National Association for Court Management Annual Conference July 17, 2014 Scottsdale, Arizona

One-stop access to court services 24 x 7 on-line records and court services, “anywhere anytime” Improved efficiency in staffing and customer service Fully integrated systems: CMS, e-records and financials Self-sustaining business model through user fees and subscription services

Number of Disparate Systems Case Management Systems Document Storage Systems Financial Systems Multiple Vendors Geographically Distributed Systems Increasing Bandwidth Demands Integration Needs (Data warehouse, CCI, CDR) Workflow changes required to fully leverage digital records Paper based policies limited applicability in digital world

Retention Periods Public Access Destruction: Mandatory Permissive

Assessment Policy Formulation Project Initiatives Retention Periods Public Access Destruction: Mandatory Permissive EVALUATION

eCourt Services Program: An Integrated Project Approach eAccess eFiling eBench

JudgesAttorneysLitigants Government Business General Public Clerks eAccess eFiling eBench

eFileCMS eBench eAccess Input Request Receive Output

1.Should the length of time case documents and data are made available to the public online be consistent across court levels and within the same court level? 2.Given that it is easier to systematically destroy electronic records, are the current records retention time periods adequate?

3.When the minimum retention period has been met, is destruction of electronic case documents and data mandatory or permissive? 4.Once the retention deadline is reached, should documents or data be retained for purposes of government research, and, if so, should those records continue to be publicly available or released only pursuant to court order?

National Center for State Courts COSCA White Paper, “To Protect and Preserve” Arizona State Library & Archives Private investigators who use court records for employment screenings and background checks Policies of federal courts and other state courts National Archives and Records Administration Technology resources required for long term electronic records storage

Inconsistent court record retention practices across the state Potential harm to individuals whose case data remains on the public access websites, e.g., housing, employment, licensing and certification Staffing and resources required to respond to requests for public records High cost of retaining and managing electronic case records – storage, maintenance, system upgrades

Current Capacity 2X Capacity Increase 2X Capacity Cycle Length Estimate = 5 Years Re-Architecture Project

Current Capacity 2X Capacity Increase 2X Capacity Cycle Length Estimate = 5 Years Re-Architecture Project Foundational items include security, servers, operating systems, database mgt system, EDMS application, SAN support personnel, management, documentation, vendor support/maintenance contracts, backup software, testing resources

Backup Procedures and Increased Time Hardware Costs & Maintenance Required for Nightly Updates Recovery Time Access Speed Testing

Too Little Time Insufficient for Justice Processes Too Much Time Costly, Perceived Harm Likelihood of Need

Establish consistent statewide, policies for the length of time electronic records are on-line Establish policies for mandatory destruction of electronic records, pursuant to revised retention schedules Modify Record Retention Schedules For LJ courts, establish separate retention periods for paper records, online public access and CMS & EDMS Technical amendments

LJ Retention Schedule for Paper Records, Public Access Websites, Case & Document Systems Record TypePaper Records RetentionPublic Access WebsitesCMS and EDMS A. Civil case records - Civil other than traffic1 yr. after final adjudication and satisfaction of judgment 5 yrs. after final adjudication and satisfaction of judgment - Civil other than traffic – small claims 5 yrs. after final judgment - Parking violations (statute only) 6 mos. after satisfaction of sanctions 1 yr. after satisfaction of sanctions - Civil traffic1 yr. after final adjudication and satisfaction of sanctions 5 yrs. after final adjudication and satisfaction of sanctions B. Criminal case records (applies to both adult and juvenile cases) - Misdemeanors and criminal traffic 5 yrs. after final adjudication and completion of sentence 10 yrs. after final adjudication and completion of sentence - DUI, OUI & Domestic Violence offenses 8 yrs. after final adjudication and satisfaction of sanctions 10 yrs. after final adjudication and satisfaction of sanctions - Petty offenses1 yr. after final adjudication and completion of sentence - Local ordinance violations1 year after final adjudication and satisfaction of sanctions Not available on Supreme Court website: May be available on local court website 5 yrs. After final adjudication and satisfaction of sanctions

LJ Retention Schedule for Paper Records, Public Access Websites, Case & Document Systems Record TypePaper Records RetentionPublic Access WebsitesCMS and EDMS A. Civil case records - Civil other than traffic1 yr. after final adjudication and satisfaction of judgment 5 yrs. after final adjudication and satisfaction of judgment - Civil other than traffic – small claims 5 yrs. after final judgment - Parking violations (statute only) 6 mos. after satisfaction of sanctions 1 yr. after satisfaction of sanctions - Civil traffic1 yr. after final adjudication and satisfaction of sanctions 5 yrs. after final adjudication and satisfaction of sanctions B. Criminal case records (applies to both adult and juvenile cases) - Misdemeanors and criminal traffic 5 yrs. after final adjudication and completion of sentence 10 yrs. after final adjudication and completion of sentence - DUI, OUI & Domestic Violence offenses 8 yrs. after final adjudication and satisfaction of sanctions 10 yrs. after final adjudication and satisfaction of sanctions - Petty offenses1 yr. after final adjudication and completion of sentence - Local ordinance violations1 year after final adjudication and satisfaction of sanctions Not available on Supreme Court website: May be available on local court website 5 yrs. After final adjudication and satisfaction of sanctions

Given the revised retention schedules, no special provision required for research data Develop a process to request that particular case records be permanently retained, akin to the historical records provisions (ACJA § 3-402(F) ) Implementation Issues: 24 month preparation period required for computer support Applicable to case records reaching retention periods after implementation of new policy Develop plans for destruction of case records that met retention periods prior to implementation of the new policy Establish a process for courts to request more time for implementation based upon IT resources and funding constraints Remove electronic records from the Supreme Court and local court public access websites, pursuant to the adopted retention schedules

Karl Heckart, Director, Information Technology Department Administrative Office the Courts Arizona Supreme Court Marcus Reinkensmeyer, Director, Court Services Division Administrative Office of the Courts Arizona Supreme Court