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Case Management Systems
ntroduction
Case management systems are packages of computer software that accelerate the work of the court. The software is used to collect, organize, process, store, and distribute essential case information within the court and to external agencies. The systems perform simple and repetitive tasks faster, with greater accuracy, and at a lower cost than doing them manually. They facilitate sophisticated caseflow management techniques, such as differentiated case management, and can summarize case, party, and financial activity across large numbers of cases. The user can quickly identify cases that exceed normal processing parameters, prompting early resolution of problems. Staff productivity is improved, case processing time reduced, and records storage compressed--essentials for effective management in all but the smallest courts.
escription
The computer software that is the key component of court case management systems is designed and constructed to perform specific tasks that were previously done manually by court staff, as well as additional tasks that were not practical before computer technology was available. Information keyed into the system can be analyzed, aggregated, and organized to inform staff of the status of the entire caseload. Case data are accessible to multiple users simultaneously. Document generation programs present information, such as notices, orders, and warrants, on paper in pre-set formats. Report programs present case data in matrix form to help staff monitor overall caseflow.
A good case management system usually takes years to develop and refine. The software package may consist of hundreds or thousands of computer programs containing tens or hundreds of thousands of lines of computer program code.
Of course, all software requires a computer system on which to run--a central computer, a distributed system, or personal computers. Other peripheral devices needed for the system to operate effectively include workstations, printers, data storage devices, communications networks, operating systems, and related software.
A court case management system depends on effective staff participation. Staff or contractors develop, operate, and maintain the computer hardware, software, and networks. New workflow and operational procedures must be developed, court staff trained and assisted throughout, and the entire automation process managed.
Case management systems are a tool for organizing massive amounts of data and documents quickly and efficiently. They supply complete information about the overall status of the caseload, making it possible to identify significant problems as they develop. They reduce the space needed to store great quantities of paper, and eliminate the loss or misplacement of files. They help provide more efficient service to the public.
ackground
Case management was very labor-intensive before the invention of the computer. Dockets, calendars, case files, caseload summaries, reports, index books and cards, and slot boards were all prepared by hand. In the late 1960s, progressive courts started using mainframe computers to augment their manual systems. These first packages processed information in batches, usually overnight, and were used to count and categorize repetitious events in case processing. Later software was designed for more rapid computers, and monitored activity as it occurred. While these early systems performed some of the same functions as today's systems, they were slower, very expensive, more difficult to use, and lacked today’s sophisticated database structures and user interfaces.
The minicomputer revolution in the late 1970s and early 1980s permitted a change in focus in court case management systems. Instead of confining software to statistical and management analyses, pioneer courts developed systems to perform court operations and manage finances. The statistical and management functions of the earlier software were retained, but data were also entered for operational purposes. Some courts also developed multijurisdictional packages, spreading development costs over several courts or a statewide system. The private sector began producing software of adequate quality and functionality to offer cost-effective alternatives to in-house development.
Today, most cases in large courts are processed using automated case management systems. Public access to case management systems and expanded networking are becoming commonplace. Innovative courts use client/server architectures that divide processing functions and data among computers. Other progressive courts are expanding their systems to include documents stored as images or text. A few are even accepting documents filed electronically, never storing the paper in the courthouse.
In the future, PC-based case management systems will contain video recordings of court events, accessible through the case docket and indexed with a text-format transcript. Images of exhibits, animations, and virtual reality demonstrations also will be a part of the electronic case file of the future.
pportunities
Case management systems eliminate many of the repetitive tasks inherent in case processing. In a manual system, the same information is entered on paper documents over and over again; in computer systems, a single entry is sufficient. Often data entered into a computer system at one location can be shared by all staff and by other organizations, eliminating some data entry entirely. Automated criminal history reporting is an excellent example.
The computer also allows information to be retrieved in dozens of ways, rather than just by party name or number. Case management systems allow the court to make case information available to public users with an ease that is not practical if the tasks are performed manually.
When paper documents or forms are filed, very little can be done to ensure that information is accurate. A computer system can edit entries as they are made, and reject a court date set on a Saturday or an improper case type code. It also can apply other rules, such as revenue distribution formulas, consistently and accurately.
Computers excel at crunching numbers. Their facility in generating statistics and processing revenue receipts allows all aspects of court operations to be monitored and managed more effectively. The case management system, using commands to track workflow, also can route work automatically.
imitations
Computer technology poses obvious problems. System failures can paralyze court operations, and computers have the capacity to make very larger errors. Court processes are very complex (court- and judge-dependent) and difficult to model with computer software, making system development an exercise in compromise that may deliver less than complete satisfaction with the final product. Every court operates differently, so off-the-shelf solutions do not work as well as customized systems. Custom systems, however, take years to develop. Almost every system development project must deal with a huge inventory of existing cases, which complicates the task of initiating a new system or improving it, once installed.
Technical expertise is difficult to find and retain. Although trained computer experts are not scarce, few of them understand the court- and related justice-system environment. Court leaders themselves often lack the technical understanding to make good decisions. These shortcomings and the rapid change in technology can hinder progress.
Most courts struggle to keep up with technological change. The judiciary, traditionally a slow-moving, stabilizing influence in society, is challenged by the speed at which hardware and software become obsolete. This can occur before a system is fully installed. In a volatile market, companies come and go, and support may vanish at a critical point in the development or implementation process. Some uncertainty and risk is inevitable in any automation project.
osts
Costs for judicial automation range widely, depending on the size of the court or court system and the sophistication of the software. The total expense of court case management systems may vary from tens of thousands to millions of dollars over their life cycle. This life cycle includes development, purchase, implementation, operation, maintenance, and management. Courts usually focus on initial purchase price, and underestimate the long-term costs of a system. More realistic estimates must include significant funding for ongoing training, as well as for enhancements to correct and improve the system and to adapt it to a changing environment. A court commonly allocates 5 to 8 percent of its budget to automation support.
Assistance
The Technology Information Exchange Service (TIES), operated by the National Center for State Courts and funded by the State Justice Institute, provides a number of services to courts:
- a Court Technology Bulletin highlights the latest developments in court automation;
- a Court Technology Database offers information on case management systems running in thousands of courts across the country;
- a vendor-neutral Court Technology Laboratory is available to test and compare software products;
- the Technology Information Service contains hundreds of pages of evaluation reports and literature on state-of-the-art systems, and data on dozens of vendors who sell court packages.
To receive information on TIES or any of the other technology research, education, or consulting programs of the National Center for State Courts, call Court Technology Programs at (800) 616-6164 and ask for Technology or contact us by email at technology@ncsc.org.
This document
was developed under a grant from the State Justice Institute.
The points of view expressed are those of the authors and do not
necessarily represent the official position or policies of the
State Justice Institute.
Copyright 1995 National Center for State Courts