Information
in court case files affects the interests and constitutional rights of
litigants, which the court is expected to protect. As a result, one
indicator of integrity is the extent to which the files can be retrieved on
request. More specifically, the timeliness of retrieval is an indicator of
the court’s degree of integrity. This measure tests whether the file
control system is adequate to permit timely retrieval of individual case
files, which contain legal papers but not necessarily exhibits, tapes of
proceedings, or a court reporter’s notes. The adequacy of the system is
tested for each type of case file management and storage system, such as the
systems for managing cases that are pending, cases that are closed but not
removed to offsite storage, and cases that are closed and in offsite storage
areas, including those in alternative storage media.39
Implementing
this measure requires an understanding of the file control systems used by
the court. This information can be obtained through discussions with the
person or persons responsible for court records. Visual inspection of the
record storage areas and verification of the file control system should then
be carried out to confirm the information gained from the discussion.
Planning/Preparation.
A random sample of pending cases, closed and onsite cases, and closed and
offsite cases should be selected from each category of cases: criminal,
civil, domestic relations, and juvenile. To minimize the effects of highly
unusual recordkeeping for a few, peculiar cases, the size of the samples
should be no less than 50 cases.
Data
Collection. A
form should be designed to record basic information on each case. The
information should include the location of the file and the time it takes to
find the file, including files that are in circulation. For this measure,
locating the file means that the data collector must see the file. For
example, it is not sufficient for a file to be listed as "in
circulation." For an example questionnaire, please refer to Form
3.6.1, Illustrative Data Collection Form: The Reliability of the File
System.
Information
gathered from the search for files can be used to address two basic
questions. First, what percentage of the files can be located? Second, how
long on average does it take to locate the files? These questions should be
addressed for each of the four categories of cases. In addition, it is
useful to determine if the age of the cases is associated with particular
problems.
Data
Analysis and Report Preparation.
Standards for the number of pending cases, closed and onsite cases, and
closed and offsite cases that can be located should be uniform, although the
time required to locate them may vary. For all types of cases, an acceptable
level of performance is the ability to locate 99 percent or more of the
files. A superior level of performance is 99.5 percent or higher. Concerning
pending and onsite files, an acceptable level of performance is the ability
to locate 90 percent or more of the files within 10 minutes. For offsite
files, acceptable performance is the ability to locate 90 percent or more of
the files within one working day.
The
information gathered for this measure can be used to determine whether
problems exist for a few, some, most, or almost all cases in terms of their
location or the time required to retrieve files. The information will also
reveal whether problems vary by case category or by the age of the case.
Finally, the court can use the information to identify what file systems
need corrective action. Is there a need to ensure that files are stored in
proper order within a particular file system? Do the procedures regulating
the circulation of files need to be clarified or tightened? Do file systems
require a thorough review in order to prevent the loss of files?
