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Overview_______________________________________________________
The New York State Defenders Association (NYSDA) has developed an automated Public Defense Case Management System (PDCMS) for public defense and legal aid offices. It is the most widely used system in New York State and has proven to be a powerful tool to help defender offices efficiently manage cases and serve clients more effectively.
The system is flexible, easy to use and provides quick access to important client and case information. It allows staff to enter a full range of data on each client and case or basic case information, depending on office resources and needs. The system also saves staff time by using templates and data merge capability to automatically generate standard letters using the office's existing word processing software.
The PDCMS was designed specifically to meet the needs of defender offices with high volume practices. Since all cases, opened or closed, for each client are displayed on a single screen, attorneys representing a client in separate cases in different courts (e.g., superior, local or family court) can quickly get a full picture of their client's pending cases to facilitate comprehensive packaging of plea dispositions. The system immediately identifies possible conflicts of interest, which would otherwise delay case processing. It also automatically produces many reports including the mandatory UCS-195 Report and the Aid to Defense Quarterly Progress Report (required for counties receiving Aid to Defense funding).
NYSDA works closely with each new office site to determine its needs and ensure the system is successfully implemented. We also provide on-site training and data conversion services. For more information about the PDCMS or to schedule a demonstration contact Project Manager, Darlene Dollard, at (518) 465-3524 or email her at ddollard@nysda.org.
History_________________________________________________________
NYSDA was funded by the NYS Division of Criminal Justice Services (DCJS) to work with Public Defender offices to develop a design document for a Public Defense Case Management System. In 1994, NYSDA worked with Public Defender offices in Monroe, Schenectady and Rockland Counties to develop a beta version of the PDCMS. NYSDA installed the PDCMS beta version (version 1.0) in the Monroe County PD office (50 Users) and the Rockland County PD office (15 Users) in 1996 and supported the application for three years (1996 — 1998). NYSDA developed version 2.0 in 1998, by adapting and extensively modifying a case management system developed by Westchester County Legal Aid Society (LAS). LAS staff members John Ryan, Sara Kahn and Marcos Leite developed the LAS application using a rapid application development (RAD) system. In 1998-1999, NYSDA installed version 2.0 in the public defender offices in Rockland, Schenectady, Genesee and Chemung Counties. In 2000, the PDCMS was upgraded to a later version of the development software (v8.3) and version 2.5 was completed.
Currently, PDCMS version 2.5 is installed in 28 New York public defense offices: Albany County Public Defender Office, Albany County Conflict Defender Office, Broome County PD Office, Cattaraugus County PD Office, Chemung County PD Office, Chemung County Public Advocate Office, Chenango County PD Office, Columbia County PD Office, Erie County Legal Aid Society (both PD & Law Guardian units), Essex County PD Office, Genesee County PD Office, Jefferson County PD Office, Madison County PD Office, Monroe County PD Office, Legal Aid Society of Nassau County, Niagara County Public Defender Office, Otsego County Public Defender Office, Putnam County Legal Aid Society, Rensselaer County PD Office , Rockland County PD Office, Saratoga County PD Office, Schenectady County PD Office, Schenectady Conflict Defender Office, Schenectady County Assigned Counsel Office, Seneca County PD Office, Ulster County PD Office and the Wayne County PD Office.
Features_______________________________________________________
One Consolidated Database
All 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 (Name Search screen) (Fig. 1). This offers two advantages: it helps prevent the duplicate entry of names and allows users to immediately determine if an individual associated with a particular case (e.g., co-defendant) represents a possible conflict of interest (even before a case is entered into the system).
Fig. 1 - Name Search Screen
One Central Screen For Each Client
The system allows the user to track an unlimited number of cases for a client and displays all of the cases for each client on one central screen (Main Screen) (Fig. 2). The Main Screen displays 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.
Figure 2 - Main Search Screen
Client Information
The system allows users 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. (See Fig. 3)
Fig. 3 - Permanent Addresses Screen outlines the history of all clients' addresses
It also allows the user to enter multiple DOBs and SSNs for each client and displays a history of each on both the Name Search screen and Main Screen. (See DOB window to view the pop up date screen in the Client Information section of the Main Screen.) (See Fig. 4)
 Fig. 4: Pop-up DOB window
The Main Screen contains additional client information including race, ethnicity and NYSID. An additional screen (Client Information Screen) can be readily accessed from the Main Screen and displays further client information (marital status, last grade completed, FBI #, etc.).
Ability to Identify Special Needs for a Client
The system allows users to track if a client needs an Interpreter (and even allows users to print correspondence in Spanish if Interpreter = Spanish is designated and your office has standard letters prepared in Spanish). Users can also keep track of immigration status and personal problems for a client (e.g., Drugs, Alcohol, etc.). Additionally, special needs can be entered in the Notes section so all those working on the case are aware of these needs.
Alias
The system allows 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, will 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 Information
The Main Screen contains 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 also allows users 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 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, an office will be able to identify potential conflicts of interest they may have in future cases.
Events
Case-related events and notes can be added to specifically describe all aspects of a case from arraignment through disposition and sentence. In the PDCMS, an event consists of two parts: 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) are displayed for each case on the Main Screen and can be added, modified and deleted on this screen. Additionally, users can keep track of miscellaneous event information in the Event Notes.
Manage Deadlines, Schedule Calendar
The system allows the user to track upcoming case-related events (both non-court appointments and court appointments) and can be used to keep track of weekly schedules for attorneys. The weekly Schedule Report can display the upcoming events for:
All Attorneys in All Courts
All Attorneys in One Particular Court
One Attorney in All Courts
One Attorney in One Particular Court
One Judge or One Judge/Attorney Combination
Simplified Data Entry Screens
We worked with several New York public defense offices to design the PDCMS data entry screens. These screens were designed specifically for the high case volume of public defense offices and make use of several time saving features for quick entry (hot keys) and data quality (drop down lists, pop up boxes, etc.). Additionally, several functions have been 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 displayed on the Initial Entry screen the next time the user adds a case for that same client. Therefore, basic client data does not need to be re-entered into the system for each new case. The system also contains a feature to "Maintain For Next Entry" which allows the user to more quickly enter multiple cases from the same court or for the same attorney.
Allow One Time Data Entry
To 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). If information is entered on an entry screen when opening the case, it is later displayed on the Main Screen . Therefore, information only needs to be entered into the system once.
Automatic Assignment of Case Number
When the system is installed, an office can choose which case number it would like the system to assign to the first case. Each subsequent case will be assigned a system generated sequential case number. The system has built-in protection if two new cases are created at the same time they'll each be assigned unique case numbers. Once a case number has been assigned, it cannot be altered. The format for case number is (YY-XXXX) e.g., (04-1234). If there are situations when the office needs to assign a specific case number to a case, this can be accommodated through the system's Back Entry feature.
Ability to Retrieve Cases by Case Number and/or Client Name
The system allows the user to retrieve cases by Client Name, Alias Name, Case Number, NYSID, Alternate ID or Name ID. It also allows 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 Merge
The system can 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 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 saves support staff a significant amount of time and can keep clients informed of the progress of their cases.
Generate Reports
Unified Court System (UCS-195 Report)
Public defense offices are required to file an annual report (UCS-195 Report) with the NYS Office of Court Administration. The system can generate the UCS-195 Report in its current form. The UCS-195 Report produced by the PDCMS prints each question as it appears on the UCS-195 Report Form, performs all necessary calculations to tally the number of cases to respond to each question, and prints the result to each question.
Aid to Defense (ATD Report)
The NYS Division of Criminal Justice Services (DCJS) requires each county receiving Aid to Defense (ATD) funding to file an Aid to Defense (ATD) Report quarterly. The PDCMS can compile the data offices need to complete the ATD Report in its current form. The system prints each question as it appears on the DCJS ATD Report Form, performs all necessary calculations to tally the number of cases to respond to each question, and prints the result to each question.
Scheduling Report
This Report displays the upcoming weekly court schedule for attorneys, courts or judges.
All Purpose Report
This Report displays a case list by Attorney, Judge or Court. It can 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.
Advanced Search Report
This Report offers 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. This Report also includes the number of days each case has been opened and the average length of cases. Since it allows users to search by any combination, this Report also helps users identify patterns and trends in the data.
Caseload Summary Report
This Report allows users to compile case statistics not found in the ATD Quarterly Progress Report and UCS-195 Report. For example, it calculates and prints totals for all open cases (type of case), all plea cases (by whether they began as felonies and then were reduced to lesser felonies or misdemeanors, etc.), all trials (by results), all conflicts, etc. It can be run by any date range.
Conflict Checking Reports
These reports help users determine possible conflicts of interest by displaying all cases in the PDCMS 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, the PDCMS displays possible conflict information on several screens for every name entered into the system.
Word SearchReports
This Report allows users to use word string search to find all cases with the same Arrest Location, Memo information and/or Sentence Notes information.
Appeal Reports
The Appeal Reports 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], Brief Attorney Assignment Reports, etc.).
Database Cleanup/Modification
Link Names
The system allows users to link names if they need to re-assign cases to the same client using a different name. All cases and case-related information (players, etc.) are moved so each case is displayed under each name. (The cases are displayed in black under the original name the case was opened under and in red under the other name.) The system automatically designates each name as an alias to the other as well.
Move Cases
If users determine the same name is displayed in the database more than once (due to duplicate entry), users can move all cases and case-related information (players, etc.) from one of the names to the other and then delete the duplicate name.
Delete Cases
Users can delete a case from the database.
Delete Name
Users can 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 Data
The PDCMS allows an office to assign a level of security to each user. The system has been designed with five easily customizable levels of security (described below). The program can dictate which screens, and even which fields, can be viewed on each level. Additionally, another level of security (through the development application) is used to access the data tables.
Level 1
With 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 can also assign User Groups and ID's. This level of rights is usually given to the Systems Administrator.
Level 2
With this level of security, users are 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 3
With this level of security, users are 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 are allowed to add and edit Events, Memos, and Case Players but cannot delete Players. They can 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 4
This level of rights is usually given to employees that will mainly enter Memos into the system and view all other information. With this level of security, users are allowed to add, edit, and delete Memos. They may also print letters, create and print designated reports.
Level 5
This level of rights allows users to view information in the system. These users cannot add or modify information.
Use of Support Tables for Most or All Multiple Entry Fields
A single table (divided into titled sections) holds all administrative aspects of the system and can easily be accessed by the system administrator if modifications are necessary. This table controls the settings for the automatic generation of letters, label preferences, conflict report preferences, Appeal and UCS-195 Report settings, etc. Additionally, all dropdown lists can be maintained (add, modify, delete items) in one central location (Maintenance).
Pesentations____________________________________________________
Charles O’Brien and Darlene Dollard
Selecting and Implementing a Public Defense Case Management System, NLADA 78th Annual Conference, National Legal Aid and Defender Association, Washington, DC, December 1, 2000
Research Links__________________________________________________
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