dorothy brown - Clerk of the Circuit Court of Cook County

Transcription

TRANSITION AND STRATEGIC PLANNING COMMITTEE REPORT
To Table of Contents
THE 21ST CENTURY CLERK’S OFFICE:
A BLUEPRINT FOR CHANGE
THE HONORABLE
DOROTHY BROWN
CLERK OF THE CIRCUIT COURT OF COOK COUNTY
www.cookcountyclerkofcourt.org
The Clerk of the Circuit Court of Cook County
TRANSITION AND STRATEGIC PLANNING COMMITTEE REPORT
THE HONORABLE
DOROTHY BROWN
CLERK OF THE CIRCUIT COURT
OF COOK COUNTY
TRANSITION AND STRATEGIC PLANNING COMMITTEE
CHAIRS
Hon. Joanne H. Alter (ret.) Hon. Abner J. Mikva (ret.)
Mr. Clark Burrus (ret.) Hon. Odas Nicholson (ret.)
PROJECT STAFF
Squire Lance Executive Clerk for Public Policy
Laura Lane Ferguson, Esq. Executive Clerk for Court Operations and
Administration
James D’Archangelis Project Manager
Dr. Nolan R. Shaw Assistant Project Manager
Scot J. Diaz Research Assistant
Nicole C. Sims Research Assistant
Transition and Strategic Planning Committee Report−2001
DISCLAIMER
Points of views or opinions contained within this document are those of the authors and
do not necessarily represent the official position or policies of the Office of the Clerk of
the Circuit Court of Cook County. Any portion of this publication may be reproduced
for research purposes, provided proper credit is given to the Clerk of the Circuit Court
of Cook County Transition and Strategic Planning Committee.
Copyright  2001
Office of the Clerk of the Circuit Court of Cook County
Richard J. Daley Center, Suite 1001
Chicago, Illinois 60602
312-603-5030
PREFACE
The Clerk of the Circuit Court of Cook County is the record keeper for the largest unified trial
court system in the world. Each year, approximately 2 million new cases are filed in the
Circuit Court of Cook County. The Clerk’s Office is responsible for maintaining and
preserving accurate and complete records of all court activities to ensure the proper
administration of justice.
On November 7, 2000, the citizens of Cook County elected Dorothy Brown as the Clerk
of the Circuit Court of Cook County (“Clerk”), who has a comprehensive vision for
improving the administration of the Office. Upon taking office, Clerk Brown established
the Transition and Strategic Planning Committee to help review the state of operations
and offer practical solutions to problems that impede the effectiveness of the Office. This
report reflects the findings and recommendations of the community leaders, attorneys,
business and policy professionals, government administrators, and private citizens who
volunteered for the Transition and Strategic Planning Committee.
The report describes the state of operations that existed when Clerk Brown assumed
office and includes many recommendations for improvement. This report also highlights
some initiatives already commenced by Clerk Brown since she took office. On behalf of
all the members of the Transition and Strategic Planning Committee, we are honored to
submit this report to the Clerk of the Circuit Court of Cook County for her consideration.
Respectfully Submitted,
Hon. Joanne H. Alter
Mr. Clark Burrus
Hon. Abner J. Mikva
Hon. Odas Nicholson
Co-Chairs
Clerk of the Circuit Court of Cook County
Transition and Strategic Planning Committee
November 14, 2001
TABLE OF CONTENTS
I. EXECUTIVE SUMMARY………………………………….
1
II. BACKGROUND……………………………………………..
7
III. METHODOLOGY…………………………………………..
17
IV. EXECUTIVE OFFICE SUBCOMMITTEES
COMMUNITY OUTREACH…………………………………
COURT OPERATIONS………………………………………
INTEGRATED JUSTICE……………………………………..
PUBLIC POLICY……………………………………………..
STATE AND LOCAL RELATIONS…………………………
25
33
43
55
63
V. MAJOR BUREAUS SUBCOMMITTEES
CIVIL BUREAU……………………………………………...
COUNTY BUREAU…………………….……………………
CRIMINAL BUREAU………………………………………..
FAMILY LAW BUREAU…………………………………….
SUBURBAN DISTRICTS BUREAU………………………...
TRAFFIC BUREAU…………………………………………..
71
89
97
107
115
125
VI. SUPPORT FUNCTIONS SUBCOMMITTEES
FINANCE BUREAU………………………………………….
HUMAN RESOURCES BUREAU…………………………...
INSPECTOR GENERAL……………………………………..
MANAGEMENT INFORMATION SYSTEMS……………...
PUBLIC INFORMATION……………………………………
RECORDS MANAGEMENT BUREAU……………….……
137
151
159
163
183
191
VII. CONCLUSION………………………………………………
201
VIII. APPENDICES………………………………………………..
205
APPENDICES
APPENDIX 1 TRANSITION AND STRATEGIC PLANNING COMMITTEE
QUESTIONNAIRE……………………………………………..
APPENDIX 2 PUBLIC POLICY SURVEY……………………………………
APPENDIX 3 SURVEY OF COOK COUNTY MAYORS AND TOWN
OFFICIALS……………………………………………………..
APPENDIX 4 HUMAN RESOURCES BUREAU SURVEY………………….
207
209
210
211
TABLES
TABLE 1 NUMBER OF CASES FILED IN THE CIRCUIT COURT OF
COOK COUNTY: YEAR 2000………………………………..
TABLE 2 TRANSITION AND STRATEGIC PLANNING
SUBCOMMITTEES…………………………………………….
TABLE 3 INTERVIEW PARTICIPANTS BY JOB FUNCTION………...
TABLE 4 INFORMATION TECHNOLOGY PROCESS MODEL……….
14
19
21
182
OTHER
MAP 1 MUNICIPAL DISTRICTS OF THE CIRCUIT COURT OF
COOK COUNTY……………………………………………….
CHART 1 ORGANIZATION OF THE CLERK’S OFFICE……………….
10
11
THE HONORABLE
DOROTHY BROWN
OF COOK COUNTY
EXECUTIVE SUMMARY
1
EXECUTIVE SUMMARY
I.
INTRODUCTION
Upon taking office, the new Clerk of the Circuit Court (“Clerk”) set the following three
priorities for creating an office that is effective and efficient:
•
•
•
establishing a strategic information technology plan for automating and
integrating information systems to improve their effectiveness and efficiency;
improving customer service to make the Clerk’s Office as user-friendly as
possible; and
strengthening employee training and development to enable staff to deliver the
best customer service for all Cook County citizens.
The priorities identified for the new administration is designed to accomplish three goals:
•
•
•
creating and maintaining timely, accurate, and complete records of court cases;
providing justice-related agencies with timely and efficient information services
that will help strengthen public safety and protect civil liberties; and
disseminating records and information about court cases and the justice system
that is timely and useful for all citizens.
To help accomplish these goals, the new Clerk of the Circuit Court (“Clerk”) established
the Transition and Strategic Planning Committee to review the state of operations that
were inherited from the previous administration and to make recommendations for
improvement. Over 150 people volunteered for the Committee.
The community leaders, attorneys, business and policy professionals, government
administrators, and private citizens who make up the Transition and Strategic Planning
Committee looked at the state of information systems, customer service, and employee
training and development in the Clerk’s Office. They interviewed employees throughout
the Office about the best and least effective aspects of day-to-day-operations. In addition,
members of the legal community were interviewed about the service they received from
the Clerk's Office.
The Committee found that the Clerk’s Office has complex systems and procedures in
place to manage court records, provide case information to all customers, and train
employees in basic skills. There are considerable opportunities for improvement because
information systems are antiquated, customer information needs are not always satisfied,
and employee training and development opportunities are limited.
In addition, operational efficiencies are not always achieved. The new Clerk has already
initiated several changes toward operational efficiency that are also discussed in this
report. The new Clerk created a Suburban Districts Bureau with a new position of
Associate Clerk for Suburban Operations, a Finance Bureau with a new position of Chief
Financial Officer, a Records Management Bureau with a new position of Associate Clerk
3
for Records Management, a new position of General Manager for the Criminal Branches
and a new Chief Information Officer position.
Following is an overview of the state of the three areas of priority for the new Clerk:
Information Systems, Customer Service, and Employee Training and Development.
II.
INFORMATION SYSTEMS
For cases filed in the Circuit Court of Cook County, the Clerk’s Office has computerized
and manual processes for maintaining and retrieving all records and information. The
records, which are the official source of information about a court case, includes the date
and time a case appears on a call, the names of the plaintiff and defendants, and the
decisions or orders of the judges. The Transition and Strategic Planning Committee
assessed the strengths and limits of the information system in terms of its ability to
provide timely, accurate, and complete records for all users.
• Information Technology
The computerized technologies used in the Clerk’s Office are antiquated, which reduces
their effectiveness in a jurisdiction as diverse as Cook County. Throughout the entire
Office, staff relies heavily on manual data entry processes to record information. Besides
being cumbersome and inefficient, the process can lead to inaccurate and incomplete
records. Data is entered on antiquated hardware into flat files in a mainframe
environment. Consequently, staff is unable to take full advantage of the power of
personal computers (PCs) and relational databases to enter, store, maintain, and retrieve
information. The PCs in use are not connected to a network; many of the cash registers
are old, out of date, and are not linked to the computerized case docket. This can lead to
incomplete records.1
The Committee recommends that the Clerk’s Office automate information systems
further. To arrive at that point, the Clerk’s Office should develop an enterprise-wide
information technology plan and operational improvement plans for each division and
bureau.
• Records Management Laws and Rules
Current statutory and administrative rules recognize paper as the primary medium for
record keeping. This severely limits the ability of the Clerk’s Office to take advantage of
advancements in digital court technology, such as electronic filings or document imaging.
Furthermore, the retention schedule for many types of court cases and records has not
kept up with the development of filmed or digital technology records in the last 20 years.
The issue of record retention is critical because Cook County will run out of space for
storing court records in the next few years.
To address these issues, the Clerk’s Office will need to work with other stakeholders in
Cook County and Illinois to amend the statutes and administrative rules that govern
1
The reports on the Civil, County, Criminal, Family Law, and Traffic Bureaus address the state of
information systems for the different types of cases heard in the Circuit Court of Cook County.
4
record keeping. The Transition and Strategic Planning Committee calls for the
establishment of a Cook County Records Management Committee for court records.2
• Disposition Reporting
Every day, the Clerk’s Office exchanges information with Cook County law enforcement
agencies, the State’s Attorney, the Illinois State Police, and other state and local agencies
as required by Illinois statutes. The Transition and Strategic Planning Committee
reviewed the exchange process to determine if vital information was transmitted
accurately and completely between the Clerk’s Office and other agencies. The Committee
found that problems existed in reporting court dispositions to the Illinois State Police for
inclusion on criminal history records. Information is exchanged by the agencies, but the
lack of real-time updates and data transmissions, as well as the lack of a governing body
for integrated information systems, leads to the problem of incomplete records.
The Committee recommends the establishment of a committee on integrated criminal
justice in Cook County to oversee the development of a fully automated and integrated
reporting system for criminal dispositions.3
III.
CUSTOMER SERVICE
Staff in the Clerk’s Office usually responds to customer inquiries in a courteous manner,
but customers need more clear and concise instructions, as well as better information to
help navigate the complex judicial process. The Committee found that many customers
can become frustrated by the legal terminology used on court forms and notices. In
addition, customers have vague or inaccurate information about the services that can be
obtained at the Clerk’s Office and other justice-related agencies. The Committee
recommends that the Clerk’s Office create user friendly information kiosks and customer
feedback mechanisms, as well as adopt “plain language” standards, bilingual instructions,
and a telephone call center for the Clerk’s Office.
The Clerk’s Office receives numerous requests for instructions or assistance in
understanding the judicial process, especially from people who represent themselves (pro
se litigants). Under Illinois law, the Clerk’s Office is prevented from providing legal
advice to participants in the judicial process. Additional sources of information should be
made available to pro se litigants to address their legal questions. The Committee
recommends that the Clerk’s Office work with other Cook County justice-related
agencies and the bar associations to address the gaps in public knowledge about the
judicial process.4
2
For more information about record keeping mandates, please see the reports for Court Operations, Public
Policy, and Records Management Bureau.
3
Please see the reports for Integrated Justice, Public Policy, State and Local Relations, Suburban Districts
Bureau, and Traffic Bureau for more information on integrated justice.
4
The complex issue of the administration of justice for pro se litigants is addressed in the Civil Bureau,
Community Outreach, and Court Operations reports.
5
IV.
EMPLOYEE TRAINING AND DEVELOPMENT
The Committee reviewed the state of employee training and development opportunities
throughout the Clerk’s Office. New clerks are trained on coding, editing, entering, and
auditing judicial orders and dispositions. Staff receives basic training on handling
customer inquiries, a brief review of the function of the Office, information about the
collective bargaining unit agreement and Office policies, and other requirements. To
ensure coverage in all critical areas, the Clerk’s Office provides opportunities for
interested employees to learn how to do different tasks.
The Committee notes that several training and development problems exist throughout
the Clerk’s Office. Supervisors do most training on a limited basis. Usually, a new hire
will need up to two weeks to fully learn the new job. However, supervisors do not have
the time to dedicate full attention or resources to training new employees. Secondly, there
have been no systematic efforts to upgrade employee computer skills. This can
undermine the effectiveness of personal computers (PCs) for managing operations in the
Clerk’s Office. Thirdly, the pay structure does not always reflect the skill level needed for
certain positions. In some cases, the problem can be traced to ill-defined job descriptions.
The Committee recommends that the Clerk’s Office conduct a systematic work flow and
workload analysis to determine whether current human resources are being used
efficiently and effectively. The results of the analysis can become the basis for systemic
adjustments to the personnel structure.
The Transition and Strategic Planning Committee has enumerated many specific findings
and recommendations in the section reports that follow. All the various findings and
recommendations should be included in an overall planning process, assigned a priority,
and implemented under a time line that is within the limits of available budget and
staffing resources. Beyond that, the Office will face the challenge of holding everyone
accountable to the plan.
6
THE HONORABLE
DOROTHY BROWN
OF COOK COUNTY
BACKGROUND
7
BACKGROUND
Under the Illinois Constitution, the Office of the Clerk of the Circuit Court of Cook
County is a part of the judicial branch of state government. The Office came into
existence in its current form when the 1962 judicial amendment to the Illinois
Constitution took effect on January 1, 1964. In the general election of 1962, Illinois
residents voted to consolidate the then-existing courts of limited jurisdiction in each
county of the state. More than 160 separate courts, justices of the peace, and police
magistrates were merged into the newly unified Circuit Court of Cook County.
The Circuit Court of Cook County is now the largest consolidated trial court system in
the world, serving the 5.1 million residents of Cook County. More than 400 judges hear
traffic, civil, criminal, juvenile and all other types of cases originating in Chicago and
suburban Cook County. In each courtroom, working alongside the judge, is a court clerk,
whose role is to call cases; respond to inquiries from attorneys, their clients, and
witnesses; and keep the official records of the Circuit Court of Cook County. They are
required to attend all sessions of the Circuit Court, in compliance with the Illinois Clerks
of Court Act (705 ILCS 105).
Court clerks and other staff maintain and preserve all the documents associated with a
case, as well as enter all judgements and court orders into a permanent docket and certify
the official court records. The Clerk’s Office prepares files for a court call in the hours or
days before cases are heard. For new non-criminal cases, staff accepts documents from
the plaintiff that are required under the rules of the Illinois Supreme Court and the Circuit
Court of Cook County. For new criminal cases, staff accepts documents from law
enforcement agencies and the State’s Attorney that are required to bring charges. The
documents are collected and stored in a new file with a new case number. For continuing
or archived cases, the Clerk’s Office retrieves files from on-site or off-site storage.
Every year, approximately two million cases are filed in the Circuit Court of Cook
County. To keep track of the information, the Clerk’s Office maintains a computerized
record of each court case, except for the Probate and County Divisions, which are not
automated. A new record is created as soon as a case or suit is filed with the Circuit
Court, and is updated continuously throughout the duration of the case.
The Clerk’s Office is mandated to collect and disburse all filing fees and fines for the
Circuit Court (705 ILCS 105/27.2a). In 2000, the Clerk’s Office collected more than
$103,000,000 in revenue for Cook County from filing fees and interest on accounts
earned. More than $37,000,000 in revenue was paid to state and local agencies, collected
from fines and other sources.
Geography of the Circuit Court of Cook County
The Circuit Court of Cook County is organized into six jurisdictional sub-units, known as
Municipal Districts. They were set up to provide convenient access to court services for
Cook County’s diverse population. District One covers the boundaries of the City of
Chicago, has 26 criminal branch courts at nine locations and a Civil Division at the Daley
9
Center. Districts Two through Six cover five territories within Cook County, each with its
own courthouse. The Clerk’s Office has staff at each location.
Map 1 illustrates the geographic boundaries of the six municipal districts of the Circuit
Court of Cook County.
MAP 1
MUNICIPAL DISTRICTS
OF THE CIRCUIT COURT OF
COOK COUNTY
District 1 –– Chicago
District 2 — Skokie
District 3 — Rolling Meadows
District 4 — Maywood
District 5 — Bridgeview
District 6 — Markham
Organization of the Clerk’s Office
The Office of the Clerk of the Circuit Court is organized into an Executive Office, which
includes the seven major support functions, and six major bureaus according to the types of
cases heard. These bureaus include Civil Bureau; County Bureau; Criminal Bureau; Family
10
Law Bureau; Suburban Districts Bureau (new 2001); and Traffic Bureau. The seven major
support functions consist of Administrative Services; Finance Bureau (new 2001); Human
Resources Bureau; Inspector General; Management Information Systems; Public Information;
and Records Management Bureau (new 2001).
The organization of the Clerk’s Office is described in Chart 1.
Chart 1
Organization of the Clerk’s Office
Dorothy Brown
.
Clerk of the Circuit Court
Executive Office
and Support Functions
Civil
Bureau
County
Bureau
Criminal
Bureau
Family Law
Bureau
Suburban
Districts
Bureau
1st District
Municipal
County
Division
Felony
Division
Child
Protection
District
2
Law
Division
Chancery
Division
Misdemeanor
Division
Juvenile
Justice
District
3
Housing
Court
Probate
Division
Domestic
Relations
District
4
Child
Support
District
5
Traffic
Bureau
District 1
Chicago
District
6
Executive Office
The Executive Office has responsibility for determining policy and planning for the entire
operations of the Clerk’s Office. To enhance the policy and planning decision-making
process, the Clerk’s Office is organized into departments that support court operations
and administration and departments that support public policy and external relations.
The Executive Office works with other government agencies to set policies and
procedures for records management. Various agencies establish record retention policies
and procedures for the Clerk’s Office. The Administrative Office of Illinois Courts
11
(AOIC) establishes procedures for compiling and submitting schedules of court records
proposed for disposal, procedures for physical destruction or other disposition, and
standards for the change of format of court records when bulk reduction is permitted. In
addition, the State Archivist through the authority of the local record commission can set
policy on record maintenance.
Civil Bureau
The Civil Bureau is divided into the Civil Division and the Law Division. The Civil
Division is responsible for handling civil cases not in excess of $30,000 where either the
defendant or the occurrence is within the City of Chicago. The types of cases that are
heard include contract, property damage, personal injury, eviction, replevin, attachments
and garnishments.
•
•
Civil Division Housing – the majority of cases filed in Housing Court are brought
for zoning, health and fire violations of the Building Code.
Civil Division Pro Se – this section of small claims court hears cases not
exceeding $1,500. The party may act as his/her own attorney.
The Law Division hears actions in which the amount of the claim is in excess of $30,000
for cases where either defendant or the occurrence is within the City of Chicago, and
$100,000, if in the Cook County Suburbs. Cases heard include personal injury, property
damage, breach of contract, and appointment of trustees.
County Bureau
The County Bureau consists of three divisions: County Division, Chancery Division and
Probate Division. The County Division hears actions and proceedings concerning mental
health issues, adoption, the emancipation of minors, various issues related to taxes, tax
deeds, elections, unclaimed property and certificates of error.
The Chancery Division hears matters of equity, which are filed under the following
categories: Class Actions, Declaratory Judgments, Mortgage Foreclosures, Injunctions,
most Administrative Reviews, Changes of Name, General Chancery and Mechanic Liens.
The Probate Division handles wills/estates of the deceased, guardianships, estates of the
disabled, minors and wards of the state and applications for passports.
Criminal Bureau
The Criminal Bureau consists of the Criminal Division and the Criminal Department. The
Criminal Division has jurisdiction over felony offenses within Cook County, which are
punishable by imprisonment in a penitentiary. It also conducts hearings concerning
habeas corpus and extradition in criminal matters, petitions to expunge records of arrest,
all post-conviction matters and the processing of appeals. In addition, this division is
responsible for eight-felony night narcotics courts.
The Criminal Department is responsible for the administration and maintenance of
records of misdemeanor criminal and quasi-criminal actions that occur in the City of
12
Chicago. The Criminal Department also hears cases involving preliminary hearings of
felonies and misdemeanors. Bond Court is in session seven nights a week and the four
Holiday Courts provide defendants the opportunity to make bond on Saturdays, Sundays
and court holidays.
The Domestic Violence Court handles criminal orders of protection and hearings in
domestic violence cases that originate in Chicago.
Family Law Bureau
The Family Law Bureau is divided into four divisions: 1) Juvenile Division, 2) Child
Protection Division, 3) Child Support Division, and 4) Domestic Relations Division.
•
•
•
•
The Juvenile Justice Division has exclusive jurisdiction over all minors under the
age of 17 who have violated a federal or state law or municipal ordinance other
than traffic, boating, fish and game law violations.
The Child Protection Division has original jurisdiction over all children under the
age of 18 requiring authoritative intervention, including addicted minors,
dependent, neglected or abused children.
The Child Support Division processes, disburses and keeps permanent records of
court ordered child support payments to custodial parents. In 1998, the year
before the federally mandated state Disbursement Unit began to make payments,
Child Support processed and disbursed over $140 million in payments. This
department actively participates in the child support enforcement IV-D (4-D)
program throughout Cook County.
The Domestic Relations Division hears cases seeking divorce, legal separation or
invalidity, all Civil Orders of Protection and post decree issues.
Suburban Districts Bureau (New 2001)
The Suburban Districts Bureau consists of the five Municipal District courthouses located
in suburban Cook County. Courthouses are located in Skokie, Rolling Meadows,
Maywood, Bridgeview, and Markham. The suburban districts hear most of the same
types of cases heard in Chicago, for cases originating in the suburbs within each district.
Traffic Bureau
The Traffic Bureau has oversight for cases involving moving traffic violations issued in
the City of Chicago, but not parking violations. The Clerk’s Office is responsible for
maintaining the records, and collecting and disbursing fines.
13
The number of cases filed in 2000 summarized by bureau (includes cases filed in the
Suburban Districts):
TABLE 1
Number of Cases Filed in the Circuit Court
of Cook County: Year 2000
Bureau
Number of Cases
Traffic
1,205,208
Criminal
356,064
Civil
214,693
County
53,781
Family Law
43,714
Total
1,873,460
Support Functions
a. Administrative Services
Administrative Services provides support for all operations and divisions of the Clerk’s
Office. Among the tasks it is responsible for are furniture moving and storage, mail
delivery, transport, and phone access.
b. Finance Bureau (New 2001)
The Finance Bureau consists of the Accounting, Payroll, Budgeting, and Purchasing
Departments. With the exception of the Accounting Department’s handling of money
collected within the Clerk’s Office, all the departments’ policies and procedures are
established by the Cook County government. This division was organized by the new
Clerk. Previously, the Payroll Department was a part of Human Resources Bureau, and
Budget and Purchasing were in a separate Division. The new Clerk organized this
Division for a more efficient handling of financial transactions.
c. Human Resources Bureau
The Human Resources Bureau has responsibility for hiring new employees, providing
training and development, monitoring compliance with all federal and state personnel
laws, overseeing disciplinary actions, and ensuring implementation of provisions of the
collective bargaining unit agreement.
d. Inspector General
The Office of the Inspector General conducts investigations within the Clerk’s Office
related to fraud or abuse of services.
14
e. Management Information Systems (MIS)
The Management Information Systems Department is organized into three major
sections: Systems Software, Operations and Technical Requests. The Systems Software
section
manages
the
mainframe
hardware/software
inventories,
coordinates
telecommunications requests, and automates office processes such as e-mail. The
Operations section is responsible for maintaining the mainframe-based operating system
and processing batch runs for updating the electronic docket. Finally, the Technical
Requests section analyzes procedures and data needs for each of the major bureaus within
the Clerk’s Office and writes programs to meet the needs.
f. Public Information
The Public Information Department handles requests from the media and the general
public for information about current and past cases in the Circuit Court of Cook County.
All pamphlets, brochures, and other sources of general information are processed by the
Public Information Department.
g. Records Management Bureau (New 2001)
In Cook County, inactive and archival records are stored at the Skokie courthouse and the
Records Center located at 23rd and Rockwell in Chicago. The Skokie location is the
repository for the Circuit Court’s historical records, many dating back to the Chicago
Fire. The volume of historical records located at the Skokie courthouse comprises
holdings of nearly 70,000 boxes. The current facility also acts as a holding area for the
Skokie Courthouse’s active court records, and as a home for microfilm operations for the
Skokie Court.
The Records Center houses the Cook County Circuit Court files, Appellate Court files,
and the Official Court Reporter tapes. In addition, it houses other county agencies’
furniture, unused supplies, and “information.” The facility acts as the Circuit Court’s
Records Center, archival repository for pre-consolidation court files dated before 1964,
evidence lockers for the Circuit Court, and an extension of the active ‘central files’ from
various Circuit Court courthouses. Evidence in the form of physical artifacts are Circuit
Court records as well, and fall under the same constraints for disposition that affect all
Circuit Court records. Evidence is maintained until the case has reached its term of
retention.
15
THE HONORABLE
DOROTHY BROWN
OF COOK COUNTY
METHODOLOGY
17
METHODOLOGY
Upon taking office, the new Clerk of the Circuit Court (“Clerk”) set the following three
priorities for creating an office that is effective and efficient:
•
•
•
establishing a strategic information technology plan for automating and
integrating information systems to improve their effectiveness and efficiency;
improving customer service to make the Clerk’s Office as user-friendly as
possible; and
strengthening employee training and development to enable staff to deliver the
best customer service for all Cook County citizens.
The priorities identified for the new administration is designed to accomplish three goals:
•
•
•
creating and maintaining timely, accurate, and complete records of court cases;
providing justice-related agencies with timely and efficient information services
that will help strengthen public safety and protect civil liberties; and
disseminating records and information about court cases and the justice system
that is timely and useful for all citizens.
These goals guided Committee members as they conducted research and gathered facts
about the policies and operations of the Clerk’s Office. The Transition and Strategic
Planning Management Team had responsibility for reinforcing the importance and value
of the three goals as Committee members proceeded with their research and fact-finding.
Structure of the Transition and Strategic Planning Committee
To enable members to work efficiently, the Transition and Strategic Planning Committee
was divided into 16 subcommittees. The 16 Transition and Strategic Planning
subcommittees are:
Subcommittee
Table 2
Transition and Strategic Planning Subcommittees
Subcommittee
Subcommittee
Subcommittee
Civil Bureau
Family Law Bureau
County Bureau
Finance Bureau
Court Operations
Human Resources
Bureau
Criminal Bureau
Inspector General
Integrated Justice
Information Systems
Management
Information Systems
Public Information
and Community
Outreach
Public Policy
Records Management
Bureau
State and Local
Relations
Suburban Districts
Bureau
Traffic Bureau
A chairman headed most subcommittees, although in several instances, two individuals
co-chaired a subcommittee. The role of the chairman or co-chairs was to oversee and
monitor research for each subcommittee. Chairs were responsible for scheduling and
19
facilitating subcommittee meetings as well as producing a report with findings and
recommendations.
Number of Meetings
The Transition and Strategic Planning Committee as a whole met twice. The first
meeting, which occurred in January 2001, provided orientation to the members. The final
meeting came at the end of the process when the Committee reviewed and approved the
final report to the Clerk.
The subcommittees met at least twice. In the first meeting, interview findings were
discussed; in the second meeting, the group discussed recommendations. At the
discretion of the chairmen, several subcommittees met for additional orientation to the
Clerk’s Office and a specific division.
Information Collection and Reporting
To produce meaningful recommendations, the 16 Subcommittees followed a uniform
process for collecting and analyzing information, as well as writing section reports. The
members of the Transition and Strategic Planning Committee collected information from
the Clerk’s Office about policies, procedures, and operations. To ensure uniformity and
clarity of responses, the Transition and Strategic Planning Committee used a
questionnaire to elicit information from Clerk’s Office staff (See Appendix 1 -Transition
and Strategic Planning Committee Questionnaire). The questionnaire covered three
topics:
•
•
•
manual and automated processes for entering, editing and auditing information;
policies and procedures for providing service to customers; and
opportunities for employee training and development.
The Subcommittee members had direct access to the associate clerks of each bureau and
their staff to answer all questions, as long as the access did not conflict with the day-today functioning of the bureau. Each subcommittee worked with the associate clerks of the
respective bureaus to identify individuals who were knowledgeable of information
systems, customer service, and employee training and development. To ensure that
responses were complete, the names of the interview participants were held in confidence
by the subcommittees.
Subcommittee members interviewed more than 125 employees of the Clerk’s Office
during the three-month period February to April 2001. The number interviewed
represents approximately a 5% sample of all employees in the Clerk’s Office. The
interviews usually occurred on-site in the various locations of Clerk’s Office.
20
Staff with the following job functions were interviewed during the process.
Table 3
Interview Participants by Job Function
Job Function
Archivist
Assistant Chief Deputy Clerk
Associate Clerk
Cashier/counter person
Chief Deputy Clerk
Court Clerk
Court Clerk Trainer
Data Auditor
Data Entry Clerk
Job Function
Financial Auditor
Help Desk Personnel
Management Trainer
Methods and Procedures Analysts
Programmer
Public Information Officer
Support Staff
System Analyst
Team Manager
Several subcommittees, such as State and Local Relations and Public Information and
Community Outreach, focussed on the external constituents of the Clerk’s Office. They
mostly interviewed attorneys, elected officials, and other community representatives to
learn about the state of services provided by the Clerk’s Office. The methodology for
each of these subcommittees is described in the respective section of this report.
Each subcommittee produced a report with findings and recommendations. The
subcommittee reports constitute the majority of the final report. The Public Information
and Community Outreach Committee produced two reports, one for public information
and the other for the community outreach component.
21
THE HONORABLE
DOROTHY BROWN
OF COOK COUNTY
EXECUTIVE OFFICE SUBCOMMITTEES
COMMUNITY OUTREACH
COURT OPERATIONS
INTEGRATED JUSTICE
PUBLIC POLICY
STATE AND LOCAL RELATIONS
23
THE HONORABLE
DOROTHY BROWN
OF COOK COUNTY
COMMUNITY OUTREACH SUBCOMMITTEE
Hon. Joanne Alter Transition and Strategic Planning
Committee Co-Chair
Alan Alop Legal Assistance Foundation
Jim Brown CARPLS
Lisa Colpoys Illinois Technology Center for Law and
Public Interest
Leslie Corbett CARPLS
Alan Mills Uptown People’s Law Center
Mary Trew Pro Bono Advocates
Lee Witte Chicago Volunteer Legal Services
25
COMMUNITY OUTREACH
I.
INTRODUCTION
The Community Outreach Subcommittee dealt with the various community-related topics
relevant to the judicial process and the Clerk’s Office. The Subcommittee’s focus was
twofold: (1) reaching out to legal service organizations that deal with the Clerk’s Office
to hear what special needs they might have in dealing with the Clerk’s Office; and (2)
examining how the Clerk’s Office can be more responsive to the needs of pro se litigants.
Individuals with considerable legal assistance experience were invited to participate on
the Community Outreach Subcommittee. The Subcommittee members, comprised of
eight community representatives and professionals, were chosen for their experience and
expertise on pro se matters.
Moreover, the findings and recommendations detailed below represent information on
information systems and customer service as well as how these primary job functions can
be improved in the Clerk’s Office.
II.
INFORMATION SYSTEMS
1.
Attorneys or small firms that provide legal assistance to indigent defendants
do not have access to electronic filing, (not yet approved by the Illinois Supreme
Court), or low-cost direct access to the Clerk’s Office electronic docket services.
Furthermore, accessing forms on the Clerk’s Office web site is cumbersome.
Finding
For attorneys or small firms that represent indigent clients, the process of filing papers
and monitoring case activity can be burdensome. They may not have the financial ability
to hire staff to file legal documents with the Clerk’s Office. Instead, the attorneys file
their own court papers in person. In addition, the cost of subscribing to private, online
court docket services can be cost prohibitive for these firms or attorneys. Users have to
take many steps to navigate the Clerk’s Office website in order to access the forms for
which he/she is looking. Moreover, the forms on the Clerk’s Office website tend to be
written in legal language.
Recommendation
The Clerk’s Office should establish an advisory committee with representation from the
legal service organizations to examine electronic filing and access, and interactive forms
for pro se litigants. The advisory committee would help devise and facilitate
implementation of interactive forms, electronic filing, and other information support
mechanisms in the Clerk’s Office. The Clerk’s Office would benefit by collaborating
with local stakeholders to develop interactive forms to post on the Clerk’s Office web
site. Online access to docket for legal services should be provided throughout the Clerk’s
Office. Rolling out such services should begin with Housing Court first, a high volume
pro se court, and extended to the other divisions. Finally, the committee will work with
other government agencies, such as public libraries, to set up terminals for electronic
27
access and eventually filings, when approved by the Illinois Supreme Court, by pro se
litigants.
2.
The list of legal aid providers that the judges and clerks pass out to pro-se
litigants needs updating.
Finding
The list is out of date and incomplete.
Recommendation
The Clerk’s Office should work with the legal service community to compile and
distribute an updated list of legal aid providers. The list should be updated annually or as
needed.
3.
The summons form is only available in English. Furthermore, it provides
limited information to defendants about their rights upon being summoned.
Finding
The summons form is one of the most frequently used forms in the judicial system.
However, it is only available in English. Furthermore, the form provides no information
to the defendant, which explains their rights under law to a jury trial.
Recommendation
The summons form should provide basic instructions to non-English speaking
defendants. At a minimum, the form should include a statement in various languages that
says, “Get this form translated right away.” Also, the summons form should direct
defendants to report to the Clerk’s Office and should advise defendants of their right to a
jury trial.
III.
CUSTOMER SERVICE
1.
There is not enough counter staff available to assist customers who are trying
to file papers before they appear in court for a 9:30 a.m. call.
Finding
Representatives from the legal assistance community expressed the idea that the staff of
the Clerk’s Office should be more adequately cross-trained to assist customers during
rush hour. They have found that there is not enough counter staff to serve them when
they come in to file papers before 9:30 a.m., when they are scheduled to appear in court.
Recommendation
The Clerk’s Office should designate more staff to handle court filings during the early
morning hours.
28
2.
Pro se indigent litigants are not always informed of the existence and
availability of the pauper’s petitions, (a request for a waiver of court fees).
Finding
Many pro se litigants lack the financial means to pay court fees. They can request a fee
waiver by filing a pauper’s petition with the court. However, there have been instances in
which cashiers fail to provide information about the process of filing pauper petitions.
The cashiers are more likely to provide information about requests for 7-day extensions
to pay court fees.
Recommendation
Whenever pro se litigants indicate they cannot afford to pay court fees, the Clerk’s Office
should offer information about the process of petitioning for a fee waiver.
Indigent defendants have a right to apply for a fee waiver. The Clerk’s Office should
implement a procedure for informing indigent defendants about the fee waiver process.
The Subcommittee also recommends that the Clerk’s Office have signs posted next to
each cashier that informs pro se litigants of their rights to apply to have court fees waived
if they are unable to pay.
3.
The Appearance and Jury Demand Form is confusing to some pro se litigants.
This confusion can result in the loss of a substantive right, namely the right to a jury
trial.
Finding
Upon completing the Appearance and Jury Demand form (AJD form), some pro se
litigants are left with the impression that they are going to get a jury trial. However, this
is not the case. The defendant must file a written request for a jury trial, pay the fee for a
jury, and get the AJD form stamped “JURY” prior to his/her first court appearance. If the
defendant does not know that he/she has to file the form, pay the fee and get the form
stamped at that time, then the defendant will forever waive his/her right to a jury.
Recommendation
The Clerk’s Office should revise the Appearance and Jury Demand form to ensure that all
litigants have a clear understanding of the process of requesting a jury.
4.
The Clerk’s Office does not have a uniform procedure for responding to
notices of motions received from incarcerated pro se litigants.
Finding
On occasion, the Clerk’s Office receives a notice in the mail from incarcerated litigants,
which states a desire to file a pro se motion in court. The request frequently arises in
paternity, divorce, and child custody cases filed against the person after he or she is
incarcerated. The letters frequently ask the Clerk’s Office to file a motion in the
respective case.
29
The Clerk’s Office cannot file a motion on behalf of the incarcerated litigant since such
an action crosses into legal representation. Staff can only provide information and
instructions that is consistent with the record keeping function of the Office. Since the
Clerk’s Office is the official record keeper, the notice of motion will be stored in the
court file until further action is requested.
The motion can be filed if a legal representative stands in for the incarcerated litigant or
the litigant successfully applies for a writ of habeas corpus and appears for himself.
However, a uniform procedure does not exist for handling these circumstances or
notifying the appropriate parties.
Recommendation
The Clerk’s Office should work with the judiciary and legal service community to
establish a uniform procedure for handling motions from incarcerated pro se litigants. In
these instances, the role of the Clerk’s Office needs to be defined within the limits of the
Clerk’s statutory authority to keep the official court record. As the official record keeper,
the Clerk’s Office records all motions and brings case files to court. Consistent with this
limited authority, the Clerk’s Office may be able to develop a tracking system to flag
notices of motions received from incarcerated pro se litigants or send a response letter to
incarcerated pro se litigants which informs them of the resources or procedures available
to file a motion.
5.
Many pro se litigants need basic information about the court system and the
location of specific courtrooms and offices as well as the meaning of legal
terminology, judicial orders, and case outcomes.
Finding
Many pro se litigants lack information about the judicial system and the meaning of
judicial orders. They enter courthouses without basic knowledge of how to file motions,
apply for a jury trial, and other processes. Consequently, they may not know how or
when to seek information that could affect the outcome of their cases.
Recommendation
Computer terminals/kiosks should be installed at each courthouse to help visitors and
litigants by describing the legal process, the role of each justice agency, including the
Clerk’s Office, and the sources available for legal assistance. In addition, the Clerk’s
Office should work with law schools and paralegal associations to establish opportunities
for staffing the kiosks under the supervision of an attorney.
6.
Pro se litigants had difficulty in obtaining information about the procedures
to be followed before their scheduled court date and the day of their appearance in
court.
Finding
When a case is initiated in the law division, both parties receive the original complaint
form, where some featured items include the case number, the room number, and the time
30
in which the respective parties are to report to court. The problem is that even though this
information is on the complaint form, the numbers are bunched together and are not
clearly denoted as such. Many pro se litigants are not aware that the numbers identify the
case number, the courtroom and the time in which to report to court and are misguided
when they arrive to court.
On the day the case is heard in court, all parties must check in with the courtroom clerk.
The courtroom clerk will not check in a pro se litigant unless they know their line number
from the court sheet. In order to obtain the line number, the pro se litigant needs to take
the case number, which is found on the original complaint form and identify it on the
court sheets that are found outside of each courtroom. The court sheets provide a listing
of all of the cases to be heard in a particular courtroom. Knowing the procedures ahead of
time would lessen the confusion for the pro se litigant, who should be able to check in by
either the case number or by party name.
Recommendation
There are some options to consider:
•
There should be a plan to provide a comprehensive information packet for pro se
litigants, including information about what certain numbers or terms mean on a
court form, where to find certain forms or sheets prior to the court date, and
information pro se litigants need to know before coming into the courtroom.
•
In addition, the Clerk’s Office should examine whether it would be feasible to
allow pro se litigants to check in with the courtroom clerk by either their name or
their case number.
•
Moreover, there should be a plan to modify the original complaint form so that
the case number, court date, time, and room number is clearly denoted on the
form.
31
THE HONORABLE
DOROTHY BROWN
OF COOK COUNTY
COURT OPERATIONS SUBCOMMITTEE
Virginia Martinez, Chair UIC International Center for Health
Leadership Development
Derrick Hicks, Co-Chair Greater Chicago Committee
John E. Goggin, Co-Chair Office of the Chief Judge, Circuit Court of
Cook County
Kevin M. Deeley UNISYS Corporation
Carlo De Franco State of Illinois Office of Banks and Real
Estate
Kenneth Jablonski State of Illinois Attorney Registration &
Disciplinary Committee
Bernard M. Judge Law Bulletin Publishing Company
Vasyl Markus, Jr. Planned Parenthood
Jack Robertson Brooks, Faucett & Robertson, LLP
Patricia Rodriquez Friends of Dorothy Brown
33
COURT OPERATIONS
I.
INTRODUCTION
The mandate of the Clerk’s Office is to record, maintain, and disseminate information on
cases that are filed in the Circuit Court of Cook County (705 ILCS 105/13). To
accomplish these tasks, the Clerk’s Office must execute all court operations in a clear and
consistent manner. The Court Operations Subcommittee looked at direct service and
support functions to determine whether court operations were organized effectively and
efficiently.
Court operations consist of “line” and “support” functions. The “line” functions include
all activities that are needed to maintain a court record and disseminate case information.
“Line” activities include initiating a new case, organizing a court call, bringing case files
to court, updating the database, collecting fees and fines, and completing all judicial
orders, such as arrest warrants. “Support” functions include all activities that support the
main activity of maintaining a court record and disseminating case information. The
activities include budgeting for adequate staff, purchasing supplies, producing forms,
managing storage space, and producing statistical reports on activities.
The Court Operations Subcommittee interviewed a representative sample of employees
by job function to discuss information systems, customer service and employee training
and development system-wide. They compared the organization of the Clerk’s Office to
the organization of the Circuit Court; the need for staff training on current record keeping
practices, both manual and electronic; and the role of statistics. The questions and
discussion were philosophical, which brought into focus some issues about the basic
structure of the organization, record keeping, and the public good.
II.
INFORMATION SYSTEMS
1.
Efforts to automate or digitize court records are limited by existing legal
mandates. Current Illinois statutes and Supreme Court rules do not recognize
electronic documents as primary or official media for record keeping. The statutes
and rules recognize paper as the primary medium for filing cases and recording
case information in the Circuit Court of Cook County.
Finding
The Clerk’s Office is the official record keeper for the Circuit Court of Cook County. For
every type of motion or filing on a case, the Clerk’s Office supplies paper forms to
attorneys and litigants for completion. In addition, the Clerk’s Office provides judges
with paper forms to record dispositions.
This process complies with Illinois Supreme Court Rule 137,
pleadings, motions, and other papers filed with the court to contain
attorney or appropriate party. Also, Supreme Court Rules 10 and 131
to be handwritten, typed or printed, and submitted on 8-½ inch by
which requires all
the signature of the
require filed papers
11-inch paper. The
35
only exception is the Supreme Court’s administrative order permitting electronic filing on
an experimental basis in the Juvenile Justice and Child Protection Divisions of the Circuit
Court of Cook County.
Given these rules, electronic and film the Clerk’s Office and the judiciary use media as
secondary storage mechanisms. The Clerk’s electronic docket summarizes judicial orders
and courtroom assignments to provide users with succinct information about a case or a
court call. Statistical reports can be generated from the docket to provide a snapshot of
activities throughout the courts.
The electronic docket has not been used regularly to record full text orders. The full
record of a case, which include transcripts and the complete text of a judge’s orders, are
memorialized on paper documents and are stored in case files. Documents are
microfilmed for offsite storage upon completion of a case.
Until electronic or filmed records are considered primary media by statute or Supreme
Court rule, the Circuit Court will rely on paper for filing and recording case information.
This places severe limitations on any movement toward a paper-less, digitized
environment in the Clerk’s Office. The Clerk’s Office can provide various digitized
services for managing and retrieving information, but the services will not replace paper
as the official medium for record keeping. All court operations are affected by this
reality.
Recommendation
The Clerk’s Office should work with the judiciary and records management professionals
to determine the feasibility of adopting electronic or imaged documents as official media
for recording case information. As long as electronic records are considered secondary
storage media, the Clerk’s Office will always need to use paper documents for
memorializing case information. The standard should be reviewed in light of the
widespread adoption of electronic and virtual media for storing information.
2.
The Clerk’s Office has a system for capturing, editing, and auditing case
information, both in paper and electronic form. However, the system relies heavily
on clerks to code and enter judicial orders manually into the computer.
Finding
About 90% of judicial orders are summarized and captured by a handful of computer
codes in each division of the Clerk’s Office. The remaining orders can become very
complicated and require well-trained staff to code, enter, and edit information correctly.
Since the process is manual, the electronic docket is subject to transcription errors. At
present, the process can take 24 hours or more to complete.
The ability to automate data entry and employ new information technology is shaped by
the number and complexity of judicial orders in each division. The most complex orders
occur in civil cases. Clerks may need to combine multiple computer codes to record
judicial orders accurately. In contrast, the outcomes in traffic violation cases are
36
standardized and can be captured by a single code. In both types of cases, clerks
manually enter codes into the electronic docket.
Recommendation
The Clerk’s Office should develop a strategic information technology plan for each
division to bring the Office up to current industry standards and practices. Each project
should include a review of computer codes to determine how many are needed to capture
judicial orders; an assessment of access to electronic means by attorneys, pro-se litigants
and the general public; and prioritization of information needs at each stage of case
activity from initiation to disposition.
Upon developing a clear picture of each division’s needs, the Clerk’s Office can select
the technology that fits each operation best. The range of technology options for
information systems include, but are not limited to, imaging and scanning; bar coding;
menu-driven systems, either with touch screens or point-and-click instruments; browserbased systems; electronic filing; and person-based case management systems that are
“event” driven.
The processes should be further automated to relieve clerks from tedious and error-prone
data entry tasks. The types of automated tools available, such as person and event based
case management systems that use menu driven screens, must be adapted to handle the
diversity of orders in each division.
3.
The Clerk’s Office compiles and reports statistics that are mandated by
statute or are requested by external agencies. The use of statistical data to measure
performance in the Clerk’s Office is limited.
Finding
Statistical data can be used to measure work activity across divisions and bureaus. Such
measures can be used to determine how many staff are needed to perform a task and
when. However, no consistent definitions of work activity or performance measures are
used to achieve this goal.
In the annual budget, the Clerk’s Office measures outputs, efficiencies and effectiveness
in some bureaus. The measures appear to be confusing and difficult to understand. Their
importance in terms of customer service requires explanation.
Recommendation
The Clerk’s Office should consider expanding the use of statistics for management
reports and public information about the court systems. The Clerk’s Office should utilize
more statistics to explain the nature and scope of court operations. Statistical information
about case activity should be communicated to the public, especially the media, in clear
and concise terms. All chief deputy clerks and associate clerks should receive copies of
ad hoc statistical reports requested for their departments.
37
III.
CUSTOMER SERVICE
1.
Many pro-se litigants are unfamiliar with the legal process. They approach
the Clerk’s Office for information or legal advice if they have no other place to turn.
However, the Clerk’s Office is prohibited from offering legal advice. Consequently,
litigants may not receive vital information that can affect the conduct of their case.
Finding
The Clerk’s Office can explain how to file court documents or how to complete a form.
In many cases, pro-se litigants come to the Clerk’s Office in need of advice about
statutes, procedures, constitutional rights and other legal questions. By law, the Clerk’s
Office cannot provide legal advice. The Office can only provide information about
available resources, but many of the court documents, notices, and forms, etc., are
confusing.
Recommendation
The Clerk’s Office should work with legal service organizations and the judiciary to
develop “plain language” terminology for court documents. In non-criminal cases,
litigants may not have access to counsel to explain the legal process. Notices and forms
should be written clearly and concisely to ensure fairness for litigants who represent
themselves in the legal process. A task force on “plain language” should be established
with the goal of creating documents that the general public can readily understand.
The task force should identify the most commonly used forms and notices in each
division, review terminology used, and adapt “plain language” standards for each
document. Notices and forms should include instructions on how to complete and file
each document. Members of the judiciary and legal service advocates should participate
in the process.
2.
Intestate cases end up in probate court because the parties are unable to find
a will. If wills were located in a central repository accessible to the Circuit Court,
then the disposition of probate cases could be expedited.
Finding
Many estates are filed in probate court because a will cannot be found. In these cases, the
courts are asked to distribute assets to descendants and other parties without knowledge
of the decedent’s wishes. In addition, terminally ill patients may want to be removed
from life support but do not have a family member or relative to keep a living will or
make the decision. In these cases, the courts may be asked to terminate life support
without knowledge of the patient’s wishes.
The social need exists for a central repository of wills and living wills to alleviate the
burden on probate court.
38
Recommendation
The Clerk’s Office, in conjunction with the judiciary and legal service organizations,
should conduct a review of best practices ni creating and managing repositories for wills
and living wills. The Circuit Court would benefit from a reduction in the number of
intestate estates or disputes about termination of extraordinary life support mechanisms in
the absence of a living will. Establishing a central repository for all wills and living wills
could accomplish this goal. If such a repository were created, then several issues would
need to be addressed, including access, privacy, security, and liability. In addition,
statutes would be needed to establish legal authority for the repository.
3.
The role of the Clerk’s Office in the judicial process is not widely understood
in many communities in Cook County.
Finding
The Clerk’s Office, along with other judicial agencies, has a role in educating the public
about the services provided by the Office and the judicial process. However, many
communities have little understanding of the judicial process and the role of the Clerk’s
Office in administering justice. There is considerable need for public education on this
topic.
Recommendation
To help raise public awareness, the Clerk’s Office should expand community outreach
efforts, including identifying and attending public meetings; creating informational
brochures for distribution to public libraries and schools; and establishing visiting hours
at other government agencies with satellite offices in underserved communities to
provide public information.
IV.
1.
There is a lack of opportunity for staff to improve, renew, or upgrade data
entry or customer service skills.
Finding
The Clerk’s Office trains new clerks on coding, editing, entering, and auditing judicial
orders and dispositions. In addition, new staff receives basic training on addressing
customers and handling inquiries. However, opportunities for renewing or expanding data
entry and customer service skills are limited, mostly due to insufficient training of staff.
Recommendation
The Clerk’s Office should designate staff to provide office-wide training in the areas of
data entry and editing under the current information system, as well as customer service,
supervisory skills, and other management topics. At present, most data entry training is
provided to new staff. The Clerk’s Office should provide seasoned employees with an
opportunity to renew or upgrade data entry and editing skills. Among the topics to review
are: data entry standards, the use of source documents, and correction procedures. In
addition, the Clerk’s Office should provide training to new and veteran staff who seeks to
39
improve their customer relations’ skills. Also, managers should be provided with
opportunities to develop competencies in the area of supervising.
2.
The Clerk’s Office does not have a long-term plan for training employees on
the use of new technologies for information management.
Finding
Within the last five years, the Clerk’s Office has adopted personal computers (PCs) for
managing information. The Clerk’s Office does not provide systematic training on how to
use PC-based spreadsheets and word processing programs to their maximum advantage.
Recommendation
The Clerk’s Office should provide continuous training on the use of personal computers
in the workplace. A long-term plan should be developed that includes the on-going
training of the entire staff.
3.
The inherited training program does not provide a comprehensive overview
of the organization, history, and role of the Clerk’s Office.
Finding
A well-trained work force is the best asset of the Clerk’s Office. The best employees
would understand the history of the Office and its critical role in the judicial process. The
inherited training program does not cover these topics in any great depth.
Recommendation
The Clerk’s Office should create opportunities for staff to learn about the importance of
the Office in the civic life of Cook County. This can be accomplished by adopting a core
curriculum for all staff to access. The topics should include, but not be limited to:
•
•
•
the terms of the union contract and the role of labor;
the history of the Circuit Court of Cook County and the Clerk’s Office; and
the role of the Clerk’s Office in the judicial system.
The goal of ongoing civic education is shared by many public institutions. To prevent
duplication of effort, and to create a sense of mission among employees, the Clerk’s
Office should consider working with local colleges and other institutions to devise a core
curriculum for employees. Such a program can help develop employees’ understanding
of the Clerk’s Office and the role the Office plays in the life of Cook County’s citizens.
40
V.
STRUCTURE OF THE CLERK’S OFFICE
1.
There is a clear distinction between direct service and support personnel in
terms of record keeping functions. However, staff is not always aware of the
relationship between the two types of functions and the importance of each for the
overall operations of the Office.
Finding
The Clerk’s Office has staff who provide direct record keeping and information service to
participants in the legal system and staff who support this function. However, many staff
members are not aware of how their roles fit within the overall operations of the Clerk’s
Office. Direct service staff includes courtroom clerks who record all judicial orders, file
clerks who organize documents for each court call, cashiers, and office staff who answer
inquiries. They report to supervisors who in turn report to a division head. Support staff
provides services such as training, budgeting, purchasing, warehousing, and records
management that enable the courts to operate and clerks to execute their duties. They also
report to supervisors who in turn report to a division head. These relationships need to be
explained to help staff understand how their work affects operations in the division and
across divisions.
Recommendation
As part of employee training and development efforts, the Clerk’s Office should ensure
that direct service and support personnel know the importance of each function and how
they affect the overall operation of the Office.
2.
Until recently, the organization of the Clerk’s Office led to problems in
determining clear lines of authority and responsibility in suburban district offices.
Finding
There are six municipal districts in the Circuit Court of Cook County. District One
encompasses the city of Chicago, whereas Districts Two through Six are spread
throughout suburban Cook County. In each district, the court hears Traffic, Civil, and
Misdemeanor Criminal cases arising from incidents that occurred within the district
boundaries. The Clerk’s Office provides record keeping services in each of the five
suburban district courthouses and at multiple courthouses in the First Municipal District.
At the suburban locations, the Clerk’s Office has a chief deputy clerk in charge of
operations.
There are eight countywide divisions in the Circuit Court of Cook County. They are Law,
Domestic Relations, County, Chancery, Probate, Felony, Juvenile Justice, and Child
Protection. A case assigned to these divisions can originate in any municipality or
unincorporated section of Cook County. In each division, the Clerk’s Office has a chief
deputy clerk in charge of operations.
Until April 2001, the Clerk’s Office had five line bureaus in addition to the six municipal
districts and eight countywide divisions. The five line bureaus were Civil, County,
Criminal, Family Law, and Traffic. Each bureau had authority to set record keeping
41
policies and procedures from case initiation to disposition. Finally, the Clerk’s Office had
four major support bureaus – Human Resources, Budget, Administrative Services, and
MIS – to provide support to the “line” bureaus.
The inherited structure worked well for cases originating in Chicago but led to problems
in suburban municipal districts. In each of the eight countywide divisions, the chief
deputy clerks reported to an associate clerk in charge of a bureau. Also, the chief deputy
clerks in the traffic, civil, and misdemeanor criminal sections of the first municipal
district reported to an associate clerk in charge of a bureau. In suburban district offices,
chief deputy clerks reported to three or four associate clerks from multiple bureaus.
In suburban offices, the multiple lines of authority led to problems in implementing
policies and procedures. On many occasions, directives from the bureaus contradicted
each other and lead to inefficiencies in service delivery. The chief deputy clerks in each
suburban district office were responsible for implementing these policies but did not have
the authority to accomplish the tasks. Representatives from the judiciary report that they
received conflicting information from the Clerk’s Office and were unable to identify the
source of policies and procedures because the lines of authority between the associate
clerks of “line” bureaus and suburban chief deputy clerks were confusing.
In April 2001, the Clerk’s Office established the Bureau of Suburban Operations to
establish clear lines of authority and responsibility for suburban Clerk’s Offices. The
chief deputy clerks in suburban offices now report to the Associate Clerk for Suburban
Operations. The Bureau of Suburban Operations will set policies and procedures for all
suburban district offices.
Recommendation
The Clerk’s Office should continue to implement structural changes in suburban districts.
The Associate Clerk for Suburban Operations should work with suburban chief deputy
clerks and other associate clerks to identify and rectify any remaining structural concerns,
including communications with the Executive Office.
42
THE HONORABLE
DOROTHY BROWN
OF COOK COUNTY
INTEGRATED JUSTICE SUBCOMMITTEE
Steve Prisoc, Chair Illinois Criminal Justice Information
Authority
Catherine M. Adduci UNISYS Corporation
Curtis DeClue UNISYS Corporation
Nina J. Fain McBride, Baker & Coles
Mark S. Marsh MSMNet
Hon. Patrick E. McGann Circuit Court of Cook County
Mary Mithen Office of the Chief Judge, Circuit Court of
Cook County
John Walsworth Chicago Systems Group
43
INTEGRATED JUSTICE
I.
INTRODUCTION
Since its formation in January 2001, the Transition and Strategic Planning Subcommittee
on Integrated Justice Information Systems set out to evaluate whether integrated justice
was the proper solution to the manual entry data problems that have plagued the Clerk’s
Office.
The Subcommittee conducted interviews with seven employees from the Management
Information Systems Department to gather information on current internal and external
data sharing procedures. The Subcommittee also conducted a significant amount of
external research on “best practices” in the area of integrated justice systems. The
Subcommittee proceeded with fact-finding in two ways: 1) interviews with staff in the
Clerk’s Office who are familiar with integrated information systems; and 2) mapping data
exchange points.
The report that follows details the research, findings, and recommendations with respect
to the automation of the Clerk’s Office and its criminal justice information. Moreover, it
is through the subcommittee’s months of research and assessment of the Office that the
case can be made for integrated justice as the superior solution towards a more safe and
effective judicial entity.
II.
INTEGRATION DEFINED
Recently, justice systems integration has been much discussed in Illinois, and the nation,
but many decision and policy makers have not experienced systems integration directly
and are unfamiliar with the range and variety of integration initiatives across the country.
Most who are new to the concept of integrated justice assume that it is an expensive
standard service or product that can be purchased from a vendor. In actuality, since each
situation requiring integration is different, there is no established product or service that
can be purchased or even adapted for new projects due to the extreme differences and
needs of each jurisdiction considering integration. Some jurisdictions have very little
investment in automation and others have large, mature systems that have been in place
for some time, while many are a mix of new and old systems. These various situations
will require very different approaches to integration. Basically, integration is the sharing
of information between the various entities charged with administering criminal justice in
a municipality, county, state, or region. Most jurisdictions are integrated to some degree
since data sharing is an essential part of conducting the business of justice, but most
could do better if their approach to integration was systematic and based on emerging
best-practices for systems integration.
Perhaps more important than a definition of integration is a declaration of what
integration is not. Integration is not a shared state criminal history system, a shared court
docketing system, or a shared mobile data system for law enforcement. While these
45
systems share information, they do not integrate information from various sources and
they do not eliminate redundant efforts like data entry duplication.
Most justice-related information systems were originally designed to be completely
autonomous and not to share information with other justice systems. When information
travels from one agency to another, as it must for the justice enterprise to function, most
agency systems require that every piece of information be re-entered from one system to
another—frequently from computer printouts generated by the upstream system
supplying the information. The unnecessary costs associated with doing business in this
manner are very high and can be completely eliminated if the involved systems are linked
in ways that can eliminate redundant re-keying of data from one system to another.
III.
THE CASE FOR INTEGRATION
If such a straightforward step as linking systems can save so much then why does the
justice enterprise still maintain its silo approach to systems and system building? The
simple answer is that the barriers to integration of older systems are formidable. Not only
are complex systems designed in isolation difficult to enable for communication with
other systems, many justice agencies are justifiably concerned about losing autonomy and
possibly compromising the security of their data. In order to encourage agencies to begin
a rational process of integration, a solid business case must be made that documents the
extreme waste of resources and the severely compromised data quality that results from
continuing to operate systems in isolation.
There are four major benefits to integrating criminal justice information systems:
•
•
•
•
1.
improve public safety by providing judges, prosecutors, and law enforcement
officers with accurate and complete information about criminal histories;
protect the civil liberties and privacy of defendants;
improve the efficiency of operations; and
advance record keeping, reporting, and analysis.
Public Safety
The consequences of inaccurate information—while hard to measure—are far reaching
and pose real dangers to police officers and citizens. These include:
•
•
•
46
Conditions of bond and/or sentencing may not be available to law enforcement so
police lack crucial information when dealing with offenders and suspects.
Orders of Protection are not consistently posted to the state central repository, and
when entered they are frequently inaccurate.
Criminal history information—particularly information related to the disposition of
criminal cases—is unavailable to police officers thus leading to inappropriate arrest
and release decisions and even possible endangerment of the officer.
•
•
•
•
•
•
2.
Witnesses and victims are frequently inconvenienced due to incomplete court
calendar information. The outcome of court cases can be adversely affected by these
errors if witnesses and victims fail to appear for needed testimony.
Information available to intake officers at the Illinois Department of Corrections is
frequently anecdotal and often available only from the offenders themselves due to
lack of information from police and prosecution agencies.
Because of felony dispositions missing from the state central repository, felons may
be able to illegally purchase guns from licensed gun dealers who perform background
checks that return incomplete or inaccurate information.
Positive offender identification may become unnecessarily slow or even impossible.
This could result in inappropriate release of offenders from custody by judges or
police.
Inaccurate or outdated warrant information may lead to citizens being repeatedly
arrested for crimes they did not commit.
Inaccurate data entry may lead to crimes not committed being posted in error to an
individual’s rap sheet.
Protecting Civil Liberties and Privacy
Under an integrated system, all justice agencies can have access to the same data at the
same time. If for instance a person had a record expunged from the court, the records of
all other agencies in the process, including police departments, prosecutors and
corrections will be updated simultaneously. All of the agencies will have the same facts
about the person. Also, if an arrest warrant is quashed and recalled by a judge, the records
of all police departments would be updated simultaneously and prevent unnecessary
arrests based on out-of-date information. If the information is updated in real-time, it is
less likely that a police officer will arrest a citizen based on old, out-of-date information
about the status of the warrant.
3.
Improved Efficiency
One of the immediate benefits of integration between justice agencies is elimination of
duplication of labor. Such duplication occurs when data from one agency is transferred to
another agency on paper and then reentered into the receiving agency’s computer system.
This reentry introduces severe data quality problems. One of the most persistent problems in
the criminal justice realm is inaccurate transcription of fingerprint-indexed defendant tracking
numbers that are used to post arrests and dispositions to state and federal criminal history
depositories. Without an exact match through these numbers, dispositions and other vital
criminal history information cannot be posted to a central repository.
At present, the Clerk of the Circuit Court enters information on each felony court event in the
Clerk’s Office case tracking/docketing system. Other county agencies—State’s Attorney, the
Public Defender, Social Services and Adult Probation—also enter the same data into their
own systems, either complete court event information or subsets comprised of information
that applies only to their clients. The State’s Attorney prosecutes all Cook County felony
cases with the exception of a very small amount of cases prosecuted by the Illinois Attorney
47
General’s Office, but enters docket information for all felony cases. Both the State’s Attorney
and the Clerk enter information from the same paper source documents. If their systems were
minimally integrated, need for redundant data entry on the part of the State’s Attorney and
other justice agencies would be eliminated. Unlike some other court-related agencies, both the
State’s Attorney and the Clerk of the Circuit Court are statutorily required to generate
documents that require maintenance of a complete felony docket, either manual or automated.
Both agencies abandoned their manual docket books years ago.
A court clerk is assigned to each felony trial courtroom to assist the judge in recording
court events. Until recently, either the judge or the clerk wrote each event on the official
court sheet, which then served as a data entry source document. Through a simple
reengineering process, the court clerk assigned to the particular felony courtroom began
to enter the court events directly into the Clerk’s Office case tracking/docketing system
from the courtroom and mostly eliminated the need for felony data entry outside the
courtroom. However, at present, the data entered by the clerk in the courtroom is not
actually written to the production database until an overnight batch process is run. The
next logical step in the reengineering process would be to have this clerk-entered data
transmitted immediately to other agencies like the State’s Attorney’s Office, Adult
Probation and other agencies that must now re-key this same court docket information.
This step alone could save Cook County hundreds of thousands of dollars in data entry
costs every year.
4.
Record Keeping, Reporting, and Analysis
Record keeping remains a crucial function of the Clerk’s Office. When the record
keeping process breaks down, judges and prosecutors are unable to make informed case
decisions. For example, unless all dispositions and arrests are available to decisionmakers such as bond court judges, defendants may appear to have significantly less
official criminal activity on paper than they actually have. In some instances, a convicted
felon may even appear to have no criminal past at all. Most judges are well aware of
these deficiencies. Consequently, they are forced to rely on intuition, rather than hard
data, to determine whether a defendant is likely to flee prosecution. In a more integrated
environment, criminal history information is more complete and is not dependent upon
disparate sources for presentation at bond hearings.
Integration also provides superior ad hoc reporting capabilities that are more user-driven
as opposed to less flexible standardized reporting. This can ease the burden of
organization-wide information dissemination.
Similarly, data analysis can provide
decision-makers with the statistical tools necessary for complying with anticipated state
and/or federal data requirements, trend analysis, and data warehousing.
48
IV.
INFORMATION SYSTEMS
1.
The Clerk’s Office’s criminal information system is partially integrated with
other criminal justice agencies in Chicago, suburban Cook County, and the state of
Illinois.
Finding
The information exchange points between the Clerk’s Office and other criminal justice
agencies are characterized by a mixture of manual and automated processes.
Furthermore, the automated processes are either real-time or overnight batch delivery
systems.
a. Chicago Police Department
The Chicago Police Department sends two types of records to the Clerk’s Office for
individuals under arrest: 1) an electronic record of names, addresses, charges, arrest
dates, central booking numbers, and personal identifying information; and 2) a manual
transmittal sheet with the names, charges, and central booking numbers. The Clerk’s
Office enters the central booking number into the computer to pull up the transmitted
record. If information on the transmittal sheet matches the electronic record, then the
Clerk’s Office will populate data fields on its computer system with the Chicago Police
Department’s electronic record.
b. Suburban Cook County Police Departments
Suburban Cook County police departments submit manual arrest cards to the Clerk’s
Office for purposes of reporting arrests. However, the Cook County WAN (wide-area
network) and the Sheriff’s CABS system (Criminal Apprehension Booking System) will
soon become fully operational, which will replace manual with electronic transmissions
for most suburban law enforcement agencies.
c. Cook County Sheriff’s Office
The Sheriff’s Office has installed electronic booking and fingerprint devices known as
“Livescan” throughout suburban Cook County. Upon complete connection to the County
WAN, livescan can transmit records of arrests to the State’s Attorney, Clerk’s Office, and
state criminal history repository.
d. State’s Attorney’s Office
The State’s Attorney’s Office transmits felony case filings electronically to the Clerk’s
Office.
e. Illinois State Police
From Monday to Friday, the Clerk’s Office reports dispositions on-line to the Illinois
State Police in daily batches.
f. Cook County Jail and Illinois Department of Corrections
Judicial orders affecting a defendant’s custodial status are transmitted annually by the
Clerk’s Office to the Cook County Jail and Illinois Department of Corrections.
Information about arrest warrants and mittimus papers are sent in paper form from the
49
Clerk’s Office to custodial agencies. Both documents are signed in the courtroom and
delivered to the Sheriff’s Office by the end of business hours. Integrating the Clerk’s
Office information system with the Sheriff’s Office can reduce the amount of time
elapsing between issuance and entry.
Recommendation
The criminal justice agencies in Cook County should continue to develop an integrated
criminal justice information system that permits real-time updates and access. In the case
of warrants, real time database updates would permit law enforcement agencies to
quickly apprehend the individual, thereby protecting public safety. In the case of
mittimus papers, which are judicial orders remanding a person to custody, real time
updates would enable the Cook County Jail to prepare more efficiently for their nightly
headcount.
2.
The primary deficiency in Cook County that impacts its ability to accurately
deliver timely and complete arrest and disposition information to the Illinois State
Police is the inability of its justice information systems to robustly share electronic
data across agency boundaries.
Finding
At present, batch information exchanges take place, but data rejected during the
execution of the batch uploads must be manually corrected (if corrected at all). In
addition, the originators of the justice information continue to commit the same errors
over and over again because they never receive corrective feedback.
There is a need for electronic exchange between agencies, which could completely
eliminate the numerous transcription errors associated with manual data entry of cases as
these cases flow from one agency to another. By enabling the electronic exchange of
arrest and disposition data in Cook County, the information making its way to the Illinois
State Police could be virtually error free. This data would then be able to pass Illinois
State Police data quality edits and be immediately posted to the central repository and
appear on the State Sheet (rap sheet).
Recommendation
Technologies are available to bridge the gaps between agencies and eliminate most
redundant data entry. By focusing on eliminating manual data entry at critical exchange
points, the inevitable manual corruption of the data can be eliminated. The elimination of
manual data entry would potentially allow for 86% of the so-called missing Cook County
dispositions to be accepted and posted by the Illinois State Police. This will vastly
improve the timeliness, accuracy and completeness of felony case information in Cook
County, and in Illinois since Cook County is the originator of most of Illinois’ criminal
cases.
The success of bridging manual exchanges is contingent on the enthusiastic cooperation
of the Cook County Sheriff, the Cook County Clerk of the Circuit Court, the Chicago
Police Department, and the Illinois State Police Bureau of Identification. As these
50
governmental entities join together to bridge the manual exchange points between the
Sheriff, the Clerk and the Police, the result will be a dramatic improvement in the rate of
posted felony arrests and dispositions in Illinois. In preparation for a move toward this
technology, key decision-makers in Cook County have been consulted and have endorsed
this change.
Cook County now has a sufficient level of automation to benefit from this approach to
bridging manual exchange points. By using a common methodology to implement “real
time” data exchanges, huge increases in the rate of disposition posting to the central
repository can be accomplished. While there are other systems integration possibilities in
Cook County, none approach this exchange point methodology in terms of the potential
to improve the accuracy, timeliness, and completeness of criminal justice data in Illinois.
By focusing only on the exchange points, systems integration costs and scope can be
limited. Also, the timeframe for producing a significant, measurable outcome will be
shortened.
Cook County should initiate an exchange points project and move quickly to eliminate
the current gaps in arrest and disposition reporting. Based on recent audit information on
the posting of felony dispositions in Cook County, the current rate of posting is 48
percent, and Cook County is responsible for up to 80 percent of all Illinois felony
dispositions. Upon completion of this initiative, significant gains will be made in making
timely accurate and complete information available to police, judges and criminal justice
decision makers. This project will dramatically improve the arrest and disposition
posting in Cook County and Illinois, and will positively impact the administration of
justice due to dramatic improvements in the quality and timeliness of essential justicerelated information.
3.
To create a truly integrated criminal justice information system requires the
support of all major stakeholders in Cook County and the State of Illinois.
Finding
For criminal history records to become accurate and complete, the major criminal justice
agencies in Cook County, including the Clerk's Office, must work in concert to build an
integrated information system. However, there is no formal body in Cook County
dedicated solely to the task of integrating justice information systems to improve
disposition reporting.
Recommendation
The Clerk’s Office and other executive agencies must create a governance structure for
an integrated justice information systems program that will include stakeholder agencies
in Cook County. This body should direct the many cross-agency activities that must be
conducted as part of the integration process. Cook County needs a body that will
represent all county justice entities to govern the administration of justice information
systems in the county.
This body should oversee all justice-related information
technology initiatives with the express goal of ensuring that all efforts contribute to
improvement in the overall justice enterprise. The body should work to increase support
and funding to those projects that will make information easy to share or will serve the
51
information technology of more than just a single agency. The body should also function
as a monitor of information technology development projects managed by only one
agency but which, when implemented, will serve many IT agencies.
There should be a plan to work with other criminal justice agencies to initiate a complete
needs assessment of the justice systems environment. Results of the study should be used
to develop a comprehensive strategic plan for integrating the entire Cook County justice
information system. There are multiple projects that can be implemented to fully
integrate the justice information system. A comprehensive assessment should assess the
status of: 1) laws and policies which define official court records, whether manual or
electronic; 2) records privacy; 3) technical and procedural safeguards in the computing
environment; and 4) training needs for information systems staff in county agencies.
4.
Problems with data formats continue to plague the information exchange
network.
Finding
The electronic reporting system continues to have problems with data sharing. In 1999,
an audit of Cook County’s criminal history reporting system found that missing arrests,
unrecognized statute citations, and tracking number errors prevented dispositions from
being added to criminal history records.5 The Clerk’s Office reports that many disposition
submissions continue to be rejected by the state repository. Consequently, critical
information about the status of a defendant is not being added to his or her “rap sheet.”
Recommendation
There should be a plan to work with other state and local justice agencies to implement
an annual audit of data submissions to the state repository for criminal history records.
The majority of arrests and court dispositions reported to the state repository originate in
Cook County. Due to the size of the County, any problems with data submissions will
have a disproportionate effect on the quality of state criminal history records. An annual
audit of Cook County submissions should be implemented to help state and local decision
makers identify problems and develop solutions for ensuring timely, accurate, and
complete criminal history records.
5.
For every integrated information system, data access and security are major
issues that need to be addressed up front.
Finding
There is no formal, written plan to address the data privacy and security issues
surrounding electronic sharing of data in Cook County.
Recommendation
There should be a plan to work with other agencies to ensure effective data security and
quality controls are built into the integrated justice network. As the official court record
5
Criminal History Records Audit: Disposition Reporting in Cook County, Illinois Criminal Justice
Information Authority, September 1999.
52
keeper, the Clerk’s Office should work with all agencies to provide assurance that audit
controls are adequate for preventing unauthorized modification, theft, or destruction of
data.
The need for effective controls is paramount to ensure that court information is accurate,
complete, and consistently processed. In a network-computing environment, the risk of
breaches to data security is greater than in a centralized processing system. However, the
risks are usually concentrated on one application instead of the entire system. With
adequate controls and audit techniques, system administrators can detect and remedy
problems as soon as they are discovered for all applications.
Controls can be either procedure-oriented for executive staff and system administrators to
follow, or they can be data-oriented for systems analyst and programmers to implement
for specific applications. Controls should be instituted for information that enters the
system, is processed, and leaves the system as output.
53
THE HONORABLE
DOROTHY BROWN
OF COOK COUNTY
PUBLIC POLICY SUBCOMMITTEE
Sylvia Puente, Chair
Thomas A. Zimmerman, Jr., Co-Chair
Ellen A. Meyers, Co-Chair
Patrice M. Ball-Reed
David Fagus
Mike Fitzgerald
Rick Garcia
Mattie Hunter
Alan J. Levin
Institute of Latino Studies
Stern, Holstein, Zimmerman & Hanson, PC
Office of the Illinois Secretary of State
Office of the Cook County State’s Attorney
Cook County Hospital
Mt. Carmel Foundation
Equality Illinois
Mattie Hunter & Associates, Inc.
Friends of Dorothy Brown
55
PUBLIC POLICY
I.
INTRODUCTION
Over the past several months, the Public Policy Subcommittee has pooled its collective
expertise to conduct research (including a survey—see Appendix 2), hold employee
interviews, and complete roundtable discussions in an effort to examine the public policy
needs of the Clerk’s Office. In addition, the Public Policy Subcommittee conducted
interviews with the associate clerks and/or representatives of the various departments
within the Clerk’s Office. These interviews provided insights and information on three
primary functions—(1) public policy coordination in the Clerk’s Office, (2) technology
and records management, and (3) personnel matters.
The Clerk identified individuals with considerable public policy experience to sit on the
Public Policy Subcommittee. The Subcommittee comprised nine community
representatives and professionals chosen for their experience and expertise on public
policy matters. Together the members of the Public Policy Subcommittee pooled their
knowledge of intergovernmental affairs and legislative processes to conduct an analysis
of the role that public policy plays in the Clerk’s Office. This analysis led to a number of
findings and recommendations discussed below.
Moreover, the findings and recommendations detailed below represent information on
information systems, customer service, and employee training and development, as well
as how these three primary job functions are facilitated in the Clerk’s Office.
II.
INFORMATION SYSTEMS
1.
The policies and procedures for filing cases and managing records in the
Circuit Court have not kept up with new digital technology. Consequently, the
Clerk’s Office has not been able to take full advantage of electronic filing, storage,
and retrieval processes.
Finding
The use of electronic media will help to improve customer service. However, the key
issues include:
• what is the current status of e-signatures;
• what are the protocols for allowing attorneys and judges to conduct court business
with the Clerk’s Office by e-filing; and
• how can the Clerk’s Office certify electronic court records?
Recommendation
There should be a joint committee of the judiciary, Clerk’s Office, and other justice
agencies to devise a plan for adopting electronic record keeping standards and protocols.
57
2.
The Clerk’s Office may not be able to meet statutory mandates for reporting
criminal dispositions because the data requirements set by the courts for filing a
case differ from the data requirements set by the state central repository for
reporting dispositions.
Finding
The Illinois State Police is the central repository of criminal records for the State of
Illinois. However, they do not always maintain a complete and accurate case history of
criminal offenses. The problem is that the reporting agency is not always able to provide
all the information being required by the Illinois State Police. For example, in order to
file a court case, the Clerk’s Office only needs a name and an address. Meanwhile, the
Illinois State Police needs additional information (i.e., birthday) in order to post a case.
If the Clerk’s Office’s report does not contain the additional information, then the Illinois
State Police will not post the case. Moreover, there is no legal mandate authorizing the
Clerk’s Office to collect this additional information. In the final analysis, the judiciary
could be placed in a position where they have to decide the fate of a case without the
benefit of working with a complete and accurate criminal history.
Recommendation
The Clerk’s Office should create a task force to review all legislation that the Clerk is
charged with to determine if it is possible to streamline and consolidate reporting
requirements. The goals of the task force would be to:
•
•
•
•
•
58
review all statutes impacting the Clerk’s Office to determine if any of these
statutes should be “sunset,” revised to minimize the need for different reporting
systems, and/or consolidated into fewer reports and/or statutes;
reach an agreement with key legislative stakeholders to ensure that the Clerk’s
Office is able to obtain the data that is needed to file a report. Meanwhile, state
agencies should not require the Clerk’s Office to be responsible for reporting data
that it is not legally mandated to be collected in order to file a case;
the alternative is for the Clerk’s Office to develop an internal reporting system
checklist to ensure that the basic information that is needed to file a case is
balanced against the information that is needed to post a case;
create a policy that requires the responding officer to write traffic violations twice
(state and municipal codes), which will make it easier to do automated reporting
to the Secretary of State’s Office; and
create a conversion table that contains municipal numbers, as well as state offense
numbers, to assist municipalities that prepare reports manually.
III.
CUSTOMER SERVICE
1.
As a minister of the court responsible for maintaining official records, the
Clerk’s Office can raise awareness about all issues in record keeping. The Clerk’s
Office can address other issues that rise to the level of public policy as long as the
Office maintains neutrality on all cases that are filed in the Circuit Court of Cook
County.
Finding
The Clerk’s Office must remain neutral in terms of the outcome of any case filed in the Circuit
Court. However, the Clerk’s Office has proximate knowledge of domestic violence, child
support, housing, traffic, labor, and other issues that arise from the day-to-day administration
of justice. Consequently, the Clerk’s Office can provide valuable insights on the strengths and
limitations of public policies that rely on the justice system to address issues. However, the
role remains undefined and underutilized.
Recommendation
To address the common good, the Clerk’s Office should work with other government
agencies, legislative stakeholders, and community groups to determine what research and
policy issues that are important to various constituent groups. The Clerk’s Office should
then work with other government agencies on the issues.
IV.
1.
Under the Family Medical Leave Act (FMLA), employees are eligible to take
time to care for a sick family member. The Clerk’s Office has had problems
coordinating and adjusting FMLA requests with other requests for time off.
Furthermore, in some instances, the amount of time off permitted under law may not be
sufficient to cover the employee’s needs.
Finding
The problems with implementing FMLA are threefold:
•
•
•
requests for days off under FMLA are not coordinated with other requests, such as
disability leave, vacations, and sick days;
the increments of time that are being approved under FMLA affects the ability of
managers to adequately plan coverage for court operations; and
attendance policy tends to contradict the FMLA policy. For example, employees
were unable to report for work before the end of the grace period ended up
requesting FMLA in order to avoid getting a point. The present system is
resulting in a morale issue.
In extraordinary cases, employees who are subject to catastrophic illnesses or treatment
regimes may quickly exhaust their leave time. When this occurs, employees may be
subject to the Clerk’s Office progressive discipline system for non-attendance. The
59
concern is that employees suffering from major illnesses are caught in a bind between the
need to spend time on their health and the need of the work place for their services.
Recommendation
a. Training on FMLA
The Clerk’s Office should provide training to all employees on eligibility requirements
for FMLA and other programs. The Clerk’s Office should work with the County Human
Resources Department to develop a verification procedure for claims under FMLA,
conduct more investigations to verify employee FMLA claims, and ensure that all
employees are aware of the eligibility requirements.
b. Training
The Clerk’s Office should develop a comprehensive training and evaluation program for
staff to provide coverage in cases where employees are granted any type of leave.
Among the steps that should be included in the process are:
•
•
•
•
•
working with representatives from the union to discuss the development and
implementation of a comprehensive training program in the Office;
developing career paths/options for staff;
developing a mechanism to track which employees meet the minimum standards
for promotion;
establishing an incentive program to encourage employees to pursue crosstraining opportunities; and
restructuring the point system to prevent employees from accumulating points due
to serious illnesses.
c. Workflow Analysis
The Clerk’s Office should conduct a workflow analysis to determine the range of
knowledge and skills necessary to accomplish the various tasks in the different divisions.
Based on the results of the workflow analysis, the Clerk’s Office should develop
procedures for adjusting coverage when employees are granted leave under FMLA.
Ultimately, the analysis can help to ensure maximum productivity and efficiency in the
various divisions.
V.
OTHER
1.
Thinking about public policy is a relatively new arena for the Clerk’s Office.
There is no inherited formal public policy structure in the Clerk’s Office.
Finding
The following public policy activities of the Clerk’s Office are conducted on an ad hoc
basis:
• monitoring proposed legislation;
• obtaining input regarding proposed legislation from associate clerks;
• coordinating intergovernmental affairs;
60
•
•
•
•
lobbying on issues that impacts the Clerk’s Office;
communicating to advocacy stakeholders and interests groups;
conducting environmental scans to proactively identify issues that impact the
Clerk’s Office; and
defining public policy and how it is implemented within the Clerk’s Office.
Recommendation
The Clerk’s Office should establish a public policy and intergovernmental affairs unit.
Consideration should be given to the unit performing the following duties.
•
•
•
•
•
•
•
•
•
•
attend and monitor all County Board meetings;
monitor the status of all legislation in the Illinois General Assembly that impacts
the Clerk’s Office. Take appropriate action as necessary, e.g.: (1) determine the
Clerk’s position on legislation; (2) consult with the sponsors of the legislation; (3)
determine the cost of the legislation; (4) ensure that the Clerk is in a position to
implement all legislation that is passed;
determine effective communication strategies to maintain relationships with
elected officials, key stakeholders, and advocacy groups;
conduct environmental scans to identify issues impacting the Clerk’s Office;
establish an internal mechanism to articulate the Clerk’s Office position on key
issues;
work with media staff and/or consultants to ensure that the Clerk’s Office has a
public and visible position on key issues;
ensure
coordination
and
communication
among
public
information,
intergovernmental affairs, and public policy areas of the Clerk’s Office;
articulate the underlying values and principles upon which the Clerk’s Office
makes decisions;
determine a process to convene various stakeholders to ensure that the
implications of these issues are addressed by the Office; and
determine the role of the Office in addressing issues facing pro se litigants.
61
THE HONORABLE
DOROTHY BROWN
OF COOK COUNTY
STATE AND LOCAL RELATIONS SUBCOMMITTEE
Robert W. Fioretti, Co-Chair
Robert Lyons, Co-Chair
Barbara L. Bowles
Danny Castillo
Samuel Evans, Jr.
William F. Filan
Nand Kapoor
Law Offices of Fioretti & DesJardins
Office of the Illinois Attorney General
The Kenwood Group
Central States Joint Board, AFL−CIO
I.B.E.W. Local 134
William F. Filan, LTD
Indo-American News
63
STATE AND LOCAL RELATIONS
I.
INTRODUCTION
There are 129 municipalities in the five suburban municipal districts of the Circuit Court
of Cook County. Town officials, such as mayors and police chiefs, work with suburban
Clerk’s Offices to administer justice for municipal ordinance violations and state offenses
that occur in suburban municipalities. With the broadest view of their area, mayors and
police chiefs can provide the best input as to how the Clerk’s Office can assist the
municipalities in the areas of customer service and information systems.
The Subcommittee invited a focus group of suburban mayors and other town officials to
discuss customer service and information needs. Based on the responses, the
Subcommittee devised a questionnaire for distribution to a five-percent sample of
suburban mayors. An equal number of municipalities were selected from each municipal
district to receive and complete the survey (See Appendix 3). The survey included
questions about traffic violations in municipalities, overcrowding in suburban
courthouses, and payment methods for fees and fines.
Based on the number of responses received, the Subcommittee has developed a set of
preliminary findings and recommendations. Further research is recommended to
determine whether the concerns raised by respondents can be generalized to the entire
population of suburban municipalities.
II.
INFORMATION SYSTEMS
1.
The Clerk’s Office has maintained an ongoing relationship with the police
associations in the five suburban municipal districts to address re cord keeping and
other operational issues.
Finding
Every month, associations of police chiefs in each of the five municipal districts meet to
discuss operational and program needs. The chief deputy clerks in each suburban Clerk’s
Office are regular participants in the meetings. Among the issues covered are filing
procedures, criminal history reporting, arrest warrant procedures and other activities that
affect record keeping in the Clerk’s Office.
Recommendation
The Clerk’s Office should continue to participate in the meeting with police chiefs. The
meetings should involve a discussion of records management, integration of information
systems, and employee training issues.
65
2.
Currently, some suburban municipalities are using multiple ticket books for
issuing traffic violations. There is no integrated, unified system in place to
accommodate the various ticket transactions for the county.
Finding
A police department in the second municipal district uses five different ticket books for
citing traffic and ordinance violations. A police department in the third municipal district
uses three different ticket books for citing violations. While the use of these different
ticket books proves to be a systematic way of citing violations, using a single uniform
format would definitely eliminate confusion. All of the officials from the districts agreed
that it would be helpful to create a uniform ticket system that could be integrated
throughout the entire county.
Recommendation
A uniform ticket system would eliminate the need for police officers in the suburban
districts to use multiple ticket books. The Clerk’s Office should help facilitate the design
of a uniform ticket system in suburban Cook County.
3.
The mayors and other town officials agreed that an integrated, wireless
computerized system of issuing tickets would prove to be a very effective and
efficient way of filing and tracking traffic and ordinance violations.
Finding
Several police departments are currently using hand-held wands for issuing tickets. But
the information is not instantly processed into the Clerk’s Office’s information system.
Wireless technology could prove to be efficient by allowing information to instantly
appear in court dockets. Furthermore, automated records of traffic and local ordinance
violations in neighboring communities within Cook County are not available to suburban
municipalities because information systems are not integrated.
Recommendation
A data-sharing information system and wireless technology should be considered to make
it easier for the Clerk’s Office to have access to all traffic and ordinance violations for the
five municipal districts. In addition, the suburban municipalities should have access to the
Clerk’s Office electronic docket featuring information about local ordinance violators.
This would be a read-only feature that could provide the municipalities with information
about traffic and local ordinance offenders in other suburban areas of Cook County.
III.
CUSTOMER SERVICE
1.
Town officials agreed that the acceptance of credit cards when paying fees
and fines would prove to be very useful for the different municipalities.
Finding
Paying fines and fees by credit card would be very effective. Implementing this feature
would require the fees and fines to be increased. The town officials noted that a small
66
increase in the amount of the ticket would be appropriate in covering the processing costs
of using credit cards.
Recommendation
There should be a plan implemented that allows customers to pay fees and fines by credit
card.
2.
Overcrowding is common in the suburban courthouses. Town officials
agreed that administrative hearings for petty/municipal offenses could possibly
reduce the number of overcrowding occurrences.
Finding
Some municipalities have already established an adjudication court which has reduced
court overcrowding. But administrative hearings in all the municipal districts could prove
to be effective in reducing the number of court appearances.
Recommendation
There should be a plan to help facilitate the development of administrative hearings at the
municipal level to help reduce overcrowding at the courthouses. The Clerk’s Office can
provide the guidance needed for the development of administrative hearings for traffic
and local ordinance violations in the suburban districts.
In addition, a study should be commissioned to determine the extent of overcrowding in
the courthouses. Petty/municipal offenses can qualify for an administrative hearing, but
the study should focus on other cases/offenses that could eliminate a visit to a courtroom.
As its focus, the study should concentrate on those offenses for which a court appearance
can be eliminated. It has already been determined that petty/municipal offenses can
qualify for diversion to an administrative hearing process.
IV.
There were no findings and recommendations in this area.
67
THE HONORABLE
DOROTHY BROWN
OF COOK COUNTY
MAJOR BUREAUS SUBCOMMITTEES
CIVIL BUREAU
COUNTY BUREAU
CRIMINAL BUREAU
FAMILY LAW BUREAU
SUBURBAN DISTRICTS BUREAU
TRAFFIC BUREAU
69
THE HONORABLE
DOROTHY BROWN
OF COOK COUNTY
CIVIL BUREAU SUBCOMMITTEE
Ellen E. Douglass, Chair
Graham C. Grady, Co-Chair
Joel A. Brodsky, Co-Chair
Lorena Aranda
Angela J. Crawford
Eileen M. Letts
Almon C. Massey Jr.
Mary Melchor
Ben Oluwole
James M. Reilly
Greg Sztatman
Law Offices of Ellen E. Douglass
Mayer, Brown & Platt
Law Offices of Joel A. Brodsky
Kirkland & Ellis
Greene & Letts
Quality Maintenance Janitorial Supplies,
Inc.
Law Offices of Mary Melchor
Benol Management & Development Co.
City of Chicago Department of
Administrative Hearings
LaSalle Bank
71
CIVIL BUREAU
I.
INTRODUCTION
Of all the job descriptions of the Clerk of the Circuit Court, the one of "record keeper" is
most accurate. The accurate recording of information, and the ability to provide the
information to judges, lawyers, and the public, in an efficient manner, without distortion,
is, and should be, the Clerk’s primary job function. In order to provide this service,
especially with the astounding amount of records produced in the Circuit Court of Cook
County, it is essential that the Office of the Clerk of the Circuit Court (the “Office”)
utilize advanced technology. It is equally important that the Office employs effective and
efficient employees who are amply supported and properly trained.
The Civil Bureau (the "Bureau") includes the Law Division and the Civil Division in the
First Municipal District, which includes Housing Court and the Pro Se Division6 . The
Law Division hears cases in which the amount of the claim is in excess of $30,000 for
those disputes arising in the City of Chicago and $100,000 for those arising in suburban
Cook County. These cases include personal injury, property damage and contract
disputes. Approximately 19,000 cases were filed in the Law Division in the year 2000.
The Civil Division in the First Municipal District is responsible for handling civil cases
not in excess of $30,000 where either the defendant or the occurrence is within the City
of Chicago. The types of cases that are heard raise issues relating to contract disputes,
property damage, personal injury, eviction, replevin, attachments and garnishments. In
excess of 210,000 cases were filed in the Bureau in the year 2000. Of that total, the
majority of cases, approximately 170,000, were filed in the First District.
The majority of cases filed in Housing Court is brought for violations of the Chicago
Building Code and, among other things, involves health, fire and zoning issues. It is
regarded as a department within the First Municipal Division. Currently 18 employees
are assigned to the Housing Court department.
The Pro Se Civil Division involves cases in which the damages sought do not exceed
$1,500. Plaintiffs who file cases in this division typically act as their own counsel.
6
The Civil Departments in each of the five Suburban Municipal Districts are responsible for handling civil
cases not in excess of $100,000 in cases where either the defendant lives in or the incident occurred within
that District.
73
II.
INFORMATION SYSTEMS AND OPERATIONS
A.
Law Division
1.
The computer system was programmed using the COBOL programming
language. This language is now antiquated and leads to inefficient results.
Finding
Because of the use of this language, any new request for data, or any new process or
procedure, requires a new program to be written from scratch. For example, if a judge
wanted to see how many of the cases on his call were dismissed within a certain sixmonth period, a new program would have to be written for this simple request.
Recommendation
The Clerk’s Office should use more recent programs, such as Java Script or C++, to write
source code for new programs.
2.
It appears that there has been no prior attempt to assist judges in
standardizing the form orders used in the various courtrooms. Judges create their
own form orders, and since the Clerk’s Office has not attempted to coordinate
standardization of the forms, the categories in the form orders do not always
correspond with each other. This has caused data entry to be difficult, inefficient,
and sometimes inaccurate.
Finding
The current system has no infrastructure to assist judges with the standardization of form
orders. The lack of standardization makes recording of data difficult, inefficient and can
lead to inaccuracies.
Recommendation
There should be better interaction with the judiciary to help with the standardization of
forms and procedures. This would again make the clerk’s job more accurate, efficient and
easier. Further, one management level employee should be designated as the methods and
procedures person, whose job it would be to coordinate and standardize the practices in
the various courtrooms of the Law Division.
3.
Law Division cases can be initiated in suburban district offices as well as the
First Municipal District office in the Richard J. Daley Center. However, the process
relies heavily on manual transmission of information from suburban offices to the
Daley Center.
Finding
The Clerk’s Office accepts filings in suburban district offices for cases in the Civil
Bureau Law Division. However, the cash registers in suburban districts are not linked in a
network to registers in the Law Division. Consequently, Clerk’s Office staff manually
74
transmits the filings via fax or interoffice mail. Furthermore, the suburban offices cannot
use the computer to automatically assign a Law Division case number to these cases
when they are filed in suburban offices.
Recommendation
The Clerk’s Office should develop a network that will permit automated processing of
Law Division cases throughout the five suburban district locations.
4.
The use of mainframe -based computer terminals is antiquated.
Finding
Most of the terminals in use are IBM 3270 green screen “dumb” terminals. The vintage
1980s computing environment is inefficient, slow, and limited.
Recommendation
The need for a switch to a Windows or other PC based language is obvious. The
commercially available database software programs for PC based systems will allow
operators to access information needed by judges and managers without the requirement
of the writing of a new program. Also, this will reduce the need to constantly use
programmers for minor information needs. All that will be needed is the point and click
of a mouse.
To accomplish this goal, a Digital Subscriber Line (DSL) will need to be installed to
serve the clerks and judges, along with access to the Internet for the judges and clerks.
They have not been available in the Law Division. Information access and sharing via
the Internet, and access to the Internet, is the wave of the future and must be available to
Clerk of the Circuit Court employees.
5.
The current cash registers are over 11 years old, and are in need of
replacement.
Finding
The cash registers in the Daley Center, which were purchased over 11 years ago, do not
accept credit cards, nor have the ability to network with other systems. They run on
dedicated software, which more than likely will not be compatible with any new or
updated bookkeeping software.
Recommendation
New cash registers that work on a PC based operating system are needed. The cash
registers should be compatible with other computer systems in use in the Clerk’s Office
presently and should be upgradeable. Also, the registers should be compatible with the
accounting software and systems in use by the Office, to increase speed and accuracy in
transferring data directly from the registers to the accounting system on a real time basis.
Further, the cash register system should be capable of being networked with registers for
the Law Division based in the suburban districts. Finally, the registers should be capable
of accepting credit cards, debit cards, and other electronic payments.
75
6.
The wiring for cash registers needs to be replaced and upgraded.
Finding
Some of the cash register wires are not mounted under the counter in the Law Division.
The wires are lying on the floor and could lead to an accident. Furthermore, the current
infrastructure at the Daley Center will not support fiber cable that is needed for digital
imaging of documents, large data transfers, and Internet access in the future. Digital
imaging, data transfers, and Internet access are the unavoidable future in information
storage and processing, so this issue must be addressed.
Recommendations
The current physical infrastructure is not in good condition and should be addressed.
Wiring in the entire Law Division needs to be retooled because plain copper and
telephone lines are not sufficient for handling data transmissions in a timely manner.
Among the options to consider are fiber optical cable or the various Digital Subscriber
Line (DSL) technologies now available.
B.
First Municipal District
1.
The Clerk’s Office has a process in place to collect, verify, and audit
information in the First Municipal District that appears to be cumbersome and
requires more automation.
Finding
Information is collected from at least two primary sources, the public and the courtroom.
Information is constantly being fed to the Clerk’s Office from the public, either through
the mail or in person. The Clerk’s Office is also fed information from the 35 courtrooms
that are found within the Daley Center. For example, in the year 2000, in excess of 1.4
million court hearings and/or continuances occurred, resulting in over 4 million data
entries by Clerk employees.
Two records are kept of all documents that are filed with the Clerk’s Office, that being a
paper record and a computer record. All information that is collected (documents or
court orders) is entered into the computer and is put into a court file. That information
receives a 4-digit code for data entry. Court orders and summonses are microfilmed and
the microfilm number is entered into the computer.
All information that is entered into the computer is verified for accuracy. It appears that
a detailed system of checks and balances is in place that utilizes a divisional audit team.
In addition, there is an independent auditor who randomly spot checks data entries for
accuracy.
All of the cases that are heard on any particular day are enumerated on a court sheet.
Once the case is resolved for that date, the disposition of the same is handwritten on the
court sheet by the judge. The order itself has to be compared to the court sheet to
confirm its accuracy. The information on the court sheet must mirror the information that
76
is written on the file’s "half sheet." The orders are then microfilmed, and then the data
entry staff enters the information into the system.
This entire process appears to be cumbersome and requires more automation.
Recommendation
The Clerk’s Office should further automate the current system of collecting, maintaining,
and auditing information.
2.
The same piece of information is handled several times before it is entered
into the Clerk’s Office electronic docket. This process is ineffective and can lead to
inaccurate transcription of information at various stages.
Finding
A transaction is entered on the court sheets by judges and on the half sheets by court
clerks. The transaction is then microfilmed and entered into the Clerk’s electronic docket.
However, there is an exception in the Housing Court. The judge signs the half sheet and
the court clerk codes the order and enters it on the court sheet. This process is ineffective
and can lead to inaccurate transcription of information.
Recommendation
There should be a plan devised to reduce the number of times that the same piece of
information is handled. Among the items to review are the use of half sheets and court
sheets for recording case information. Doing away with half sheets would require a
revision to Circuit Court of Cook County General Order No. 6.5 (b) which dictates the
use of half sheets in each case in the Municipal Department. In fact, the rule states that
the half sheet shall constitute part of the official court record in each case in addition to
the court sheet.
3.
Within the First Municipal District there are inconsistencies in the amount of
time that it takes for an order to be entered by a judge and the time that the content
of the judge’s order is available for release to the public.
Finding
For example, in the 11th floor courtrooms, it may take 24 to 48 hours for the information
to be available to the public, while in the forcible courtrooms, it may only take 24 hours.
Some jury courtrooms enter their own data into the system; however that is not the case
on the 11th floor, a high-volume site.
Recommendation
To improve the timeliness of information available to the public, the Clerk’s Office
should enter all data in the courtroom in real-time.
77
4.
For the convenience of the public, the First Municipal District accepts filings
for the five Suburban Districts. However, the Districts are not networked or linked
by computers.
Finding
For example, in order to assign a case number to an initial pleading, a clerk in the First
Municipal District has to stop and physically call a clerk in the relevant suburban district
to receive a case number over the telephone. If a clerk is not readily available, the First
Municipal District clerk and the person making the filing have to wait until a number is
obtained. Further, a seemingly antiquated system exists whereby if a filing is made in the
First District for a Suburban District, a clerk has to physically write in a log what was
filed and when it was filed before forwarding the filing to that particular Suburban
District for processing. If the log was ever misplaced or destroyed, the Clerk’s Office
would not know what was filed at the First District on any given day on behalf of the
suburban districts.
Recommendation
The Clerk’s Office should develop an integrated information system for all civil cases in
the six municipal districts of the Circuit Court.
5.
There may be an insufficient number of staff dedicated to refiling physical
case files.
Finding
A part time night crew is employed by the First Municipal District that has the
responsibility to re-file the physical case files that are removed on a daily basis from the
6th floor file area. These files are either distributed to the courtrooms in the Daley Center
or are reviewed by the public that day on the 6th floor. The night crew concept was started
approximately two years ago. It works the hours of 4 p.m. to 9 p.m. It is now staffed
with only four persons; 10 to 12 persons normally staff it.
Recommendation
The Clerk’s Office should conduct a workflow and workload analysis of the case refiling
process. This will help determine whether more staff is needed to refile cases in a timely
manner.
6.
Within the Bureau, the Law Division and the First Municipal District appear
to have unequal access to resources.
Finding
There is a perception among some attorneys that the Law Division is a more powerful,
important and high priority Division than the First Municipal District, an often-ignored
stepchild. Unfortunately, this perception is fostered by the fact that new technology
advances seem to first come to the Law Division and then perhaps get filtered down to
the First Municipal District. For example, the First Municipal District is waiting for its
employees to receive individual PCs, while the Law Division is well on its way to
78
achieving that goal. The Law Division bar codes its files, a technique that helps track
files. The First Municipal District does not have the technology for bar coding,
something that would be helpful to track the movement of files.
Recommendation
There should be a strategic information technology plan developed for the First
Municipal District. The plan should consider:
•
•
•
•
•
C.
exploration of the viability of the imaging of all court orders and filings;
exploration of the viability of scanning court orders for entry into the computer
system;
a database which links all of the Districts to one system;
providing the First Municipal District access to the Internet; and
the feasibility of bar coding all files.
Housing Court
1.
There are computers throughout the Division, in all of the courtrooms and at the
information desks. However, most of the computers are slow and outdated.
Finding
The current hardware environment consists of an IBM mainframe computer, 3270 dumb
terminals, and personal computers with 3270 emulation capabilities. This technology is
very slow and outdated.
Recommendation
There should be a plan to update the computers throughout the Division so that
information can be quickly entered and retrieved from the existing information system.
2.
The electronic docket codes that are currently utilized are too general and
often misleading.
Finding
In many cases, the electronic docket codes that are used to denote a judicial order can be
vague or too general. Clerks must combine pre-existing codes to fully capture the terms
of some orders. The lack of specific codes for imprecise situations can lead to problems
in recording a complete judicial order.
Recommendation
A more specific and accurate coding system needs to be developed and implemented.
This will alleviate the problems with conflicting or confusing entries on the electronic
docket.
79
III.
CUSTOMER SERVICE
A.
Law Division
1.
The Division needs more furniture to allow customers to review files
comfortably.
Finding
The Division wants customers to have the ability to spend as much time as needed to
review files. To enable this to happen, additional furniture is needed.
Recommendation
The Clerk’s Office should provide more furniture and work space for customers to
review Law Division files.
2.
There is an effort to assist disabled customers and pro se litigants in the Law
Division, but the available terminals are limited.
Finding
Currently, there is one handicapped station with a lower desk terminal. Additionally, in
order to aid a pro se customer, the Clerk’s Office has provided a booklet of available
services. Finally, there is a monthly meeting between the Clerk’s Office and the Presiding
Judge of the Law Division to monitor different projects and identity emerging issues.
Recommendation
There should be a plan to increase the number of public terminals that are made available
to disabled customers.
3.
The Law Division does not have enough staff to handle customer requests at
the counter.
Finding
Staff noted that customers frequently have to wait in a long line at the counter to obtain
information, file a case, or pay a fee.
Recommendation
To reduce the amount of time a customer has to wait in line, the Clerk’s Office should
hire greeters and/or counter staff to expedite requests.
80
B.
1.
Employees should be trained in handling public inquiries concerning legal
advice.
Finding
There may be a perception among the public that employees are not as helpful as they can
be. This may be directly related to the fact that the public may not understand that the
employees cannot give legal advice and cannot fill out their forms. The public generally
does not understand legal procedures and have countless questions. They therefore
become frustrated when they do not receive the answers that they want.
Recommendation
Staff considers communication in this area with the public as one of its biggest
challenges. Staff therefore needs to be specifically trained to accommodate these public
inquires.
2.
Conveniences have been implemented to make the jobs of attorneys and their
support staff easier, but more changes need to be made to make service more
efficient for the general public as well.
Finding
Among the conveniences are: 1) private attorneys are allowed to drop off bulk filings that
may number in the hundreds. They are advised to return in a day or two to obtain their
completed filings, thereby avoiding impossible waits in line. 2) An expanded file review
area now exists on the 6th floor, although care must be taken to make certain that staff of
law firms are not permitted to crowd the area. 3) A greeter booth/information counter has
been set up outside of room 602 to provide assistance to the public. 4) By further
example, one cash register in room 602 has been dedicated to accept all suburban case
filings. This helps eliminate long lines at the registers because suburban filings require
calling the District the case is being filed in. More changes need to be made however, to
make service more efficient for the general public.
Recommendation
The Clerk’s Office should continue to look for opportunities to improve services to
attorneys and their support staff.
3.
There is a need to make hours of operation consistent between the First
Municipal District and Suburban Districts.
Finding
At present there is a difference in the hours of operation of the First Municipal District
and its suburban counterparts. The First Municipal District opens for business at 8:30
AM, whereas suburban offices open at 9:00 AM. This is currently being addressed by a
proposed rule change that would allow the suburban offices to open at 8:30 AM instead
81
of at 9:00 AM. That would assist the public that wants to make suburban filings before
9:00 AM.
Recommendation
The Clerk’s Office should work with the judiciary to make hours of operations consistent
throughout the Circuit Court.
4.
The general public could be better served if they had access to basic instructions
and directions.
Finding
Many customers who come to the Clerk’s Office for the first time are usually not familiar with
the judicial process. They come with questions about how to complete forms, fee amounts,
how to access computer records, and how to retrieve paper files. Furthermore, many
customers speak native languages other than English and require additional service to fully
understand the nature of the judicial process.
Recommendation
There should be a comprehensive customer service plan devised for the First Municipal
District. The plan should consider:
•
•
•
implementation of more bi-lingual signs and informational forms;
updating and simplifying public access to the computer.
Oftentimes the
instructions do not match the actual steps to obtain the information; and
automated phone systems to provide the public with information about filing
procedures, fee costs and matters related to their actual cases.
5.
There are not enough services to aid pro se litigants in dealing with the
judicial system.
Finding
There are very few services offered for pro se litigants. Creating a detailed program will
help pro se litigants understand the judicial system better.
Recommendation
There should be an increase in services under the pro se program. There should be a
“help desk” developed for the pro se program that will provide as much information as
possible to the general public. This will help take the pressure off the regular employees
as well as provide better service to the public at large.
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IV.
A.
Law Division
1.
Staff in the Law Division appears to possess the vision required to bring the
Division into the 21st Century, but the software and the hardware is outdated.
Finding
They are aware of the need for new software, new hardware, and are conversant with the
concepts of networking, data transfers, digital data storage, and other "Digital Age"
thoughts which are essential for management to possess in the information age. They
have done the best, in fact better, than anyone could expect with the outdated software
and hardware now in place.
Recommendation
Currently, employees in the Office support area seem to have an understanding of jobrelated technology, but not other technology such as the Internet. One recommendation,
however, is that at least one terminal be installed to provide certain division managers
with Internet access. This would allow individuals to review web sites of other clerks'
offices and other court-related information.
2.
Employee training and development in the Law Division appears to be on the
right track. However, there is no training and development plan or a concrete plan
for upgrading salaries.
Finding
Regular quality control and quality assurance checks help ensure that employees
understand and perform assigned job functions as expected. The primary areas for
improvement for employee training and development are salary grades and long-term and
periodic training and development.
Recommendation
There does not appear to be much time provided for independent learning opportunities.
Much of the training appears to be specific to the Law Division employees' particular job
function, only. However, employees could be given a specified number of hours each
month, quarter or year to take computer training courses, time management and
interpersonal communication workshops, or word perfect or data processing classes.
This could be a low-cost way to help improve job performance, morale, and skills.
83
3.
Some employees start in the Law Division in a part-time capacity, and then are
hired as full-time employees provided that they satisfactorily complete their job duties.
There is a 90-day probationary period but there is not continuous or periodic training
beyond the initial training.
Finding
Employees in the Office support area have a 90-day probationary period during which the
employees in this area rotate among the different administrative service functions (e.g.,
filing, fee processing and non-fee processing). However, there does not appear to be
continuous or periodic training beyond this initial training.
Recommendation
A plan needs to be developed for continuous or periodic training beyond the initial
training.
4.
The County’s tuition reimbursement benefit provides employees with an
avenue for improving skills and enhancing their career development. However, few
employees in the Law Division appear to have taken advantage of the program.
Finding
The collective bargaining agreement has a modest tuition reimbursement clause. Only three
employees in the Law Division have used the employee tuition reimbursement benefit. It is
possible that this benefit is being underutilized.
Recommendation
Staff in the Clerk’s Office could improve their skills by taking advantage of the County’s
tuition reimbursement benefit. Because increased educational experience benefits both
the Law Division and its employees, providing periodic reminders of this benefit may
prove helpful.
5.
The Law Division appears to have provided quality training on customer
service. To maintain the level of service will require continuous reinforcement of the
importance of customer service in the Clerk’s Office.
Finding
The Law Division has two notable achievements in customer service: 1) the
administrative service area is user friendly; and 2) there are several Law Division
employees to assist non-English speaking customers. There appears to be support for
customer service among managers and staff. However, the Clerk’s Office does not
appear to have a plan for reinforcing customer service skills among employees. This
could lead to a reduction in the quality of service provided.
Recommendation
To maintain the level of customer service, the Law Division could provide periodic
customer service and conflict resolution workshops. For example, employees could role
play or act out various customer service scenarios. Employees with extensive contact
84
with customers could play a customer presenting a difficult issue that needs to be
addressed and employees in the workshop could brainstorm on the most effective way to
solve the problem. Involving employees will not only allow them to take ownership, but
also will reflect the Clerk’s Office’s commitment to listening to and involving employees
in decision-making. Also, if a suggestion box currently does not exist one could be
provided for customers to provide compliments and complaints, and to give employees
an opportunity to voice any compliments, complaints and concerns.
In addition,
managers could circulate and post articles and information regarding customer service
initiatives. These are all low-cost and effective ways to focus employees' attention on
customers.
B.
1.
There is a need for a training manual for new employees in the First
Municipal District as well as employees seeking cross training.
Finding
Training for a new employee is limited to an employee handbook and the team manager
provides the initial training for the new employee. The team manager also trains old
employees who are being cross-trained in different areas or functions. A court clerk
trainer and team manager provides training for employees in the courtroom.
Recommendation
A structured clerk’s training program must be instituted to train new personnel as well as
in-house employees seeking to upgrade to other areas.
•
•
Employee handbooks are useful. However, a training manual for all areas should be
developed and used during initial training as well as on-going training. This manual
could also be for review and evaluation of job performance on a regular basis.
Long-term employees can be better utilized as trainers or mentors for new employees.
Pairing of old/new employees as sub-team units can work to reduce overload on team
managers as well as build better relationships between newer/older employees.
2.
The Clerk’s Office relies on experienced court clerks to train new court
clerks. There is a concern that the number of court clerk trainers on staff may not
be sufficient to meet the needs of the courtroom.
Finding
The two trainers have been with the Clerk’s Office for 34 years and 25 years and, thus,
are very close to retirement. There is no indication that there is any training set up for
replacements. Also, two trainers seem grossly inadequate for the number of court clerks
within the District. Additional trainers could be utilized to assist in on-going training of
the court clerks.
Recommendation
The number of court clerk trainers should be increased in the First Municipal District.
85
3.
There should be cross training in customer service and other skills provided
to all employees who have contact with the public.
Finding
The majority of the First Municipal District employees are in one-to-one situations with
their customers, whether judiciary, attorneys, or the general public. Complaints of
rudeness to customers have not gone unnoticed. However, the employee’s lack of
knowledge in a specific area combined with the constraints placed on employees in
helping the public at large can be the root of this problem.
Recommendation
To maintain a good level of customer service, cross-training and periodic performance
evaluations are needed for employees. Cross-training exposes employees to new areas of
the Clerk’s Office and increases their understanding of the various functions within the
Office. Performance evaluations should be used as feedback mechanisms, which should
provide employees with detailed information about their job performance, including
suggested ways for improvement if needed.
4.
First Municipal District staff acknowledges that career paths are limited.
Finding
Promotional paths range from Grade 10 to 12 for cashiers; regular clerical staff from grades 10
through 12; courtroom staff have grades 12 and 13; data entry employees cover grades 10
through 12; very few persons at grades 13, 14, or 15. Clerk’s staff provided the following
information regarding the breakdown of the grade classifications in the Civil Division of the
Clerk’s Office:
a. 98 employees at grade 9—94 clerk IV’s and 4 cashiers; Half of these employees
have been at the same grade for over 5 years.
b. 10 employees at grade 10—all cashiers;
c. 31 employees at grade 11—24 clerk V’s; 6 data operators and 1 cashier II;
d. 69 employees at grade 12—8 administrative assistants; 1 computer operator 1; 1
data entry; 3 cashiers; 2 cashier III’s; and 54 court clerks;
e. 6 employees at grade 13—all court clerk II; these clerks have been employed for a
period of between 17 years and 34 years.
f. 2 employees at grade 14—court clerk trainers who have been employed between
25 years and 34 years.
g. The 14 employees at grades 15-18 are team supervisors.
Recommendation
Clerk’s staff would like higher grades associated with better training and higher education and
specific qualifications that would lead to more professional employees. In fact, one of the
Civil Bureau Goals is for the re-class of grades for an improved promotional path. Apparently,
some employees, even though they have more challenging, demanding and complicated job
86
functions (e.g., auditors and clerks assigned to high-volume and trial courtrooms) often are at
the same salary grades as other employees with less demanding job requirements.
5.
There is a need for a clear delineation of the differences in qualifications for the
various grades and for written job descriptions.
Finding
There does not appear to be any specific qualifications delineated for the various grade
levels. Job descriptions did not exist to explain the difference between grade 9, grade 11,
or grade 12 clerks.
Recommendation
The job categories and salaries of other Cook County agencies should be compared to the
categories and salaries in the Clerk’s Office. This could help determine if Clerk’s Office
staff is paid a comparable rate for comparable responsibilities.
C.
Housing Court
1.
Intensive training for all staff on the use and operation of personal
computers is needed.
Finding
Staff in the Housing Department has received little training on how to use personal
computers.
Recommendation
The Clerk’s Office should develop and implement a comprehensive training schedule for
new and experienced staff on how to use personal computers.
87
THE HONORABLE
DOROTHY BROWN
OF COOK COUNTY
COUNTY BUREAU SUBCOMMITTEE
Ralph Martire, Chair
Geraldine C. Simmons, Co-Chair
Nikki M. Zollar, Co-Chair
Roland W. Burris
Clint Krislov
Marie C. Mancuso
Sharon Morrow
Tracie R. Porter
Brent D. Stratton
Eli H. Washington
Illinois Tax Accountability Project
Law Offices of Geraldine C. Simmons
Triad Consulting Service, Inc.
Buford & Peters, LLC
Krislov & Associates, LTD
City of Chicago Department of Consumer
Services
The Kenwood Group
Barnes & Thornburg
Jenner & Block, LLC
Chesterfield Community Council
89
COUNTY BUREAU
I.
INTRODUCTION
The County Bureau is divided into three divisions: County, Probate, and Chancery.
•
•
•
The County Division hears actions and proceedings concerning mental health issues,
adoption, the emancipation of minors, various issues related to taxes, tax deeds,
elections, unclaimed property and certificates of error. Mental health cases are heard
off-site at Chicago Read Mental Health Center and the Tinley Park Mental Health
Center. In 1999, there were 23,391 cases filed in the County Division, 68,266 court
hearings, and 23,689 dispositions.
The Probate Division handles wills/estates of the deceased, guardianships, estates of
the disabled, minors and wards of the state. The Division serves as a passport
acceptance office for the Federal Government, accepting between 800 and 900
applications per month.
The Chancery Division hears matters seeking equitable remedies, filed as: class
actions, declaratory judgements, mortgage foreclosures, injunctions, administrative
reviews, mechanic’s liens, changes of names, and general chancery.
Members of the County Bureau Subcommittee interviewed staff in each division
regarding the state of information systems, customer service and employee training and
development.
II.
INFORMATION SYSTEMS
1.
The County Division relies on manual docketing of cases. This is extremely
time-consuming and involves the handling of very heavy docketing books.
Finding
The manual docketing of cases requires the clerks to write the summary description of
orders and filings in long hand in a bound docket book. The docket books are quite heavy
and may result in muscle strain. In addition, certified mail return receipts in tax deed
cases are recorded manually, which is very time consuming.
Recommendation
There should be a plan to replace the bound docket books with an electronic docket
system for the County Division. In addition, If all certified mail return receipts were
scanned upon processing, the County Division could save time and effort, as well as
increase the timeliness, accuracy, and completeness of the electronic record.
91
2.
The process of collecting and retrieving information in mental health cases is
cumbersome.
Finding
Case initiation information is transmitted over the telephone between clerks at the mental
health centers and the County Division in the Richard J. Daley Center. Case file jackets
are maintained at the mental health centers, whereas case numbers are assigned at the
Daley Center. When files are sent to the Daley Center, the Daley Center clerks must enter
the information into a docket book and store the case file in a storage cabinet.
Recommendation
The Clerk’s Office should consider implementing on-line data transfers from the Daley
Center to the mental health centers to permit more timely information exchanges.
3.
The Probate Division relies heavily on paper and manual processes to record
case activities.
Finding
All entries are manually entered in docket books, as well as key punched into the
computer system. The current manual docketing system, which is labor intensive, has
greater detail than the automated system. Only staff can access probate materials via
computer. Attorneys and other customers can only access information in case files and
docket books.
More than 1,065 codes are used to record probate case activities in the electronic
database. Reliance on a large number of codes creates multiple opportunities for data
entry errors to occur.
Few probate forms are available on-line. Currently, only the small estate affidavit is
available.
Recommendation
A strategic information technology plan should be developed for the Probate Division.
The strategic plan should include:
•
•
•
92
elimination of infrequently used computer codes for recording case information;
document imaging for orders and pleadings. When an individual looks up a case,
the system would provide the option of viewing the entire document from the
inquiry mode. This would improve file security by reducing the number of court
files retrieved daily; and
e-filing and forms for new cases. They would be available via the Internet for
public access.
4.
The Probate Division relies on manual processes to calculate fees for services.
Finding
There are instances where cash registers are not pre-programmed with the statutory fees
for certain types of transactions. Hence, there are times when cashiers have to calculate
fees manually, then add them into the register. This process is inefficient.
Recommendation
The capacity of cash registers should be expanded to include more calculating functions.
Automating the fee schedule in the cash registers can reduce the potential for human error in
calculating fees. The Clerk’s Office should work with vendors to acquire the technology or
programs that will enable registers to calculate all fees automatically.
5.
The Chancery Division has a process for coding, entering, and verifying
information that is recorded in the electronic docket. However, the process is
cumbersome and tedious.
Finding
The same information has to be re-keyed into various screens for the same case. When
data entry operators perform a change, they must go to several screens and make the
same change on each screen. An example of this process is the code KHNC. When
operators make changes on this code, they have to make the same exact change on three
other screens in order for the change to be reflected accurately on all records.
In addition, there is no electronic network for linking PCs. Paper memos are used to
communicate directions, procedures, and policies to all employees. Consequently,
employees do not receive information in a timely manner.
Recommendation
A strategic information technology plan should be developed for the Chancery Division.
The strategic plan should include:
•
•
•
•
•
a rewrite of current computer transactions to reduce redundant data entry across
multiple screens;
development of a PC-based Intranet to permit internal communications;
e-filing for new cases and documents. They would be stored on the current
mainframe system and made available for public review;
implementation of bar code scanners for use with new case filings as well as file
retrieval and return. This would enable accurate tracking of case files; and
document imaging for orders and pleadings. The technology that films or images
the document could be directly linked to the computer mainframe. When an
individual looks up a case, the system would provide the option of viewing the
entire document from the inquiry mode. This would improve file security by
reducing the number of court files retrieved daily.
93
III.
CUSTOMER SERVICE
1.
The three divisions of the County Bureau have formal and informal
mechanisms to identify customer needs and develop solutions for improving service.
Finding
Customer needs are determined from comments received by the public, bar, and
judiciary, as well as observations by staff. Solutions are developed both informally and
formally, including bench and bar committees, staff team meetings, and discussions with
employees and participants in the judicial system. There is, however, no uniform manner
of approaching customer service by the three divisions.
Recommendation
There should be a plan to provide systemic and formal training in customer service for
special situations. To improve customer service, the Clerk’s Office should institute a
formal training mechanism for employees to handle difficult situations, both at the
counter and over the telephone.
2.
In the Probate and Chancery Divisions, the Clerk’s Office receives many
requests from pro se customers. Staff requires special training to handle these
requests and ensure that customers understand the judicial process.
Finding
The Clerk’s Office can explain how to file court documents or how to complete a form.
In many cases, pro-se litigants come to the Clerk’s Office with a minimal understanding
of the judicial process and the meaning of legal terminology. By law, the Clerk’s Office
cannot provide legal information or advice. The Office can only provide information
about available resources.
Recommendation
There should be a plan to work with the judiciary and legal service organizations to
improve services to pro se litigants. Currently, there are pro bono attorneys located in the
First Municipal Civil Division, especially in Housing Court. However, mortgage
foreclosure cases are heard in the Chancery Division. For pro se litigants in these cases,
an on-site paralegal or pro bono attorney would improve service greatly.
IV.
1.
Training for new employees in the three divisions of the County Bureau is
provided on-the-job.
Finding
New employees receive brief orientation from the Training and Development Department
about the mission, policies, and procedures of the Clerk’s Office. Subsequently, a
manager experienced in specific operations of the County, Probate, or Chancery divisions
94
will train new staff on an individual basis. When possible, training involving new
technology is done by a private consultant or vendor.
The County Bureau has designated staff to train new court clerks. In addition, mock
situation training is provided on an ad hoc basis for employees who deal directly with
customers.
Recommendation
There should be some consideration in creating the position of Office Trainer for each
division in the County Bureau. Currently, supervisors provide training when their
schedules permit it. To improve the effectiveness of Office operations, the Clerk’s Office
should create the position of Office Trainer for new and experienced staff. The trainer
would educate staff on basic procedures for entering, maintaining, and retrieving records;
document recognition; filing procedures; and customer service.
2.
There is no written training material available to new and experienced staff
in all three divisions of the County Bureau.
Finding
Most training of new employees and cross training of experienced employees is provided
verbally by supervisors. Cross training includes data entry, cashiering, case initiation,
appeals, and various jobs within the file section.
Recommendation
Adopting strategies is recommended to effectively utilize comprehensive written training
material for all employees assigned to the County Bureau. The training material would
cover policies and procedures for all employees, as well as specific procedures for
recording and maintaining records in the County Bureau. In addition, the training
material would be provided in a classroom-type setting to a group of employees, in
addition to one-on-one training as is currently done.
3.
The work areas in the County Division and Chancery Division are
overcrowded.
Finding
The close proximity with which employees work increases the chances of side
conversations, interpersonal conflicts, distractions, and other events that adversely affects
employee performance. In addition, aisles are narrow, which can lead to problems with
employees bumping into each other. As the number of cases filed increases, the space
problem is expected to deteriorate even further.
Recommendation
To help improve productivity, the Clerk’s Office should conduct a comprehensive
analysis of space needs for the County Bureau. The analysis should look at the feasibility
of centralizing Bureau operations on one floor of the Richard J. Daley Center. Also, the
95
space analysis should consider the needs of administrative and analytical support staff for
private, quiet areas to do their work effectively.
4.
Some functions of the County Bureau are understaffed and this in turn
affects the efficiency and productivity of the Office.
Finding
There is only one clerk in each disabled person room and Clerk’s Office employees
strongly believe there should be at least two persons staffing those rooms.
Recommendation
Conducting a comprehensive workflow and workload analysis in the County Bureau will
help to identify possible areas for improving efficiency. Results of the analysis would
enable the Clerk’s Office to determine whether more staff is needed to perform certain
functions.
96
THE HONORABLE
DOROTHY BROWN
OF COOK COUNTY
CRIMINAL BUREAU SUBCOMMITTEE
Hon. Theodore M. Swain, Chair
Rouhy J. Shalabi, Co-Chair
Leonard C. Goodman
Reverend Dr. Al Sampson
Gould & Ratner
Arab-American Bar Association
Law Offices of Leonard C. Goodman
Fernwood United Methodist Church
97
CRIMINAL BUREAU
I.
INTRODUCTION
The Criminal Bureau consists of two sections: the Criminal Department and the Criminal
Division.
•
•
The Criminal Department is responsible for the administration and maintenance of
records of misdemeanor criminal and quasi-criminal actions that occur in the City of
Chicago. The Criminal Department also hears cases involving preliminary hearings of
felonies and misdemeanors. Bond Court is in session seven nights a week and the
four Holiday Courts provide defendants the opportunity to make bond on Saturdays,
Sundays and Court Holiday Courts.
The Criminal Division has jurisdiction over criminal offenses within Cook County,
which are punishable by imprisonment in a penitentiary. It conducts hearings
concerning habeas corpus and extradition in criminal matters, petitions to expunge
records of arrest, all post convictions matters and the processing of appeals. This
division is also responsible for eight felony night narcotics courts.
The Criminal Bureau Subcommittee has focused on the Clerk's three priorities in the
undertaking of fact-finding and providing recommendations for the following Clerk’s
Office functions: information systems; customer service; and employee training and
development.
In addressing the policies and procedures of the Clerk’s Office as they affect the
operation of the Criminal Courts, the Subcommittee mostly limited its inquiry to that part
of the Criminal Bureau comprised of the Criminal Division (felony courtrooms, largely at
26th and California) and the Criminal Department (preliminary hearing and misdemeanor
courtrooms throughout the city). The Subcommittee did not review matters in the
suburban courtrooms (both felony and misdemeanor) since another subcommittee was
considering them. However, inevitably some of the observations were system-wide and
apply to cases originating in any jurisdiction within Cook County.
.
The principal concern of the Subcommittee was how the policies and procedures of the
Clerk's Office affect the general public; and specifically how they affect those who have
been arrested and find themselves directly impacted by those policies and procedures, as
well as their families and friends who are concerned about those who have been arrested.
The second level concern was how well the Clerk's Office serves the other actors in the
criminal justice system: the judges, the private defense attorneys, the Public Defenders, the
State's Attorney's staff, the Sheriff's deputies, the jury panels and all the agencies that directly
interface with the Clerk's Office in the criminal justice system.
Finally, the Subcommittee addressed the functioning of the Clerk's Office as perceived by
the court itself, both the individual courtroom judges and the court administration.
99
II.
INFORMATION SYSTEMS
1.
Expungments is an intense issue that directly affects the employability of
citizens (particularly youth and young adults in minority communities) through
their official arrest and conviction records.
Finding
The accuracy of the record is of course critical, but the persistence on the record of
arrests that are not followed by conviction, as well as the non-removal of records of
supervision at the successful termination of the supervisory period, are serious
impediments for many people in their ability to obtain or hold a job. Key hurdles to
dealing with this problem are the availability of information, assistance with filling out
forms, and filing costs.
As an example, the Clerk’s Office filing fee for Expungment Petitions is statutorily set at
$60.00. The State Police charges an additional $40.00 processing fee after the petition has
been granted.
.
Recommendation
Upon review of the statutory provisions, filing fees and the information packet on
expungments made available by the Criminal Division, the Subcommittee believes that
statutory changes are required to ameliorate its concerns, which are:
•
•
•
•
expungement proceedings should be less costly, and provision should be made for
waiver of fee for those unable to pay;
the statutory provisions should be reviewed to determine if expungement
proceedings can be simplified;
if it is not possible to simplify the procedure, an Office of Ombudsman should be
considered to advise and assist persons to expunge records of their arrests in
expungible cases; and
the statute should be revised to provide for automatic expungement in dismissed
cases or those resulting in acquittal.
The Subcommittee is aware that bills were introduced in the Spring 2001 session of the
General Assembly to amend the expungement provisions of the statute.
The
Subcommittee recommends that the Clerk review any such legislation that might be
enacted to ascertain if the above-stated concerns are satisfied. If they are not, the
Subcommittee recommends that new legislation as needed be proposed and/or supported
to that end.
100
2.
A problem regularly encountered by prisoners released from custody (after
the dropping of charges, acquittal, or completion of sentence) is absence of proof
acceptable to the Secretary of State's Office to enable the person to obtain a photo
ID.
Finding
Efforts to obtain any form of certification from the Clerk’s Office, based on the Clerk's
official records of court cases and dispositions, have been unavailing, largely due to the
absence of any such procedures, compounded by the difficulty of establishing that the
requesting party is the same person as the one named in the court papers.
.
Recommendation
The subcommittee recommends that the Clerk’s Office confer with the Secretary of
State’s Office to ascertain what form of certification of records within the Clerk's control
would be acceptable to the Secretary of State for issuance of its standard PhotoIdentification card.
If identity of the applicant becomes an issue, it is further recommended that the Clerk’s
Office confer with police officials to explore the possibility of making, as a part of the
court file, a copy of the fingerprints and arrest photo of each arrestee.
.
3.
As a holdover from preconsolidation days when the Municipal Court was a
separate entity, the Municipal districts assign a case number and the Criminal
Division assigns a different case number to the same case, if the case is transferred
from the Municipal district to the Criminal Division.
Finding
Each Municipal district assigns a case number to every felony, misdemeanor, and quasicriminal case when initially filed. The problem becomes more complex, however, when
the filing of an indictment or information complaint supersedes the initial Municipal
district felony matter filed. A defendant originally assigned a Municipal district criminal
case number is assigned another, yet similar number when the case is transferred into the
Criminal Division. Such a procedure is confusing on the criminal history record,
inconvenient to the attorneys who are unsure as to which case number to track the
defendant's custody by, potentially distortive of criminal statistics, and not practiced in
other jurisdictions in Illinois.
.
Recommendation
It is recommended that the double numbering system be abolished.
4.
File availability and security is an issue of concern because there is no system
in place for the tracking and maintenance of court files.
Finding
All parties are of course interested in having the court file available in court on any day
when the matter is set. Lost files are annoying but not very common. However, there
101
seems to be no practical way to accommodate strict security and accountability
requirements with the needs of attorneys (and to a lesser extent, defendants and their
families) for easy access to the files, especially in a high-volume courtroom on a busy
day. Little evidence exists of loss of documents from files, but there is no tracking
capability even to know who has been entrusted with files. File security is more evident
in the Clerk's Office space than in the courtroom; but there is sometimes serious
competition for ample table or counter space to examine files. Courtroom clerks also
mention that overnight security of file cabinets for the next morning's call is lacking;
leading overzealous Public Defenders or State's Attorneys to "borrow" files to work on at
night. Forgetfulness in returning is the principal hazard in this case.
Recommendation
The Subcommittee recommends that the Clerk’s Office explore the technical feasibility and
costs involved in a system of bar-coded file labels for the purpose of tracking file access and
movement. In the longer run, the Subcommittee commends to the Clerk's Office attention the
optical scan possibilities for all documents.
.
In the meantime, security arrangements should be instituted at once for courtroom clerks' file
cabinets. There should be no overnight use of files by personnel of other offices except on a
strict sign-out/sign-in basis.
III.
CUSTOMER SERVICE
1.
Many citizens who have interaction with the judicial system lack information
about the basic processes and services offered by the various justice-wide agencies.
Finding
The Clerk’s Office is the logical place for the average citizen to tie into the entire
criminal justice system. Arrestees pass relatively quickly through the police function, but
their cases stay with the court system for the entire period of interest to the citizen.
Coming to court is the focus of resolution of whatever events led to the arrest in the first
place. For both the defendant and his family and friends, that is where relevant
information must be provided.
.
At the same time, the Subcommittee is aware that the Clerk's Office personnel cannot be
expected to know the detailed workings of all the other offices, nor should they ever be
encouraged or permitted to purport to give legal advice. To attempt to answer questions
beyond the staff person's knowledge or competence, even if done in the spirit of
helpfulness, is not only no service; it is affirmatively a disservice and could have
potentially harmful consequences.
.
Methods of providing the information are varied. The Clerk's Office currently employs a
number of helpful handouts on various topics. The Subcommittee gave some attention to
their content and the places of their availability. Probably nothing the Clerk's Office does
is more critical than providing good information, to the citizens' understanding of the
102
criminal justice system or how the public feels about the way the Clerk's Office fulfills its
role in that system.
Recommendation
The Subcommittee recommends the creating and staffing of a Clerk's Office information
kiosk in the main lobby of the Criminal Courts building at 26th and California, and if
feasible, at other court facilities as appears warranted. It should have qualified staff, and
forms and brochures as need and experience indicate. Its purpose should be to answer
general questions, to provide information, and to direct questioners to appropriate
courtrooms or offices for court business. It should not be limited to information about
services provided by the Clerk's Office.
.
In any courtroom where a case is dismissed or an acquittal occurs, the courtroom clerk
should furnish defendants with an expungement information packet. Clerk's Office staff
should conduct a continuous review of its printed materials. It should obtain feedback
from its courtroom clerks, its counter staff, and its kiosk personnel for ideas as to what
new publications would be helpful to the public.
.
2.
Trying to locate arrested offenders in the police/court system has proven to
be difficult for Clerk’s Office customers, including lawyers.
Finding
Nights and weekends are the worst, and any language impediment only multiplies the
anguish. The questions almost invariably are: Where is he? Can bond be posted now?
When and where will bond be set? And can I visit him? These should be readily
answerable questions in a well-ordered system of justice.
Recommendation
Increased cooperation with police officials should be undertaken with a view to working
out a satisfactory sharing of information and responsibilities in helping citizens locate
their friends and relatives who have been arrested.
.
3.
Some of the Clerk’s Office employees exhibit a poor attitude in their dealing
with the public.
Finding
Whether in the courtroom or at the counter, such behavior is unacceptable. In the
emotionally charged atmosphere of the criminal court system, it cannot be tolerated.
Happily the number of instances of such conduct observed by any member of the
Subcommittee was quite small. However, the fact that it can and does happen at all is
disturbing. The Subcommittee is also aware of the irritation that can build up when a
clerk who is busy preparing for a hectic court call, answering lawyers' inquiries, keeping
track of files and making sure the call sheets or disposition sheets are in order, must stop
to explain something to an uncomprehending layperson. Nevertheless, there are ways of
responding appropriately even in the most trying situations. Short, brusque answers to
103
everyone may pass muster in frenzied situations; but selective rudeness never will.
.
Recommendation
The key to attitude change is a supervisor who vigorously supports the program. Only if
they are willing to help staff recognize and adjust their behavior, and if they are also
willing to apply appropriate staff discipline if such supervisory action is resisted, will
such behavior change.
IV.
1.
There has been a lack of specialized training for Clerk’s Office staff.
.
Finding
Certain types of knowledge, especially information relating to other parts of the system,
can be learned only by structured instruction. Other types can be acquired simply by
observing someone else doing a job well; and then obtaining the increasing experience of
doing it in real life situations with supervision. Staff has indicated that traditionally in the
Clerk's Office, emphasis has been on the latter. The Subcommittee has suggestions on
some areas of knowledge that appear to require augmentation, and also some
supplementary teaching techniques.
.
Recommendation
The Subcommittee recommends a thorough review of the training program in the Clerk’s
Office and an evaluation of any curriculum materials. The Clerk’s Office should avail
itself of the wealth of talent and experience in the veteran employees in the Office. Their
accumulated information should be embodied in training manuals, particularly for those
performing specialized services. In addition, the Clerk’s Office may want to consider
outsourcing the training function with some of the Chicagoland area community colleges.
The scope of training should depend on job assignment. For those whose function
involves dealing with the public, it is imperative to broaden the scope of training to
include the functioning of related offices beyond the Clerk's Office.
2.
Courtroom and counter personnel must have people skills and possess the
ability to maintain a high level of accuracy in handling records of dispositions.
Finding
Developing necessary job skills in staff is more difficult than imparting knowledge. The
latter can be taught and tested. However, the system used in the Clerk’s Office to
measure the competencies of new employees is inadequate. In addition, sometimes new
employees possess a limited understanding of the knowledge and job skills required to
carry out various functions of the Clerk’s Office.
Recommendation
The Subcommittee urges the Clerk’s Office to promote personnel through the ranks. The
Clerk should cultivate leadership that embraces the skills of patience, communication,
104
sensitivity, diplomacy and cooperation. In addition mangers and supervisors should
communicate and reinforce their commitment to leadership to their employees. In
addition, those new employees lacking the understandings of the various functions of the
Clerk’s Office should be properly trained.
105
THE HONORABLE
DOROTHY BROWN
OF COOK COUNTY
FAMILY LAW BUREAU SUBCOMMITTEE
Bernadine Dohrn, Chair Northwestern University Children &
Family Center
Elder Charles M. Ford, Co-Chair St. Paul’s Church of God in Christ
Rev. Johnnie Miller, Co-Chair Mount Vernon Baptist Church
Eriberto Campos Little Village Association
Georgia Clayton Unified West Side Black Contractors
Hope G. Gary Cook County Child Protection Division
Vivian R. Jones ABJ Services, Inc.
Eloise Lockhart Office of the Cook County Public Guardian
Henry Martinez Friends of Dorothy Brown
Joseph C. O’Connor Deloitte & Touche, LLP
Rev. Walter P. Turner III New Spiritual Light Baptist Church
Charles J. Wright Coldwell Banker
107
FAMILY LAW BUREAU
I.
INTRODUCTION
The Family Law Bureau consists of four major divisions and several support services.
•
•
•
•
•
The Domestic Relations Division hears cases seeking divorce, legal separation or
invalidity, all civil orders of protection, and post decree issues.
The Child Support Division processes, disburses, and keeps permanent records of
court ordered child support payments to custodial parents.
The Juvenile Justice Division has jurisdiction over minors under 17 years of age
who have violated a federal or state law or select municipal ordinances.
The Child Protection Division has jurisdiction over all children under the age of
18 who require authoritative, legal intervention. Cases include child abuse,
neglect and addicted minors.
Support services include the domestic violence liaison and the Juvenile Enterprise
Management System (JEMS) manager. JEMS is an integrated information
system.
The Family Law Subcommittee was able to conduct interviews with more than 15 staff
members in the four operating divisions of the Family Law Bureau. However, this report
only entails information collected from the Domestic Relations, Child Protection, Child
Support, and Juvenile Justice Divisions, as well as domestic violence. In general, each
division had overlapping concerns and issues. A great deal of the discussion with the
different divisions focused on promotional opportunities and the pay grade structure.
II.
INFORMATION SYSTEMS
1.
The current information system used throughout the Family Law Bureau is
very antiquated and needs to be updated.
Finding
Some areas of concerns in the Family Law Bureau center around the data entered on the
system. The capture of data is done manually and then entered into the computer, thus
leaving room for transcription error. A process exists to verify data entry for accuracy.
Even with a very low error rate, the number of records with errors could be significant,
given the volume of information that has to be entered into the computer.
Recommendation
An in-court document imaging system coupled with real time entry of orders and digital
signatures would be a means to improve timeliness, accuracy, and completeness of
information in the Clerk’s Office’s electronic docket. Waiting periods that occur due to
the microfilming process would be significantly eliminated.
In addition, it would
eliminate the risk of documents being lost or removed from the files by the public.
Document imaging will also reduce storage and spacing concerns.
109
2.
The process of microfilming paper documents can take up to five days to
complete. During that time, original orders, pleadings, and other paper documents
are separated from their court file. The possibility exists for the documents to be
misplaced or misfiled.
Finding
In the Child Support and Domestic Relations Division, judicial
documents are microfilmed after the information has been entered
microfilming process can take up to five days to complete.
documents are separated from their files. They are returned
microfilm process is complete.
orders and other paper
into the computer. The
During that time, the
to the files once the
The Divisions have a process in place to track the documents while they are in the
microfilm queue. While the process does work, it is cumbersome and inefficient.
Scanning the documents would be a more effective way of recording the information
upon receipt.
Recommendation
There should be a plan to improve the current process of microfilming documents, to
reduce the probability of documents being misplaced or misfiled. In addition, the
Divisions should look into scanning the documents because this process would be a more
effective way of recording the information upon receipt.
3.
The Domestic Relations Division transmits child support orders to the Child
Support Division on paper documents.
Finding
Child support orders are manually delivered from the Domestic Relations Division to the
Child Support Division. The process can take 24 hours to complete.
Recommendation
In the absence of electronic information exchanges, the Clerk’s Office has to rely on
manual processes to communicate information in a timely manner. The Clerk’s Office
should consider faxing child support orders from Domestic Relations to Child Support.
This action would improve the effectiveness and the efficiency of the process.
4.
In the Juvenile Justice Division, a rewrite is underway to address the
inefficiencies in the Clerk’s Office’s current information system. However, the system
will still be antiquated in comparison to other information systems.
Finding
The rewrite is crucial for better record keeping of the Juvenile Justice docket, which
currently loses information daily, such as continuances. The current system only holds
the most current continuance and eliminates any prior record of continuances. The
current Juvenile Justice system is a copy of the criminal system of 30 years ago and is in
110
serious need of being upgraded. To accomplish this goal, the division is in need of
technical support to complete this task.
Recommendation
The Juvenile Justice Division should install the rewrite with minimal modifications; but
also perform major modifications in a subsequent phase.
III.
CUSTOMER SERVICE
1.
Many customers lack knowledge about the basic role of the Clerk’s Office,
statutory fee schedules, and the nature of the judicial process.
Finding
Many customers learn that they must pay filing fees when they visit the Clerk’s Office
for the first time to file a motion. In addition, many customers lack knowledge of the
basic steps in the judicial process and the function of the Clerk’s Office. They ask many
legal questions, which the Clerk’s Office is not permitted to address by law.
Switchboard clerks receive an enormous amount of misdirected calls seeking information
the Clerk’s Office is unable to address. Many of the questions concern services that are
offered through other agencies.
Recommendation
An effort should be made to educate the public about the dynamics of the Clerk’s Office.
This can be accomplished by Public Service Announcements and updated brochures,
which includes a listing of filing fees for each division and information about each
division’s role in the Clerk’s Office. In addition, training should be provided for
employees on how to handle the public.
2.
The security of the court files is a concern in the Domestic Relations Division.
Finding
There is no system to protect the files. Persons need only to leave a signature when they
want to view a file. In addition, identification is not needed in the Domestic Relations
division as in the Juvenile Center.
Recommendation
To improve file security, identification should be required before any files can be
reviewed. This practice is used in the Juvenile Center and works well. In the meanwhile,
a File Amnesty Day is needed to obtain files previously not returned to the Clerk’s
Office.
111
3.
In the Child Protection Division, more workspace and staff are needed for
reviewing court files.
Finding
The basic concerns of the Child Protection Division are two-fold: (1) not having space for
reviewing files; and (2) not having enough staff to adequately address public questions
and concerns. The area is very small and consists of two tables, flushed against the wall
with a seating capacity of eight. In addition, this area is partly shared with the Juvenile
Justice Division
Recommendation
There should be a plan to relocate the file room for the Juvenile Justice Division to
another location. This could free up extra working and viewing space needed for the
Child Protection Division to operate efficiently. In addition, the Child Protection Division
should look into either hiring more counter staff or rotating staff to the counter during
rush hours to address public questions and concerns.
IV.
1.
The managerial staff is concerned with the inadequate amount of time
allotted to train new employees.
Finding
The orientation session is not detailed and covers the Clerk’s Office’s mission,
attendance policies, decorum, dress codes and phone etiquette. The session does not
entail all functional aspects of the new employee’s position; moreover new employees
must depend upon senior employees to learn the fine details of their new positions.
Recommendation
New employees need a two-week training session in order to thoroughly understand and
learn all aspects of the Clerk’s Office.
2.
There appears to be no formal, office-wide system for ongoing employee
training. Employees do not always receive training updates and information on a
timely basis.
Finding
Employees are eligible for cross training, which prepares them to perform the
responsibilities of other existing jobs. However, there is limited ability to reinforce
current skills, such as data entry proficiency, or to learn how to use personal computers
(PCs) or other advanced technology.
In some cases, clerks expressed interest in learning about the type of information and
orders that go into a file. For example, the clerks want to know the difference between
subpoenas and summons. They thought such knowledge would be very helpful in
performing their job responsibilities.
112
Recommendation
There should be a plan to provide employees with an opportunity to upgrade skills.
Among the possible areas for consideration are new technological advancements and
legal terminology.
3.
In regards to the pay grade structure, the present system does not appear to
promote career development or provide any incentive for employees to learn new
skills.
Finding
The pay structure does not appear to correlate with functions and skill levels needed for
certain positions. For example, in the Domestic Relations Division, the cashier position
requires a great deal of contact with the public and accuracy when dealing with money
received for filings. In addition, the cashier position also entails reprimands when the
receipts do not balance at the end of the day. However, the cashier’s position pay grade
is similar to that of a non-courtroom clerk.
Recommendation
There should be a plan to facilitate a comparative study of job classifications and pay
grades across Cook County agencies. This study would insure the Clerk’s Office pay
grade structure is comparable to other agencies. Furthermore, the Clerk’s Office should
review the current salary grade structure. The current structure appears to not promote
career development or provide any incentive or morale for employees. Also, employees
should be made aware of what qualifications are needed to compete for higher level
positions and given the opportunity to compete if they meet the qualifications for a
position.
4.
There has been a lack of promotional opportunities for the Clerk’s Office
staff. In addition, some divisions have been staffed with employees at the same skill
level.
Finding
Employees are also concerned with the lack of ability to move from collective bargaining
positions into managerial positions. Employees feel they are not considered for higher
level position and are not presented the opportunity to compete for such positions.
Due to the lack of promotional opportunities, managerial staff is not able to reward or
promote good employees. Managerial staff is also unable to participate in the selection
process of new candidates. When new employees are placed with a specific division,
their skill does not always meet the specific needs of that division. As a result, divisions
are often overstaffed with employees at the same skill level, which leaves them
understaffed in certain areas.
113
Recommendation
There should be a plan to provide promotional opportunities to employees who exemplify
a good work ethic. This would empower the managerial staff to give rewards and
incentives to hard working employees.
5.
There has been a lack of consistent interoffice communication between senior
staff and employees within a division and between divisions.
Finding
Currently, the Clerk’s Office has a monthly interoffice newsletter to keep employees informed
about the affairs of the Office.
Recommendation
There should be plans to conduct quarterly divisional meetings between senior management
and staff, and intra-divisional monthly meetings to create positive camaraderie and a team
atmosphere between employees.
114
THE HONORABLE
DOROTHY BROWN
OF COOK COUNTY
SUBURBAN DISTRICTS BUREAU SUBCOMMITTEE
Michael Bauer, Co-Chair
Moarij A. Khan, Co-Chair
Jeanne Cleveland Bernstein
Richard R. Della Croce
Stuart Goodpasture
Maureen Heffernan
Victory McNamara
Carol E. Moore
Capt. Michael F. Schenkel
Larry Shapiro
Mary Ann Sullivan
Sue A. Walton
Espiritu & Associates
Friduss, Lukee, Schiff & Co., PC
Law Offices of Richard R. Della Croce
LaSalle Bank
Office of the Chief Judge, Circuit Court of
Cook County
ReMax South Suburban
Arlington Heights Police Department
Government Assistance Program/Depaul
University
115
SUBURBAN DISTRICTS BUREAU
I.
INTRODUCTION
The structure of the five suburban district offices stands in contrast to the structure of the
Clerk’s Office in the First Municipal District (Chicago) and in countywide departments.
In the five suburban districts, the Clerk’s Office keeps records and staff court calls for all
types of cases in criminal, civil, traffic, and family law. At these multipurpose
courthouses, chief deputy clerks are responsible for record keeping for all types of cases,
rather than one type of case. Consequently, the suburban chief deputy clerks need
flexibility in operating the office.
In the First Municipal District and in county-wide departments, the Clerk’s Office has
separate divisions for felony and misdemeanor criminal, law, housing, civil, domestic
relations, traffic and other cases. A chief deputy clerk is assigned to each division
because specialized knowledge is needed to handle the volume of cases. The high volume
in each division shapes policy and planning decisions for all Chicago operations.
The structural differences shape how resources are allocated in the five suburban district
offices, the First Municipal District, and countywide departments. In addition, executive
level policy and planning decisions must take into consideration the structural
differences. Given these factors, the Suburban Districts Subcommittee sought to
understand the state of information systems, customer service, and employee training and
development in the suburban district offices and make recommendations for
improvement.
Members of the Suburban Districts Subcommittee conducted interviews with 18
suburban Clerk’s Office employees to determine the effectiveness of information
systems, customer service, and employee training and development policies. In
interviews with executive level staff, the structural differences between Chicago and
suburban offices were examined. Supervisory level managers explained the nature of
information systems, customer service, and training and development opportunities. Line
staff involved with day-to-day operations outlined the strengths and weaknesses of
working within the system. The findings and recommendations detailed below reflect the
information provided in the interviews.
II.
INFORMATION SYSTEMS
1.
The division of personnel into civil, traffic, and criminal teams can lead to
untimely case initiations.
Finding
In many instances, clerks on the traffic, criminal, and civil suburban teams can only
initiate cases in their divisions. If the workload increases in other divisions, case initiation
clerks cannot enter information into the electronic docket because they are only assigned
117
cases for their division. Therefore, case information may not be available on the
electronic docket in a timely manner.
Recommendation
There should be a plan to implement a system in which case information can be entered
and retrieved by all employees of the Clerk’s Office. Real-time updating of this system
would enable staff to provide case information to customers in a timely manner.
However, a proper audit trail should be in place to determine accountability.
2.
The record keeping system relies heavily on manual data entry for all types
of case activities. Automating basic processes would save time and improve the
accuracy of records.
Finding
• The money collection and disbursement process is manual. Cash registers are
antiquated and are prone to error. It is uncertain whether shortages and overages
are a result of employee error or system error.
• Information from traffic tickets must be entered manually into the Traffic Records
Information Management System (TRIMS) system. There are no mechanisms in
place to scan tickets so that information, in addition to the ticket number, could be
automatically transferred into the system.
• Case information for civil and domestic relations cases is now available on the
Clerk’s web site. However, many Clerk’s Office employees do no have access to
the Internet since they do not have PCs. It can take days for employees to be able
to view the information that they enter on their internal information systems.
Recommendation
Automating basic processes would save time and improve the accuracy of records. There
should be a comprehensive plan for automating systems and processes in suburban
districts. The driving factor in determining the type of automated system is the
complexity of court cases and judicial orders. Based on a review of processes with
Clerk’s Office employees, the following opportunities exists:
•
•
a barcode system for the criminal cases in particular, to enter information into the
system so that time can be better spent on other tasks; and
integration of cash registering with the TRIMS system to permit electronic
docketing of payments should be updated to improve accuracy and efficiency.
3.
The technological infrastructure and support mechanisms are inadequate for
meeting the needs of the courtroom and back office.
Finding
There may not be enough PCs and printers for the volume of work in the courtroom and
the back office. Working out who is to use what printers and personal computers uses up
time that can be applied to job functions.
118
There is a need for greater technical support at the suburban district sites to help staff
with computer questions or to maintain and repair technology. Computer breakdowns
sometimes require days or weeks to be fixed. In some cases, the cumbersome process for
ordering replacement parts results in repair delays. In other cases, no staff is available for
basic maintenance beyond clearing jams in a copier or printer.
Recommendation
More technical staff should be dedicated to the suburban municipal districts to support
and maintain computers, printers, and other information technology in a more timely
manner.
4.
In some instances, judges may not sign all of their orders during a court call.
When this occurs, court clerks and their supervisors are not always able to obtain
signatures.
Finding
The Clerk’s Office has a process of reviewing judicial orders for signature. However,
auditing does not occur until after a court call is completed and judges have left the
bench. If an order is not signed, then it cannot be entered into the electronic docket. If the
order requires an action against a defendant, such as issuance of a warrant, the action may
not be executed in a timely manner.
Recommendation
Along with other justice agencies, there should be a review of the feasibility of
implementing an electronic signature program for judicial orders. The advantage of
electronic signatures is that judges can affix their signature quickly. This would help
expedite case processing and improve the completeness of case records. Only a judge
would have control of his or her signature.
5.
In cases with multiple counts or charges, data entry clerks can only record
the total amount of fines on the electronic docket. A detailed record would include
fines for each individual count or charge on the database. However, the structure of
the database prevents that from occurring.
Finding
When a judge orders a defendant to pay fines, clerks record the total amount next to the
first charge on the electronic docket. The procedure creates the appearance that the
defendant was fined on the first charge or count only, when in fact the defendant was
assessed a fine on each charge or count.
Recommendation
In cases with multiple counts and/or charges, there should be a plan to create a detailed
record of fines for each individual count or charge. This extra step would help create a
more complete record of activity in cases with fines
119
III.
CUSTOMER SERVICE
1.
Suburban offices provide case information to customers at the counter. The
process is inefficient due to the lack of cross training of counter staff.
Finding
In each suburban district, there is separate counter staff for traffic, criminal, civil and
increasingly family law cases. The counter staff belongs to separate teams and may not
be cross-trained to provide case information from different divisions to the public. In
many instances, a customer coming up to the counter may inquire about cases in multiple
courts. The customer has to stand on two separate lines to get the information because the
counter person does not have access to or knowledge of other divisions’ cases.
Recommendation
To maximize customer service in suburban offices, cross training should be encouraged
to all employees on the functions of the civil, criminal, and traffic divisions. Customer
service can be improved by cross training counter staff and data entry staff in other
division’s procedures. Cross training should occur in all district offices. This will enable
staff to handle inquiries effectively and prevent backlogs from developing.
2.
There is no clear distinction between the functions of the counter service staff
and cashiers.
Finding
Many counter staff serve as cashiers. They are required to balance the cash register and
are subject to discipline or restitution for overages and shortages. Because they handle
money, counter staff must concentrate on ensuring accurate cash transactions and
registering. Since they handle other information requests at the counter, cashiers can be
distracted from the cash management process, which leads to shortages. Most of the time,
the amounts are small ($5 per register). However, there have been times when the
amounts have been a few thousand dollars.
Recommendation
To ensure accurate cash management, there should be a clear distinction between the
cashiering function and other customer service functions at the counter.
3.
Unique external factors exist in each municipal district that can affect
records management.
Finding
The suburban chief deputy clerks note that they are subject to greater external factors and
deal with more police departments than First Municipal District. In Chicago, the clerks
deal almost exclusively with the Chicago Police Department, whereas the five suburban
districts deal with 129 police departments and the Sheriff’s Office. This can lead to
greater variations and nuances in dealing with records management, customer service and
120
employee training. Consequently, the chief deputy clerks believe they need greater
flexibility in providing customer service for multiple constituents.
Recommendation
There should be a plan to continue meeting with police chiefs, mayors, and other agency
heads to address the unique external factors that affect suburban operations.
4.
Telephone service is inefficient in various suburban offices.
Finding
There is no busy signal or automatic transfer to voicemail for incoming calls in suburban
offices. Consequently, an incoming call can continue to ring, giving the impression that
employees are not at their desk. In reality, employees are unable to get to the second line
because they are currently taking calls.
Recommendation
The voice information system should be improved to provide customers with options in
case their call cannot be answered immediately by a representative. Among the options to
consider are informing callers that their call will be answered in the order that it is
received or enabling callers to leave a voicemail message.
5.
Upon entering a courthouse, many customers need basic information about
the court system and the location of specific courtrooms or offices.
Finding
Many customers are in search of information or direction upon entering the courthouse or
Clerk’s Office. In many instances, they are requesting information about other agencies,
such as the Secretary of State, that the Clerk’s Office does not know.
Recommendation
An information link with the Secretary of State’s Office should be established so that
Clerk’s Office employees can better assist customer inquiries. In addition, information
desks or kiosks should be placed throughout suburban courthouses to provide customers
with directions and information about the building, office location, and office functions.
In addition, suburban sites should consider establishing a general information counter
within the office.
6.
The Clerk’s Office has seen an increase in the number of pro-se litigants
(people who represent themselves). Many come to the Clerk’s Office with questions
about the judicial process and legal options.
Finding
In many cases, pro-se litigants come to the Clerk’s Office with basic questions a lawyer
would not need to ask. They indicate that they do not have other sources for assistance.
Many pro-se customers ask clerks for legal help, which they are statutorily forbidden to
121
provide. Consequently, pro-se litigants may not receive information that could assist
them in understanding the legal system because they are not informed.
Recommendation
In conjunction with other justice agencies, there should be a plan to develop and/or
disseminate a pamphlet for pro-se litigants. At minimum, the pamphlet should explain
how to fill out forms and the rules and expectations for representing oneself in court.
IV.
1.
There is a concern that the number of staff, both supervisory and clerical, is
insufficient to handle the workload. Clerks have seen an increase in volume without
a corresponding increase in staff, reevaluation of job responsibilities, or sufficient
retraining efforts to handle the work.
Finding
• There are budgeted positions that are open and have remained open for extended
periods of time.
• The workload is heavy for “floating supervisors” who cover another department when
the permanent supervisor is out of the office for vacation, personal holiday, or illness.
• There is a concern that some positions have ill-defined job descriptions; at the same
time, a demand exists for other positions where one doesn’t currently exist. There is
a need for a computer technical person onsite.
Recommendation
There should be a plan to conduct a comprehensive workload and workflow analysis in
each suburban municipal district office to determine where efficiencies can be realized
with current staff and assess the need for additional staff. The analysis should be based on
statistical trends in the number of cases filed, case activities, customer inquiries,
workflow exchange points, and other measures.
2.
There is a concern that employee training is inadequate.
Finding
Both supervisory and clerical staff acknowledges that employee training needs to be
systematized and rationalized. At present, training is “on-the-job.” New clerical and
supervisory staff is assigned to a supervisor for training. To learn a job and the operations
of the office can take more than two weeks, depending on the aptitude and knowledge of
the new person. Supervisors cannot dedicate sufficient time during this period for training
because they are required to fulfill other job responsibilities and serve customer needs.
Consequently, new staff takes longer to train to become effective in their jobs.
Recommendation
To promote greater understanding and knowledge of operations among employees, there
should be some consideration in creating the position of trainer for back office operations
and trainers for civil, criminal and traffic court clerks. Back office operations include
122
case initiation, counter service, file storage and retrieval, warrant processing, and others.
Court clerk operations include coding and entering judicial orders. Since orders vary in
complexity based on the type of case, the Clerk’s Office may need to create separate
trainer positions for criminal, traffic, and civil cases.
3.
There is no overall clear career path for employees.
Finding
Both collective bargaining unit and managerial employees are often on the job for years
without a promotion or career advancement opportunities.
Recommendation
There should be a plan to create documents that describe career paths for employees
entering the system.
4.
Currently, counter service staff and cashiers receive the same grade under
the personnel classification system.
Finding
Cashiers are subject to disciplinary procedures, including restitution, for cash overages
and shortages. This creates a disincentive for employees to assume the responsibilities of
the position.
Recommendation
The position of cashier should be reevaluated to assure accurate and complete cash
management. This re-evaluation should include a review of the cashiering practices of
other major organizations. The review should look at other government agencies in Cook
County that collect money, large retail stores, and the banking industry.
5.
The structural difference between the downtown Chicago operations and
suburban municipal districts operations have been recognized by the Clerk’s
Executive Office.
Finding
To ensure a fair and balanced representation of suburban offices in policy and program
planning decisions, the new position of Associate Clerk for Suburban Operations has
been established by the new administration.
Recommendation
The Associate Clerk should work with suburban chief deputy clerks and other associate
clerks to identify and rectify any remaining structural concerns, including
communications with the Executive Office.
123
THE HONORABLE
DOROTHY BROWN
OF COOK COUNTY
TRAFFIC BUREAU SUBCOMMITTEE
Arthur F. Hill, Jr., Chair
Kyra S.G. Payne, Co-Chair
Valerie Steele Holden, Co-Chair
Ron Archie
Demetrio Garza, Jr.
Sylvia Y. Jones
Casandra Lewis
Sandra Ramos
Jarvis Williams
Law Offices of Kyra S.G. Payne
Meiosis, LLC
Velma Butler & Company, LTD
Jesus Perez & Associates
Office of the Cook County Assessor
Law Offices of Casandra Lewis
SG Ramos & Associates
SEIU
125
TRAFFIC BUREAU
I.
INTRODUCTION
The Clerk’s Traffic Bureau Offices in the First Municipal and Suburban Municipal
Districts are responsible for major and minor traffic violations that occur in their
respective districts. The Bureau maintains records and collects fees and fines for all cases
involving traffic violations (excluding parking tickets in the First Municipal District).
Most Traffic Bureau case files are retained for five years and are then destroyed, pursuant
to the statute. Other case files are held for a longer period of time.
The Traffic Subcommittee set out to discover the state of affairs in the Traffic Bureau and
make recommendations for improvement. Over the course of three months,
Subcommittee members met several times to learn about operations in the Clerk’s Office,
discuss interview strategy, and compile report findings and recommendations. The
Subcommittee examined thee areas of operation within the Traffic Bureau:
•
•
•
information systems—understanding the levels of technology in place and
identifying ways to improve them;
customer service—exploring the needs for certain tools, training, and technology
to provide better customer service; and
employee training and development—identifying the needs of training for the
entire staff of this division.
To learn about operations and make recommendations for improvement, the
Subcommittee interviewed seven members of the Clerk’s Office staff from the Traffic
Bureau. For the interview sessions, subcommittee members divided themselves in two
separate groups. Each employee was interviewed separately by one of the
Subcommittee’s interview teams. What follows is a summary of the detailed findings and
their respective recommendations.
II.
INFORMATION SYSTEMS
1.
There is a lack of real-time update of the cash registers from the courtrooms.
Finding
If the cash registers were linked to the courtrooms, it would cut down on waiting time,
reduce paper, and eliminate redundancy. The system could also settle ticket
discrepancies.
Recommendation
The Traffic Records Information Management System (TRIMS) should be integrated
with the cash registering system. An integrated information system can increase the
timeliness, accuracy and completeness of the electronic docket for traffic cases. This
would eliminate redundant data entry.
127
2.
There is no linkage between the Clerk’s Law Enforceme nt Warrant System
(CLEWS) and the Traffic Records Information Management System (TRIMS).
Finding
There is a need for a linkage between the CLEWS and TRIMS systems. If there was a
linkage between the two systems, TRIMS would contain accurate and up to date warrant
information that could be retrieved in a timely manner. According to the Clerk’s Office
staff, a linkage was promised but never delivered.
Recommendation
There should be a plan to integrate the TRIMS system with the CLEWS system.
3.
The Traffic Bureau has implemented a Quality Control Team that reviews
and compares court sheets, traffic tickets, and cash reports with information stored
in the electronic docket for accuracy.
Finding
The Quality Control clerks focus on the register and transaction number as well as all
fines and fees. Their duties are to make sure that all applicable mandatory fees as well as
court ordered fees and fines are recorded into the electronic docket. If there are errors,
they are flagged and corrected by the Quality Control clerk. These errors are logged and
the courtroom clerks are then notified of their errors.
Recommendation
There is no recommendation to change this function.
4.
The current information system (TRIMS) has limited capabilities to permit
ad hoc inquiries because the system is built upon antiquated hardware.
Finding
Recently, the TRIMS system was updated with data tables. This allows for quick changes
and updates to be preformed by non-programmer personnel. Getting statistics is much
faster with the new structure of TRIMS. Navigation is easier because the key functions
are located in a table on the screen. Descriptions are on all screens (i.e., charge, and
dispositions) and browse screens are available for most table information.
However, the information is collected on 3270 terminals and maintained on an IBM
mainframe. Information is printed on paper reports and, in some cases, from microfiche.
There are few PCs in use for collecting, maintaining, and reviewing case information.
Recommendation
In order to maximize the function of TRIMS, there should be a plan to update the
hardware that runs the system. In addition, more PCs should be purchased to enable the
staff to collect, maintain, and review the information more efficiently.
128
5.
The use of electronic complaint devices (currently used for parking tickets by
some municipalities) has helped to improve the maintenance and processing of
traffic records.
Finding
Police officers in some jurisdictions currently use electronic complaint devices for
issuing parking tickets. The use of the devices could eliminate re-keying errors when
cases are initiated into the Clerk’s electronic docket.
Recommendation
There should be a plan to work with law enforcement agencies to devise an integrated
plan for implementing electronic ticketing devices. The maintenance and processing of
better records could be realized if police officers used electronic complaint devices. This
would help prevent erroneous data entry of statute citations and other key variables.
Public safety could be enhanced with these devices. In addition, the Clerk’s Office would
be able to reassign data entry staff to less tedious and more productive tasks.
III.
CUSTOMER SERVICE
1.
Until recently, there have been delays in delivering fugitive warrants to the
Sheriff’s Office in cases where a traffic defendant fails to show up for jail.
Finding
For traffic defendants who must serve jail time, a judge gives them a date to turn
themselves in to the court at 26th and California. If those defendants do not turn
themselves in to the jail at 26th and California, judge issues an order and a court clerk
prepares an arrest warrant. Although the warrant is completed on the date of issue, the
physical documents are not delivered to the Sheriff’s Office at 39th and California for up
to 24 hours. If the warrant is completed on a Friday afternoon, the document may not be
delivered to the Sheriff until Monday.7
Recommendation
There is no recommendation to change this function. (See footnote below).
7
The problem was with the Clerk’s Office’s internal distribution system. After this finding was identified,
a new system was implemented, which merged the traffic warrant delivery system with the criminal
warrant delivery system at 26th and California. The warrants from both departments are now delivered at
the same time and the same day to the Sheriff’s Office at 39th and California.
129
2.
The Traffic Bureau has a process in place to make staff assignments based on
the volume of customer business.
Finding
The Traffic Bureau identifies customer volume in three ways:
•
•
•
daily court projection reports;
the number of information requests at the counter; and
phone call logs.
Staff assignments are based on a review of each source document.
Recommendation
There is no recommendation to change this function.
3.
Many customers have vague or inaccurate information about the services
that can be obtained at the Clerk’s Office.
Finding
Many customers confuse the record keeping roles of the Clerk’s Office and the Secretary
of State’s Office for moving violations and driver’s license eligibility. Clarification of the
services would require the Clerk’s Office to work with the Secretary of State’s Office to
develop a system of disseminating information about the services offered.
Recommendation
There should be a plan to work with the Secretary of State’s Office to establish a strategic
communications plan for educating the public about the information and services offered
by each agency. Exchange of information about the services of the Secretary of State’s
Office and the Clerk’s Office could enhance customer service for both agencies. The
back-and-forth action of customers trying to have their questions answered is time
consuming and costly. Therefore, the linkage between the two offices would ensure that
accurate information is being given to our customers beforehand. In all efforts to
disseminate accurate information, both agencies could offer brochures and notices about
specific services and where to obtain them. In addition, the two offices should explore
linkage options that eliminate the need to go back-and-forth between the offices. This
will directly increase customer satisfaction for the customer and/or agencies.
4.
Public perception of the Clerk’s Office has been impacted because service
was not executed in a timely and courteous manner.
Finding
There have been instances when customers wait in line for service while counter staff
was either conducting personal business over the telephone or talking among themselves.
130
Recommendation
Information booths should be made available to the public. Also, touch-screen format
public terminals should be used to provide information. Currently, the Clerk’s Office
provides staff support at two information booths in the Daley Center. Information booths
should contain information about all services offered, contact information, and general
departmental listings. Brochures, pamphlets, and other literature should also be available
to customers. This would help inform customers about the services offered throughout
the Clerk’s Office.
5.
Traffic offenders who have been ticketed but who are not required to appear
in court do not have the option of paying their fines at a Clerk’s Office location of
their choosing.
Finding
Currently, traffic offenders have the option of paying fines through the mail. There is a
need for a system in which traffic offenders can pay fine and fee payments at any Clerk’s
Office location that could increase customer satisfaction and improve service.
Recommendation
There should be a plan to allow customers to pay fines and fees at a Clerk’s Office
location of their choosing. Allowing customers to pay their fines at the location of their
choice increases customer satisfaction. Integration of the information systems will be
needed to assure that ticket and fine information is accessible throughout Cook County.
IV.
1.
The Clerk’s Office provides customer service training upon request of the
manager or supervisor. There is a lack of continuous training on customer service.
Finding
In the past, there was not enough emphasis placed on customer service training. By
reinstating training programs, employees would benefit from training on conflict
resolution, courtesy, customer service, and telephone etiquette. These types of trainings
would empower the employees to provide the highest level of service in a timely and
efficient manner.
Recommendation
It should be a priority to provide on-going training in customer service. Customer service
training should focus on topics such as conflict resolution, courtesy, and performance
measures for employees. In addition, ongoing training would provide employees with
information on new laws, practices, and technological advancements that would empower
the employees and increase the efficiency and effectiveness of customer service. It would
also reinforce the mission of the Clerk’s Office, which is to provide the highest level of
service possible in a timely and cost efficient manner.
131
2.
Many employees of the Clerk’s Office are requesting additional training to
upgrade their knowledge and techniques for their specific job functions.
Finding
Since a large part of the Clerk’s Office employees’ jobs deals directly with assisting
judges in the performance of duties, employees are asking for ongoing and updated
training on new laws, procedures and technology that affect the services of the Traffic
Bureau. Employees could benefit not only with instruction on new laws and procedures,
but why the new laws and procedures were enacted.
Recommendation
There should be a plan to incorporate more training options to update Clerk’s Office
employees on new laws, procedures and technology to maximize the efficiency and
productivity of the Bureau.
3.
Employees are encouraged and afforded the opportunity to cross train in all
areas of the Traffic Bureau. By cross training, the clerks can add skills and abilities
when bidding for promotions.
Finding
Although cross training is not mandatory, it is highly encouraged. Clerk’s Office
employees are divided about the issue. Some employees view cross training as a good
innovation to bring about a more informed employee base to the Clerk’s Office. In
contrast, some employees of the Clerk’s Office may not be comfortable in the transition
of performing a new, challenging task.
Recommendation
An effort should be made to cross-train a percentage of employees in all the functions of
the Traffic Bureau. The Clerk’s Office needs a pool of permanent employees who are
cross-trained in multiple areas. They would be given temporary assignments in
departments where employees are absent or excused from work. This would prevent
backlogs from developing.
4.
There is no formal training on how to use the PCs and the software for
employees in the Clerk’s Office.
Finding
During orientation, new employees learn how to use the electronic docket. But there are
no training sessions that address all other aspects of the PCs that are used by employees
daily. For example, the PCs used in the Clerk’s Office have useful software where notes
and other messages can be captured and word processing documents are stored. One
employee uses the computer monitor as a message board, sticking post-it notes and other
important messages to it. This devalues the computer and its intended uses. If there was
formal training that introduces the different features and software, the computer can
prove to be more efficient.
132
Recommendation
As part of the orientation sessions, mandatory PC training should be held to introduce
new employees with some of the software applications available on the computer. In
addition to familiarizing the new employees with the electronic docket, the trainers
should introduce software applications such as Microsoft Word, Access, Excel, etc. This
is maximizing the efficiency of the computers available to employees. More advanced
training on the software applications should be offered as time progresses, to all
employees.
5.
There is a lack of written procedures for the various functions within the
Clerk’s Office for staff.
Finding
Some functions within this division, such as retrieving information from microfiche, are
very dependent upon certain employees being there to perform the task. Also, there is a
heavy dependence on verbal instruction from more knowledgeable employees. A central
written source for instructions or training on the different functions and tasks performed
in the Clerk’s Office, would lessen the dependence on verbal instructions.
Recommendation
There should be a plan to develop written procedures manuals that provide instructions
for all functions within the Clerk’s Office. Procedures manuals could be made available
to those who are uncertain about specific functions in the Clerk’s Office. This would also
shift training responsibilities from the skilled worker to written instructions.
133
THE HONORABLE
DOROTHY BROWN
OF COOK COUNTY
SUPPORT FUNCTIONS SUBCOMMITTEES
FINANCE BUREAU
HUMAN RESOURCES BUREAU
INSPECTOR GENERAL
MANAGEMENT INFORMATION SYSTEMS
PUBLIC INFORMATION
RECORDS MANAGEMENT BUREAU
135
THE HONORABLE
DOROTHY BROWN
OF COOK COUNTY
FINANCE BUREAU SUBCOMMITTEE
Charles A. Burbridge, Co-Chair
Velma Butler, Co-Chair
Alice Davis
William Goodall
Ricardo Johnson
Marva Land
Serethea Matthews
Lester H. McKeever
Debra R. Parker
Adrianne Spivey
David J. Stewart
Gladyse Taylor
David H. Voss
Barbara D. White
Joyce Willis
KPMG
Velma Butler & Company, LTD
MO Speedway
Goodall, Kenner & Associates, PC
REJ & Associates
St. Luke’s COGIC
Salomon, Smith, & Barney
Washington, Pittman & McKeever, LLC
Bank One
Deloitte & Touche, LLP
Amalgamated Bank of Chicago
Soft Sheen Flash Carson, Inc.
First Bank of the Americas
Barbara White & Company
National Association of Negro Business
Professional Women
Charles J. Wright Coldwell Banker
137
FINANCE BUREAU
I.
INTRODUCTION
The Cook County Clerk of the Circuit Court’s Finance Bureau consists of the
Accounting, Payroll, Budget, and Purchasing departments. With the exception of the
Accounting Department’s handling of money collected within the Clerk’s Office, all the
departments’ policies and procedures are established by the Cook County Government.
For example, payroll policies such as pay rates and job descriptions are handled by the
Cook County Government. The Clerk’s Office payroll functions consist of the entry of
hours worked. Promotions and other personnel and pay rate changes must be approved
by the Cook County Government.
The Clerk’s Office must also comply with the Cook County Government policies and
procedures for budgeting and purchasing. There are limited opportunities to make
changes that do not require the approval of the Cook County Government. Therefore,
this report concentrates mainly on improvements that can be made in the Accounting
Department.
Nevertheless, there are significant opportunities throughout the Finance Bureau to
provide enhanced customer service and training opportunities to maximize the benefit
derived from the improvements in automation. Improvements in automation can result in
improved customer service through shorter wait times and improved payment accuracy.
It can also be used in the delivery of training to enhance staff performance through
structured training programs.
The Finance Bureau Subcommittee’s objectives were to discuss and analyze the
operations of the Accounting, Payroll, Budget and Purchasing departments inherited from
the previous administration and to make recommendations for improvements related to
information systems, customer service, and employee training and development.
Subcommittee members met with the department heads and staff to discuss operations,
obtain background information, discuss opportunities for improvements in staffing,
training and technology and to develop recommendations.
The discussions and
information requests were centered around the three issues as follows:
•
•
•
information systems – understanding the levels of technology currently in place
and identifying areas for improvement;
customer service – exploring the service needs to recommend opportunities for
improvement; and
employee training and development – identifying the need for training; and
opportunities for staff development.
139
II.
ORGANIZATION OF FINANCE BUREAU
1.
Accounting
The Accounting Department is responsible for recording money collected in the form of
fees and fines related to the court actions in Cook County. Fees and fines collected relate
to traffic, criminal and civil suits, claims from mortgages, foreclosures, arbitration and
other real estates actions, activities related to wills and other proceedings, child support
payments, as well as many other court activities in the Cook County Court system.
The Accounting Department is also responsible for maintaining accurate and reliable
records related to the monies collected, determining amounts other governmental
agencies are required to receive from fees and fines collected and transmitting such
monies to the appropriate agencies.
Since many of the accounting functions are
performed outside of the Accounting Department and systems are not fully automated
and/or integrated, much duplication occurs.
The accounting system is primarily manual. Several systems are automated:
•
•
•
•
the ACCPAC software system, which has summary information from the
Accounting Department on an Excel spreadsheet as discussed below;
the Traffic Records Information Management System (TRIMS) used by the
Traffic Division;
the Transfer Key Information Delivery System (TKIDS) used by the Child
Support Division; and
the cashiering systems used throughout the various divisions.
Revenues are recorded under the cash basis of accounting. Revenues collected equal
revenues recorded and/or reported.
2.
Budget, Payroll, and Purchasing
The Budget, Payroll and Purchasing departments differ from the Accounting Department
in that they primarily serve internal customers.
The Budget Department prepares
information on the Clerk’s Office’s organization structure, staffing, resource needs and
performance to be used by the Cook County Budget Department in preparing the
President’s Budget recommendations. The Clerk’s Office’s Budget Department prepares
any needed information to support requests to amend the President’s recommendation
and monitors implementation of the final budget.
Throughout the year, the Budget
Department works with the management team to insure appropriation authority is
sufficient to meet the needs and, if necessary, prepares transfer requests.
Since Cook County enforces position control through the budget, the Clerk’s Office’s
Budget Department must actively monitor the budget to insure the personnel needs of the
Clerk’s Office are accommodated by the budget and, if necessary, process changes.
140
The Payroll Department processes the time and attendance information for Clerk’s
Office’s employees and forwards the necessary data to the County’s central Payroll
Department in the Office of the County Controller. Clerk’s Office’s payroll personnel
must monitor time and attendance data to insure employees are paid in accordance with
County policies.
Finally, the Purchasing Department compiles the requests for goods and services from
Clerk’s Office’s departments and prepares the supporting information needed by the
County Purchasing Agent to issue a bid. The Clerk’s Office’s Purchasing Department
insures that the appropriate funds are available and that the specifications are accurate.
The Department also assists in evaluating prospective vendors.
III.
INFORMATION SYSTEMS
1.
The Accounting Department uses the automated ACCPAC accounting
system. Only the gene ral ledger module is used. The Department has not purchased
the accounts receivable or accounts payable modules. Accounting information from
the cashiering system is entered into an Excel spreadsheet, then, manually entered
in the accounting system.
Finding
The ACCPAC accounting system has been structured in “company” form, whereby each
agency division is setup as a company. Each company has its own general ledger and
chart of accounts. The divisions use the same general ledger account numbers for each
company. Therefore, the general ledger can be summed up into the Clerk’s Office’s
enterprise−wide financial statements.
Each division is assigned an accountant. The accountant is responsible for maintaining
the division’s accounting records in the ACCPAC accounting system. The accountants
receive monthly cash receipts records. These records are used to record the monthly
revenues.
The accountant verifies revenue amounts on a daily and monthly basis. Daily activities
consist of receiving all of the deposit slips and cash register reports for the revenue
received each day and matching them to the cashier’s ring-out reports. The cash register
reports are used to help identify and verify any overpayments that may require a refund.
An excel spreadsheet is then prepared.
Month end activity consists of receiving the cash receipt journal from the field auditors
and bank statements from the banks. The accountant reconciles the cash receipt journal
to the above-cited accountant prepared excel spreadsheet to ensure that both agree. The
accountant then traces and agrees the amounts from the cash receipts journal to the bank
statements.
Once the preceding has been completed, the accountant uses the cash receipts journal to
identify the payments to be issued to the appropriate agencies. The accountant submits
141
the excel spreadsheet to the disbursing accountant who manually prepares the checks to
the different agencies.
Once all the revenue has been adequately accounted for, the accountant prepares journal
entries to be posted to the ACCPAC system, which consist of the amounts collected, and
amounts due or paid to the various governmental agencies. The Accounting Department
manually prepares checks to transmit fines collected for other jurisdictions.
Since the Clerk’s Office has not purchased the accounts payable module, checks must be
written manually. The Accounting Department currently manually writes about 700
checks each month.
Recommendation
The Clerk’s Office should purchase the accounts payable and receivable modules and
interface the ACCPAC system and the cashiering system for the accounting department.
Accounts payable information should be automatically passed to the accounting systems
and checks automatically written from the accounting system.
2.
The Traffic Records Information Management System (TRIMS) is not
interfaced to the cashiering system. As a result, cashiers cannot automatically use
ticket information from TRIMS.
Finding
While TRIMS maintains up-to-date traffic information, the lack of a connection between
TRIMS and the cashiering system precludes TRIMS from validating information entered
by the cashier into the cashiering system. Ticket information must be re-entered into the
cashiering system before payments can be processed. Additionally, changes to tickets
made by judges must be entered into both TRIMS and the cashiering system. This
sometimes leads to errors, such as entry of the wrong information.
Recommendation
The TRIMS system should be connected to the accounting system
system. TRIMS data should be automatically transmitted to the
TRIMS revenue data should also automatically be transmitted to the
This transmission should include all revenue, including fees waived or
This would provide the Clerk’s Office a more accurate accounting of
fees assessed (receivables).
142
and the cashiering
cashiering system.
accounting system.
reduced by judges.
the total fines and
3.
The current process of updating TRIMS and cash registers is inefficient and
cumbersome.
Finding
The current system is constructed as follows:
Step 1- Examining the traffic ticket to obtain TRIMS information.
The cashier uses TRIMS to review ticket information, including case number, the
individual’s name and the amount of the fine.
Step 2 - Verifying the ticket and payment amount due as listed in TRIMS.
The cashier compares the ticket presented to the data in TRIMS to ensure that both agree.
TRIMS is not connected to the cashiering system. Consequently, it cannot validate the
cashier’s transaction.
Step 3 - Inserting the traffic ticket into the register and stamping the ticket.
Step 4 - Collecting payments.
The cashier uses pre-programmed register keys based on the ticket and TRIMS data. The
cash register creates two receipts, a white copy that is issued to the person making the
payment and a yellow “carbon” copy that is retained by the register.
Step 5 - Issuing the person making the payment the white register created receipt.
Step 6 - Filing the traffic ticket and any accompanying records that were presented.
Recommendation
To reduce redundant data entry, the Clerk’s Office should integrate the TRIMS and
cashiering system. This would reduce the amount of time needed to process ticket
payments and would lead to more accurate and complete electronic dockets for traffic
cases.
4.
Within the last year, the Clerk’s Office implemented new procedures for
correcting financial and disposition records on TRIMS. However, the process has
not been reviewed to determine its effectiveness.
Finding
The Clerk’s Office has 60 days from the end of a month to disburse traffic fines to
municipalities. To meet this obligation, the Clerk’s Office must close out traffic fine
transactions in a timely manner. This includes making any corrections to the financial and
disposition entries on TRIMS. For clerks and managers in the Traffic Bureau, the
correction period will last until the Comptroller’s Office closes out a particular date.
After the closing date, only the financial auditors are authorized to make financial
changes. For dispositions, only senior managers in the Traffic Bureau are authorized to
make changes. These correction procedures were implemented within the last year.
However, the effectiveness of the procedures has not been evaluated.
143
Recommendation
The Clerk’s Office should evaluate the procedures for correcting financial and disposition
records on TRIMS to determine their effectiveness. The evaluation should include an
assessment of the authorization and security levels in place at various stages of the
process, as well as the timeliness of identifying and correcting any errors.
5.
The current cashiering system is not effectively, reliably, or efficiently
automated.
Finding
The current revenue balancing process involves a significant amount of manual labor.
The cash balancing process requires significant duplication to ensure that the revenue
received each day is fully accounted for and correctly classified for later distribution to
related agencies.
Apparently, there is little reliance on the current cashiering system’s
ability to correctly record and account for all of the revenue that it processes.
From time to time, cash registers fail and must be turned off and restarted. This requires
that all revenue received up to that point be completely accounted for and that the register
be repaired. Consequently, revenue-receiving operations are adversely affected and extra
time and effort must be expended to account for the revenue.
Recommendation
Consideration should be given to replacing malfunctioning registers with new registers
that are compatible with the TRIMS and accounting systems and that has an automatic
backup and restore function.
6.
There is a procedure in place to close out registers and verify receipts against
revenues. However, the process is cumbersome.
Finding
The process begins with the cashiers closing out. The log out process consist of recording
the current amounts in the cash register as follows:
•
•
•
•
•
counting all of the cash by tender type and amount;
counting all checks by number of checks and related amounts;
reconciling the cash and check counts and amounts to the cash register yellow
“carbon” copy receipts;
making any adjustments resulting from voided transactions and non-fee
payments; and
filling out a cash register balance report that contains the above information.
The report identifies each register and its revenue activity for the day. The revenue
received is taken to the verification room for subsequent review and verification by
revenue verifiers.
144
Verifiers recount and reconcile the revenue in the same manner as the cashier close out.
This includes counting the cash by denomination and related quantity as well as counting
the checks and their amounts. The verifiers reconcile the results to the register tapes,
cashier close out reports and balance report.
Verifiers create a deposit ticket and place it with related revenue in a bag. The bag is
then sealed. The bags are kept in a safe until the armored car company picks them up.
Cash is deposited in the bank account pertaining to each respective district that it was
received from or by the division that it pertains to.
Recommendation
The Clerk’s Office should procure and implement an automated cashiering system that
provides an accurate and reliable daily cash balancing function.
7.
When fines are paid, they are entered into the cashiering system based on the
jurisdiction issuing the ticket.
Finding
Payments are made according to pre-established fine schedules. The fine schedules,
however, were not always updated in the cashiering system. This leads to an uneven
distribution of fines.
Recommendation
The Clerk’s Office should maintain tables with current year and prior year fine
information in the cashiering systems.
8.
The process for verifying revenue collected is extremely tedious and lengthy.
Finding
There is a tremendous amount of duplication of the functions performed by the cashier
during the close out, the field auditor and cashiering manager. All of the functions can be
performed by the system automatically and reports can be produced for review and
verification.
Checks are manually written each month for disbursement of fees and fines to
appropriate parties. The Clerk writes over 700 checks each month.
Recommendation
The Clerk’s Office should fully automate the collection process and ensure that the
system produce automatic end of day and monthly revenue reports that can be verified,
balanced and reconciled to deposits.
145
9.
There is a process in place to audit revenue and ensure compliance with
regulations. However, the Field Audit Division is not always provided with up-todate fee source information and the cashiering system is not always updated with
this information on a timely basis.
Finding
The field auditors ensure that each transaction complies with established traffic laws,
rules and regulations on a transaction-by-transaction basis. For example, auditors ensure
that the fine or fee amount(s) are correct and that related and required documentation is
on file.
The financial portion of the process focuses on ensuring that all revenue is correctly
classified so that it can be appropriately distributed to internal and external agencies and
divisions.
A record is made of the amounts due each agency or division. The auditors provide the
Accounting Department with payment information and the Accounting Department
issues the checks to the appropriate agencies and divisions.
The field auditor then prepares the daily cash receipts journal. The main purpose of the
cash receipts journals is to verify the revenue received the prior day and to record the
distribution of the revenue across all agencies required to receive a distribution as
required by laws and regulations.
At the end of the month, the cash receipts journal is submitted to the Accounting
Department along with overpayment records, refund records, and refund related check
requests.
A problem exists in updating cash registers with statutory changes in fees. Due to the age
and condition of the registers, new programs do not run efficiently. Staff notes that a time
lapse can exist between the date a statutory fee change becomes effective and the date
that the registers are able to run new programs. Consequently, the reports that are
generated by the cash registers often contain old fee information that must be corrected
by field auditors.
Recommendation
The Clerk’s Office should take steps to ensure that the Field Audit division is provided
with up-to-date fee source information and that the cashiering system is updated with this
information on a timely basis.
146
10.
The County’s financial management system, known as Financial
Management Information Systems (FMIS), is not fully deployed in the Clerk’s
Office to all appropriate staff. Budget and purchasing modules have been
implemented in the Clerk’s Office, but some duplicative processes still remain. In
addition, the Payroll Department is not yet integrated into the FMIS system.
Finding
Budget
The FMIS Budget module, which includes budget and expenditure data, has led to more
accurate and complete records. However, the process of updating the County’s general
ledger under FMIS can occur up to three weeks after expenditures occur. Consequently,
the Clerk’s Office may not have the most up-to-date expenditure reports.
Purchasing
The County purchasing processes require duplication of effort to monitor purchases.
Staff in the Clerk’s Office must enter all data into FMIS and then prepare a hard copy
requisition with all of the same information. This reduces the Clerk's Office's ability to
secure goods and services in a timely manner.
Payroll
The Clerk’s Office’s payroll system is not linked to the County wide-area network
(WAN) due to the lack of structured wiring throughout the Clerk’s Office. Consequently,
the Division timekeepers enter information on to the Clerk’s MIS system. Subsequently,
staff in the MIS Department copy the records to a disk and walk the disk over to the
County, where the information is uploaded into the FMIS system. This process is
cumbersome and inefficient.
Recommendation
Budget
To develop more timely expenditure reports, the Clerk’s Office should develop a
relational database for its internal use. Relational database systems store data in the form
of related tables. They are powerful tools for analysts because they require few
assumptions about how data is related or how it will be extracted from the database. As a
result, the same database can be viewed in many different ways.
Purchasing
The Clerk’s Office should work with the County to reduce the number of duplicative
processes for requisitioning goods and services.
Payroll
The entire Clerk’s Office should be linked to the County Wide Area Network (WAN) as
soon as possible to provide Division timekeepers with access to the payroll module of
FMIS.
147
11.
Payroll is prepared manually. This increases the effort required to maintain
employee records and raises the potential for errors.
Finding
The payroll process relies heavily on manual forms and data entry. The process is time
consuming and subject to multiple points where data entry errors can occur.
Recommendation
The Clerk’s Office should implement an automated time and attendance system to reduce
the opportunity for errors.
IV.
CUSTOMER SERVICE
1.
Customer service in the Accounting Department is impacted when customers
are not serviced in a timely and efficient manner.
Finding
The cashiering system, the starting point for the accounting process, does not allow for
the efficient processing of data. Since the systems are not integrated clients must wait for
clerks to walk the amount of fees imposed from courts rooms to the cashiering stations.
Recommendation
To reduce customer-waiting time, the Clerk’s Office should integrate the electronic court
docket with the cashiering systems.
2.
While both TRIMS and the cashiering system maintain current fine
amounts, neither system maintains fines pertaining to prior years. As a result, there
have been instances where an individual has tried to pay a fine that pertained to a
prior year and the systems were unable to provide the correct fine amount.
Finding
The TRIMS and cashiering systems do not maintain data on prior year fines.
Consequently, when a prior year fine is paid, incorrect amounts can be entered. Since
these amounts do not agree with pre-programmed fee keys, extra time and effort is
required to research and identify the correct fine amount.
Recommendation
The Clerk’s Office should program the TRIMS and cashiering systems with data on prior
year fines.
148
V.
1.
The skill levels of the staff involved in the Finance Bureau can be greatly
improved through cross training and structured training programs.
Finding
Staff does not have career paths or advancement opportunities. Cross training between
the Purchasing, Payroll, Budget, and Accounting departments does not exist.
Recommendation
The Clerk’s Office should provide cross training to Finance Bureau staff. In addition, the
Office should explore the potential for staff rotation from operating departments into the
Finance Bureau.
2.
Position descriptions do not always adequately describe the functions that
are performed by staff assigned to those positions.
Finding
The staff of the Clerk’s Office tends to be among the lowest graded staff in the Cook
County Government. Unionized staff performs most of the functions. The educational
level is generally high school.
Currently, only two members of the Accounting
Department’s staff are degreed accountants.
Recommendation
The Clerk’s Office should develop job descriptions for every position in the Finance
Bureau. In addition, the Office should make every attempt to hire individuals with
bachelor’s degrees or higher to perform sensitive financial functions.
149
THE HONORABLE
DOROTHY BROWN
OF COOK COUNTY
HUMAN RESOURCES BUREAU SUBCOMMITTEE
Mattie D. Blair, Co-Chair
Robert Wisz, Co-Chair
Frank B. Avila
Peter Garza
Martin P. Greene
Jennifer B. Jones
Timothy J. Leahy
Sandra Reed
Don Turner
BSG Training & Consulting, Inc.
Doreen’s Gourmet Frozen Pizza
Avila Group
Hispanic Illinois State Law Enforcement
Greene & Letts
Phoenix Management Systems, Inc.
Chicago Federation of Labor, AFL−CIO
Chicago Federation of Labor, AFL−CIO
151
HUMAN RESOURCES BUREAU
I.
INTRODUCTION
The goal of the Human Resources Bureau Subcommittee was to examine the state of
operations in the Human Resources Bureau and provide recommendations for improving
services. For this process, the parameters included an examination of the state of the
office technology, the training communication network, and staff understanding of the
policies and procedures that were inherited from the previous administration.
A survey (See Appendix 4) was designed and distributed to the Human Resources Bureau
staff.
In total there were 16 employees in the Human Resources Bureau with 3
employees on leave of absence. The surveys were distributed to 13 employees of which
we received 13 responses. The 13 responses represent a 100% response rate of return.
Where appropriate, recommendations were generated directly from the results of surveys.
The survey was designed to:
•
•
•
•
II.
elicit staffs’ past work experience, skills, and knowledge;
document internal & external staff interactions;
evaluate required/requested training needs; and
provide a forum/opportunity for staff to suggest or make recommendations for
change.
INFORMATION SYSTEMS
There were no findings and recommendations on this topic.
III.
CUSTOMER SERVICE
1.
Employees raised concerns about the need for better customer service
training.
Finding
Concerns were expressed regarding employees who come in contact with Clerk’s Office
clients (general public, judges, and attorneys). Suggestions were made on specific
training required to raise the professional level of this area. The types of training
suggested were:
•
•
•
customer contact training for the clerks working at the counters;
telephone communication skills training to develop voice, diction, listening, and
other applicable customer service related skills; and
courtroom activities training, which includes training on relations between
courtroom clerks, judges, attorneys, and the public.
153
Recommendation
Staff training should include customer service training for the counter clerks and/or
cashiers, and the courtroom clerks; and telephone communication skills training.
2.
Many customers in the Clerk’s Office do not speak or understand English.
Most frequently, the languages spoken are Polish and Spanish. However, basic
information is not readily available in these languages, which can frustrate
customers when they request service or information.
Finding
There is a paucity of signs and directions in languages other than English. This can create
problems in offices where substantial numbers of customers have native languages other
than English.
Recommendation
In districts where a large percentage of the population speaks a language other than
English, the Clerk’s Office should provide staff that can communicate with this
population. In entry points such as the counters, there should be staff available to speak
these languages that may include Spanish and Polish. Directions via literature and signs
in the same languages should be posted also.
IV.
1.
Most of the Human Resources Bureau staff in the Clerk’s Office has had
some computer training; nevertheless, many feel the need for more training.
Finding
In the year 2000, new computers were given to a number of the employees of the Human
Resources Bureau. Most of the staff can perform basic computer operations on the new
systems, but indicate they could utilize the software more effectively if they had more
formalized computer training. Below is a listing of the specific types of computer
software trainings needed.
•
•
•
•
•
•
•
•
•
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Basic computer operation;
E-mail use;
Internet use;
Microsoft Excel;
Microsoft Access;
Microsoft PowerPoint;
Clerk of the Circuit Court Web site access and use;
Lexis; and
In-office access to the Financial Management Information System (FMIS)—Staff
must currently leave the building to gain access).
Recommendation
Staff should be formally trained on computer software to include Windows, E-mail,
Internet, Microsoft Windows, Excel, Access & PowerPoint; use of Clerk’s Website, and
Lexis-Nexis.
2.
There are several impediments associated with using the current training facility
effectively.
Finding
The Clerk’s Office’s conference room serves as a training facility for data entry clerks
and other staff. However, the room is inadequate for training because it is too small and
noisy. Secondly, when training programs have been offered, many staff do not attend
due to heavy workloads, work schedules and non-cooperation with their superiors in
sending them to scheduled trainings.
Recommendation
The Clerk’s Office should acquire more space for training staff on various office
functions. This will enable trainers to accommodate more staff and to schedule more
training sessions as needed. In addition, supervisors should be instructed to be
cooperative in sending staff to trainings.
3.
Staff acknowledges that the Human Resources Bureau has not, in the past,
provided sufficient orientation to new employees about the mission and function of
Finding
Human Resources staff have not, in the past, provided sufficient orientation to new
employees about the mission and the function of the Clerk’s Office. This is partly due to
the lack of an orientation training manual.
Recommendation
The Clerk’s Office should create a training manual for staff in the Human Resources
Bureau to use for new employee orientation sessions. This would help ensure that all new
staff receives the same basic information upon employment.
4.
Federal and state laws regarding personnel management are continually
evolving. Staff in the Human Resources Bureau need to be aware of the rules and
regulation. In addition, they need to understand the terms of the collective bargaining
agreement.
Finding
Because laws and issues in the personnel management area are constantly changing, it is
important to have consistent updates and interpretation of human resource laws so that
staff not only understand the laws, but also are able to correctly interpret them. The
Human Resources Bureau staff indicates they feel that it is also important to maintain an
environment that promotes team building and cooperation. Key areas where additional
155
training might be helpful is in labor relations and negotiations, collective bargaining
agreements and human resources management training. They therefore would like
training in the following areas:
•
•
•
human resource statutes, including the Family Medical Leave Act (FMLA);
seminars on how to manage problem employees, develop people skills, and promote
staff morale; and
how to process Personnel Action Reports, which is the Clerk’s Office’s internal
disciplinary form.
Recommendation
• Staff should have training on the FMLA laws and be provided with continuing
education on updated issues.
• Employees need workshops and seminars on how to manage problem employees,
develop people skills, improve and promote staff morale, and resolve conflicts.
• Staff should receive training on how to complete personnel action reports.
5.
The Clerk’s Office’s attendance and hiring policies and procedures need to be
developed, updated, or clarified to the Human Resources staff. There were a number of
issues raised pursuant to specific policies as follows:
a. Attendance Policy
Finding
A general consensus exists that employees are not happy with the attendance policy.
When employees arrive at work, or leave for lunch or at the end of the day, they are
required to sign time sheets. In some divisions, there is a perception that managers and
timekeepers do not monitor employee timekeeping in an impartial manner. The
timekeeping record system relies heavily on manual procedures, which are subject to data
entry errors. The topic may arise in the next round of collective bargaining.
Recommendation
The Clerk’s Office should review the current attendance policy and determine if it’s
applied fairly to all employees. Management should determine whether to recommend
any changes to the policy in the next collective bargaining session. The managers should
be informed, if applicable, that the attendance policy applies to them as well as all other
staff. Also, the managers and timekeepers should apply the attendance policy fairly to all
employees without showing favoritism and variation. Finally, the Clerk’s Office should
consider implementing a “swipe card system” to manage time and attendance with
impartiality.
b. Development of New Human Resource Policies
Finding
Many staff generally feel that new personnel policies are needed because the current ones
may be out of date. Further they also believe that they should participate in the
156
development of any new policies.
organizational policies and procedures.
Also new managers should be trained on all
Recommendation
The Human Resources policies and procedures should be reviewed to ensure that they are
current.
c. Notification of New Hires
Finding
Staff complained that new employees have been hired in the past by the Clerk’s Office, in
the years past, without prior notification from the Human Resources Bureau. Notifying
the Human Resources Bureau is important because it allows staff time to prepare
information for orientation, including employee benefits and payroll procedures. The
hiring process should be adjusted to immediately inform Human Resources of all new
hires.
Recommendation
When new staff are hired, the Human Resources staff should be involved in the hiring
process from its inception. Staff should be given sufficient time to prepare for new
employee orientation and training. In addition, new employees should receive specific
training on the Clerk’s Office and how it operates.
d. Hiring Standards and Procedures
Finding
In general, some staff feel that employment standards should be raised. Specifically, new
employees should be tested, education requirements validated, and references and prior
employment activities checked. They believe that these standards would increase the
efficiency of organizational operations.
Recommendation
Hiring standards and procedures should be evaluated to ensure that only those employees
meeting these standards are hired. New employees should be given job descriptions and
letters of offer that are explicit in noting the starting date of employment. In addition,
when employee job descriptions change, these changes should be clearly communicated
to the applicable staff person.
6.
Communication seems to not be clear between departments and the Human
Resources Bureau.
Finding
Staff notes that some new operational departmental policies and procedures have not
been explained to the Human Resources Bureau prior to implementation. As a result,
when situations arise that relate to the policies, the Human Resources Bureau staff is not
157
able to assist staff or management on how to interpret the impact of the policy on
personnel.
Recommendation
Changes in office procedures, policies, and employee information (FYI’s) should be
disseminated to employees via office memoranda, but only after prior review and
approval by the Human Resources Bureau, to determine the effect on staff. In addition,
departmental staff meetings should be a regular part of operating procedures. This can
help reduce uncertainty regarding policies and procedures.
V.
OTHER
1.
The ID machines, in the Training Department, are noisy and are disruptive
to daily work and training activities.
Finding
Employees who work in the Training Department area have complained about the daily
disturbances from the ID machines.
Recommendation
Consideration should be made to relocate the ID machine, or change the hours of use.
2.
There is not enough office space for employees to carry out their daily
functions.
Finding
Employees remarked frequently about the inadequacy of the current office space in the
Human Resources Bureau’s main office and Training Department area. Many feel the
spaces are too small, could be organized differently, or the purchase of new furniture
would allow a better fit into the allotted spaces.
Recommendation
A space evaluation should be performed for the Clerk’s Office to effectively allocate
space and furniture in the Human Resources Bureau and the Training Department.
3.
Employees do not have a complete understanding about the dress code.
Finding
Some staff do not understand what articles of clothing are permissible under the dress
code.
Recommendation
The Clerk’s Office should continue to issue memoranda or statements describing the
types of clothing permissible under the dress code.
158
THE HONORABLE
DOROTHY BROWN
OF COOK COUNTY
INSPECTOR GENERAL SUBCOMMITTEE
Fred G. Lebed, Chair
Ronald Blumenberg
John Butts
Bonnie J. Carr
Karla Fiaoni
Anthony Navarro
Jon A. Panozzo
Ronald D. Picur
David R. Ramos
Epylon Corporation
Safe Passage Security Services, Inc.
Oregon Department of Revenue
Carr & Associates
Chicago Heights Police Department
Deloitte & Touche, LLP
Pandolfi, Topolski, Weiss & Co.
Chicago Police Department
159
INSPECTOR GENERAL
I.
INTRODUCTION
The purpose of the Inspector General Subcommittee was to review the state of the
Investigations Division of the Clerk’s Office and make recommendations for improving
operations.
To accomplish this goal, the Subcommittee members interviewed
investigators in the Clerk’s Office. These interviews provided insights and information
on three primary functions—investigation procedures, disciplinary actions, and daily
security activities. The findings and recommendations detailed below are based on the
information collected during the interviews.
II.
INFORMATION SYSTEMS
1.
The computer technology available to staff may be inadequate for completing
investigations in a timely manner.
Finding
Investigative staff is often required to perform job functions off-site and require the use
of a computer and supporting equipment in an effort to keep up with recent challenges.
However, staff lacks access to laptops and other portable technology to conduct
investigations at multiple sites.
Recommendation
Laptops, scanners, cameras, and e-mail should be made accessible to the investigators to
improve the efficiency of multiple site investigations. The Clerk’s Office should include
requests for laptops in the budget request for the next fiscal year.
III.
CUSTOMER SERVICE
There were no findings and recommendations in this area.
IV.
1.
There is a lack of understanding of the role of investigations by supervisors.
Finding
In many instances, supervisors will call an investigator to discipline an employee who has
violated office policies and procedures. The violations do not necessarily rise to the level
of an investigation. This reflects a lack of training for supervisors in regards to the proper
disciplinary process. The Office must have the proper training to deal with such issues in
a quick and effective manner.
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Recommendation
There should be a plan to provide additional training to supervisors on the progressive
discipline system currently in place. Supervisors should be trained on the proper methods
to handle minor infractions, as well as first and second employee offenses to prevent the
unnecessary involvement of investigative staff.
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THE HONORABLE
DOROTHY BROWN
OF COOK COUNTY
MANAGEMENT INFORMATION SYSTEMS
SUBCOMMITTEE
Richard C. Powell, Chair
Martin Castro, Co-Chair
Michael Madden, Co-Chair
Guthrie B. Adams, Jr.
Patrick H. Arbor
Tyrone J. Brown
Doris C. Davenport
Lucille R. Dobbins
Kenneth Edwards
John Foster
Thomas D. McElroy II
Maureen Palmer
Ricky Penick
Robert T. Starks
Nicholas C. Syregelas
Abel Turrubiartes
IBM Global Services
Castro, Gomez, Durbin & De Jesus, LLC
Madden Consulting Group
First Bank of the Americas
Information Systems Consultants, Inc.
The Foster Group
Goodall, Kenner & Associates
The Foster Group
The Foster Group
LEVEL−(1) Global Solutions, Inc.
Pandolfi, Topolski & Weiss
Penick & Associates
Northeastern Illinois University
Law Office of Nicholas C. Syregelas
The Abel Group
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MANAGEMENT INFORMATION SYSTEMS (MIS)
I.
INTRODUCTION
The mission of the MIS Subcommittee was to document findings and recommendations
that will address the three strategic priorities of the Clerk of the Circuit Court: modernize
information systems, improve customer service, and strengthen employee training and
development.
The MIS Department is responsible for the development and maintenance of the agency’s
automated information technology and electronic records. Each day, the Bureau generates
printouts for judges to use in every courtroom to record orders. The Bureau provides
technical support and programming for user requests within the Clerk’s Office, external
judicial agencies, the media, and the general public. In addition, the Bureau scans and
microfilms hundreds of court records for permanent offsite storage.
The MIS Department is organized into three major sections: systems software, operations
and technical requests. The Systems Software section manages the mainframe hardware
and software inventories, coordinates telecommunications requests, and automates Office
processes such as e-mail. The Operations section is responsible for maintaining the
mainframe-based operating system and processing batch runs for updating the electronic
docket. Finally, the Technical Requests section analyzes procedures and data needs for
each of the major bureaus within the Clerk’s Office and writes programs to meet the
needs.
The MIS Subcommittee interviewed a sample of Methods and Procedure Analysts,
System Analysts, Programmers, Managers, and Help Desk personnel to determine the
state of operations within the MIS Department. The Subcommittee conducted a total of
eight interviews with staff and compiled an extensive list of supporting documentation.
Since the charge of the Subcommittee was primarily strategic, the interviews focused on
major issues of strategic importance as opposed to day to day tactical matters.
There were several findings noted during the interview process and in the analysis of the
supporting documentation. Many of these findings are interrelated. Accordingly, several
of the recommendations will be interdependent. Recommendations in this report will help
the Clerk’s Office implement new technology and processes for court operations,
modernize communications to ensure fast and accurate information exchanges and
enhance applications for enterprise-wide support functions.
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II.
INFORMATION SYSTEMS
1.
There is a lack of a Systems Development Life Cycle methodology or SDLC.
As a result, the MIS Department lacks standardized industry approaches for
comprehensively managing its operations.
Finding
Lack of a SDLC has several consequences:
•
•
•
•
•
Projects designed to meet strategic goals may lag in completion and result in
additional costs.
Communication regarding technical standards, content of projects, expectations and
completion criteria would be poor or non-existent.
Project changes could be made without a common process for gathering, managing,
communicating or documenting change requests, assessing their impact/cost or
documenting changes.
Lack of risk management process precludes the Clerk’s Office from adequately
assessing risk and its potential impact on a given project, and inhibits the Clerk’s
Office from understanding and taking the appropriate action to avoid or minimize
risk.
Lack of a developed SDLC methodology minimizes the Clerk’s Office’s ability to
prioritize projects and to assign value criteria (such as “mission critical,” “critical
path,” and “early win”) to various operations and processes.8
Recommendation
The Subcommittee recommends the following actions for addressing methodological
issues:
a. Adoption of Project Management Methodology
• implement a formal project management methodology, such as Project Office or
Project Management Institute (PMI) methodology. At the very minimum, the
methodology should address objectives, milestones, completion criteria and
communications;
• use a common project management tool (e.g. MS project);
• train management & staff on effective project management;
• build a comprehensive project plan for MIS and vendor projects for the Clerk’s
Office. Engage all levels of management, MIS staff and vendors in the development
of this plan; and
• review the project plan (progress/problems) with all levels of Clerk’s Office
management including MIS at periodic intervals (e.g. monthly) and address open
issues.
8
A project is “mission critical” if it is required in order to keep the Clerk’s Office running. “Critical path”
is the sequence of critical tasks that ends on the latest finish date. The finish date of the last task in the
critical path is the project finish date. Critical tasks must finish on time to finish the project. “Early win”
refers to a small project in which a quick success is realized.
166
b. Project Prioritization
• develop and implement a prioritization framework that defines the value criteria for
projects (e.g. mission critical, critical path, early win, etc);
• prioritize projects based upon this value framework;
• project sponsors should submit business plans with their project requests. These
business plans should be standardized, documented and communicated; and
• allocate funding in line with project prioritization.
c. Project Scope Management
• develop and implement a formal change process, which includes:
q a method for submitting change requests,
q a change request log,
q procedures for reviewing and determining if change will be implemented,
q documentation of changes being implemented, and
q communication of change request status to requester; and
• implement verification process to ensure that requirements are properly reflected in
Clerk’s Office’s projects.
d. Risk Management
•
incorporate a risk management plan as a component of every project plan;
•
conduct weekly status meetings on all projects underway, which includes:
q identification of risks,
q sizing of impact(s) of risk, and
q proposed solution to mitigate or monitor risk; and
• ensure that vendors who are performing project-related work are delivering risk
management plans as part of their contracts.
2.
There is a need to conduct a risk assessment of the Clerk’s Office’s
operations and processes with the goal of establishing a formal disaster recovery
plan and a contingency plan.
Finding
As noted in Finding No. 1 above, the Clerk’s Office needs to understand its risk
exposures in order to develop mitigation strategies. The agency's current disaster
recovery plan is limited to maintaining computerized information at an off site location.
While the agency has a process in place for protecting its digital assets through backup
data storage, no methods are in place to ensure continuing business operations by using
these assets during or after a disaster that directly affects or impacts operations within the
agency. In the event of a disaster, the Clerk’s Office would be unable to meet demands
from courts, attorneys, law enforcement or the public within a reasonable and established
time frame. Similarly if a disaster were to occur, the Clerk’s Office would not have
operational direction due to the lack of a contingency plan.
Recommendation
A risk assessment should be conducted for the Clerk’s Office’s operations and processes.
This assessment should identify: (1) exposure areas for mainframe and personal computer
167
applications, interagency access to information, remote access, data migration, and
finance; and (2) the impact of various disruptions in operations in the event of a disaster.
A disaster recovery plan should be prepared to address risk areas identified in the risk
assessment. The plan should at minimum identify key personnel and their
responsibilities, procedures for recovery of operations and a technical backup approach
(e.g. hot site, warm site or cold site). The plan should be tested at least annually. Finally,
a contingency plan should be developed that details how the operations of the Clerk’s
Office would continue while recovering from a disaster.
3.
The Clerk’s Office’s MIS processes often do not include clearly defined
policies and procedures, performance measures for staff and service providers,
planning for system improvements, and effective communications with external and
internal customers.
Finding
Policies and procedures for basic MIS processes are not always documented. In addition,
in the past, MIS has lacked an overall plan to update information systems and improve
operational efficiency. Furthermore, there does not appear to be a linkage of MIS goals
and objectives to MIS staff objectives and performance, as well as service level delivery
agreements with providers. Lastly, the MIS Department does not appear to have had, in
the past, an effective strategy for educating external and internal customers about the
Clerk’s Office’s information systems.
Recommendation
As the Clerk’s Office prepares to implement new administrative systems, it should
reexamine the MIS processes these systems are designed to enhance and ensure that these
processes are fundamentally sound before linking them to new systems. Specific
recommendations are listed below.
a. Documented policies and procedures
• redesign key MIS processes to “weed out” non-value added steps and redundancies;
• document and implement key MIS process and procedure, including:
q request for service,
q help desk/problem management,
q security management,
q backup and recovery,
q service level agreements,
q project management,
q change management,
q issue resolution, and
q understanding internal and external customer requirements; and
• assign “owners” to MIS processes and procedures.
168
b. Performance measures and accountability
• ensure that MIS service providers establish service delivery levels through service
level agreements;
• conduct annual County wide surveys; and
• develop goals and objectives for MIS staff, linking these objectives to performance
reviews and incentives where possible.
c. Planning
• develop and implement a comprehensive MIS strategy for the Clerk’s Office, with
input from the President of Cook County Board, the Chief Judge and other county
agency leadership;
• develop and implement departmental MIS plans (ensure the Bureau plans are linked
to and support the Office wide MIS strategy); and
• consider alternative funding methods. (see conclusion and next steps).
d. Communication
• re-evaluate the effectiveness of committees, design clear committee charters and
appoint committee chairs;
• use the new committee structure to facilitate two-way communication between the
Clerk’s Office and the departments;
• develop a communication plan to enhance two-way office-wide MIS communication;
and
• explore developing marketing plans for internal users and external customers,
including the Cook County Board, Offices of the Chief Judge, State’s Attorney, and
Sheriff, and local law enforcement agencies.
4.
The current infrastructure is nearly out of capacity and antiquated.
Finding
The current hardware environment consists of: (1) an IBM mainframe computer that is
nearly out of processing capacity; (2) 3270 dumb terminals; and (3) personal computers
with 3270 emulation capabilities. Networking is entirely dependent on the County
Central Services Department for wiring and telecommunication infrastructure. Wiring
needs have been hampered by a lack of wiring trough capacity and Cook County wiring
personnel appearing to be unable to service the increasing demand. Discussions are
underway concerning the feasibility of consolidating the Clerk’s Office’s data center into
the County’s MIS data center. If the decision is to consolidate data centers, serious
consideration should be given toward reviewing the following areas within the current
Cook County Data Center:
•
•
•
•
•
conditioned power system;
UPS system with battery backup;
access to generator system;
dual power grid electrical power system;
upgradeable HVAC system;
169
•
•
•
•
major rework of the computer room flooring system;
dual access points for telecommunications infrastructure;
fire protection system; and
review of the current building codes.
Recommendation
If the decision made is to consolidate data centers, we recommend a comprehensive
infrastructure assessment be conducted prior to the move. The assessment should include
among other things, a review and evaluation of the data center location, existing data
center equipment, floor plans, traffic patterns within the data center, access routes for
equipment movement, current building codes, data communications facilities, electrical
power needs and overall infrastructure facilities management issues.
Data Center consolidation and other infrastructure issues have major implications for
both the Cook County MIS Department and the Clerk’s Office’s MIS operation.
Accordingly, the Subcommittee also proposes that the Clerk’s Office recommend to the
President of the Cook County Board, the Chairman of the Information Technology
Committee of the Cook County Board and other constitutional officers of Cook County
establish a Joint County Wide Information Technology Policy Committee. The objectives
of this committee would be to:
•
•
•
•
•
facilitate coordination and cooperation between County agencies for MIS matters;
standardize policies with respect to all aspects of the infrastructure including local
and wide area network services, hardware, software, security, Internet and shared
applications.
establish standard administrative processes for developing a business case for
MIS initiatives;
develop interagency service level agreements; and
create interagency disaster recovery policy.
In the absence of such a joint committee, the Clerk’s Office should consider outsourcing
as an alternative where an appropriately defined value proposition is made. Examples of
outsourcing might include using “cost effective consultants”9 for various functions where
it makes good business sense; hardware and software support is another prospect.
Another is web hosting and e-mail. E-mail accounts and network security for remote
access could be addressed through third parties with virtual private networks and/or email systems.
9
A specialist that can perform a function more productively and less costly than an employee performing
the same function.
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5.
There is a need to review the adequacy of the mainframe and personal
computer based application system portfolio that is used by various departments
and divisions in the Clerk’s Office.
Finding
The current application systems and subsequent modifications lack adequate
documentation and integration capabilities. For example, the major court divisions have
electronic dockets, which consist of data summaries entered by Clerk’s Office personnel
using established codes, representing case events or dispositions. While stored on the
mainframe, the electronic dockets for each division are separate entities and are not
integrated with each other. Accordingly, data is not shared between the applications. Data
updated in one court division’s system must be manually updated into related fields in
another division’s computer system. Cross-divisional or multidivisional searches are not
possible. The accounting system is personal computer based and does not interface with
other applications.
The agency's overall software application needs have not been assessed in a manner that
would identify and produce a comprehensive software application and system solution.
The lack of a comprehensive and integrated software application precludes the Clerk’s
Office from assuring the consistency, efficiency and effectiveness of Clerk’s Office
information across all departments and divisions.
The current mainframe application system has been in place for several years and has
undergone several modifications to address ongoing user needs. Such modifications
appear to be developed on an “as needed” basis and in an isolated manner, with little
consideration for the agency's overall software requirements. In this respect, little has
been done to address the agency's software needs from an inter-departmental dependency
perspective. Consequently, modifications that benefited one department were not
developed in a manner that would have allowed other departments to benefit as well.
While the ongoing use of the existing mainframe application system provides the Clerk’s
Office with an existing software resource, ongoing modifications appear to represent
work around solutions that may well require further modification, as additional changes
become necessary. In the long run, the cost of ongoing modifications to the existing
mainframe system may well exceed the cost of an effective comprehensive software
solution.
Recommendation
A comprehensive assessment is needed to define the requirements and benefits of a fully
integrated case management system to support the Clerk’s Office integrated justice
system objectives. The assessment should consider the functional areas of accounting,
cash management, bail processing, citations, civil case processing, courtroom
management, traffic, probation, prosecution, scheduling and warrants.
The needs assessment should include a comprehensive comparison of the features and
functions of the different integrated justice applications in the marketplace. These
171
application systems should be evaluated in terms of their ability to create, process and
manage electronic court records, including electronically filed documents and/or imaged
documents from case initiation to long term storage. The applications should be capable
of being web enabled, thus providing browser-based access depending on centrally
controlled levels of security and access to internal reporting mechanisms and ad hoc
management reports, e-mail, calendering, and time and attendance reporting. Access to
court data and full document images should be available regardless of the host platform.
The applications should also be able to accommodate workflow and document processing
needs as well as pushing information to the desktops of intended recipients.
The applications should be evaluated in terms of their degree of technology independence
(e.g. based on open standards). This means a system should have the ability to run on all
popular workstations and back-end processors as well as the ability to scale up to larger
processors as the system grows, or to migrate to different processors and operating
systems as the Clerk’s Office’s organizational needs and resources change. The
applications should have the ability to remain current even if procedures change, laws
change, computer hardware changes, or networks change. This means they should be
flexible, responsive, and change-enabled. The applications should be able to support a set
of facilities like transaction control, financial management, security, and database access
that can be used and reused in a wide variety of situations.
The applications should have the ability to interact with other systems, local and remote,
sending and processing data. They should be able to interact with remote people, sending
and receiving e-mail, producing notices and reports, even responding to voices on the
phone. Finally, the applications should be able to accommodate the privacy and security
objectives of the Clerk’s Office.
6.
Use of the Internet and E-mail is limited.
Finding
The Clerk’s Office has a web site located at www.cookcountyclerkofcourt.org. The site
includes certain case schedule information, and downloadable versions of many forms.
The site also provides descriptive information about its various divisions. The agency
has not planned or formally assessed how the Clerk’s Office could further develop its
website that could allow the public to carry out certain transactions and activities over the
Internet.
E-mail has not been used as an office tool in the past. There appears to be no coordination
between the Clerk’s Office and the County with respect to Internet and E-mail usage and
security policies. In addition, no assessment appears to have been taken of how an
agency-wide E-mail system could be used to enhance internal business processes and
communications with the public.
Recommendation
The Clerk’s Office should assess how it might enhance the look, feel and functionality of
its Internet website beyond providing basic information about the Office. Suggested
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enhancements might include allowing certain transactions to be completed over the
Internet, such as initiating court filings at an established website. The status of open
cases could also be provided to parties via e-mail. The Clerk’s Office should assess
whether certain case types appear more readily adaptable to online filings and
notifications.
Privacy and security relating to electronic transactions must also be
included in an e-commerce/ e-government assessment.
Efforts should be initiated to develop an Internet policy that establishes usage, access and
control elements aimed at providing information internally and to the general public. The
policy should be coordinated with other County agencies, the Chief Judge, the selected
Internet Service Provider as well as all other relevant entities via shared data and service
level agreements.
7.
Privacy and security surrounding information maintained by the agency has
not been adequately assessed.
Finding
There was no documented policy to address privacy and security matters found. Privacy
and security are distinct but intricately related. Privacy policy information contains the
directives related to handling of personal information, such as:
•
•
•
•
•
used only for the stated purpose it was gathered;
kept for the amount of time required by law or regulations or as long as it remains
relevant for its primary purpose;
not be disclosed without specific consent;
available for review by the individual; and
corrected if errors are known to exist or if the individual identifies errors.
Security policy information contains the directives related to Office wide security
concerns, such as:
•
•
•
•
•
•
•
a definition of information security and its importance as an enabling factor for
information sharing;
a statement of management support;
an explanation of specific security requirements;
compliance with legislative and contractual requirements;
security education, virus prevention and detection, and business continuity
planning;
a definition of general and specific roles and responsibilities for the various
aspects of the Clerk’s Office’s information security program; and
an explanation of the process for reporting suspected security incidents.
Comprehensive documented policies are necessary to ensure that all areas of security and
privacy management are covered thus avoiding potential oversights and potential legal
exposures. This is particularly important in areas such as case and file information,
human resources, child protection, child support enforcement and domestic relations.
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Recommendation
A comprehensive privacy and security policy should be developed. An example of the
tasks used to develop a privacy policy would include:
•
•
•
Identifying policies and standards that will be used to define privacy practices.
Information would be gathered from interviews with key managers in the Clerk’s
Office, Office of the Chief Judge, State’s Attorney Office, Sheriff’s Department
and Public Defender’s Office to assess the County’s privacy strategy, related
requirements and current privacy concerns.
Map privacy policy and standard best practices requirements as defined by
relevant industry and/or government bodies (other Clerk’s Offices, Better
Business Bureau, Elected Official Associations, other State and County
Constitutional Officers etc) to the Clerk’s Office’s privacy policies and standards
and consider improvements to comply with best practices.
Based on information gathered from interviews, consider a Clerk’s Office privacy
policy and a custom web site privacy statement that will be clear, easy to read and
that will meet the Clerk’s Office’s privacy strategies and information handling
practices.
An example of the tasks used to develop a security policy would include a:
•
•
•
•
•
•
review of the Office’s business strategy and related security requirements;
analysis of the Office’s
IT strategy, current security concerns, and future security requirements;
evaluation of the Office’s current security policy and standards against the needs
of the Office’s business and IT strategies;
customized security policy document which will prescribe management’s
direction to guide the organization in meeting the Office’s security objectives
according to its business and operational needs; and
clear understanding of the severity of violations of the policies need to be made
known in a comprehensive manner.
8.
Implementing the technology and other goals of the Clerk’s Office will
require significant resources in terms of people and funding.
Finding
Adequate funding levels will be needed to support the Clerk’s Office’s ability to
continually “refresh” hardware/software technology, to provide adequate service levels
and to support ongoing MIS staff training for improving service delivery. It is possible
that these funding requirements may exceed what the County Board can reasonably
afford to allocate.
Recommendation
The Clerk’s Office should explore alternative, creative funding sources for MIS. These
might include: more focus on driving grants, partnerships with other Cook County
agencies or other circuit clerks in Illinois, partnerships with vendors that include clear
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statements of benefits to both sides, and increasing filing fees. The Clerk’s Office should
leverage its ability to acquire special licensing and volume discounts from vendors.
Finally, the Clerk’s Office should also work with the Cook County Board to issue bonds
earmarked to finance technology infrastructure and initiatives.
III.
CUSTOMER SERVICE
1.
There is a need to monitor the status of user requests for information to
ensure that such requests are processed efficiently, timely and meet agency needs in
a comprehensive manner.
Finding
It was noted that the MIS Department provides various types of information to all agency
departments when requested. In some cases, such requests appear to be crisis driven and
require immediate attention. Many of the requests are repetitive.
The apparent crisis driven nature of many of the requests as well as repetitive requests
made by user departments precludes the MIS Department from operating in a controlled
and planned manner thereby adversely affecting its overall quality of service to the
agency.
Recommendation
The Clerk’s Office could improve information distribution by incorporating technological
enhancements into some of the standard transactions and communications involving the
public, including online filings, notifications, and docket listings. This is discussed more
in Recommendation No. 6 of the Information Systems section.
There should be an assessment and analysis of informational requests made by each
court, internal departments in the Clerk’s Office, and the general public. The assessment
should:
•
•
•
•
•
•
survey Office-wide operations to identify all actual and potential informational
requests by requesting source to ensure that all information distribution channels
are accounted;
categorize requests by timeframe, such as daily, weekly, monthly, etc., to account
for and establish data distribution time requirements;
identify common data between each request to determine whether multiple
requests can be developed concurrently;
ascertain the actual usage of each request as a means of ensuring that only useful
requests are processed;
produce a dynamic information request control catalog that provides the Clerk’s
Office with the means by which to manage its information distribution activities;
and
survey other circuit court clerk’s offices and associations.
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2.
The relationship between the Clerk’s Office, other county agencies, and the
gene ral public in terms of expectations and performance has been characterized by
a lack of confidence in the past.
Finding
a. General Information Inquiries
This condition appears to be due to the inability of the MIS operation to address problems
in a timely manner, missed calls, and lack of technical and problem solving skills. There
is no central call center for members of the public seeking information or assistance.
Clerk’s Office employees who lack training and direction transfer callers from place to
place. The MIS help desk function lacks operation standards, policies and procedures for
effective operation. The process of collecting, maintaining, retrieving, auditing and
disseminating information in the MIS Department is ineffective, inefficient and
inconsistent. Problem tracking is ad hoc.
b. Help Desk Inquiries
The MIS help desk function lacks standards, policies and procedures for effective
operation. Help desk personnel have a software information management tool that is
antiquated and sporadically used due to lack of training. There are about 200 to 300 calls
per week answered by the Help Desk personnel, however, true call volume statistics are
impossible to determine since many calls go unanswered.
Recommendation
Improving customer service is a process that the Clerk’s Office should focus on
immediately. Topics to consider are:
•
•
•
•
implementing a central customer service center to answer and direct calls. Operators
should be trained in directing types of inquires to the right departments. Training
should be augmented with call center scripts to assist the operators to properly direct
callers;
conducting regular CIO briefings with Clerk’s Office staff including call center
personnel. Cover MIS priorities, status of key initiatives, trends and feedback analysis
from customer satisfaction surveys. Allow time for “customer” issue discussion: e.g.,
“everybody write down the two MIS issues most on your mind;”
ensuring that the agenda/process for interagency meetings incorporates a two-way
dialogue. Poll the attendees regularly to check for issues or requirements that may not
have been captured. Review MIS satisfaction levels of the Clerk’s Office’s managers
who conduct these sessions;
incorporating regular customer feedback mechanisms in every process that “touches”
the customer (define “moments of truth” in the processes – at what point(s) does the
customer come into contact with our service points). Assign overall customer
satisfaction and relationship management responsibility to a CRM manager.10
10
CRM or Customer Relationship Management defines standards for how the Clerk’s Office responds to
every customer (internal or external), in the delivery of service.
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•
Incorporate customer satisfaction measures in performance plans. Reward/recognize
people for exceptional customer satisfaction performance; and
developing a customer/user communications plan that explores the potential to user
newsletter (manual and/or electronic) and e-mail with feedback mechanisms.
3.
The MIS Department is presently unable to consistently process police arrest
information received from the local police in the time frame expected.
Finding
The MIS Department downloads misdemeanor and felony crimes for the Criminal
Bureau’s scheduling of court dates from two separate agencies, the Chicago Police
Department (CPD) and the State’s Attorney’s Office. However, a backlog exists in
processing the information. The MIS staff suggested two possible reasons for the
backlog: (1) the system used by CPD, known as the Criminal History Records
Information System (CHRIS), may shut down fairly frequently; and (2) CPD is not
monitoring and communicating disruptions in the system to the Clerk’s Office in a timely
manner.
Recommendation
The Clerk’s Office must establish positive and regular communications with the Chicago
Police Department (CPD), the State’s Attorney’s Office and other interdependent
agencies to ensure tasks can be completed properly and in the expected time frame.
The MIS Department described a process involving daily uploads of information from the
CPD from its CHRIS system into the Clerk’s Office’s system which is updated by an
automated process into the criminal and related divisions’ schedules or dockets. The
system doesn’t function consistently, generating backlogs on days when the system is
functioning again. The CPD does not appear to monitor the functioning of the CHRIS
system regularly enough to always notice when the system has shut down, or is not
communicating disruptions to the Clerk’s Office’s MIS Department to prepare for
anticipated backlogs.
From the Clerk’s Office’s standpoint, the issue concerns the absence of proper
communications with the CPD to ensure the MIS Department has sufficient notice of
disruptions of the CHRIS system.
A regular dialogue with the CPD and other interdependent agencies should be established
to ensure issues are identified and effectively resolved. Proper dialog in the example of
the CHRIS system could result in two key objectives being met: (1) timely notice of
disruptions to better prepare the MIS Department for anticipated backlogs; and (2)
discussions with the agency for how the system could be improved.
Although the State’s Attorney’s Office has a similar process for forwarding case
information to the MIS Department, using its own system called “Promise II”, disruptions
are rare and the system appears to be much less problematic.
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IV.
1.
There is a need for training for both MIS and user staff.
Finding
It appears that untrained staff is unable to adequately perform their required duties. As a
result, other staff and management must complete the duties required by unskilled and
inadequately trained staff. Moreover, the lack of adequately trained staff precludes the
MIS Department from accomplishing its mission objectives and meeting overall agency
information needs.
There is a need for systems training to ensure that existing automated systems are
efficiently and effectively utilized by all users as well as to ensure that all information
entered into the system is consistently accurate and reliable.
The MIS Department recently modified its systems in a manner that provided new tools
for users, such as pull down screens and pull down menus. Experienced workers, who
are not accustomed to the newer system features as well as the manner in which systems
are currently used, appear to find it difficult to use the new system tools. New staff
generally finds the updated features easier to use because they have not been trained on
the older systems and have not become accustomed to the manner in which such systems
were used in the past.
The lack of training appears to result in: (1) slower processing by experienced users (i.e.,
users trained initially in older system designs); and (2) information input inconsistencies
between experienced users and new users. With respect to slower processing,
experienced users generally appear to take longer to process certain transactions because
they are unaccustomed to the new processes and must spend extra time in completing
processes and transactions using the modified processing formats. With respect to
information and input inconsistencies, different users may enter information differently
for the same type of transaction. This in turn causes extra unnecessary work to be
performed in correcting data input inconsistencies. The lack of training has also
contributed to poor morale among MIS personnel who do not understand well how the
Office functions and how their duties support the function of the Clerk’s Office and the
Circuit Court of Cook County.
Recommendation
Inadequate training is eroding quality and poses serious risks if key personnel leave and
back up skills are not in place. In addition, the goal of transforming management to help
provide leadership and vision will require professional development, both to enhance
needed skills and to provide the “change management” motivation these individuals will
need to make the transition. To reach this goal, a training program for MIS and user staff
should be funded and implemented. The training program would include:
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•
•
•
•
•
skills inventory that clearly defines skills in house and those needed for future
growth in terms of their respective responsibilities;
review of Clerk’s Office’s operations and responsibilities as a means of
reaffirming customer service requirements, including courtesy as well as problem
and conflict resolution;
review of current MIS and user operations and each staff’s associated operational
responsibilities;
training sessions that provide hands on training activities targeting identified
training needs; and
testing and certification activities that ensure training effectiveness.
2.
There is a need to conduct a workload assessment of MIS operations to
ensure that staffing levels for the MIS Department are appropriate.
Finding
The review disclosed that various staff is performing duties that are inconsistent with
their job descriptions. While this may appear to be reflective of the need for additional
staff, a workload assessment review will be useful in assessing whether additional staff is
indeed required and whether appropriate job positions are in place to achieve an optimal
level of operations.
Recommendation
An assessment and analysis of MIS operations workload should be developed and
implement with the goals of:
•
•
•
identifying general operational work activities;
identifying individual staff functional workloads; and
providing input for updating and revising job descriptions and skill requirements.
The results of the assessment should target establishing actual required MIS staffing
levels.
3.
There is a clear lack of defined job roles, responsibilities and objectives in the
MIS Department.
Finding
Related to the foregoing, there is also a lack of defined performance measures and
accountability. This makes it difficult for MIS staff to determine who is responsible for
various processes, how processes should be completed, and how decisions are made. For
example, no documentation is available to describe the process for procuring hardware,
software, and consulting services for information technology. Consequently, it is
impossible to know what procedures should be followed. Additionally, this absence of
defined job roles and responsibilities contributes to the lack of clearly defined career path
opportunities. This is needed to attract new talent.
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Recommendation
There should be a review and assessment of MIS operations staff job roles to ensure that
such roles are properly defined and are appropriate to each staff’s skills and expertise.
The review should include:
•
•
•
reviewing current MIS operations staff job/position descriptions to identify job
components and requirements;
reconciling current job descriptions to actual staff work activities to identify
discrepancies; and
modifying, as necessary, job duties and related descriptions based on operational
requirements as established by the results of the above recommended workload
assessment.
The review should cover the development and establishment of MIS operational
performance measures aimed at standardizing performance reviews and optimizing staff
productivity. This will provide a means by which to objectively recognize staff
achievements. Performance measures should be developed by:
•
•
incorporating the results of the above assessment to determine the proper workload
allocation and balance for each position and to update job descriptions; and
establishing objective metrics that will enable the measurement of work performance
in terms of complexity of assignments, quality of delivery and timeliness of
completion.11
4.
There is an overall lack of documented policies and procedures in the MIS
Department.
Finding
This condition impedes the effective transfer of knowledge among MIS personnel.
Service requests and help desk processes are primarily manually driven. This limits the
ability of the Clerk’s Office to fully track and document common IT problems and their
resolution.
Recommendation
In conjunction with Recommendations 2 and 3 above, the committee recommends that
the MIS function uses the results of the workload assessment as input for developing
specific operating standards, policies and procedures. The resulting operating standards,
policies and procedures should then be reviewed in terms of consistency to assure that
they become an accepted and official part of the Clerk’s Office general operating
standards, policies and procedures. All levels of the Clerk’s Office management should
be charged with the responsibility of assuring that staff throughout the Office will
become accountable for adhering to the new standards, policies and procedures,
particularly in their respective areas.
11
A metric is a standard of measurement that permits numerical evaluation. Examples would include
number of service request calls, average time per call, number of documents processed, etc. If you cannot
measure where you are, you cannot demonstrate that you are improving.
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V. CONCLUSIONS AND NEXT STEPS
The state of MIS in the Clerk’s Office can be summarized by the following observations:
•
•
•
•
Application systems are not integrated and have minimal interoperability. As a result,
access to court information is difficult and time consuming. The goal should be to
achieve complete and seamless integration of all systems using open standards for
software, hardware and network deployment. The goal of complete integration should
be extended to include web-enabling applications with appropriate safeguards for
privacy and security.
Most file handling processes are paper-based. Voluminous management reports are
printed and distributed. Storage space is at a premium. The goal should be to move
toward imaging, electronic filing, creation of an “electronic legal record” and an
overall integrated case management system that will facilitate ad hoc reporting.
There are numerous customer service problems, lack of policies and procedures and
lack of employee direction. The goal should be to establish an appropriate employee
training program to improve employee skills. A workload assessment of MIS
operations should be conducted to ensure that staffing levels for the MIS Department
is appropriate and job responsibilities are clearly understood. Consideration should
also be given toward establishing a unified call center to better service the courts,
other agencies, attorneys and the general public.
Interoffice communication is fragmented. The goal should be to implement a
communications plan to enhance vertical and horizontal MIS communications
throughout the Clerk’s Office and encourage greater e-mail usage.
Next Steps
•
•
•
•
•
•
•
•
Review report recommendations on the current state of affairs including current and
planned projects.
Implement a formal project management process (“Project Office,” prioritize and
focus on mission critical projects).
Evaluate the gaps between current MIS vision and goals vs. the current status. The
scope of this evaluation should be done from an inter-office and intra-office
prospective.
Develop a “close the gap” implementation strategy using a project management
approach.
Institute Customer Relationship Management (CRM) program, (formal dialogue,
satisfaction survey, newsletter, customer service training for employees, etc.).
Promote the cultural changes needed to move the Clerk’s Office toward its goals.
Appoint a Clerk’s Office liaison to the Illinois State Legislature to draft and promote
enabling legislation supporting the use of electronic imaging for use in the court
system. A Special Technology Legislation committee could support the Clerk’s
Office liaison. This committee could be formed with representatives of the Clerk’s
Office’s various constituencies.
Institute IT privacy and security measures that address individual concerns and highrisk areas.
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•
Build a “business case” for MIS funding that clearly states the benefits/value of MIS
in driving overall Cook County institutional goals.
Clarify the MIS funding rationale to the Cook County President, Board of
Commissioners, Chief Judge and in some cases to public groups and organizations.
Assign an individual or task force (County/Clerk’s Office CFO/CIO task force) to
take the lead in exploring alternative, creative funding sources for MIS.
Look for ways to share resources (people, money, skills, infrastructure and training
resources) across the County.
Develop and implement a formal IT Process Model to properly assess the Clerk’s
Office MIS organization. This model should identify eight major process areas that
are integral to any effective MIS organization. These process areas are described
below.
•
•
•
•
Table 4
Information Technology Process Model
Process Steps
Description of Process
Evaluate the IT
management system
Manage “customer”
relationships
Manage IT business value
Develop Solutions
Deploy Solutions
Deliver Operational
Services
Support IT Services and
Solutions
Manage IT Assets and
Infrastructure
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Determines the effectiveness of the current management system
through: organizational roles and responsibilities, vision and goals,
policies and practices, performance measures, evaluation of the
management systems and the management model used.
The extent to which: customer requirements are identified, recorded,
and met, customer satisfaction is measured and service level
agreements are agreed upon.
Addresses the extent to which IT adds value to the business and
includes activities such as: developing a strategy, conducting research,
and justifying offerings.
Understanding the requirements needed to develop solutions,
determine project scope and test solutions for design and quality.
Identifies the extent to which the organization manages change
activities, including change management practices and how changes
are administered and managed.
Identifies how customer service is delivered, managed and measured.
Identifies the activities that support the organization’s ability to
develop and deploy solutions. Activities include, backup and recovery,
IT continuity (in case of failure), system performance and capacity.
Highlights the activities, which play a role in building the
infrastructure, needed to support IT, this includes human resources as
well as equipment.
THE HONORABLE
DOROTHY BROWN
OF COOK COUNTY
PUBLIC INFORMATION SUBCOMMITTEE
Dr. Leon Finney, Chair
Brandon Hurlbut, Co-Chair
Lauri Sanders, Co-Chair
Angela Abrams
Hon. Joanne Alter
William B. Crawford
Hon. Danny Davis
Patrick Doherty
Kevin Lampe
Cherita Logan
Michael O’Connell
Anthony Oliver
Anita J. Ponder
Charles R. Sherrell II
Tobi Williams
Valerie Wright
The Woodlawn Organization
Chicago State University
Dome Communication
Transition and Strategic Planning Committee
Co-Chair
Crawford & O’Connell
Congressman
Kurth Lampe Consulting
Crawford & O’Connell
Streetwise
Altheimer & Gray
WBEE Radio
Cook County President’s Office of Special Events
Human Resources Development Institute
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PUBLIC INFORMATION
I.
INTRODUCTION
The Public Information Department serves as the business liaison with local news media
and other public and private agencies or businesses interested in the workings of the
Circuit Court of Cook County. The Department handles the distribution of public
information, often in the form of press releases or media alerts, as it pertains to the
workings of the Clerk’s Office. The Department is also responsible for the dissemination
of court records requested by news media, agencies, associations, and researchers.
The Public Information Subcommittee met several times to gather facts and discuss ideas
for improving the services of the Clerk’s Office. The Subcommittee discovered that
public information encompasses each area of the Clerk’s Office. In order to prepare a
report in an expedient manner, the Subcommittee decided to focus the efforts on public
information and emphasize these findings and recommendations. This report will
illustrate the current operations of customer service, information systems, and employee
training and development pertaining to public information. It will subsequently express
recommendations to centralize operations by creating an Office of Communications and
demonstrate how the Office should work.
After accumulating the facts stated above regarding the role of information systems,
customer service, and employee training and development in public information, the
Subcommittee agreed that improvements could be made to increase efficiency in the
Clerk’s Office. Along with upgrading the information technology to construct databases
that track case files and statistics, the Subcommittee proposes that changing the structure
of the Public Information Department will dramatically benefit the operations of the
Office.
II.
INFORMATION SYSTEMS
1.
The Clerk’s Office provides limited offsite access to the computerized court
docket.
Finding
The Clerk’s Office possesses few public access terminals in the Law and Civil Divisions
for reviewing computerized court dockets or for identifying case numbers. The court
docket summarizes major case activities. If individuals want more information, they can
request the court file as long as they have the case number, which can be retrieved from
the computerized court docket. To find the number, an individual enters the plaintiff or
defendant’s name into the computer, which will retrieve all cases with those names. Upon
identifying the appropriate case, the individual records the case file number.
Subsequently, the number is given to a Clerk’s Office employee, who will retrieve the
file and bring it to the individual.
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At present, only one major media outlet has offsite access to the Clerk’s Office’s
mainframe computer, which enables them to search for case file numbers upon entering a
plaintiff or defendant’s name. This service helps provide quicker access to files for the
media outlet. In addition, the Clerk’s Office trains staff at the media outlet on how to
access and operate the database.
Recommendation
The Clerk’s Office should expand the number of media outlets with offsite access to the
computerized court docket. This would reduce the amount of time needed to review court
dockets or request court files. Among the mechanisms to consider are providing
mainframe access or browser-based services via a secure Intranet.
2.
Information systems are used to process requests for court files and statistics.
Each day, public information staff uses the electronic docket and works with every
division and district to obtain court files and information on court related activity.
Finding
Currently, most requests for public information and case file tracking are managed on
paper. Staff has indicated that a database system whereby just by typing in a case
number, you could determine the dates of when a file was ordered and returned, would be
helpful. Therefore, it would be easier to track files and reduce the number of files
missing or lost. Moreover, interviews showed that staff felt a database with basic
statistical information would decrease the response time for questions requiring statistics.
Recommendation
The Clerk’s Office should acquire or create a database that tracks the location of court
files from request to return.
III.
CUSTOMER SERVICE
1.
Customer service is an especially important aspect for public information in
Customers for public information include news media,
government agencies, and the public.
Finding
All court records filed in the Cook County Circuit Court, with the exception of juvenile
and adoption records or those records impounded by court order, are open to the public.
Because the records are public, the media uses the Clerk’s Office as a constant resource
to conduct research. Therefore, the media represents the majority of customers for public
information. Staff within the Clerk’s Office handle between eight and ten requests for
court files each day and sometimes as many as twenty requests on a busy day.
The media’s ability to influence public perception, combined with the need for the
Clerk’s Office to maintain positive relations with the public, demonstrates why customer
service for public information is a crucial function in the Office. As a result, it is
imperative to handle these file requests in an efficient manner. The staff responsible for
186
processing these requests believes that the media is content with the time frame in which
they receive answers to their requests. Moreover, members of the Subcommittee have
received favorable feedback from the media regarding their experience with court file
requests.
Recommendation
The Clerk’s Office and various media should continue to engage in dialogue to
strengthen each other’s understanding of operational and informational needs. A media
panel consisting of select members of the press can be assembled to discuss methods that
the Clerk’s Office can initiate to satisfy media requests. A deeper dialogue involving
members of the media will enhance the recommendations that are submitted in this
report.
2.
There is a need to upgrade the Public Information Department into an Office
of Communications for the Clerk’s Office.
Finding
The size and complexity of the Cook County Circuit Court can lead to problems in
disseminating information that is accurate and consistent. There are 5.1 million people
living in Cook County. They can expect information provided by the Clerk’s Office to be
useful, consistent and accurate. Furthermore, the 2,300 people who work for the Clerk’s
Office can expect internal communications to provide them with clear and consistent
instructions and directions. However, the Clerk’s Office does not have a centralized
process for ensuring that all communications are uniform, accurate, and complete.
Recommendation
The Clerk’s Office should create an Office of Communications to manage both external
and internal communications. The staff in the Office of Communications would perform
many different tasks:
•
First, the Office would continue to process court file requests and writing text for the
newsletter. The Subcommittee suggests that one person should be solely responsible
for media requests for court files, but an extra person should be trained for
contingency purposes. The person responsible for court file requests should create a
procedures manual for the position and acquire a news source to remain updated on
breaking news. A breaking story such as a murder or fire will usually result in
multiple media requests for the court file associated with the story.
Instant
knowledge of the event will allow the staff member to anticipate the upcoming rush
of requests. If and when members of the media request the court files, their wait time
will have decreased because the staff has already prepared the appropriate files.
•
The Office of Communications would develop and maintain the official Clerk’s
Office web site. The Internet will become an increasingly more popular means for
the public to acquire information about the Clerk’s Office. The duties of maintaining
the web site would consist of providing information updates on the web page and
downloading requests that are made with e-mail.
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•
Thirdly, the proposed Office would include a graphic artist. Instead of relying upon
various staff with different levels of computer knowledge to design their own
documents, the graphic artist would be a specialist with specific experience in graphic
art. In other words, the graphic artist would possess the computer skills to operate
graphic software and talent to design appealing documents. This position would be
responsible for the layout of all forms of communication in the Clerk’s Office. The
graphic artist would design the art for the newsletter, flyers, invitations, procedures
manuals, and brochures for different divisions, etc.
•
Next, the Office would contain a staff expert on statistics. This position needs to
compute “dirty stats,” meaning the person can act as a liaison to other departments
and agencies to retrieve, understand, sort, maintain and interpret these statistics for
media purposes. This person must have a strong institutional background to know the
appropriate questions to ask and where to find the answers. Therefore, we suggest
that this person work with other justice agencies in the county to integrate statistical
information. In addition, the statistician must be able to translate statistics to the
press spokesman in understandable terms so that the spokesman can communicate the
information to the media. The staff expert on statistics will allow the person
processing court file requests and the press spokesman to devote more time to their
duties instead of spending valuable time hunting for statistics. The statistical analyst
will be able to find the information in a more efficient manner that will result in the
media receiving their statistics, court files, and other information in a quicker manner.
•
In addition, the Office of Communications would have an administrative assistant
position that performs more than administrative duties. The position would have
duties that consist of identifying frequently asked questions within the Clerk’s Office
and other agencies to update brochures and other forms of communication. The
administrative assistant can also work with internal staff and other agencies to
identify phone numbers and create a county directory that is easier to manage and
find information.
•
Finally, a position such as Director of Communications would manage this proposed
Office. We recommend that the Director of Communications receive a prominent
title and county grade such as Associate Clerk of Communications. A prominent
position under the Clerk of the Circuit Court would demonstrate that the Clerk’s
Office places special significance on internal and external communication.
The
Associate Clerk of Communications would serve as the press secretary and
spokesman to communicate with the media. Under the previous administration, the
public information department maintained the schedule of the Clerk of the Circuit
Court. We suggest that the Clerk’s administrative office manage the schedule, but the
Associate Clerk of Communications would need access to the schedule and its
changes or updates in order to inform the media of appearances by the Clerk. The
Associate Clerk of Communications also drafts press releases, edits other written
documents that are signed by the Clerk, and plan press conferences.
188
The Subcommittee also has prepared a method for paying for the increase in staff and
duties that the Office of Communications entails. The staff in the new office will often
perform work for other departments because the office is responsible for all
communication. For instance, this office might need to design the layout for a manual for
the Criminal Bureau or update information regarding the Chancery Division on the web
page. In order to help pay for this Office, staff could charge their time and budget to the
appropriate office.
3.
The public information staff receives requests from the media for statistical
figures. The staff works in conjunction with the Office of the Chief Judge to process
these requests.
Finding
Some statistics are readily available within the Clerk’s Office; however, statistics that
require programming by the M.I.S. Department must be submitted in writing to the Chief
Judge’s Office and approved by the Chief Judge prior to releasing the information. Staff
within the Office has conveyed that reporters become impatient when they are sometimes
required to wait multiple weeks for statistical information.
Recommendation
The Clerk’s Office and the Office of the Chief Judge should streamline the process of
requesting statistical information.
4.
The legal process can frustrate members of the public. On many occasions,
they may perceive that the Clerk’s Office or other justice-related agencies are
unresponsive to their need for information, directions, or instructions.
Finding
The Clerk’s Office provides information to the public upon request. In divisions and
departments that meet with the public, the Office has procedures in place for handling
request. However, the Office does not have a mechanism for receiving complaints from
members of the public who believe that they have not received adequate or sufficient
service. The Clerk’s Office needs to examine the factual basis of these complaints and
determine whether remedial actions are available.
Recommendation
The Subcommittee proposes creation of the position of Public Advocate for the Office of
Communications. The Public Advocate would act as an ombudsman to satisfy the public,
much like the City of Chicago’s program of dialing the phone number 311. This role
would insure that all concerns and inquiries from the public are handled in an efficient
manner. Consequently, the person filling this position would need to have a wide
knowledge of the Clerk’s Office and know the appropriate place to find help for a
constituent.
The Public Advocate would investigate complaints and identify solutions using existing
procedures or by recommending changes to the existing procedures. The Public Advocate
189
would improve customer service and reduce the perception that constituents are bounced
to several departments and employees before help is given.
With a Public Advocate, constituents would have one person to contact for help and
information. A qualified Public Advocate can perform the follow-up necessary to insure
that every customer request is handled in a efficient and professional manner instead of
constituents calling different numbers and being passed around numerous agencies
wasting valuable time for the staff and constituent.
IV.
1.
Employee development is another area in which public information plays a
critical role.
Finding
The public information staff writes the employee newsletter that is distributed with the
paycheck biweekly to each employee in the Clerk’s Office. The newsletter is an
important source for communication within the Office and includes employee recognition
and bonuses such as discount coupons for employees. The Subcommittee believes that
these perks will create an incentive to read the newsletter and boost employee morale.
Recommendation
There should be a plan to offer discount coupons in the employee newsletter for local
business and other organizations, when available.
190
THE HONORABLE
DOROTHY BROWN
OF COOK COUNTY
RECORDS MANAGEMENT BUREAU SUBCOMMITTEE
Brandon Neese, Chair
Adam Clement, Co-Chair
Karen Boehning
Camela A. Gardner
Sharon Gist Gilliam
Michael Gulino
Norman L. Hafron
Zeb Mclaurin
Lowry S. Taylor
Office of the Cook County Clerk
Government Records Services
Diversity Food Management Service
Unison-Maximus Consulting, Inc.
Chicago Systems Group
Rosenfeld, Rotenberg, Hafron & Shapiro
JYZ, Inc.
191
RECORDS MANAGEMENT BUREAU
I.
INTRODUCTION
All information moves from active to inactive stages, whether recorded on paper or in
electronic, filmed, or virtual formats. Usually, active records are housed near creators and
users because they refer to the records frequently. At some point in time, when reference
requests decline, the information moves into an inactive phase and records are moved to a
secure remote location that is more economical to maintain. Paper records stored in a
record center, or electronic records stored on a magnetic tape or microchip, should be
filed in a manner that will allow for ready retrieval when the need arises.
The final stage of record disposition comes in two forms: record destruction or archiving.
Records are destroyed when they have no continuing value to the organization. Records
that are deemed historical in nature, or possess information that will allow for continuing
research, comprise the select set of items that should be maintained within an archival
repository. Regardless of the format or stage in the information life cycle, records need to
be timely, accurate, and complete to ensure the effective administration of justice and the
pursuit of knowledge.
The Records Management Subcommittee addressed the current state of records
management within the Clerk’s Office. The Subcommittee met several times to identify
the shortcomings within the current record keeping system, address the complicated issue
of retention for Circuit Court records, and assess the state of physical facilities. They
reviewed the statutory mandates for record retention and the procedures related to court
record keeping practices within the jurisdiction of Cook County. The findings and
recommendations follow.
II.
RECORD RETENTION POLICIES
1.
Record retention mandates focus on information, not media. The statutory
and administrative mandates do not provide clear and consistent direction for
retaining hard copy, electronic, filmed, and virtual copies of records by the Clerk’s
Office.
Finding
The authority for retention policy of Cook County Circuit Court records is found within
the Administrative Orders on Recordkeeping in the Circuit Court. Developed by the
Administrative Office of the Illinois Courts (AOIC) and the Office of the Clerk of the
Circuit Court, the Administrative Orders, dated October 1, 1970, outline the destruction
plan for court records. Last amended in August 21, 1978, there have been no changes
since then.
The retention guidelines state how information of the Circuit Court should be handled
from creation to final disposition. However, they do not provide for the uniform
disposition of reproduced information in hard copy, electronic, filmed, and virtual
193
formats. Consequently, the information contained in paper court documents may continue
to circulate past its destruction date in the form of other media.
Even when a record series is scheduled for destruction, film copies are retained. This
practice is contradictory to standard records management practice and needs to be
reviewed because of the cost burden and the liability that may come from keeping
information beyond its usefulness.
Recommendation
The function of any record keeping system is to reveal the informational content of
records and the mechanism that creates and keeps records. This function is formally
stated within a record retention schedule. The Clerk’s Office should work with regulatory
and other judicial agencies to develop a record retention schedule for all information,
whether in hard copy, electronic, or virtual formats. Among the steps that should be taken
are:
•
•
a comprehensive inventory of files to help identify the information and documents
generated by the courts. Appropriate retention periods, based on operational, legal,
tax, and historical needs, can be identified for the information in question; and
a study focusing on the costs of digital (electronic) record keeping versus analog
(hardcopy/microfilm) record keeping through the period of retention. A cost/benefit
study would help provide direction to the Clerk’s Office in choosing the best media
for storing a large volume of records over a long time. The analysis should cover the
costs and benefits of hard copy automation and electronic unstructured information.
2.
The definitions of retention periods for the same record can vary between
regulatory agencies. This creates uncertainty and vagueness for the record keepers in
complying with mandates.
Finding
Various regulators do not set periods of retention from the same point in time. For
example, the State of Illinois addresses the keeping periods of the record from the
inception of the record, the AOIC states periods of disposition from the period of the final
filing, or when the case is disposed. Contradictions concerning certified destruction are
problematic as well.
Recommendation
Conflicting record definitions must be addressed to assure that the Clerk’s Office
complies with the intent of statutory and administrative mandates. To accomplish this
goal, the Subcommittee recommends that the Clerk’s Office works with other Cook
County executive and judicial agencies to form a Records Management Committee for
the Circuit Court to develop mechanisms to ensure adherence to statutory and
administrative mandates.
In the future, the Circuit Court will not only be organizing information, but shaping the
behavior of Circuit Court employees that handle the information in question. “Buy-in”
194
from functional experts or stakeholders is critical for the success of any records
management initiative. If employees help create a system, they will be more inclined to
use and maintain it properly; maintenance is key to the survival of any record keeping
system.
Within this forum, information professionals (Records Management/Archives/MIS/IT)
should have the opportunity to solicit advice as well as educate and inform. Records
Management must and will be sold as a strategic initiative for the Circuit Court, as well a
value-added proposition; this function also fosters corporate accountability, because the
records management function is not only an information management function, but also
an audit function.
III.
STORAGE FACILITIES
1.
Adequate space is needed at courthouses for active records and at off-site storage
facilities in Skokie and Chicago.
Finding
All locations need more physical space for their operations, but the Records Center is in a
particular quandary because of the way the Circuit Court currently uses the facility.
Because there is not enough operational space at the courthouses for their respective
functions, the Records Center is used as an extension of the central file areas at all
courthouses. This facility is also used to house inactive records and archival records.
Since there is currently no electronic alternative to remove any of the load from the
current record keeping system, all locations that store records – active and inactive – are
in desperate need of more physical space for the housing of the Circuit Court’s
information.
a. Skokie Courthouse
The basement of the Skokie Courthouse houses District 2 inactive files, historical files
from the Circuit Court and a variety of things from the other municipal district courts. A
serious shortcoming of the current facility is a lack of storage space. The lighting at
Skokie is inadequate to allow one to see and to easily locate records. The entire facility is
sitting within a flood plain. Since the Circuit Court records are sitting in the basement of
the Courthouse, if floodwater were ever to overrun the area, the resulting situation would
be akin to the result of the Chicago Fire – all of the historical information that documents
court operations would be destroyed. In addition, the storage area is not secure,
consequently everyone and anyone who has been granted access to the Courthouse has
ready access to records of the Circuit Court.
b. The Records Center
During the late 1970’s, records of the Circuit Court were moved to the Records Center
from small storage facilities within the Chicago area. The physical plant was originally
designed to house a catalog operation for Spiegel department stores, but as a record
center, the building design falls short in many ways. Irregular storage space, limited
195
ceiling height, limited docking capability and staging facilities, and operations spread
over three floors make file retrieval inefficient and very costly.
Although the facility provides 150,000 square feet of storage space, the current floor plan
is not conducive to efficient use. The Circuit Court generates records at the rate of 12,000
linear feet annually, and the legal keeping period for many of the records is for extended
periods of time (retention periods for 10, 21, and 65 years are not uncommon). At this
rate of expansion, there is insufficient space to accommodate files and evidence that the
Circuit Court needs to store.
During a calendar year, records are moved from courthouses in Cook County to the
Records Center for storage. At the current annual rate of increase, the Records Center
will be filled to capacity within two years with court records. In other words, the Records
Center has space left for calendar year 2001 and 2002 court files. In addition, the Records
Center houses cast-off furniture, records, and other supplies from county agencies. If
more of these items are sent to the Records Center, then the amount of vacant space
available for court records will be reduced.
Recommendation
For records in the Skokie Courthouse, the Clerk’s Office should work with the judiciary
to secure the storage area and to ensure that disaster prevention and recovery plans exist
in case of flooding.
For all inactive and archival records, the Clerk’s Office should work with other county
agencies and the County Board to build or find a new Records Center. The new center
would house all inactive and archival court records as well as micrographic operations,
including scanning. In addition, the Clerk’s Office should work with other county
agencies to locate an alternative site for storing cast-off furniture and other supplies from
county agencies. This would ensure that the Records Center is used for its intended
purpose: storing and maintaining court records.
IV.
INFORMATION SYSTEMS
1.
The network infrastructure for electronic records management is inadequate
for supporting the needs of the Clerk’s Office for information capture, maintenance,
and access.
Finding
The goal of integrated records management is to assure that information is captured,
maintained, and accessed in a clear and consistent manner on all media used by the
Clerk’s Office. Information contained on hard copy, electronic, film, and virtual formats
should be timely, accurate, complete and consistent to assure the effective administration
of justice.
The ability of the Clerk’s Office to engage in parallel planning for all media and develop
an integrated records management plan is seriously undermined by the lack of an internal
196
electronic data-sharing network. An electronic network must connect personal computers
(PC) to permit quick data and document retrieval and sharing. However, most employees
in the Records Center do not have access to a PC. Existing terminals are not connected
via a network to each other.
Recommendation
There should be a plan to develop and expand the electronic data-sharing network within
2.
Files in the Records Center are not properly indexed, or classified, which
makes retrieval and storage of active and inactive records difficult.
Finding
The current process for identification of Circuit Court files is haphazard, making records
difficult to retrieve. Many records that fall outside of the Circuit Court’s current indexing
system for common law records are placed into storage, but are not placed into any type
of information retrieval system.
Recommendation
Large repositories, such as libraries, rely on classification schemes to organize
information in their collections. This helps users identify and retrieve information
quickly. The Clerk’s Office should develop an appropriate classification system, based on
the concept of a record group for the Circuit Court that would encompass all areas of
operation. Once major record groups are established, the filing systems that support the
records created by the Circuit Court could be identified by type, which in turn would
allow for the storage of the record series in a systemic manner based on the provenance
of the record. A file conversion for hardcopy files to a standardized side tab folder, with a
color-coded, bar-coding label could help both the filing and the retrieval effort, by
making information easier to locate.
To manage record keeping, regardless of medium, the Clerk’s Office should acquire
relational databases that comply with Open Database Connectivity (ODBC)
requirements. This would enable separate databases to communicate with each other for
court records throughout the records life cycle. Relational database systems store data in
the form of related tables. They are powerful tools for managers because they require few
assumptions about how data is related or how it will be extracted from the database. As a
result, the same database can be viewed in many different ways.
3.
Microfilming policies are inefficient and wasteful.
Finding
The microfilming process is fragmented within the Clerk’s Office. The process needs to
be centralized to make for efficient use of filming equipment and allow for more timely
access to filmed media and the hard copy files by the Circuit Court and its customers.
197
Many of the records the Court is currently filming are not historically significant
according to AOIC guidelines, but are filmed as a convenience. This practice wastes
valuable staff and material resources in the Clerk’s Office. Inadequate support for the
filming operation makes the current efforts ineffective and inefficient. Good film product
that is not properly processed, or stored, cannot withstand the ravages of time. Without
proper physical care, and inventory control of the medium, the resources placed into the
program are wasted and the information is jeopardized for future use.
Recommendation
The Clerk’s Office should revamp microfilm operations to improve efficiency and permit
better retention of records. To improve microfilm operations, the Clerk’s Office should
consider:
•
•
•
•
•
centralizing microfilming operations to accommodate a 24-hour production
system for filming, in effort to make filing turn around time more efficient;
outsourcing film processing operations for greater compliance with technical
standard,
re-accessing the microfilming of records that are not historically significant
according to AOIC guidelines.
vaulting silver halide film off-site as part of a disaster recovery program and for
protection of the media, and
indexing all current holdings to identify source, format and location of the
physical object.
4.
The Clerk’s Office lacks access to a centralized records management
application for hard copy, electronic, and imaged records. Consequently, the Office
is unable to develop a systematic method for identifying the status of records and
the retention guidelines that govern their lifecycles.
Finding
Records in the Clerk’s Office are located at multiple courthouses and several storage
facilities. However, the Office does not have a software application that can track the
status of information and records during its active, inactive, and archival stages. With a
software application that tracks the entire records inventory, the Clerk’s Office could
systematically identify which records need to be retained or destroyed, according to
statutory or regulatory guidelines.
Recommendation
The Clerk’s Office should acquire a records management software application that can
manage hardcopy, electronic, and imaged records through their lifecycles. The
application should be tailored for managing information in the public sector, which is
governed by more regulations and mandates than other sectors.
198
V.
CUSTOMER SERVICE
1.
Some regular users of court records expressed concern about the turn
around time for filing and the inability to retrieve all documents and files. There is
an on-going problem with file security and maintenance when it comes to the care of
both active and inactive records.
Finding
More than 500,000 files are called for retrieval from the Records Center each year; the
courthouses handle reference requests on a yearly basis that tops that figure by ten-fold.
Because of the large quantity of reference requests, a file is lost sometimes or misfiling
occurs.
Improvements in the current handling situation could come from greater internal controls
over document handling, updated housing in the form of file conversion, and the
institution of formal protocols for both internal and external users concerning the
handling of the common law record.
Recommendation
To prevent files from being lost, stolen or mishandled, the Clerk’s Office should review
and implement better access and handling procedures for Circuit Court records. A formal
procedure for signing out records can help create an audit trail in case a record is lost or
misplaced. The Clerk’s Office should work to implement a sign-out procedure that is
consistent with good customer service practice
VI.
1.
Staff in the Records Center lack exposure to personal computer usage in the
workplace.
Finding
Employees across the Records Center will require supplemental training to care for the
unstructured (document based) information for which they are responsible. This training
is needed because the use of PCs will continue to expand to manage the information
generated by the Circuit Court.
One of the benefits of bringing in new technology systems is that funds can usually be set
aside for the training of employees, and the burden of this cost can be placed in the
purchase and implementation budget of the technology upgrade. The cost to the Circuit
Court for standardized training, therefore, could be offset, for this most important
activity.
Recommendation
There should be a plan to train staff on the use of personal computers for records
management.
199
2.
There is a lack of professional records management personnel on staff in the
Clerk’s Office.
Finding
The ratio of professional records management staff to that of an organization are
generally 600 employees to one. Recently, the Clerk’s Office created the position of
Associate Clerk for Records Management, the first such position in the history of the
Office. To meet industry standards, the Clerk’s Office needs record and retention analysts
as well as individuals that understand records management and archival administration
concepts and methodology. This staff needs to be specialized to operate effectively.
The Clerk’s Office is responsible for every record that is generated by the Circuit Court
System. Offices are in need of major information conversions and data mapping.
Employers never question the value of an IT department, but true value for money comes
from the management of information, and this is the task records managers perform.
Recommendation
The Clerk’s Office should consider hiring professional staff with knowledge of the
disciplines of records management, archival administration, electronic records
management, data archiving and imaging technology. In addition, the Clerk’s Office can
help bridge the knowledge gap of current record keeping staff by providing them with
more training incentives.
The Clerk’s Office should provide training to staff on the use of relational databases to
manage record keeping throughout the records life cycle. This will enable managers to
sort, retrieve and analyze information for multiple purposes.
200
THE HONORABLE
DOROTHY BROWN
OF COOK COUNTY
CONCLUSION
201
CONCLUSION
More than 350 findings and recommendations have been identified by the subcommittees
of the Transition and Strategic Planning Committee in their review of the Clerk’s Office.
The reports show that various departments in the Clerk’s Office share the same problems
with antiquated information systems, unmet customer information needs, and inadequate
employee training and development. The common problems suggest that a global plan is
required for improving operations in the Clerk’s Office.
On the other hand, the various divisions and bureaus differ in terms of the complexity of
case activity and the volume of cases that are heard each year. For example, the Probate
Division has more than 1,065 codes for recording judicial orders into the computer. The
Traffic Bureau relies on 15 standard codes to enter the overwhelming majority of judicial
orders. The diversity of operations suggests that an individual plan should be constructed
for each division.
Whether at the enterprise-wide or divisional levels, the Office of the Clerk of the Circuit
Court has reached a crossroads. The inherited information system, which relies heavily
on manual data entry and processes, has not kept up with technological innovations.
Other justice-related agencies are embracing technologies such as imaging and scanning;
bar coding; menu-driven systems, either with touch screens or point-and-click
instruments; browser-based systems; electronic filing; and person-based case
management systems that are “event” driven. In Cook County, justice-related agencies
are working more closely together to create integrated information systems that permit
real-time updates of databases, especially in criminal cases.
The Clerk’s Office can continue to rely on a mainframe computer with multiple data
entry terminals to record and maintain information. Information can continue to be made
available at a handful of public access terminals that have dated search and retrieval
capabilities. However, the strategy will come at a price; the Clerk’s Office could become
a weak link in the chain of agencies that manage and provide justice information services
to the people of Cook County.
The Transition and Strategic Planning Committee recommends the Clerk’s Office
becomes the premier information service provider for the justice system in Cook County.
To achieve this goal, the Clerk’s Office needs a two-tiered planning process. The Office
needs an enterprise-wide planning process for information systems, customer service, and
training and development. Senior-level staff in the Clerk’s Office should participate in
the enterprise-wide planning process. In addition, the Office needs operational
improvement plans for each division and bureau. Senior managers, supervisors, and staff
within each division or bureau should participate in this process.
For information systems, the enterprise-wide plan should call for further automation and
integration of record keeping from the time a case is filed to the time it is archived. The
plan should call for greater reliance on personal computers, adoption of user friendly
search and retrieval techniques, such as browser–based programs, and installation of
203
network architecture throughout the Office.
Divisional or bureau operational plans
should identify the best fit between case activities and the technology that will permit
accurate, complete, and timely record maintenance.
For customer service, the enterprise-wide plan should call for creation of user friendly
information kiosks and customer feedback mechanisms, as well as adoption of “plain
language” standards, bilingual instructions, and a telephone call center for the Clerk’s
Office. Telephone directories of staff in the Clerk’s Office and other frequently cited
agencies should be continuously updated and distributed internally. Divisional or bureau
operational plans should call for regularly scheduled meetings to review customer
complaints, identify unclear or imprecise language on forms and notices, and provide
instruction to employees on best practices in customer service.
Enterprise-wide training and development should reinforce the value and worth of each
employee in every division or bureau. The plan should institutionalize regular training
schedules for new and seasoned staff in data entry and verification. This can help assure
that court records are accurate and complete. The plan should provide continuous
opportunities for staff to learn how to use personal computers, pronounce and spell
difficult names, and handle difficult situations with customers. At the divisional or bureau
level, the operational plans should emphasize instructions in the procedures for recording,
maintaining, and retrieving information on court cases.
For many of these ideas to be implemented, the Clerk’s Office will need to work closely
with the Cook County Board of Commissioners to secure adequate funding. The Clerk’s
Office should look for grant funding opportunities for justice information systems from
federal and state sources.
Major policy issues that affect the management of records and justice information can
only be addressed by the Clerk’s Office in cooperation with the Judiciary, State’s
Attorney, municipalities, and governments of Cook County and the State of Illinois. The
Transition and Strategic Planning Committee urges all major stakeholders to support
electronic filing and record keeping, revise the record retention schedules, build new
storage facilities for court records, manage space in the court houses more efficiently, and
develop comprehensive information services for customers and pro se litigants.
204
THE HONORABLE
DOROTHY BROWN
OF COOK COUNTY
APPENDICES
Appendix 1 Transition and Strategic Planning
Committee Questionnaire
Appendix 2 Public Policy Survey
Appendix 3 Survey of Cook County Mayors and Town
Officials
Appendix 4 Human Resources Bureau Survey
205
OFFICE OF THE CLERK OF THE CIRCUIT COURT OF COOK COUNTY
Transition and Strategic Planning Committee Questionnaire —Appendix 1
Information Systems and Technology
1. Please describe the process for collecting, maintaining, auditing, and disseminating
information in your bureau and divisions. Please describe processes for manual and
automated records.
2. What are the best features of the current information system?
3. What are the least effective parts of the current information system?
4. If you had the resources, what procedures and/or technology would you use to enable
your bureau and divisions to process and maintain better records and information?
Customer Service
1. Please describe the types of service(s) your bureau and divisions provide to the
judiciary, attorneys, other divisions in the Clerk’s Office, and the public.
2. Please describe the process used to identify customer needs and develop solutions for
improving service.
207
3. Assess your bureau and divisions’ relationship with the judiciary, attorneys, other
divisions in the Clerk’s Office, and the general public in terms of expectations and
performance.
Employee Training and Development
1. Please describe the training program for employees in the areas of customer service,
information processing, and records management.
2. Discuss your bureau and divisions’ career path for employees.
3. If you had the resources, what training and development programs would you like to
offer to your bureau and divisions’ employees?
208
Transition and Strategic Planning Committee—Appendix 2
Public Policy Subcommittee
The Public Policy Subcommittee is requesting the associates clerks to provide written
responses to the questions below. Your cooperation is appreciated.
1. In the last five years, what were the major public policy issues that arose in your
department:
•
•
•
records management
fines and fees
labor relations
2. What legislative and/or judicial mandates would you like to see implemented to make
your division more effective in its operation?
3. Do you have any other comments or concerns?
209
Richard J. Daley Center
Room 1001
Chicago, Illinois 60602
(312) 603-5031
FAX (312) 603-4557
DOROTHY BROWN
Transition and Strategic Planning Committee—Appendix 3
Survey of Cook County Mayors and Town Officials
1. Briefly describe the types of interaction your office has with the Clerk’s Office.
2. Please describe the quality of telephone or counter service you receive from the
Clerk’s Office.
3. Currently, police officers are using multiple ticket books when issuing tickets for
traffic violations. If police officers were able to cite multiple violations from a single
ticket book, would you be willing to support this change? Why?
4. Presently, some traffic control agents (“meter maids”) are using automated hand-held
wands to issue traffic tickets. How do you feel about the use of wireless technology
when issuing tickets, as opposed to hand-held wands, so that information can appear
in court records instantaneously?
5. Do you think the acceptance of credit cards is useful when paying fees and fines? If
so, do you see a need to increase the amount of the ticket to cover the processing
costs of doing business with credit cards?
6. Would you support the use of administrative hearings on petty/municipal offenses to
reduce court overcrowding? Why?
210
Transition and Strategic Planning Committee-Appendix 4
HUMAN RESOURCES BUREAU SURVEY
Name
Job Title
Report To
Department/Section
Location
GENERAL EMPLOYMENT INFORMATION
How long have you worked for the County?
How long have you been in your present position?
Give brief details of your previous work experience.
Give brief details of your qualifications.
211
Describe briefly the main purpose of your job.
List the skills, knowledge, abilities, and experience necessary to do your job
effectively?
List in order of importance (if possible) the main tasks in your job and the
amount of time you spend accomplishing your tasks.
List which departments or people you work with most frequently within the
office/bureau.
212
List organizations or people your work with most frequently outside the
office/bureau.
Give details of any state or management/supervisory responsibilities you
may have (please include details of any responsibility for training either
formal or informal).
TRAINING
Give details on training you have had at the office/bureau.
What, in your opinion, is your present training needs? Please prioritize, if
possible.
213
Can you identify any area of training for the future? Please prioritize, if
possible.
In your opinion, what training would you recommend for superiors,
colleagues and subordinates? Please prioritize, if possible.
RECOMMENDATION FOR CHANGE
(You do not have to restate any
recommendations listed under the Training section.)
Describe briefly the main difficulties in your job and state any changes you
would make.
214
What, in your opinion, are the main problems facing the office/bureau?
Please prioritize, if possible and state resolution for change.
215

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Barbara Cook | WNC Magazine

TheProfessional - Guardian Association of Pinellas

Read the complaint file - Better Government Association

Spicy Hoisin Turkey Meatballs

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