Model-Directed Information Systems for Management of the Federal Courts

Abstract

To satisfy the diverse information needs of federal courts, a family of information management systems was developed, based upon formal mathematical models of judicial case processing embedded in interactive data base information systems for case tracking and caseload management. These case processing models embodied pertinent federal rules of procedure, regulatory statutes, and local rules of procedure as adopted by individual courts. This paper describes the particular model-directed system to track federal criminal cases. In this system, a model of criminal case processing was incorporated into the information management system as a series of parallel state diagrams in which the status of any given court case could be described as a set of state indicators and allowable next-actions. Data entry is performed as a part of the court's obligation to maintain a permanent record of the proceedings (the “docket”) in each case. Users of the information system interact with the model by posting transactions (“events”) against court cases in the data base, thereby causing the cases to be moved through the model. Erroneous transactions are rejected with an appropriate diagnosis of the error based upon the state of the case with respect to the model. Use of such a model-directed information management system helps to ensure that the records of court cases being maintained are accurate and legally consistent. The embedded case processing model also permits the ready comparison of cases according to their procedural status, thereby providing an effective means for monitoring the progress of the court's caseload. Since the data base is structured according to elements of the procedural model, such model-directed systems are potentially very useful in providing effective management information, in addition to their obvious utility in information management. As an analytical tool, the model provides the opportunity to understand the complexity and procedural details of the administration of individual courts. Such an analysis allows the comparison of procedural differences among courts in such a way as to facilitate the ability of the courts to better manage their caseloads and provide a higher level of service to the public. In addition, the data bases established as a result of the docketing process provide a valuable source of historical data for judicial administration research in court management methods. As an unexpected benefit, the model-directed information systems also became a valuable training aid to new court personnel. New users may post case status situations and possible sequences of transactions to the information system and be informed of the correctness of such a transaction sequence relative to the model, thereby revealing certain implications of the detailed procedures of the court.