Leveraging the Pre-Trial Process

Transcription

1 Leveraging Technology in the Pre-Trial Process Using Rich Media and Workflow Management to Streamline Criminal Procedure

2 Leveraging Technology in the Pre-Trial Process Using Rich Media and Workflow Management to Streamline Criminal Procedure September 2007

3 Table of Contents EXECUTIVE SUMMARY...1 INTRODUCTION...1 UNDERSTANDING THE PRE-TRIAL PROCESS...2 DOCUMENTS AND INFORMATION CREATED DURING PRE-TRIAL...2 THE PRE-TRIAL DILEMMA...3 DIGITIZING THE PRE-TRIAL PROCESS...5 THE CURIAX ARRAIGNER SOLUTION...5 BENEFITS OF DIGITIZING THE PRE-TRIAL PROCESS...6 CASE STUDY...7 CONCLUSION...10 ABOUT WAINHOUSE RESEARCH...11 ABOUT THE AUTHOR(S)...11 ABOUT SIMTROL...11 List of Figures Figure 1: A Hypothetical Pre-Trial and Trial Flow...2 Figure 2: Information Created During the Pre-Trial Process...3 Figure 3: Benefits of Digitizing the Pre-Trial Process...6 Figure 4: The Digital Arraignment Process...8

4 Executive Summary Criminal justice systems throughout local, county, and state governments are tasked with ensuring the timely processing of criminal complaints while simultaneously protecting the rights of the accused, all within a safe and secure environment. They must fulfill this responsibility while facing budgetary constraints, resource limitations, complex processes involving numerous agencies, and massive volumes of paperwork. Fortunately, there are technology solutions available that can help jurisdictions successfully meet these challenges. This document provides insight into a solution that allows jurisdictions to leverage rich media content (e.g., 911 audio, crime scene video, incident / arrest reports, electronic forms) and workflow management to streamline their pre-trial process. Potential benefits of this approach include: Greater information security Significant time savings Enhanced accountability Faster pre-trial processing Decreased holding times Reduced liability exposure Improved public safety Depending upon the priorities and needs of the jurisdiction, these benefits may pave the way for significant cost savings, the ability to process a greater caseload with existing resources, and an overall improvement in service provided to the public. Introduction All participants in the criminal justice system share a common goal: to accomplish their assigned duties as effectively and efficiently as possible. Defense attorneys strive to see that their clients constitutionallyguaranteed rights including the right to due process of law, the right to a speedy and public trial, and the right to confront the witnesses and evidence proffered by the prosecution are protected. Police, prosecutors, and court personnel seek tools that enable them to perform their duties in a safe and diligent manner. Finally, taxpayers demand cost-effective systems that minimize risks to the general public. At its core, criminal procedure has two distinct phases: the pre-trial process and the trial process. The trial process tends to attract more interest, especially in terms of media coverage and publicity. Despite its lower profile, the pre-trial process is an equally if not more important part of criminal procedure. In fact, few would disagree that effective pre-trial management is essential to keeping the wheels of justice spinning smoothly. Unfortunately, many jurisdictions do not have the best tools in place to efficiently manage the pre-trial process. This white paper focuses on a new breed of technology solutions that can help police, prosecutors, and court personnel effectively and efficiently accomplish their assigned duties. 1

5 Understanding the Pre-Trial Process Pre-Trial Process and Participants The pre-trial process includes the investigative, filing, and court proceedings that lead to a defendant s trial. Many governmental entities including law enforcement agencies, prosecutors, and courts are responsible for the effective management and execution of this process. The figure below provides an overview of a hypothetical pre-trial process flow. Figure 1: A Hypothetical Pre-Trial and Trial Flow The complexity of the actual process flow and the number and types of participants involved will likely vary depending on the facts of a given case and the requirements of the jurisdiction in which it is tried. Regardless of the case specifics, however, communication and cooperation amongst the many participants are vital components of successful pre-trial management. Documents and Information Created During Pre-Trial Throughout the pre-trial process illustrated above, numerous types and formats of information are created. A typical arrest might result in the creation of 20 or more content items, while a more complex case file might contain hundreds of documents, forms, pictures, and audio and video recordings. Figure 2 provides examples of information that might be created during pre-trial proceedings. 2

6 Figure 2: Information Created During the Pre-Trial Process In order for the pre-trial process to function effectively, all of these items must be easily and readily shared between all authorized participants. The Pre-Trial Dilemma It is no secret that the criminal justice system is overburdened. Court dockets and jails are over-crowded, and the trend is clearly not positive. At the same time, many jurisdictions are unable to secure increased budgets or additional staff. Consider a jurisdiction that processes 500 arrests per month, each generating 20 pieces of information that must be selectively distributed (because not all participants are authorized to access all information) to 10 participants per case. In this example, the administrative staff must manage the distribution of 10,000 items among hundreds of people. Now add to The volume of information flowing through the criminal justice system is far beyond what existing staff can effectively and accurately process. that heavy load the paperwork and information burden related to the thousands of lesser offenses (e.g., traffic tickets) processed each month. The root of the problem becomes clear: the volume is far beyond what people can effectively and accurately process when using manual methods. Yet this is exactly how most jurisdictions operate today, and this is a source of significant stress and difficulty. 3

7 From the perspective of law enforcement, the tremendous volume of information forces police officers and detectives to spend time processing and disseminating paperwork instead of protecting the public. Of course, every minute spent in this manner represents additional costs to taxpayers. For district attorneys, this mass of information represents a potential bottleneck that can impede their ability to charge and prosecute offenders in a timely manner. Within the court system, due process and safety are potentially compromised when the integrity and accessibility of pre-trial information is not what it should be. Clerks, administrators, and judges spend their time looking for the information they need, when their time could be better spent managing and adjudicating court cases. In short, all participants in the criminal justice process are threatened with the following implications: Vital information is lost or incomplete Time and resources are wasted Accountability is sacrificed Costs remain high Resources remain overburdened The judicial process is delayed and/or justice is not properly served (innocent parties may be needlessly kept in jail, or guilty parties may go free if key evidence is lost) 4

8 Digitizing the Pre-Trial Process In hopes of taming the never-ending flow of information, jurisdictions have begun to adopt technologies that can address specific problems within the criminal justice system. For example, stand-alone technologies like fingerprint systems and squad car video systems are being used to digitize certain information assets. Instead of transporting prisoners from jail to the courtroom, videoconferencing is being used to conduct video arraignments. In addition, many jurisdictions have deployed case management and other information tracking systems to track the activities and information involved with trial and adjudication proceedings. Although clearly steps in the right direction, these systems do not ease the pain associated with the aggregation and distribution of information for pre-trial processes. Fortunately, a new class of solutions designed to improve the efficiency and cost-effectiveness of the pretrial process is now available. These solutions focus primarily on two key areas: 1) Information Collection and Centralization These solutions act as a central point of storage for pre-trial related information, including the names and contact details for involved parties (attorneys, clerks, police officers, etc.), case notes and related information, and logs that track case-related events (e.g., arrest date / time, scheduled sessions, etc.). 2) Information Distribution These solutions provide stakeholders, both internal and external, with 24/7 access to the content they need to do their jobs. In addition, permissions (e.g., who can see which content items) within the system are based on user logins and passwords, and all transactions (logins, content postings, content viewings, etc.) are logged to ensure maximum accountability. The best of these solutions also include workflow capabilities that enable content to be automatically and electronically distributed to appropriate parties. The Curiax Arraigner Solution The sponsor of this white paper, Simtrol, recently released a pre-trial software solution, called Curiax Arraigner, that differentiates itself by also supporting the use of rich media content and real-time videoconferencing within the pre-trial process as described below. 1) Rich Media Content Capabilities The Curiax Arraigner solution allows users to organize and categorize rich media assets (audio / video clips, digital photos, online forms, digital Curiax Arraigner differentiates itself by also supporting the use of rich media content and real-time communication within the pre-trial process. fingerprints, etc.) into electronic case folders that can be easily reviewed, revised, stored, and distributed. It also helps users capture and digitize non-electronic information (analog recordings, faxes, paperwork, standard photos, hard-copy fingerprints, etc.) for use throughout the system. 5

9 2) Real-Time Communication Through a combination of device management and proactive monitoring, Curiax Arraigner helps jurisdictions communicate efficiently within and across agencies using videoconferencing. Key applications supported include digital arraignments and warrants, remote swear tos, and other procedural matters. As with other top-tier solutions of this type, Curiax Arraigner can be deployed independently or in conjunction with other technology platforms (e.g., case management systems, records management systems, or squad car video systems) without having to overhaul existing processes and procedures. Benefits of Digitizing the Pre-Trial Process Pre-trail management solutions, such as Curiax Arraigner, can provide a wealth of benefits to police, prosecutors, and court personnel including: Benefit Improved information security and privacy Time savings Enhanced accountability Faster pre-trial processing Decreased defendant holding times Decreased frequency of evidence-related issues Improved public safety Increased capacity throughout the pre-trial system Cost savings Description Risk of information loss is minimized through digital content distribution Enhanced workflow and process automation saves time for clerks, administrators, police officers, judges, attorneys, etc. Integrated activity log and tracking system maximizes accountability throughout the judicial process Expedited information distribution enables speedier processing Improved communication between agencies and pre-trial participants expedites the execution of justice Tighter information control and distribution decreases frequency and risk of lost evidence and chain-of-custody issues Decreased administrative burden and elimination of unnecessary prisoner transports allows police to focus on protecting the public Improved efficiency and faster processing help avoid bottlenecks and allow existing resources to handle greater caseloads Digitization of the pre-trial process decreases content distribution costs (couriers, hand-delivery) and reduces prisoner transports Figure 3: Benefits of Digitizing the Pre-Trial Process Most significantly, this type of solution helps a jurisdiction s resources accomplish their duties in an effective and efficient manner. 6

10 Case Study To gain a better understanding of the benefits provided by this class of products, Wainhouse Research interviewed a key stakeholder within a jurisdiction using the Curiax Arraigner technology. This particular county uses the solution to support the efforts of approximately 1,100 participants in the judicial process as they handle more than 12,000 arrests per year within the county s 900 square mile territory. Key applications in use by this county include: 1) Warrant Teleconferencing The police precincts within this county secure almost 12,000 warrants per year. The traditional method involved having the detective in charge of the case gather all case-related information (referred to as the manila folder ), drive to the county courthouse, and wait in the queue to meet with the prosecutor to present the evidence. Between the driving time, waiting time, and time to present the case, the typical warrant would take up to four hours to process. With the help of the solution, the county now uses warrant teleconferencing for all of its non-capital crimes (roughly 99% of its 12,000 annual arrests). Now, instead of driving and waiting, the detectives use a web browser to create a digital case folder, upload the case-related information (including rich media assets such as 911 audio, digital fingerprints, electronic forms, etc.), and click a button to send the digital case folder to the prosecutor. If a face-to-face meeting is required, they conduct a quick videoconference using the video systems deployed within the police station, prosecutor s office, and courthouse. Although the use of warrant teleconferencing has allowed the county to decrease some of the detective s overtime-related costs, the true benefit here is the time savings; this has allowed the detectives to spend 45,000 hours more per year (or $1.8M worth of working time 1 ) focusing on cases they would not have had the time to attend to otherwise. 2) Digital Arraignments Whenever possible, the county conducts digital arraignments to expedite pre-trial processing and avoid transporting prisoners and documents from the holding facilities to the courtroom. The digital arraignment process begins with police adding new items to the digital case folder. The folder is then electronically distributed to prosecutors and court users (judges, administrators, and/or clerks), who update the content as necessary. The actual arraignment is then conducted via a multipoint videoconference that includes the judge, the offender in a video-enabled holding cell, the prosecutor, and the police. As a matter of record, all proceedings are digitally recorded and automatically appended to the digital case folder. 1 Assumes a fully loaded cost per detective of $80,000, and a typical work year of 250 days at 8 hours per day. 7

11 1. Content Collection stores rich media content, regardless of type of format, in digital folder Documents & Forms Graphical Images 2. Content Distribution workflow simplifies distribution of content to all arraignment participants Police Officer Prosecutor Court Audio Video 3. Real-Time Communication enables efficient real-time communication platform Figure 4: The Digital Arraignment Process The key benefits afforded by the digital arraignment process are as follows: i) Decreased Risk of Information Loss The use of digital case folders throughout the pre-trial and arraignment process allows the members of this county s judicial system to avoid physically transporting case-related information. ii) Personnel Savings When digital arraignments are used, deputies do not need to drive prisoners to and from the courtroom. In addition, officers no longer have to guard the prisoners while they are waiting to be arraigned. iii) Vehicle Savings By decreasing the number of prisoner transports per year, the county can reduce the number of vehicles required, wear and tear on existing vehicles, insurance costs, maintenance costs, fuel consumption, and greenhouse gas emissions. iv) Improved Safety The use of digital arraignments in lieu of prisoner transport not only decreases the risk to the public at large, but also means that the accused and the victim / defendant s family do not have to be in the same physical space. This eliminates the need for court officers to keep the peace, break up fights, and protect the judge within the courtroom. Thanks to the system s workflow and content management features, this county has reduced the time required to prepare for the typical arraignment by an estimated four hours. At this county s annual rate of 8

12 11,000 arraignments conducted, this represents a time savings of more than 40,000 hours per year. Although these savings could have been realized as a headcount reduction (and associated fiscal savings of perhaps $1.0M per annum) 2, the county chose to re-deploy these resources to better serve the public. In addition to the benefits provided by the warrant teleconferencing and digital arraignment applications, the solution has allowed this jurisdiction to reduce its average prisoner holding time. Within this particular county, incarceration costs are $105 per day, and the average prisoner One recent customer reported a time savings of more than 40,000 hours per year through the use of digital arraignments. remains in custody for two to three days. Thanks to tighter content management, distribution, and process control, this jurisdiction estimates (conservatively) that the average holding time per prisoner has decreased by 10-20%. Based on a prisoner count of 12,000 per year, and an estimated holding time of 2.5 days, decreasing the holding time by 15% (a seemingly minor decrease) represents a savings of more than 4,500 holding days or almost $500,000 per year. Fiscal benefits aside, the above also means that guilty parties are sentenced and innocent parties are released more quickly. The figure below provides a summary of the savings / benefits this county is enjoying through the use of Curiax Arraigner. Area Annual Time Savings Calculated Annual Cost Savings 1 Warrant Teleconferencing 45,000 detective hours $1.8M Digital Arraignments 40,000 resource hours $1.0M 2 Decreased Holding Time 4,500 holding days $0.5M Total Calculated Annual Cost Savings Figure 5: Benefits and Savings Provided by Curiax Arraigner $3.3M 1 These figures represent the amount this county could have saved had they chosen to recognize these benefits in the form of cost reduction. In this case, the county elected to re-deploy these resources to better serve the public. 2 This figure does not include the additional vehicle-related savings (number of vehicles required, wear and tear / depreciation, insurance, maintenance, fuel, etc.). 2 Assumes a fully loaded cost per clerk of $50,000, and a typical work year of 250 days at 8 hours per day. 9

13 Conclusion Information is a critical component of the criminal justice system. As all criminal justice system stakeholders are expected to do more with less, it is vital that each governmental entity including law enforcement agencies, prosecutors, and courts find ways to accomplish their assigned duties more effectively and efficiently. By leveraging technology to enhance rich media content collection, distribution, and real-time communications, jurisdictions can enjoy a wealth of benefits, including a streamlined pre-trial process, greater information security, significant time savings, enhanced accountability, and improved public safety. Based on the benefits described within this document, jurisdictions of all sizes would be well-served to consider the use of systems designed to optimize the pre-trial process. 10

14 About Wainhouse Research Wainhouse Research ( is an independent market research firm that focuses on critical issues in rich media communications and conferencing. The company conducts multi-client and custom research studies, consults with end users on key implementation issues, publishes white papers and market statistics, and delivers public and private seminars as well as speaker presentations at industry group meetings. Wainhouse Research publishes Conferencing Markets & Strategies, a three-volume study that details the current market trends and major vendor strategies in the multimedia networking infrastructure, endpoints, and services markets, as well as a variety of segment reports, the free newsletter The Wainhouse Research Bulletin, and the PLATINUM ( content website. About the Author(s) Ira M. Weinstein is a Senior Analyst and Partner at Wainhouse Research, and a 15-year veteran of the conferencing, collaboration and audio-visual industries. Prior to joining Wainhouse Research, Ira was the VP of Marketing and Business Development at IVCi, managed a technology consulting company, and ran the global conferencing department for a Fortune 50 investment bank. Ira s current focus includes IP video conferencing, network service providers, global management systems, scheduling and automation platforms, ROI and technology justification programs, and audio-visual integration. Mr. Weinstein holds a B.S. in Engineering from Lehigh University and can be reached at iweinstein@wainhouse.com. David Maldow is a Senior Researcher at Wainhouse Research and a member of the New York and Louisiana Bar Associations. Prior to joining WR, David was a practicing attorney focusing on environmental law. David supports a variety of IP videoconferencing, streaming, and end-user consulting projects. Mr. Maldow holds a B.S. in Psychology from the University of Illinois and a Juris Doctorate from Tulane Law School and can be reached at dmaldow@wainhouse.com. About Simtrol Simtrol, Inc. (OTCBB: SMRL) is a leading provider of software solutions for Government markets. Simtrol s suite of innovative criminal justice solutions provides robust workflow and data management software that streamlines law enforcement, prosecutorial, and judicial processes. Simtrol is committed to delivering powerful solutions that leverage rich media (including documents and forms, audio/video, and graphical images) to enhance efficiencies and safety throughout the criminal justice system. Simtrol s solutions are sold directly and through professional system integrators, value-added resellers (VARs) and other distributors who are supported by the Company s sales and technical support staff. For additional information, please visit Simtrol s website at 11