-----Original Message----- > From: John Ruegg > Sent: Friday, October 10, :46 AM

Transcription

1 -----Original Message----- > From: John Ruegg > Sent: Friday, October 10, :46 AM > To: > Cc: > Subject: FW: District Attorney Complaint Filing > > John Aerts advised me you had some hard drive errors, so you may not have > received my staff response to the Process model survey submitted on 9/22. > Just in case, here is a re-send. Thx. > > -----Original Message----- > From: Leon, Marcus > Sent: Monday, September 22, :43 PM > To: 'drdaniels@bearingpoint.net' > Cc: John Ruegg > Subject: District Attorney Complaint Filing > > Mr. Daniels, > John Ruegg of ISAB asked me to complete the forms for electronic filing > that you sent to him. I have done so and cleared content with ISAB and > District Attorney staff. I am attaching the document you ed John with > the process table and glossary completed for the L.A. County DA future > Complaint filing process. I am also sending you two Visio documents > showing a graphical representation for both the current and the future > Complaint Filing process. If you have any questions or concerns, please > contact me. > > Thank you Marcus Leon > (562)

2 Dwight R. Daniels BearingPoint, Inc. 355 S. Grand Avenue Suite 2000 Los Angeles, CA Addressee Address Line 1 Address Line 2 City, State Zip August 15, 2003 Dear Addressee, The E-Filing Process Models subcommittee of the OASIS/LegalXML Electronic Court Filing Technical Committee is tasked with collecting a set of process flow diagrams with supporting textual descriptions that document existing and potential conceptual models for the electronic filing of documents with courts and for the courts to respond to those filings. The collected process models will be evaluated for commonalities and differences and, where possible, reduced to a common set of high level models. To complete an electronic filing, multiple users, applications and/or application components are required. Such an e-filing model can be decomposed and described as a series of individual processes that, taken together, constitute the Process Model underlying a particular implementation of electronic filing. Individual implementations of e-filing may vary depending on legislation, local rules and security concerns, but all models will begin with a filer who files a document with the court and will generally end by communicating to the filer the status of the submitted filing. There are, of course, several individual processes that an e-filing system might support to accomplish this overall objective, such as querying the case management system for information or allowing the filer to view documents previously filed on a case. The E-Filing Process Models subcommittee respectfully requests that you use the attached template to describe the individual processes that comprise your existing or envisioned e-filing model. In doing so, we ask that you focus on the success scenarios. That is, we ask that you assume that all required data is correctly supplied and every step within each process is performed successfully. There is no need to document error handling, since the success scenarios adequately describe the process. 1

3 The Template has four parts: 1) the process name; 2) a graphical representation of the process; 3) a table in which to document the individual steps of the process; and 4) a glossary of terms. The Process Name is a short description of the process that indicates what is accomplished when the process executes successfully. The Graphical Representation is a diagram that shows the individual steps in the process in a form easy to visualize. The main body of the template is a table in which the individual steps of the process are listed in sequential order and described. The content and purpose of the individual columns are described in the following table. Column Step Step Name Step Description Data Exchanged Primary Actor Primary System Secondary Actor(s) Secondary System(s) Functional Requirement Addressed Description This column is used to sequentially number the individual actions that together comprise the process being described. It indicates the sequence in which the actions are performed. This column contains a short designation that provides a meaningful term that can be used as a label for the step. It should succinctly express the main feature of the action being performed in the step. This column contains a description of the action that is performed in the step. When describing a step, it is better to provide too much information rather than too little. This column lists the data that is exchanged, input, created or updated in the performance of the step. This column lists the actor that initiates or controls the action. This will most often be a human who interacts with the system, a module within the system that interacts with another module, or an external system that interacts with the system. This is the main system or module that performs the action. Any actor(s) that are additionally involved in the action. Any system(s) or module(s) that are additionally involved in the action. This column is intended to record any functional requirements that the step is intended to address. The text of the requirement and its source should be 2

4 Utilized XML Specification provided. If a specific XML specification is being followed when performing the step, it should be recorded here. Finally, we ask that you define any key terms or implementation specific nomenclature used in describing the processes in a Glossary of Terms. This will help us map the various terms employed in different models to one another and assist us in the process of looking for commonalities and differences. In addition to the template itself, we have provided an example description of an individual process. The example is provided to help illustrate the usage of the template. It is not intended to dictate how the particular process described in the example should or must be done. We ask that you complete the template by September 15, 2003 and return your process description to me via at drdaniels@bearingpoint.net or via postal mail at the address listed above. The subcommittee may request further detail upon reviewing your initial submission. Thank you in advance for your cooperation and assistance. It is greatly appreciated. Sincerely, Dwight R. Daniels, Chair, E-Filing Process Models Subcommittee John Greacen, Co-Chair, OASIS/LegalXML Electronic Court Filing Technical Committee Mary McQueen, Co-Chair, OASIS/LegalXML Electronic Court Filing Technical Committee 3

5 Process Name: Place diagram here 4

6 Process: 5

7 Step Step Name Step Description Data Exchanged 1 Credentialing DA Attorney support staff access a Complaint generation application (PIMS) via user id and password. 2 Assembly DA attorney support staff create Complaint documents utilizing: (1) Sheriff s electronically provided arrest data (stored in a PIMS queue). (2) DA attorney provided Complaint data key-stroked into PIMS by DA attorney support staff. (3) Word processing software (Microsoft Word) and macros integrated with PIMS to generate Complaint Documents (including data from PIMS). (4) Complaint is electronically forwarded from PIMS to a document management / workflow system (FYI) which holds the in progress Complaint in a DA Court Case folder. 3 Verification DA attorneys review Complaint documents for completeness and correctness via FYI. 4 Transmission / Queuing PIMS emits case management XML data and final Complaint documents in Justice XML format to a submitted Filing Complaint data queue on the Justice Enterprise Integration Broker System (QDX). The Complaint document is part of the packet sent to court for Arraignments; the packet includes LEA Reports, Arrest Reports, RAPS, DMV Reports WANTS, etc. 5 Validation Superior Court clerks review and accept Complaint documents from the submitted Filing Complaint data queue and store the documents in the Court (FYI) document management system. Superior Court Clerks then: (1) Use case management data from the Superior Court Complaint data queue to update the TCIS filing screen. (2) Keystroke data to confirm receipt of Complaint documents. 6 Transmission TCIS emits data to PIMS via QDX confirming filing of Complaint. Filer s user ID and password. Filing data and document Filing data and document Filing data and document Filing data and document Primary Actor DA Attorney Support Staff DA Attorney Support Staff DA Attorney System (PIMS) Sup Court Clerks Primary System Secondary Actor(s) Secondary System(s) Functional Requirement Addressed PIMS None None Authentication PIMS FYI PIMS FYI None None Filing / Assembly None None Filing / Assembly PIMS None QDX FYI Filing Submitted Utilized XML Specification Modified Court / Filing 1.1 (using JXDD elements) FYI None TCIS Court Filing Modified Court Filing 1.1 (using JXDD elements) Complaint System TCIS None QDX Receipt Data (TCIS) PIMS 7 Confirmation PIMS fields are automatically updated Complaint System PIMS None None Filing Filing Confirmation 6

8 7

9 Glossary of Terms Term Case Management Data Confirm Receipt Data District Attorney DA Support Staff FYI PIMS QDX Definition Complaint related information (Case #, charges, counts, special circumstances, etc.) Court confirmation of receipt and approval of Complaint filed (case #, date, time stamp, court clerk, courthouse, courtroom, etc.) District Attorney; used in the process description to indicate prosecuting attorneys on criminal matters. District Attorney secretaries / data entry personnel A document management / workflow system Prosecutors Information Management System which tracks adult and juvenile criminal matters and was specially designed to integrate database application and word processing software to produce Complaint, Information and Petition documents Quovadx software; integration broker software used to transfer data between applications within different hardware / software environments. 8

10 Process Name: Filer Assembles and Transmits Filing to Court Credentialing Filer provides credentials to system Assembly Filer provides filing data and documents Verification Filer confirms data and documents converted to PDF Transmission System transmits filing data and documents to the court Confirmation System notifies filer that the filing has been received Queuing System places submission into received queue Validation System validates contents against court s standards 9

11 Process: Filer Assembles and Transmits Filing to Court 10

12 Step Step Name Step Description Data Exchanged 1 Credentialing Filer provides filing credentials to the system 2 Filing Assembly Filer provides filing data and documents to the system. System allows filers to specify filing data through a combination of direct data entry and a case query system. 3 Filing Verification Filer verifies that the system has correctly received the filing data and documents and indicates that they are ready to be transmitted to the court. The system converts the filer s documents into a PDF format. The filer is able to review the converted documents and filing data entry before transmitting them to the court. 4 Transmission The system transmits filing data and documents to the court. 4a Data Validation The system validates the filing data and documents with respect to the court s technical standards. Most of the filing data validation occurs field by field as the filer provides the data to the system. The system maintains a local copy of the court s filing policies updated manually or through integration with court systems. 4b Transmission The system places the filing data and Queuing documents into a received queue of filings for the court to process. The FilingAssembly and FilingReview systems interact directly and do not use LegalXML protocols. When interacting with an external FilingReview system, the system interacts with an integration system that is able to implement whatever protocol is 5 Receipt Confirmation necessary, including LegalXML. The system notifies the filer that the filing has been received by the court. Filers are notified of the time at which the filing was received by the court. At this point, the filer is assured that the court has received the filing and will act upon it. Filer s userid and password Filing data and document Filing data and document Filing data and document Filing data and document Primary Actor Filer Primary System FilingAssembly Secondary Actor(s) Secondary System(s) Functional Requirement Addressed Utilized XML Specification Filer FilingAssembly Court Adaptor CourtFiling Filing Query Response Filer System FilingAssembly FilingAssembly System FilingAssembly Review Clerk FilingReview CourtFiling Filing Court timestamp System FilingAssembly CourtFiling Confirmation 11

13 Glossary of Terms Term Filer Review Clerk FilingAssembly FilingReview CourtAdaptor Definition The user who composes the data and documents comprising a filing transaction to be processed by the court. The user who reviews a filing transaction and determines if it is to be accepted or rejected. Assists the Filer with assembling and transmitting filing transactions with the Court(s). Also may assist Filer with review of Court records. Assists the Court with receiving, reviewing, accepting, docketing, or rejecting electronic filings. Also may assist Court with review of Court records. A system that provides a standard interface for remotely interacting with the court s case record. 12

14 Process Name; Current LA County Assembly and Transmittal of a Complaint to Superior Court Credentialing DA attorney support staff access a Complaint generation application (PIMS) via user id and password Assembly DA attorney support staff create Complaint documents utilizing: (1) Sheriff electronically provided arrest data (stored in a PIMS queue) (2) DA attorney provided Complaint data keystroked into PIMS by DA attorney support staff (3) Word processing software and macros integrated with PIMS to generate Complaint documents (including data from PIMS) Validation Superior Court clerks review and accept Complaint documents. Superior Court Clerks then: (1) Use case management data from the TCIS Complaint data queue to update the TCIS filing screen (2) keystroke data to confirm receipt of Complaint document Transmission TCIS emits data to PIMS via QDX confirming receipt of Complaint and filing date/time Confirmation PIMS fields are automatically updated with data confirming official filing of Complaint Verification DA attorneys review Complaint documents for completeness and correctness Transmission/Queuing PIMS emits case management data via an integration broker (QDX) to a Complaint data queue in a Superior Court case tracking system (TCIS). DA attorneys handwalk Complaint documents to Superior Court Filing Clerks. Each Complaint is contained in a packet of filing documents (LEA Reports, Arrest Reports, RAPS, DMV Reports, WANTS, etc)

15 Process Name; Future LA County Assembly and Transmittal of a Complaint to Superior Court Credentialing DA attorney support staff access a Complaint generation application (PIMS) via user id and password Assembly DA attorney support staff create Complaint documents utilizing: (1) Sheriff electronically provided arrest data (stored in a PIMS queue) (2) DA attorney provided Complaint data keystroked into PIMS by DA attorney support staff (3) Word processing software (Microsoft Word) and macros integrated with PIMS to generate Complaint documents (including data from PIMS) (4) Complaint is electronically forwarded from PIMS to a document management/ workflow system (FYI) which holds the in progress Complaint in a DA Court Case folder Validation Superior Court clerks review and accept Complaint documents from the submitted Filing Complaint data queue and store the documents in the Court (FYI) document management system. Superior Court Clerks then: (1) Use case management data from the Superior Court Complaint data queue to update the TCIS filing screen (2) Keystroke data to confirm receipt of Complaint document Transmission TCIS emits data to PIMS via QDX confirming filing of Complaint. Confirmation PIMS fields are automatically updated with data confirming official filing of Complaint Verification DA attorneys review Complaint documents for completeness and correctness via FYI Transmission/Queuing PIMS Transmission/Queuing emits case management XML data and the PIMS Complaint emits case documents management in Justice XML XML data format and the via final an information Complaint broker documents (QDX) in to Justice a Complaint XML format data to queue a submitted in a Superior Filing Court case tracking Complaint system data (TCIS). queue on The the Complaint Justice Enterprise document Integration is Broker part of System the packet (QDX). sent The to court for Arraignments; Complaint document the packet is part includes of the LEA packet sent Reports, to court for Arrest Arraignments; Reports, RAPS, the packet DMV includes Reports, WANTS, LEA Reports, etc Arrest Reports, RAPS, DMV Reports, WANTS, etc