The
purpose of this measure is to determine the integrity of case files. Are
there clear procedures for selecting which documents to place in a file? How
closely do files adhere to those procedures? The measure relies on case file
data.
Planning/Preparation.
This measure involves a close inspection of individual case files. It can
use the same set of cases proposed in Measure 3.6.1,
Reliability of the File Control System. A discussion with the judges and the
person or persons responsible for case records management should indicate
what documents should be in the files (e.g., the pleadings, answer, motions
and judgment) and how they should be organized.
Data
Collection. To
develop a data collection form, information should be gathered on the
condition and contents of selected case files. One way of verifying the
integrity of the case files is to compare them with the entries in the case
docket system. Refer to Form 3.6.4,
Illustrative Data Collection Form for Case File Integrity, for an example.
Note that items 1 and 2 on Form 3.6.4 are also found on Forms 3.6.1, 3.6.2,
and 3.6.3. Hence, a court can combine the four forms if it chooses to apply
all four measures.
Data
Analysis and Report Preparation.
A summary of the information gathered from the examination of individual
case files can be used to address basic questions of performance. An
acceptable level of performance is the ability to locate 99 percent of the
files (see Measure 3.6.1), and no more than 5
percent of the files are missing documents. Additionally, the information
obtained for this measure can be used to suggest areas of improvement. Are
there particular types of cases that have a higher percentage of missing
documents? Do the files generally conform to procedures governing the order
in which documents should appear?
