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DALLAS COUNTY PUBLIC DEFENDER’S OFFICE CASE MANAGEMENT SYSTEM

Dallas County Public Defender’s Office

Case Management System

September 17, 2004 Page 1 of 19


Contents

FEATURES .......................................................................................................................................................... 3

EVENTS .................................................................................................................................... 4

SCOPE ....................................................................................................................................... 8

PROJECT DESIGN & METHODOLOGY .................................................................................. 11

FEATURES



ONE CONSOLIDATED DATABASEAll names entered into the system (including clients, aliases, co-defendants, victims, witnesses, informants, experts, spouses, etc.) are entered into one database and displayed on one screen. This offers two advantages: it helps prevent the duplicate entry of names and it allows users to immediately determine if an individual associated with a particular case (e.g., codefendant) represents a possible conflict of interest (even before a case is entered into the system).

ONE CENTRAL SCREEN FOR EACH CLIENTThe system should allow the user to track an unlimited number of cases for a client and display all of the cases for each client on one central screen (Main Screen). The Main Screen should display all of the pertinent information for each of that client's cases including all charges, case players (e.g., co-defendants, victims, etc.); both court events and non-court events, disposition and sentence information and open or closed status. This information can be recorded on a variety of case types: including, criminal, family, parole and appeal. The information contained on this Main Screen is printed on the Case History Report & Event History Report and allows attorneys a comprehensive view of each client's case history.

CLIENT INFORMATIONThe system should allow the user to enter an unlimited number of addresses and phone numbers for the client per case and displays the history of all addresses on the Permanent Addresses Screen. It should also allow the user to enter multiple DOB’s and SSN’s for each client and display a history of each on both the Name Search Screen and Main Screen

ABILITY TO IDENTIFY SPECIAL NEEDS FOR A CLIENTThe system should allow users to track if a client needs an Interpreter (and even allows users to print correspondence in Spanish if Interpreter = Spanish is designated and standard letters prepared in Spanish). Users should also be able keep track of immigration status and personal problems for a client (e.g., Drugs, Alcohol, etc.). Additionally, special needs should be entered in the Notes section so all those working on the case are aware of these needs.

ALIASThe system should allow users to enter an unlimited number of aliases for a client (including street names). Once an alias has been added that alias name, as well as the original name, should be listed on the Name Search Screen. All cases associated with that client will be listed under both the original name and all alias names.

CASE INFORMATIONThe Main Screen should contain all of the vital case-related information for each case including all charges (Top Charge and Lesser Charges), Open Date, Court, Atty, Judge, DA, Disposition and Sentence information, Status (Open or Closed) and Custody Status (both current custody status and a history for each case). The system should also allow the user to enter any type of case number the office deems important to track (e.g., Indictment #, Docket #, Index #, DIN #, etc.) on the Main Screen. Additional screens should also allow the user to enter Arrest Information, Bail Information, Memos pertaining to the case and all individuals associated with a particular case (Case Players, i.e., co-defendants, victims). By recording the Case Players, our office will be able to identify potential conflicts of interest they may have in future cases.

EVENTS



Case-related events and notes to be added to specifically describe all aspects of a case from arraignment through disposition and sentence, i.e. a Purpose (a code which describes a scheduled event such as Preliminary Hearing, Conference, Trial, etc.) and a Result (a code which describes the outcome of that event such as Adjourned PH until 4/8/04, Offer/Promise made, etc.). All events (both court events and non-court events) should be displayed for each case on the Main Screen and be added, modified and deleted on this screen. Additionally, users can keep track of miscellaneous event information in the Event Notes.

MANAGE DEADLINES, SCHEDULE CALENDARThe system should allow the user to track upcoming case-related events (both non-court appointments and court appointments) and be used to keep track of weekly schedules for attorneys. The weekly Schedule Report can display the upcoming events for:

All Attorneys in All CourtsAll Attorneys in One Particular CourtOne Attorney in All CourtsOne Attorney in One particular CourtOne judge or One judge/Attorney Combination

SIMPLIFIED DATA ENTRY SCREENSData entry screens should be designed to support the high case volume of public defense offices and make use of timesaving features for quick entry (hot keys) and data quality (drop down lists, pop up boxes, etc.). Additionally, functions should be built into the system to facilitate data entry. For example, once client data is entered into the system for one case this data is automatically should be displayed on the Initial Entry Screen the next time the user adds a case for that same client. Therefore, basic client data should not need to be re-entered into the system for each new case. The system should also contain a feature to "Maintain for Next Entry" which will allow the user to more quickly enter multiple cases from the same court or for the same attorney.

ALLOW ONE TIME DATA ENTRYTo accommodate the fact that all PD offices receive information at various stages of the case, information can be entered either on entry screens (when opening the case) or later on the Main Screen (when viewing client/case/event information). So that, if information is entered on an entry screen when opening the case, it is later displayed on the Main Screen. Therefore, information should only need to be entered into the system once.

ABILITY TO RETRIEVE CASES BY CASE NUMBER AND/OR CLIENT NAMEThe system should allow the user to retrieve cases by Client Name, Alias Name, Case Number, Alternate ID or Name ID. It should also allow users to retrieve a certain "range" of cases such as all cases with same Last Name, First Name (or any combination), same DOB or same SSN. Additionally, the system allows users to search for a case using any combination of search criteria including Attorney, Judge, DA, Court, Open Date, Close Date, Top Charge, Disposition Charge, Case Type, Case Detail, Disposition, Sentence Type or Events.



GENERATE DOCUMENTS THROUGH DATA MERGEThe system should generate documents (letters, motions, etc.) by a data merge with word processing software (Word or WordPerfect). To do this, templates of your standard letters are to be created with data merge fields inserted in the areas where information would be inserted from the database (e.g., next court date, next court location, client address, judge, attorney, etc.). This feature will save support staff a significant amount of time and can keep clients informed of the progress of their cases.

GENERATE REPORTS

Conflict Checking ReportsThese reports help users determine possible conflicts of interest by displaying all cases in the DCPDO associated with each potential client displayed on the report (including cases for which the potential client was a Case Player e.g., Victim, Witness, Co-defendant, etc.). In addition, it should display possible conflict information on several screens for every name entered into the system.

All Purpose ReportThis Report should display a case list by Attorney, Judge or Court. This Report should be created using various search criteria including Attorneys, Judges, Courts, Case Status (Open, Closed, All), Case Type (Criminal, Family, etc.), Case Detail (Felony, Custody, etc.) and Charges. Users can specify date range and sort order.

Scheduling ReportThis Report should display the upcoming weekly court schedule for attorneys, courts or judges.

Advanced Search ReportThis Report should enable broad searching capabilities to find cases by any combination of fields including Open Date, Closed Date, Entry Date, Status (Open or Closed) Case Type, Case Detail, Top Charge, Disposition Charge, Disposition Type, Sentence Type, Event, Court, Attorney, Judge or DA. It should allow users to search by any combination, and helps users identify patterns and trends in the data. This Report should also include the number of days each case has been opened and the average length of cases.

Caseload Summary Report / Court/ Attorney Statistics ReportThis Report should allow users to keep compile case statistics. This Quarterly Progress Report should calculate and print totals for all open cases (type of case), all plea cases (by whether they began as felonies and then reduced to lesser felonies or misdemeanors, etc.), all trials (by results), all conflicts, etc. It can be run by any date range.

Word Search ReportsThis Report should allow users to use word string search to find all cases with the same Arrest Location, Memo information and/or Sentence Notes information.

Appeal ReportsThe Appeal Reports should include different variations of Aging Reports (by Conviction Date, Assignment Date, Transcript Filed Date) and various combinations of Master List Reports (Alphabetical Listing of All Open Appeal Cases (Brief Not Filed), Alphabetical Listing of All Open Appeal Cases (Brief Filed), Attorney Assignment Reports, etc.)

DATABASE CLEANUP IMODIFICATION



Link NamesThe system should allow the user to link names if users need to re-assign cases to the same client using a different name. All cases and case-related information (players, etc.) should be moved so each case is displayed under each name. The system should automatically designate each name as an alias to the other as well.

Move CasesIf users determine the same name is displayed in the database more than once (due to duplicate entry), users should be able to move all cases and case-related information (players, etc.) from one of the names to the other and then delete the duplicate name.

Delete CasesUsers should be allowed to delete a case from the database.

Delete NameUsers should be allowed to delete a name from the database after all of the cases associated with that name have either been moved to another name or deleted from the system.

SECURITY OF DATAThe system must allow the DCPDO office to assign an individualized level of security to each user. The system should be designed with levels of security (see example of levels described below) but these levels should be customizable. The program can dictate which screens, and even which fields, can be viewed on each level.

Level IWith this level of security, users are allowed to view, edit, add, and delete information on all screens in the application. They can also maintain the database by utilizing all features in the Control menu (e.g., Link a case to a name, Delete a case from the database, etc.). In addition, users can maintain all dropdown lists and are allowed to edit, add, and delete codes on all Maintenance lists as well as modify system defaults by accessing the Settings screen. Users with this level of security should be able to assign User Groups and permission access. This level of rights is usually given to the Systems Administrator.

Level 2With this level of security, users should be allowed to view, edit, add, and delete information on all screens in the application. They can add names, cases, events, memos, and players to the database as well as create and print letters and all reports. This level of rights is usually given to staff that will be entering the majority of information into the database but will not be maintaining the database.

Level 3With this level of security, users should be allowed to view and edit information on all almost all screens in the application. However, they cannot add names or cases to the system. Users would be allowed to add and edit Events, Memos, and Case Players but cannot delete Players. They could also access and utilize all options on the Schedule screen as well as create and print letters and most reports. This level of rights is usually given to staff that will mainly enter Events and Memos into the system and view and/or print other information in the database.Level 4This level of rights is usually given to staff that will mainly enter Memos into the system and



view all other information. With this level of security, users would be allowed to add, edit, and delete Memos. They should be able to print letters and create and print designated reports.

Level 5This level of rights should allow users to view information in the system. These users cannot add or modify information.

USE OF SUPPORT TABLES FOR MOST OR ALL MULTIPLE ENTRY FIELDSA single table (divided into titled sections) to hold all administrative aspects of the system and that can easily be accessed by the system administrator if modifications are necessary. This table is to control the settings for the automatic generation of letters, label preferences, conflict report preferences, Appeal and Report settings, etc. Additionally, all dropdown lists should be able to be maintained (add, modify, delete items) in one central location (Maintenance).



SCOPE

The case management system will detect conflicts of interest.

This will allow the public defender to reject an appointment or notify the court within a day or two of the conflict. This will prevent unnecessary work on the part of the public defender and allow the case to be promptly reassigned to another attorney, or see if client wants to sign a Waiver of Conflict Form.This will also result in the public defender being removed & assigned another case at, or near, the time of the conflict detection if the conflict is not waived.This will minimize delays and costs to the court and to the county. It will increase public confidence in the criminal justice system in general and the Dallas County Public Defender's Office in particular.It will reduce exposure to grievances or writs of habeas corpus and reduce reversals on appeals due to conflicts of interest. This data is not collected at this time, but should be collected as part of a case management system. The case management system will be able to track future cases that are reassigned due to conflicts that are detected from past cases that do not have data entered into the County’s Gain record management system yet.

The time between the case assignment and detection of conflict should also be tracked, as well as the number of times the case was passed for investigation or other matters.The case management system should be set up to determine how often our court appointments are underreported by failure of court personnel to enter accurate or timely data if this information is desired by the County. The office statistics will be customized in the case management system and allow for quick transmittal to the County budget office. The Administrative Assistant's time for preparing the statistics for the budget office should be reduced from two days of entering data to several hours to review and ensure accuracy and compliance. More detailed reports will be prepared for internal measures of attorney performance.The case management system should allow a supervisor to access each attorney’s files and provide a printout of each absent attorney's docket, to ensure that the defendant and the court are being properly assisted. The office could track the number of times this system is used for this purpose.



REQUIRED FEATURES

The case management system should include the following:1. Case Management Modules

MISDEMEANORFELONYJUVENILEFAMILYMENTAL HEALTHDIVERT COURT

2. Master People File to detect conflicts. This will include personnel names, clients, complaining witnesses, etc.

3. Master Case File that will contain all types of cases within the system. A case number, charge, Texas Criminal Statute, court number and other useful information will be linked with each case.

Data Source examples: Texas Criminal Statute Penal Codes Family Code Code of Professional Responsibility Conduct Local Court Rules for Dallas County Texas Rules of Evidence

4. Scanning Image and document scanning and archiving.

5. Calendaring and Docketing will be set up for each attorney's caseload.6. Document assembly.

Business-process-ready Documents and Forms Integrated with respective event’s function, process roles, Subject-matter people, etc.

Merge Codes & Fields Definition Fields Definitions and PopulationForms , Standard and Customized Documents Inventory and AnalysisEvent Driven Documentation and Forms

Forms research Library Population Standard/Customized Legal Forms Standard/Customized Letters and Standard/Customized Court Documents Standard/Customized Client Documents

7. Reports and graphs will be required.Tracking of information- Felony Cases- Misdemeanor Cases- D.A. offers to PD (process of evolution)- Investigators



- Translators- Cases that evolve of (Felony to Misdemeanor / Misdemeanor to Felony). - Matrices of inter – related cases (PD or Not) Felony / Misdemeanor, Felony/Misdemeanor –

Family, Felony/Misdemeanor - Juvenile - Police / Arresting Officer - Ethnic Race - Gang- related- Mentally ChallengedCompetency Issues:o Section to track competency based in the statutes of the law (Statutes to be available in

system)o Psychiatric evaluations - could take 2 weeks - possibly more that one opinion needed.

Competency Hearings may occur8. Ability to print out labels and open case files to be stored by client name will be required.9. Ability to electronically store files may be provided.10. Security will be required for confidentiality.11. Customization will be required.12. Calculating capability for Child Support-related cases.13. Training will be required for all employees.

5-7 days training (2 days for Super Users and 5 days for all staff)14. The ability to custom interface with the Dallas County system will be required.15. Maintenance for at least 5 years will be required at a prepaid rate.16. Court Arbitration/Mediation (Family CPS Cases)17. Email Integration



PROJECT DESIGN & METHODOLOGY

ModulesMisdemeanor Felony Juvenile Family Mental Health

Divert Court

Q. When / how is PD’s office assigned to a new case?

FELONY COURT METHODOLOGY

Court Assigned

EVENTS: Court Coordinator enters information in computer (Forvus System):

Date AssignedAttorney’s Name“Public Defender”

Information from court Forvus System (JI55) needs to come to PD – if client is in jail (BA54) Forvus system also needs to come to PD. (Information currently available to PD)

↓

PD’S TASKS FOR REPRESENTATION:

Pre-Indictment After Indictment Revocation Pre-File Filed

EVENTS: Pre-Filed – Need to check 72 hours for writFiled - Check for Grand Jury Date (usually on computer within 3-5 days)

(Drug cases take longer)

↓

PD HAS TO DO FOR GRAND JURY:

Examining Trial Letter to Grand Jury Pre-indictment Plea Nothing – Wait for True Bill

↓

No Bill - Indicted Not/Indicted



ONCE CASE GETS DONE W/GRAND JURY:

↓Indictment No Indictment

EVENTS: Indicted – Keep filesNot Indicted – Closed files

Indicted

Q. When / how PD’s office know? ↓

EVENTS: Coordinator gives Court File to PD to review (file strays in court)Files to Scan for PD’s office: Indictment , Affidavit of Arrest Warrant

These files go back to Court Coordinator

↓

Pass Slip(Next Court Date)

↓

See Notes #1“IF I AM OUT, HERE WHAT YOU SHOULD KNOW”

Q. What Happens During Pass Slips?

R. Documentation Production a. May come from D.A. b. Investigation - collection – c. Affidavits from witnesses statements, etc.

↓



Motion to Suppress

↓

EVENTS: D.A. will dismiss if PD wins, If not

↓

EVENTS: INVESTIGATOR ASSIGNED (AS NEEDED)COMPETENCY ISSUES:Section to determine competency based in the statutes of the law (Statutes to be available in system)

Psychiatric evaluations - could take 2 weeks - possibly more that one opinion needed Competency Hearings may occur

↓ Steps

File does not totally get closed – Short Term Treatment Short commitment (based on the law – how many Doctors opinions)Person → Treatment → Determination Indefinite Commitment → close file

BOND FORFEITS→ do not close (keep open for a 60 day period)DISMISSALS – based on substitute of counsel new attorney information if available should be entered – box Request for Files Y/N – Same as Bond Forfeits

Plea Bargain Trial

↓

Pleas:

PLEA NEGOTIATIONSEVENTS: Events that occur during plea negotiations:Working on Cases → collecting evidenceInvestigating → Attorneys or Investigators (gathering information to build their cases – Discovery)

EVENTS: Plea papers – plea forms may differ, they must be in system.

- These should be fields that should automatically trigger the following information:Cause No. Defendant’s Name,Court #- D.A. will sign-off on every PLEA along with Client, Attorney – - Clerk swears it in, signs and stamps it.

↓



Magistrate Court Probation

EVENTS: Pre-Sentencing Investigation (PSI) date filed with requested date of Probation, Subpoenas, Competency Hearings and Bond ForfeitsProbation – Pre-Sentencing Investigation (PSI) Box to check:

DA file to ProbationPSI DatePSI Ready DatePlea Date

↓ONCE CASE PLEAS…

EVENTS: PD takes files back to the Clerk → Stamps it, Dates it,

FIELD Check box to show that PD returned files back to court

↓

Motion to Suppress

EVENTS: Motion To Suppress (MTS) can be filed anytime Pleads – must be filed ahead of timeCheck Box for date filed FIELD

↓

CASES NOT PLED

Trial

↓EVENTS:

Types of Trials:TBC – Trial by Court (Judge)TBJ – Trial before a Jury

1) File with Court Clerk (stamped)2) Copies to D.A. 3) File Jacket back to Court Coordinator4) Pass Slip

↓

Pass SlipEVENTS:



Date entered by Coordinator↓

Pre-Trial Date

↓

Motion to Suppress


EVENTS: 1) Filling on Defense Motions- must be filed ahead of time, before the trial

a. Asking the court to rule → Discovery, Witnesses, Motions – Mostly Forms (TDCLA)i. Hearing date may be requested prior to trial

ii. Motion will be heard day of trial2) Consider Insanity, Mental Health Issues (TBD)

After Date is SetMultiple Cases (to be considered) - case by case – not defendants

↓EVENTS: SUBPOENASPre-Trial – SectionsSubpoenas – should be triggered & printed automatically – application

Not Guilty GuiltyEVENTS: Guilty – Sentencing by Judge (from Jury or Judge’s decision

PSI may be requested – follow Pre-Sentencing Investigation steps listed aboveNot Guilty - Close Case

↓

Motion for new trial Motion to AppealEVENTS: Motion for New Trail (FNT) – 30 days to file a motion (PD), after that, PD no longer represents that client → close file. After 75 days – case auto-denied.

DISMISSALS – based on substitute of counsel new attorney information if available should be entered – box Request for Files Y/N



MISDEMEANOR COURT METHODOLOGY

Court Assigned

EVENTS: Court Coordinator enters information in computer (Forvus System):

Date AssignedAttorney’s Name“Public Defender”

Information from court Forvus System (JI55) needs to come to PD – if client is in jail (BA54) Forvus system also needs to come to PD. (Information currently available to PD)

↓

PD’S TASKS FOR REPRESENTATION:

Filed

R. When / how PD’s office know? ↓

EVENTS: Coordinator gives Court File to PD to review (file strays in court)Files to Scan for PD’s office: Indictment , Affidavit of Arrest Warrant

These files go back to Court Coordinator

↓

Pass Slip(Next Court Date)

↓

See Notes #1“IF I AM OUT, HERE WHAT YOU SHOULD KNOW”

S. What Happens During Pass Slips?

T. Documentation Production a. May come from D.A. b. Investigation - collection – c. Affidavits from witnesses statements, etc.

↓



Motion to Suppress

↓

EVENTS: D.A. will dismiss if PD wins, If not

↓

EVENTS: COMPETENCY ISSUES:Section to determine competency based in the statutes of the law (Statutes to be available in system)

Psychiatric evaluations - could take 2 weeks - possibly more that one opinion needed Competency Hearings may occur

↓ Steps

File does not totally get closed – Short Term Treatment Short commitment (based on the law – how many Doctors opinions)Person → Treatment → Determination Indefinite Commitment → close file

BOND FORFEITS→ do not close (keep open for a 60 day period)DISMISSALS – based on substitute of counsel new attorney information if available should be entered – box Request for Files Y/N – Same as Bond Forfeits

Plea Bargain Trial

↓

Pleas:

EVENTS: Plea papers – plea forms may differ, they must be in system.

- These should be fields that should automatically trigger the following information:Cause No. Defendant’s Name,Court #- D.A. will sign-off on every PLEA along with Client, Attorney – - Clerk swears it in, signs and stamps it.

↓



Magistrate Court Probation

EVENTS: Pre-Sentencing Investigation (PSI) date filed with requested date of Probation, Subpoenas, Competency Hearings and Bond ForfeitsProbation – Pre-Sentencing Investigation (PSI) Box to check:

DA file to ProbationPSI DatePSI Ready DatePlea Date

↓ONCE CASE PLEAS…

EVENTS: PD takes files back to the Clerk → Stamps it, Dates it,

FIELD Check box to show that PD returned files back to court

PLEA NEGOTIATIONSEVENTS: Events that occur during plea negotiations:Working on Cases → collecting evidenceInvestigating → Attorneys or Investigators (gathering information to build their cases – Discovery)

↓

Motion to Suppress


↓

CASES NOT PLED

Trial

↓EVENTS:

Types of Trials:TBC – Trial by Court (Judge)TBJ – Trial before a Jury

5) File with Court Clerk (stamped)6) Copies to D.A. 7) File Jacket back to Court Coordinator8) Pass Slip

Pass Slip



EVENTS: Date entered by Coordinator

↓

Motion to SuppressEVENTS: Motion To Suppress (MTS) can be filed anytime Pleads – must be filed ahead of timeCheck Box for date filed FIELD

↓

Pre-Trial DateEVENTS: 3) Filling on Defense Motions- must be filed ahead of time, before the trial

a. Asking the court to rule → Discovery, Witnesses, Motions – Mostly Forms (TDCLA)i. Hearing date may be requested prior to trial

ii. Motion will be heard day of trial4) Consider Insanity, Mental Health Issues (TBD)

After Date is SetMultiple Cases (to be considered) - case by case – not defendants

↓Not Guilty Guilty

EVENTS: Guilty – Sentencing by Judge (from Jury or Judge’s decision

PSI may be requested – follow Pre-Sentencing Investigation steps listed aboveNot Guilty - Close Case

↓

Motion for new trial Motion to AppealNotes:

1. Need a Field to annotate why the case is being passed - Notes on Pass Slips (narrative in case someone else other than the originally assigned attorney needs to work with this file/client “IF I AM OUT, HERE WHAT YOU SHOULD KNOW”

2. Investigator’s files need to be merged with Attorney File at the close of each case.

STATS: Tracking of informationFelony Cases (Open, Close, Pleas, Trials, etc.) Misdemeanor CasesD.A. offers to PD (process of evolution) Investigators Mentally Challenged TranslatorsPolice / Arresting Officer Ethnic Race Gang- related Cases that transgress from Felony to Misdemeanor /

Misdemeanor to Felony (PD or Not)
