases that may be added to a particular case. Print a Bond/Decl. Trust produces blank bail bond forms, a Notice to Surety Posting Bond, and, if desired, blank declaration of trust forms for property bonds. This option produces the forms for citizens to complete. The system places the defendant information on the form and prints the trial/hearing date, ' if one is set. Once completed by the posting entity, the commissioner signs the form(s) and produces the Release from Commitment. Create Not-Yet-Entered/Host Down Case allows the commissioner to create a case shell containing the defendant information and the charge codes. This option may be used if the central computer or communications are inactive. Cases created or accessed by a given PC remain in the active databases for 48 hours, after which they are purged (the actual data destined to update the statewide central computer is kept until the central computer connection is reestablished). Any cases not created or accessed on that PC within the 48-hour period are automatically retrieved from the central computer when the commis- sioner accesses the case. A typical example is an arrest on a warrant that is one year old. To perform initial appearance on the case, the commissioner simply scans the case number bar code as usual. The PC searches the database for the case. If not found, the PC automatically asks the central computer to retrieve the case information. If the central computer is inactive, this option allows the creation of the shell for further processing. Create a New Init. Appearance Scanning Mat prints the scanning mat used to select initial appear- ance hearing options. Create and Print Memoranda prints a blank memo form, including appropriate logo, date, and to/from format.
188 FIGURE 4 MENU4
+1-- I 'I
2 - EXIT IUM [ENU
Menu 4 provides for administrationand maintenance and is generally accessed only by technical support staff. Service Documentation displays a list of all components of the module, their serial numbers, and all other pertinent identifications associated with a particular PC. Exit Auto Menu exits the menu program and reverts to the operating system command level.
189 FIGURE 5 CLERK'S MENU 1
2 - Label Page 3 - SERUICE DDCUHENTATION 4 - Disk Operating System
Clerk's Module The Prepare Printer option on the ClerKs Menu 1 downloads required logos, fonts, and line and box macros to the Hewlett Packard Laserjet printer. The user must execute this option when the system is turned on and whenever the printer loses power due to any cause. Label Page prompts for a case number, retrieves the case from the statewide central computer, and prints a custom full-page label set. This option is needed for cases whose label page is lost, for some cases that are forwarded to the circuit court, and for bench warrants issued. Service Documentation displays a list of all components of the module, serial numbers, and all other pertinent identifications associated with the particular PC. Disk Operating System causes the menu program to stop and return to the PC operating system. This option is generally used only under direction of the technical support staff.
190 FIGURE 6 CLERK'S MEMJ 2 f 1 7 +1-- 2 - Deferred Payment Statement 3 - Expuayements 4 - Summons 5 - Bench Warrant 6 - UOP wlth Bench Warrant4how Cause 7 - District location Change
2hFs HbK SiiF'I f$=mry: 4Gsl B ,,.
Because the clerk's module supports both citizen and common chambers work, the functions on Menu 2 contain a mix of items, the results of which may be given to a citizen or taken to the courtroom, the cashier, a law enforcement agency, or some combination. Cashier Page (option 1) is used when the citizen comes to the court to make either a court-ordered payment of fines/costs or restitution or to pay a traffic ticket, natural resources violation, or civil citation. In many situations, the citizen desires to prepay the violation because he or she has been sent a notice to appear in court and cannot appear or does not wish to appear. Often, the citizen neglects to bring docu- mentation that the cashier needs to properly receive the payment. On retrieving the case, the PC prints a specially designed sheet containing bar-coded case numbers and amounts. The type of case, its status, the defendant name, and whether checks can be accepted are also noted on the sheet. For example, payment by check is not allowed when restitution or fines are made on Check Fraud cases. The citizen then takes this sheet to the cashier, who scans it in and it accepts payment. Deferred Payment Statement is similar to the Cashier Page, except that it lists the total and current amounts due. This statement can be useful to a judge during violation-of-probation hearings. Expungements (option 3) produces an Order for Expungement when granted by a judge. Each expungement can have many different parties and repositories applicable to it, some repetitively used (for example, law enforcement) and some specific to a case (for example, a halfway house). The expungement program provides a common list of agencies to whom expungements may be sent and methods to enter special one-time agencies or repositories. The program produces three types of expungement orders based on the types of entities that may be involved: law enforcement, court entities (includingrecords repositories),and other noncustodial entities. Option 4 produces a summons for a defendant to appear in a case. This is used when cases are continued or postponed, and the court wants to ensure that the defendant understands when and where he or she must again appear.
191 Option 5 produces a bench warrant for arrest of a defendant and is widely used for various con- tempt-of-court citations, such as failure to appear, failure to make payment, and failure to obey an order of the court. VOP with Bench Warrant/Show Cause produces a violation of probation docket to be used in the courtroom and the usefs choice of bench warrant or show cause order. The 18 violation codes are displayed to the user, who then selects any or all that apply. The last option, District Location Change, provides a means to change the location to which the PC is assigned. Very often clerks in one location will perform some activities of another. For example, it may be more convenient for all writ lists for the district to be printed at a single location near the local deten- tion center or jail. This option, which is protected with a password, provides a means to perform such activities without special programming.
192 FIGURE 7 CLERK'S MENU 3
-b 1 - m. 2 - Subpoena 3 - Witness Entry List 4 - Docket Print
Przss !i for IkIp
The Writ List option, found on Clerk's Menu 3, controls a series of functions. To understand the function, one must know that the central computer produces a list of all defendants incarcerated any- where in the state who are scheduled to appear in any district court location in Maryland. The list is produced daily for court dates seven days hence. The central computer also creates a list of defendants who are not incarcerated but who are scheduled to appear in court. This second list is limited to defen- dants in criminal cases. Each evening, these files are automatically sent to specific clerk's office PCs. At a prearranged time, each PC automatically initiates this selection (for example, 4:OO A.M.). The PC receives the file in raw data form, processes the information, and prints a writ list for each incarceration location. Local detention centers and jails also receive the second list of nonincarcerated defendants so that defendants in custody that failed to appear due to arrest and incarceration on new charges after gaining release on the first charge may be identified. The Writ List function also provides a reliable method to update the database and tables on the clerk's PCs. Any updates are sent with the writ lists. Memorandums from headquarters that require quick and sure delivery can also be sent and printed via this means. All clerks' PCs access the central computer each night for updates. If the clerk's office fails to receive writ lists for a period of time, due to equipment or communication failure, staff can manually select the catch-up option. Option 2 produces witness subpoenas. The clerk enters the case number and type, and the system responds by retrieving information on the defendant, charges, court dates, and all related persons in the case. The clerk then selects those names for whom a subpoena is to be issued. The PC then produces the required subpoenas. In addition to subpoenas to be served personally, the central computer produces a mailed subpoena before the court date. Witness Entry List (option 3) allows the clerk to enter the names of witnesses in the original case. The system displays the current witness list for the case, supports the addition of one or more new witnesses, and prints a list that is date-and-time stamped for insertion into the folder. This enables judges in court to determine if there is sufficient time for nonappearing witnesses to be notified by the central computer of their need to appear.
193 Option 4 prints any type of docket used by DCAS. It serves as a safety mechanism to ensure that dockets exist for each case, no matter what circumstances might have caused the original docket to be unavailable or no longer serviceable. Typical uses are error correction, addition of new dockets when the maximum number of continuances provided on the docket have been used, and the addition or amend- ment of charges by the state's attorney.
Cashier's Module The cashier's module is a highly specialized, streamlined process that consists of only two programs, each calling multiple routines to process the specific casetype. The district court, like most state court systems, must accept, properly account for, and in some instances pass to other jurisdictions many types of payments. Civil filing fees, landlord/ tenant filings, juvenile services, court-supervised payments, bond posting, traffic tickets, victim funds, law enforcement-trainingfunds, civil citations, and natural resources violation payments are some of the many account types this module supports. In addition, as a convenience to citizens, some district court cashiers may also accept parking violation payments on behalf of local municipalities. This can involve as many as 26 different municipalities. The cash drawer at each register is reconciled at the end of each day. The register produces printouts of moneys received by reference number (usually case number) and account type, appropriate deposit slips and verifications, and printouts later used for validation by the local accounting office. After reconciliation and close out, the PC appends to a removable magnetic tape the complete transaction activity for the day. These tapes are sent to district court headquarters monthly as additional verification. After the tape is archived, a second program processes the transaction list, reformatting it into a data stream that can be transmitted to the central computer, where a program receives the files from all cashiers in the state and updates the case events, entering received amounts. Many cases, particularly traffic and natural resources, are payable offenses, meaning that when payment is received, the system enters a guilty plea, and the case is closed. Closed cases are transmitted to the motor vehicle administration. This is a particularly important feature for the cash register module and its attendant central computer processing. If a defendant fails to pay required traffic fines and fails to appear in court, his or her license will automatically be suspended when the central computer reports this fact to the motor vehicle administration. A guilty plea in a traffic case coupled with a defendant's failure to pay the fine or make arrangements with the court to pay will also result in a suspension. Any cases in Deferred Payment or Payable status on which correct amounts have been received are administratively closed by central computer processing. Complete process and exception reporting are provided by the central computer, including overpayments. Finally, the reconciled register tape is compared to the courtroom clerk's record to discover any criminal case defendants that agreed to pay fines or restitution on that date, but failed to do so ("walk- aways"). Documents produced by the system illustrate the integration of variable data with variable form information. Only the information that specifically applies to a defendant is placed on the forms; no extraneous or nonapplicable information is printed. The exceptions to this rule are situations where subsequent processing may or will be performed.
194 FIGURE 8 COMMISSIONER LOGIN
DISTRICT COURT OF HARYLAND COtlllISSIONER LOGIN SCREEN
- HELLO COHHISSIONER wo CAROLYN ICXES
TODAY IS: Wednesday. January 3 THE TIHE IS: 23:12:06 YOUR LOCATION IS: 5800 MBASH AUE BALTIHORE
Figure 8 shows the Commissioner Login screen. The location information on the screen is used to set the venue of the cases that the commissioner will be processing. The program then initiates and logs on to the central computer. If a transaction log exists (such as when the central computer or any intermediate communications is inactive), the program will send the accumulated case information to the central computer. Each record sent is described to the user on- screen, and the central computer program response is also displayed.
195 FIGURE 9 CASE CREATION
DISTRICT COURT OF HRRYLllND Statement Of Charges: Complainant 9000039912
ORAL JOE JONES
The commissioner keys in the information about the complainant on the Case Creation screen. For applications or charges, the complainant may be a police officer, a citizen, or a corporation. All law enforcement entities in the state are assigned agency and subagency codes. Each law enforcement officer is also assighed an identification number. The purpose of these codes is to help provide listings to each agency that show the officers’ court appearance schedules.
196 FIGURE 10 ENTRY OF DEFENDANT
DISTRICT COURT OF MRRYLAHD Statement Of Charges: Defendant
EBB, JAHES FRANKLlN e 8XB Whims fca 1 ftrnold n rn 1 21812-1355 ERN 'XXX -> Help' (3611 1555-4444 ERN 'XXX -> Help'
All information available to the commissioner about the defendant is entered on the Entry of Defen- dant screen. Each field on the screen is validated to match the requirements of the statewide central computer databases. If an incorrect entry is produced, the program provides a pop-up type selection menu for the user's reference. The information collected through this screen is used throughout the life of the case, except for mandatory changes such as phone numbers and addresses.
197 FIGURE 11 CHARGE CODE SELECTION
DISTRICT COURT OF HARYLAND Entry of Criminal Charges. HO/PLL 001 12908 ML DEST PROP/UALU LESS $308 002 11313 ASSAULT 003 32400 THEFT:$300 PLUS UALlJE
Wand in option, 'END' to End: Opt ions : ' END' , ' ERROR' ,' HOPLL' ,' NOCODE- , HELP' , or a CJ IS code. When a commissioner has entered the complainant and defendant information, he or she scans the Charge Codes Selection screens for codes corresponding to the offenses on which probable cause has been found. The system displays the charge number, the code value scanned, and a short description of the charee selected. The user has complete edit control. He or she may add, modify, and remove selected charges, as well as create new charges based on already existing codes or entirely from a reading of the applicable statute. The system also supports frequently used municipal orders and public local laws in the commissionefs local district.
198 FIGURE 12 STATEMENT OF CHARGES
DISTRICI' COURT OF MARYLAND FOR Bddmare City Located at 5800 Wabash Avenue, Baltimore, MD 21215 Casa No.: 01730581 STATB OF MARYLAND VS WJ3BB.JAMBSPRANLCLM COMPLALNANT 810 Whimsical Way Ofilcer: CORPORALJOE JONES hnold,PldD 21012 Agency/Subagency: AD 5901 Cc&l234S slD:l234s Locpl ID# 9000039912 ID: BO37 EymBRN DL* Rml SerM HC509WC17S H&.BRN DOB 01/01/44 Pbonc(H): (301)5554l44 PhoaeoH): (301)555-8392
STATEMENT OF CHARGES UPON THE FACFS MNTAINED IN THE APPLICATION OF CORPORALJOE JONES IT IS MRMWYCHARGED THAT WEBB, JAMES FRANKLIN at the datcs, times, and loeations rpccified bh. CHGjm STATVlE PBNALn DBSQupnoN OF (HABOB 12900 21 111 6DD&/OItsoaoD MALDEFI'PX0P/VNZJ~W On or About 01/01/90 at 10.WAM 810 Whimsical Way, Arnold, Maryland ..did wilfully and maliciously destroy, injure, dcfacc and molest awooden-framedscreen door, tbc properly of Martha M. Davis, raid properly h+ avalue of less than 5300.00. 11313 a AssAuLr OnorAbOutOl/OI/90atlLKnAM 8lO Whimsicd Way, Arnold, Maryland ... did makc an buault on Martha hi. DaVir. 3 2400 n 341 LIY atjaltlpmao '1HW~~PU)SVAuIX On or About 01/01/90 at UMAM 810 wbimrrical Way, Amold. hlaryhd ...did, steal a Sony 25 ineh color television bom Martha M. Da% chc propcrty of Martha M. Davis, having 8 viiluc of s3w or over.
Date: 01/03/90 The: 233420 Judidal OIfiecr: 3028
For applications, each charge is edited using the supplied formal charging language templates. When accepted by the user, the information is sent to the central computer, the case is created, and the doc'u- ment in Figure 12 is produced.
199 FIGURE 13 WARRANT ISSUE
To issue an arrest warrant, the commissioner scans the bar codes of the case number and the agency to which the warrant will be given. FIGURE 14 WARRANT
ARREST WARRANT ON CHARGING DOCUMENT STATE OF MARYLAND, Baltimore City: TO ANY PEACE OFFICER. Greetines: YOU ARE ORDERED to mest and briig before ajudidoffica the above-named Defendant as soon as practicable and without unneainary delay. If a judicial officer k not redb available, (hlr Warrant shall authorize the priurncr'r detention until complirnce h had with Rule. 4-212 and the urerting officer ir authorized sod required to comply With Rule 4-212. IF TRB DEFENDANT IS NOT IN CUSTODY FOR ANOTHBR OFFBNSE, Initial appearanm t to be held In county in which Warrant wu kmed. IF THE DBPENDANT IS IN CUSTODY FOR ANOTHER OFFENSE, thb Wanant k to be lodged as a detainer for the continued detention of the Defendant for the offruue charged in the charging docllment. When the Defendant ir rerved with li copy of the charging document and Warrant, tho Defendant &dlbe taken before a judid officer of the Dktrid Court. Date: 01/03/90 Ti:2337:s Judge/Commidoner/Crk Given to: EALTIMORE CITY POLICEXENTRAL RBTURN OF SERVICE
0 Iccrtifjthatat Moll a(
,I executed tblArrest Warmu by amdog the Defendant and delivered a copy of the Statemcat of Chargu to the Ddendaat. 0 I left a copy of the Warrant md Caargine Document 88 a dctaincr for thc conlinucd detentbo of the Defendaot at: Facility: Loeation: signature &Tiof Peace officer Printed Name of Offiar. Agency. S~AgcOcy,19.: D8tC
ARRBST WARRANTONCHARQINQ DOCUMENT
The system produces a warrant, as shown in Figure 14. After a warrant is issued, the commissioner creates a label page and files the folder for delivery to the clerk's office. When the defendant is arrested on the warrant (anywhere in the state), the commissioner scans the case number, the case is retrieved from the central computer, and the initial appearance hearing proceeds.
201 HARDWAREREQUIREMENTS maintenance is provided by Memorex-Telex Service. DCAS was designed to operate using IBM-compat- ible personal computers. The PC software inter- ISSUES AND CONCLUSIONS acts with software on the statewide central com- puter mainframe (IBM 3090 MVS/XA running DCAS takes a unique approach of “integrated CICS). decentralization.” Staff use personal computers The commissioner and clerk modules are for much of the data input/output operations that supported on an IBMcompatible Memorex-Telex typically drain large systems of critical horse- PC with two 20-megabyte fixed disks, a VGA power. By freeing the central computer of these monitor, a hand-held bar-code scanning wand, input/output-intensive operations, the system and a Hewlett Packard Laserjet Series I1 printer. leaves the central computer better equipped to The cashier module consists of an I’IT Xtra PC with handle the larger processing requirements and a 20-megabyte fixed disk, a tape backup system, a distributes the workload to less expensive PCs. receipt printer, a narrow carriage dot matrix For court staff, customized reports are easier printer, a hand-held barcode scanning wand, and to retrieve from the system, and staff flexibility one to four register drawers. and productivity have been enhanced. Modifica- tions to source codes are easier to complete DOCUMENTATION because of the use of personal computers, thereby allowing technical staff to be more responsive to User, system, and operational documentation is individual court requirements. available. During training, each user is given a DCAS is owned by the District Court of workbook that provides stepby-step instructions Maryland. Any court interested in its programs through each process. System documentation must contact the agency directly. Since the includes the original system design documents, programs are integrated, courts planning to program index, flowcharts, and program narra- transfer DCAS software must carefully consider tives. Operations instructions provide system the overall environment-that is, the programs on maintenance and recovery procedures. the personal computers, central computer pro- grams on the IBM mainframe, and communica- TRAININGAND SYSTEM SUPPORT tions programs linking both environments. This software operates in a complex legal DCAS users receive training from district court environment. The software takes into account the instructors. Each user is provided with a work- rules and law of the state when interfacing with book that walks the user through each area of the users. Courts operating with similar jurisdictions process. Each user is also given a refresher course and procedures would have little difficulty on access to mainframe functions. The level of transferring the software. training depends upon the experience of each new For further information about the District user. Court Criminal System, readers are invited to JIS operates a help desk 24 hours a day. The contact: help desk is the single point of contact for user, hardware, or software problems. The help desk Mr. James Demme provides solutions to users, tracks open problems, Director of Judicial Information Systems and maintains a problem log to facilitate problem Administrative Office of the Courts tracking and monitoring. For immediate help of a 1748 Forest Dr. more technical nature, the technical support group Annapolis, MD 21401 provides oncall service. On-site hardware (301) 974-2737
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