E-Filing in Los Angeles Process, Procedure & Lessons Learned

Transcription

1 Electronic Document Management Systems E-Filing Collaboration with Courts

2 E-Filing in Los Angeles Process, Procedure & Lessons Learned Jennifer A. Coultas Division Chief, Court Operations County of Los Angeles Child Support Services Department

3 Some background information County of Los Angeles Child Support Services Department 7 Public Contact Offices 1680 Employees 350,000 Open Cases Open 4,500 Cases per month Generate 3,000 Summons & Complaints per month E-File 4,000 S&C s per month

4 Automation: Friend or Foe? CSSD has historically had an effective use of automation Electronic filing of S&C s in the 1990 s Challenge of conversion to statewide system & implementation of New E-Filing interface

5 First things First After case is opened Summons & Complaint and Proposed Judgment will print automatically If NCP income is known If income unknown, S&C and PJ will print 21 days after case initiation Once S&C is generated it is electronically filed with the court Once S&C and PJ filed, system is automatically updated with court case number and filed date E-filed image of S&C and PJ available for viewing

6 First things First After E-Filing, the system generates a Pre-Service Notification form set Includes filed S&C and PJ Notice of Acknowledgment Service forms to the NCP NCP is advised that the support agency needs to serve the S&C/PJ NCP requested to visit the office to avoid embarrassment of being served in public System electronically sends service documents to process server 30 days after S&C file date, if service still necessary

7 First things First in technical lingo State DCSS produces a (ZIP) file containing image of the S&C document and associated metadata for each case to be e-filed Court programmatically retrieves (ZIP) file For each case in the file, the court system programmatically evaluates to determine if they have the necessary information to file the case

8 First things First in technical lingo If the court has all information needed, then programmatically: Case is initiated in Superior Court case management system Electronically stamps the S&C document image as Filed Print a copy of the S&C document for Court Operations staff Court programmatically sends a (ZIP) file back to DCSS containing the filing status of each case

9 What problem had to be solved? LCSA had effective E-filing interface with Superior Court CA needed federal certification of statewide system Logistics & challenges reconfiguring local interface with State DCSS requirements for federal certification

10 How to solve the problem? Get the right people to the table Communicate regularly Identify point person within each agency/entity who has authority to make decisions State DCSS Los Angeles Superior Court Los Angeles County CSSD

11 Procedural Steps taken Kick off meeting between DCSS & Court in January 2008 Court connectivity to the State WAN in May 2008 Court devotes 5 months to the project New E-Filing system brought online in November 2008 when LA transitioned to statewide computer system

12 From the Court s Perspective Existence of functioning E-Filing Interface Recognition of problem that State DCSS had to solve Financial resource issues Court accommodated request to build new interface Replication of existing functionality Nothing newer, fancier or more elaborate

13 Key Strategies for Success Ensure everyone understands the common goal Understand implementation requires commitment Anticipate unexpected cost Anticipate time delays Anticipate need to address unexpected technical interface issues Have a plan to address responsibility for cost increases No assumptions as to responsibility Regular communication between project leads

14 Implement the Process Change Model Identify current paper driven filing process Document the current process Analyze the process Opportunity for change Opportunity for refinement Improve the process Utilize experts to create the electronic interface Manage the new process Review and revise as necessary

15 Keeping your eye on the prize Increase efficiencies Increase customer service Decrease process costs Decrease cumbersome, paper driven process Decrease time delay to file documents Decrease error due to human mistake

16 Anticipate Surprises Increased use of paper in the facility where documents are e-filed Increased use of toner Managers must pay attention to lull in production Is there a problem? Subordinate managers must keep Executives apprised so issues can be resolved Implement a process for addressing surprises

17 Enhanced Efficiencies Worth the Effort! Questions? Contact me directly: (213)

18 E-Filing in Iowa With Child Support and Courts Joe Finnegan Policy Unit Manager Child Support Recovery Unit Iowa Department of Human Services Traci McCaughey Program Planner Child Support Recovery Unit Iowa Department of Human Services

19 Today s Session Discuss ongoing project between Child Support and Iowa Courts to e-file all documents Focus on: Background/Project overview Web application demo Lessons learned 19

20 Iowa Demographics State Population 3,046,355 (2010) Caseload Size 184,955 (as of 6/30/2011) Iowa s caseload includes: TANF TXIX (at customer request) State paid & IV-E Foster Care Non Public Assistance (NPA) 23 Local CSRU Offices/100 Court Counties All offices file in all court counties Average of 305,000 filings per year 20

21 Iowa Demographics (cont.) State Administered Program 435 staff 37 attorneys (all do CSRU work only) Quasi-Administrative for Legal Actions CSRU initiates most legal proceedings administratively All administrative processes have opportunity for case parties to request a court hearing Filings often done at the end of an administrative process Judge reviews and signs all administrative orders No statute of limitations on collecting arrears 21

22 Imaging Background Four offices imaged since 1995 Physical space savings initiative All offices imaged as of July 2008 Some offices did 100% back-file conversion Two locations Reason: Needed additional space 11 million documents currently imaged 22

23 Imaging Background (cont.) Software consists of a customized webbased document management, imaging, and workflow system that resides on Windows 2003 Servers Utilizes SQL server 2005/2008 databases with SAN and Centera optical storage User interface is a customized.net web parts application Kodak i420 Scanners in each office G360 Scan Manager software version

24 Project Background Court initiated requirement to e-file Iowa Supreme Court issued rules on March 1, 2007 Rules published May 1, 2007 CSRU s first involvement with the project Rules required e-filing for all docket types Civil, criminal, appeals, traffic Rules included all 100 counties and all types of filers Private attorneys, pro se, government agencies 24

25 CSRU Project Initiation CSRU legal and policy staff met to discuss rules Reviewed and provided comments on Supreme Court e-filing rules Attended public hearing regarding e-filing rules CSRU created a joint steering committee Project Manager Business and IT management Other key staff 25

26 CSRU Project Initiation (cont.) CSRU organized a joint workgroup CSRU field attorneys CSRU field supervisors Central Office policy & IT staff Clerks of court Court IT staff Court business analysts First workgroup meeting held April 4 th, 2008 CSRU applied for Special Improvement Project (SIP) grant from OCSE Awarded to Iowa CSRU July 1 st,

27 Project Initiation: Lessons Learned Get involved early Ensure that you have an official role in the procurement process Effective project management & structure is vital Need subject matter expertise on project management team Problem resolution protocol is critical Business rules matter Important to have a clear set of rules agreed upon in advance Work out as much of the details as possible in advance 27

28 Project Initiation: Lessons Learned (cont.) Identify and resolve differences between local child support agencies & courts In automated process, same set of rules need to apply to all locations Exceptions tend to create complexity and will delay development Maintain detailed involvement at multiple levels Critical at local level Ongoing involvement saves time 28

29 Project Development CSRU is the second largest filer with the Court Approximately 305,000 filings per year CSRU has different requirements than other Iowa filers Federal and State safeguarding regulations CSRU files under own sections of code Need for customized interface Critical need for highest level of automation and integration into IV-D automated computer system 29

30 Project Development (cont.) 30

31 Project Development (cont.) User interface is very straightforward Programming is very complex Allows user to bring documents into e-filing process from various sources User interface is flexible regarding editing, office protocol, and e-filing options Batch option (under development) does not require a user to oversee the process 31

32 Project Development (cont.) 32

33 Project Development (cont.) Access to various screens based on roles Allows the user to search for information three different ways My Notifications Notifications by CSRU office All notifications for state 33

34 Project Development (cont.) Provides the user with the ability to control the number of packets that are displayed on screen Allows user to sort packets Documents received from Court can be immediately indexed to imaging Documents initiated by CSRU Documents initiated by external case parties 34

35 Project Development (cont.) 35

36 Project Development (cont.) One stop shop User is able to upload documents from multiple locations Imaging system catalog List of documents that a user tagged in the imaging system Locations outside of the imaging system (ex: user C drive or shared network folder) 36

37 Project Development (cont.) Can create a new filing at the same time that documents are being imaged Pull case information from CSRU case records Add indexing attributes for specific documents Store document prior to moving packet for e-filing Provides capability to review draft and rejected filings Review packet specific comments from Court or CSRU approvers/attorneys Make corrections or modifications to packets 37

38 Project Development (cont.) 38

39 Project Development (cont.) Utilizes dropdown boxes Supports consistency throughout CSRU and Court Use of event codes What documents are filed in packets Provides user with decision point of sending to draft, approver, or Court based on role Critical to have document viewer to verify what is being sent 39

40 Project Development: Lessons Learned Working with local CSRU offices is key Court s experience with e-filing in advance of interface project is beneficial Documenting decisions and rationale proves valuable Attorney involvement critical Having court s system as back up is nice 40

41 Project Development: Lessons Learned (cont.) IT and Business need to work closely together IT needs to understand business requirements Business needs to be aware of IT limitations and issues Be prepared for changes Maintain regular ongoing meetings between partners Communicate changes Keep process simple Start basic and add bells and whistles later 41

42 Project Testing: Lessons Learned Create your test plans in advance Create ongoing protocol to resolve issues If possible, have multiple jurisdictions involved in testing Testing must reflect real-life situations Testing must include all levels of users 42

43 Project Implementation: Lessons Learned Start slow Give enough time to address your issues as well as your partner s issues 43

44 Project Training Sample of Training Document 44

45 Project Training: Lessons Learned Piloting is critical Seek feedback from users at various points Critical to continued development of project Provides opportunity to improve training of future users 45

46 Conclusion Business rules Project management protocol that is closely followed Give yourself lots of time 46

47 Questions 47