Quality and Productivity Commission 25 th Annual Productivity and Quality Awards Program Celebrating Pathways to Success!

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1 Date of Implementation/Adoption: October 28, 2008 Project Status: X Ongoing One-time only Did you submit this project before? Yes X No Executive Summary: Describe the project in 15 lines or less using 12 point font. Summarize the problem, solution, and benefits of the project in a clear and direct manner The Public Defender s Office faced a crisis in the storage and retrieval of case files. Its burgeoning archived files were beyond all storage capacity making it difficult to locate and retrieve files stored throughout the County. This exposed the County to potential risk in terms of malpractice actions and disability claims. A State Bar rule requiring case files to remain available to clients during their lifetimes made a bad situation worse. To solve the problem the PD created the Public Defender Electronic Document Management System (PDEDMS). PDEDMS involved three components: a physical warehouse which consolidates all archived physical files with electronic management tracking and retrieval; an electronic conversion process which converts all new files into electronic files as they are closed; and an electronic repository and retrieval system which now holds and retrieves these newly converted digital files. Approximately 70,000 boxes containing over three million cases are now stored and tracked electronically. More than 150,000 scanned files are now accessible digitally with the number growing as new cases are scanned. Improved file storage and retrieval has facilitated and enhanced case preparation and resolution and reduced risk management issues. (1) ANNUAL COST AVOIDANCE $ (2) ANNUAL COST SAVINGS $ 0 (3) ANNUAL REVENUE SUBMITTING DEPARTMENT NAME AND COMPLETE ADDRESS (INCLUDE TELEPHONE AND FAX NUMBER) Los Angeles County Public Defender Clara Shortridge Foltz Criminal Justice Center 210 West Temple Street, 19 th Floor Los Angeles, CA (213) PROGRAM MANAGER S NAME Stan Shimotsu Public Defender Noble Kennamer/John Ruegg - Information Systems Advisory Body PRODUCTIVITY MANAGER S NAME AND SIGNATURE (PLEASE CALL (213) IF YOU DO NOT KNOW YOUR PRODUCTIVITY MANAGER S NAME) Joanne Rotstein SIGNATURE ON FILE DATE SIGNED (1) + (2) + (3) TOTAL BENEFIT TELEPHONE NUMBER (213) (562) (562) TELEPHONE NUMBER (213) SERVICE ENHANCEMENT PROJECT DEPARTMENT HEAD S NAME AND SIGNATURE Ronald L. Brown SIGNATURE ON FILE DATE SIGNED TELEPHONE NUMBER (213) PAGE 1

2 Fact Sheet limited to 3 pages only: Describe the Challenge, Solution, and Benefits. CHALLENGE: The Public Defender s Office (PD) faced a crisis in the storage and retrieval of case files. A State Bar Rule requiring that case files remain available to clients during their lifetimes made a bad situation worse. The PD s ability to store and retrieve client case files was becoming increasingly difficult due to the large volume of case files, the demand for immediate accessibility, and the lack of centralized storage facilities and personnel to obtain the closed case files. The inability to retrieve closed case file records needed for possible use in new open cases in a timely fashion had resulted in significant delays in the processing of current cases, which in turn resulted in substantial expense incurred by all agencies within the criminal justice system. It had also exposed the County to potential significant risk in the terms of malpractice actions and disability claims resulting from current case file retrieval methods. The PD could no longer continue its antiquated and decentralized storage and retrieval methods; the only viable option was to convert to an electronic document management system. SOLUTION: A Public Defender Electronic Document Management System (PDEDMS) was implemented to meet day forward archiving needs for future case file retrieval. PDEDMS involved the creation of an Archives Center to consolidate all archived physical files with electronic management tracking and retrieval; an electronic conversion process to convert all new files into electronic files as they are closed; and an electronic repository and retrieval system to hold and retrieve these newly converted digital files. The PD first acquired and built-out a leased warehouse facility for the centralized storage of closed case files. Archived files were then boxed, inventoried, and data converted to PAGE 2

3 bar code labels. Boxes were labeled and moved from the 38 PD offices throughout the County to the Archives Center. Well over 90% of all case files (approximately 70,000 file boxes) have been transferred to the Center where they are electronically tracked, managed and retrieved using the Public Defender Archiving and Records Tracking System (PDARTS) tool of PDEDMS. The Archives Center and PDARTS were fully implemented by October, PDARTS is also used to track all new physical case files throughout the life of the case and into digital storage. The result is that all physical files, old and new, can be digitally tracked by case or box barcode identification digital tools. Digital scanning of case files began in October, More than 150,000 cases have been scanned to date with additional cases being scanned daily. PDEDMS protocol calls for shredding physical files after a six-month quality control review period, to reduce the consumption rate of shelf space. Additionally, PDARTS interfaces with the Public Defender Retrieval System (PDRS) tool that allows authorized staff to access digitally stored files and to initiate a file retrieval request for any archived physical file that is electronically tracked and maintained at the Center. Digital scanning and retrieval were fully implemented by October, During PDEDMS development, the PD assessed different case management systems to ensure PDEDMS would be compatible with a future fully automated case management system. Cases now managed in PDEDMS will soon be integrated into a planned Case Management System that will allow electronic access to documents while a case is open or closed. PAGE 3

4 BENEFITS: Approximately 70,000 file boxes containing over three million cases are stored and tracked electronically at the Archives Center. During the last six months over 500 physical cases have been retrieved per month saving approximately 30 minutes of staff time per retrieved physical. More than 150,000 scanned files are now accessible digitally to authorized PD employees, and the number continues to grow as new cases are scanned. During the last six months hundreds of scanned cases have been electronically retrieved and reviewed by attorneys from their workstations saving approximately 60 minutes of attorney staff time per case file resulting in reliable, cost-effective retrieval. PDEDMS reduces the Department s physical storage needs, eliminates future storage costs, reduces PD risk management issues and increases staff productivity. Storage capacity is now set for the foreseeable future resolving the Department s issue with the State Bar requirement. PDEDMS also benefits the justice community and the County. Improved retrieval enhances case preparation and expedites case resolution. PDEDMS is also a ready repository for electronic content exchanged with other justice agencies. Over 54,000 Probation e-file reports have been integrated into the PDEDMS which promotes efficient handling of cases with more timely preparation and less delay. PDEDMS also directly supports County Strategic Goal 1 (Operational Effectiveness) by maximizing the effectiveness of County processes, structures, and operations to support timely delivery of services. It also supports Goal 1, Strategies 1 (Fiscal Sustainability) and 5 (Information Technology) by supporting the idea of shared resources and coordination between agencies and promotes and coordinates information technology to achieve operational improvements and County business goals. PAGE 4

5 Cost Avoidance, Cost Savings, and Revenue Generated (Estimated Benefit): Use this form and provide details on the estimated/actual benefits. As a suggestion, work with your fiscal staff. Cost Avoidance: Anticipated costs that are eliminated or not incurred as a result of program outcomes. Cost Savings: A reduction or lessening of expenditures as a result of program outcomes. Revenue: Increases in existing revenue streams or new revenue sources to the County as a result of program outcomes. (1) ANNUAL COST AVOIDANCE (2) ANNUAL COST SAVINGS (3) ANNUAL REVENUE (1) + (2) + (3) TOTAL ANNUAL BENEFIT SERVICE ENHANCEMENT PROJECT $0 $ 0 ANNUAL= 12 MONTHS ONLY TOTAL COST AVOIDANCE: $1,147,000 Cost avoidance for case file storage and retrieval is $1,447,000. However, annual scanning costs of approximately $300,000 must be subtracted for a total cost avoidance of. Case File Storage - $652,000 Had PDEDMS not been implemented and physical case files not been converted to digital files, the PD in would have had to purchase additional storage space (approximately half of current warehouse space) for storage for the next several years. Current rent for the warehouse is $267,084 annually. Onetime costs for the build-out of the warehouse and other purchases (including shelving, a fire suppression system, and management costs) totaled $1,037,000. Total warehouse costs including rent and onetime build-out costs were $1,304,000. Estimated cost avoidance is $652,000 which is half of the current warehouse and build-out costs. Case File Retrieval - $795,000 Prior to PDEDMS, approximately 10 entry level clerical staff, one at each of the 10 major branch offices was tasked with locating and retrieving closed case files requested by attorneys for handling probation violation matters and reviewing prior convictions. Since implementation of PDEDMS we now have 4 entry level clerical/warehouse workers who handle all requests for physical files. Attorneys are able to directly access digital files from their own personal computers. This is a cost avoidance of 6 entry level clerical staff at salary and benefits of $54,500 for a total of approximately $327,000. Prior to PDEDMS, felony attorneys also spent time locating and retrieving files. It is estimated that 400 felony attorneys spent approximately 1.5 hours per month to locate and retrieve files. This is an annual cost avoidance of approximately $468,000. PAGE 5

6 FOR COLLABORATING DEPARTMENTS ONLY (for single department submissions, do not include this page) DEPARTMENT NO. 2 NAME AND COMPLETE ADDRESS Information Systems Advisory Body Center Court Drive, Suite 500 Cerritos, CA Felix Basadre SIGNATURE ON FILE John Ruegg, Director DEPARTMENT NO. 3 NAME AND COMPLETE ADDRESS DEPARTMENT NO. 4 NAME AND COMPLETE ADDRESS DEPARTMENT NO. 5 NAME AND COMPLETE ADDRESS DEPARTMENT NO. 6 NAME AND COMPLETE ADDRESS PAGE 6