A Guide to Court Documents and Delivery Services by passy hearst

A Guide to Court Documents and Delivery Services Texas State Law Library

A Guide to Court Documents: Table of Contents The Criminal Court System ______________________________ 2 District and County Courts ______________________________________ 3 Appellate Courts _____________________________________________ 4 The Court of Criminal Appeals ____________________________________ 5 Petition for Discretionary Review _________________________________________________ 5 Application for Writ of Habeas Corpus or Mandamus _______________________________ 6 Appeals ________________________________________________________________________ 7

Locating Court Documents ______________________________8 Locating Information __________________________________________ 8 Direct Searching ________________________________________________________________ 8 Non-Direct Searching __________________________________________________________ 13

Working with the Courts _______________________________ 21 The 3rd Court of Appeals _______________________________________ 21 Requesting Documents from the 3rd Court of Appeals________________________________ 21 Viewing files at the 3rd Court of Appeals ___________________________________________ 23 Checking out files from the 3rd Court of Appeals ____________________________________ 23

The Court of Criminal Appeals ___________________________________ 24 Requesting Documents from the Court of Criminal Appeals __________________________ 24 Picking up Physical files from CCA ________________________________________________ 27 Retrieving Scanned files from the FTP site _________________________________________ 27

The Supreme Court __________________________________________ 29 Requesting documents from the Supreme Court ____________________________________ 29 Picking up files from the Supreme Court___________________________________________ 31

Tips for managing workflow ____________________________________ 32

A Guide to the Document Delivery Database _________________ 34 Initial Login to the Document Delivery Database (3Db) __________________ 34 The 3Db Main Index _________________________________________ 36 Organization of Information in the 3Db _____________________________ 37 Adding a Patron Record _______________________________________ 38 Searching Patron Records ______________________________________ 41 Adding a Request Record ______________________________________ 42 Creating an Estimate _________________________________________ 45 Adding Payment Information ___________________________________ 53 Creating an UTP ____________________________________________ 54 Finalizing a Request__________________________________________ 56

A Guide to Court Documents:

A Guide to Criminal Court Documents Retrieval of Court Documents requires an understanding of the way in which the Texas Court System operates. First and foremost, cases are classified as either Civil or Criminal. For the most part we will focus on Criminal cases as these are far and away the majority of documents the Document Delivery Service receives requests for.

The Criminal Court System The Texas Criminal Court system consists of 3 tiers. The first level is the District or County level. After an initial trial a defendant or the State may appeal the Trial Court decision in a Court of Appeals. After exhausting remedies on the Appeal level, a number of instruments may be filed in the Court of Criminal Appeals to have the case reviewed a final time before it may be taken to the Federal Court system. Following is a flowchart illustrating the process of review for cases in the Texas Court system.

The Criminal Court system and case process.

A Guide to Court Documents:

District and County Courts When criminal cases begin, they start at the District level (if they are a felony) or the County level (if they are a misdemeanor). In either instance, Court documents for cases at the District or County level are stored at the District Clerk’s Office for the county in which the offense was tried. For example, if an inmate committed an offense in Travis County, his/her records would be stored at the Travis County District Clerk’s Office. The file containing the original trial proceedings is known as the Trial Court Record. The Trial Court Record consists of:  The Reporter’s Record  The Clerk’s Record  Any Misc. Filings (Letters, White Cards, etc). The Reporter’s Record is the transcript of what was said at trial. This record is usually a number of volumes beginning with an index and ending with an exhibit volume. It is also known as the Statement of Facts, Trial Transcript, and Reporter’s Transcript. The Clerk’s Record consists of the written instruments which were filed in the course of the case. It will include such items as indictments, motions, judgments, sentences, docket sheets, jury information, and any other items. If a patron is requesting a particular filing instrument, such as a motion, this is where it will likely be found. Other filings may be apart of the Trial Court Record that are not filed in the Clerk’s Record. These may be pro-se filings by the defendant or correspondence letters. These items are usually placed in the file as separate documents, but may sometimes be kept together in a folder or envelope of their own. Cause numbers at the County and District levels are not standardized and vary from Court to Court in their formatting.

A Guide to Court Documents:

Appellate Courts If a defendant is found guilty at the trial level, he or she may wish to appeal the verdict in one of the Courts of Appeals. There are 14 Courts of Appeals with 2 of them being located in Houston. The Appeals Courts oversee a number of counties and review the original trial proceedings when an appeal is made. A list of the 14 Courts and their jurisdictions can be found at http://www.courts.state.tx.us/courts/coa.asp. When an appeal is made, the original Trial Court Record is forwarded to the Court of Appeals that has jurisdiction over that County. For Example, an appeal against a Travis County verdict would be forwarded to the 3 rd Court of Appeals in Austin. The file containing the Appeals documents is referred to as the Appellate Record. The Appellate Record consists of:    

The Trial Court Record (Reporter’s Record, Clerk’s Record, and anything else) An Appellate Brief A State’s Brief Any Misc. Filings (Notice of Appeal, Letters, White Cards, Opinions, etc) The Appellate Brief and State’s Brief are hard stock covered, often comb-bound,

documents anywhere from 3 to 30 pages in length. The two are easy to distinguish based upon the title on the front cover. Other items may be filed in the Appellate Record as well. These documents may include the original Notice of Appeal, Letters to the Court, Motions, Mandates, Orders, and Opinions. Unlike the Trial Court Record there is no Clerk’s Record for the Appellate filings (i.e. the motions and filings are not collected together into one volume). All of the documents that originated at the District/County level are included in the Appellate Record. The District Clerk, upon notice of appeal, forwards the file to the Court of Appeals and it then becomes the property of that Court. A District Clerk may retain another copy of the Trial Records at their office as an archive. Cause numbers for Appeals cases are standardized across the 14 Courts of Appeals. The Cause number begins with the Court’s of Appeals number, is followed by the last 2 digits of the year it was filed, is assigned a sequential number, and is completed with a notation of the case as criminal. Below is an example of a cause number for a 3 rd Court of Appeals file:

Fig. 1: A 3 rd Court of Appeals Cause number.

A Guide to Court Documents:

The Court of Criminal Appeals The State of Texas is one of only a handful of states which has separate courts for final supreme jurisdiction regarding civil and criminal cases. The Court of Criminal Appeals is the supreme court for all criminal cases. To understand the different court documents associated with the Court of Criminal Appeals it is necessary to explain the difference between the possible actions which can be taken by an inmate. Petition for Discretionary Review A Petition for Discretionary Review is a request by a convicted felon to have their Court of Appeals decision reviewed by the Court of Criminal Appeals. This is almost always filed pro-se with roughly less than 10% being heard on their merits. A PDR consists of:    

The Complete Appellate Record (including the Trial Record) A Petition for Discretionary Review A Response (if any) A Court Disposition. When a PDR is filed the complete Appellate Record is forwarded to the Court of Criminal

Appeals along with the Petition for Discretionary Review. Once received by the Court of Criminal Appeals it is set on the calendar. If the Court decides to accept the Petition and review the case, the case then becomes an Appeal (more on these later). If the Court decides to reject the Petition, the complete record (including the Trial Record, Appellate Record and PDR records) are returned to the Court of Appeals from which the Petition originated. The Cause number for PDRs has a standardized notation which consists of an abbreviation noting the file as a Petition for Discretionary Review, a sequential number, and ends with the last 2 digits of the date it was filed. Below is an example of a PDR Cause number:

Fig.2: A Petition for Discretionary Review cause number. A Petition for Discretionary review is only stored at the Court of Criminal Appeals when it is being considered by the Court or if it has been granted. The vast majority of PDRs are denied, subsequently returned to the Court of Appeals from which they originated, placed in the original Appellate Record, and stored under the Appellate Record cause number. An inmate may only file a Petition for Discretionary Review once.

A Guide to Court Documents:

Application for Writ of Habeas Corpus or Mandamus An Application for Writ of Habeas Corpus is a way of attacking a conviction through arguing that criminal procedure was incorrectly followed, new evidence has come to light, or that one’s attorney was ineffective in assisting in his or her appeal. Unlike PDRs, writs may be filed multiple times, as long as each subsequent writ includes new information that was not and could not be put forth in an earlier application. An Application for a Writ of Mandamus is a way of requesting the Court of Criminal Appeals to compel a lower court to do or not do something. An inmate may file an Application for a Writ of Mandamus if they believe the lower court has abused its discretion and there exists no other legal means of remedying the situation. Both the Writ of Mandamus and the Writ of Habeas Corpus have the same cause number notation. The cause number for an Application for a Writ consists of an abbreviation to signal the file as a writ application, followed by a sequential number, and ends with an order number for which writ it is for that inmate (for example, a 1st, 2 nd, or 3rd Application):

Fig. 3: An Application for Writ of Habeas Corpus/Mandamus cause number. An Application for Writ record can come in one of two forms. It may either be a physical paper file or a digital document. If it is a digital document it will be transferred by the Court of Criminal Appeals record room via an ftp site (ftp://update5@ftp.courts.state.tx.us). If it is a physical file it will have to be picked up at the Court of Criminal Appeals record room. An Application record can contain a number of varying documents. For the most part all Application records tend to contain:        

An Action Sheet outlining the Court’s Decision An Application for a Writ A Memorandum of Law in Support of the Application (optional) Exhibits to Support the Memorandum (optional) The State’s Answer (if any) The Trial Courts Findings of Fact and Conclusion of Law (if any) The Original Indictment, Judgment, and Sentence A Clerk’s Certificate An application record may also contain a number of other filings (such as affidavits or

applicant responses to the State’s Answer). Luckily, particularly in their digital form, Writs tend to have an index at the beginning of the record laying out the separate documents and their location in the record.

A Guide to Court Documents:

Appeals An Appeal is issued in the instance that a PDR or Application for a Writ has been granted. As death penalty cases bypass the Courts of Appeals and head directly to the Court of Criminal Appeals for mandatory review these cases are also Appeals. An Appeal file’s contents vary depending on the type of Appeal it is. If the file is in regards to a Death Penalty case then it will contain the complete Appellate Record along with any new filings made in CCA (i.e. Briefs). If it is an Appeal from a Court of Appeals ruling it may or may not contain the Trial Court Record (in the instance that it is attacking the decision regarding the case itself or if it is attacking counsel as being ineffective, in the second case transcripts are usually not contained in the record). In the case that an Application for a Writ has been granted, the original application will now be filed under the Appeals number. The Appeals cause number notation consists of an abbreviation noting the file as an Appeal and a sequential number:

Fig. 4: An Appeal cause number As has been stated, the contents of an Appeal file very depending on the type of Appeal it is. The file itself may contain:  The Original Application for Writ  The Trial Court Record  The Appellate Record Appeals are almost always in hard copy form, even if the original writ application has been digitized.

A Guide to Court Documents:

Locating Court Documents When it comes to locating court documents there are a number of methods which may be employed to locate a file. While at times an inmate or patron may know exactly what they are looking for and will provided you with the necessary information for locating their request, more times than not some searching will have to be made. Locating Information Below is a table outlining the forms of information which may be located from information provided by a patron. Sometimes all of the metadata fields are not filled completely by the information source so it is possible that other sources will need to be utilized (ex. TCO does not always enter trial court information). Cross-referencing information sources should allow you to locate any information or document which is requested. In addition, sources for the information available are included to aid in retrieval. You may wish to bookmark these URLs.

Information Supplied       

Inmate Name Inmate TDCJ # Trial Court County COA Cause # CCA Cause # Inmate Name Reporter Citation

Information Available Trial Court County Trial Court Cause #

Information Source

COA Information (if any) CCA Information (if any)

Texas Courts Online

COA Cause # (if COA) CCA Cause # (if CCA)

Westlaw

TDCJ Inmate Directory

Direct Searching If a patron supplies you with a COA or CCA number and they are looking for documents from that cause number then their file should be located at that Court of Appeals or Court of Criminal Appeals. To verify this information you would go to the applicable Court on Texas Courts Online and search their case information for the CCA or COA provided (links to individual COA pages and the CCA can be found in the right hand column of the main page – after navigating to the proper court you would then click on Case Search, again in the right hand column). If the file is noted as “Case stored” in the Calendar field at the bottom of the case information page it means that the file is in that court’s possession. For any court besides the 3rd Court of Appeals or CCA the patron would be referred to that Court’s Clerk’s Office (i.e. a file at 1 st Court of Appeals would require the patron to contact that court). A graphical walkthrough of this procedure is outlined below. For this exercise we are going to try and retrieve case information for a 3 rd Court of Appeals case. The Patron has supplied us with the cause number 03-99-00256-CR.

A Guide to Court Documents:

He is looking for his Reporterâ&#x20AC;&#x2122;s Record [note: Originally part of the Trial Court Record but now stored with the Appellate Record at the Court of Appeals].

Step 1: Retrieve TCO and use the portal to access the particular court you need information from. In this example we will click on 3-Austin.

A Guide to Court Documents:

Step 2: Once we have access the 3COA portal we will now click on Case Search to locate the case information for the cause number we have. Note: A listing of the Counties under the 3COA Jurisdiction can be found at the bottom of the page.

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Step 3: Enter the Cause number in the search box provided. Note: You may also search by Style, which are the party names. This is helpful when all you have is the patronâ&#x20AC;&#x2122;s name.

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Step 4: To verify that the file is at the 3rd Court of Appeals, scroll to the bottom of the case information page and make sure it is Stored.

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Non-Direct Searching Sometimes a patron does not supply you with the information needed to directly search for their documents. In these instances there are a number of ways to use the resources available to cross reference information and locate their file. Even if you have a TDCJ number as your only piece of information, you should be able to locate court documents. In some instances a patron may supply you with their CCA Writ numbers, but request their Appellate Record (which does not become a part of the Writ Record unless that Writ is granted and becomes an Appeal – even in that instance the record may still not be a part of the file). There are two methods for locating information indirectly. One is a top-down approach where you utilize information which has been supplied to you regarding a higher level cause to back track and locate documents at a lower level court. The second is a bottom-up approach where you utilize information regarding the patron to find where his or her case began and then work your way up the system chain. We’ll begin with a bottom-up approach as these tend to be more common. Bottom-up search methods work best when a patron supplies you with either his or her name, TDCJ number, or Trial Court County. The Trial Court County makes such searching easiest, but we will use an example where only the name/TDCJ number is supplied as there is an extra step in these cases. If you are supplied no other information other than the patron’s name and TDCJ number, you should begin your search at the TDCJ Offender Information Search Page. Here you can enter the patron’s TDCJ number and it will supply you with his or her name, unit, offense type and date, county of conviction, and trial court cause number. These last 2 items are the most important for locating court documents. Below is a graphical representation of the TDCJ Search Page and its results for TDCJ #772873 [Note: TDCJ’s page only works in Internet Explorer and the database is slow to retrieve information]:

Fig. 5: The TDCJ Offender Information Page highlighting the TDCJ Number field.

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Fig. 6: Offender information highlighting Trial Court County and Cause Numbers. Once you have this information you may now go to the TCO main page and attempt to find if his case has moved up any higher in the system. At this point you know that that the patron has 2 cause numbers (1 Cause being for 3 offenses) in two separate counties. Let’s say that in his request the inmate was looking for his Reporter’s Record from CR-2486-94-A. We now know that this case began in Hidalgo County. If he did not appeal his case his records should be with the Hidalgo County District Clerk. Before we can refer the patron to that office we must verify that the records have not been moved to another court. Now that you know the County you may go to the TCO main page and systematically access each Court of Appeals portal and compare the county provided with the court Jurisdiction [Note: the 5th Court of Appeals in Dallas has a different portal than all of the other Courts of Appeals and does not list its jurisdiction. It is best to check Dallas at the end if you are unable to locate the county under any other Court of Appeals]. In systematically searching for Hidalgo County we have come to find that the 13 th Court of Appeals has Jurisdiction (by looking at the jurisdiction list highlighted in the direct searching example). Once you locate the Court with Jurisdiction [13COA] over the County [Hidalgo], you may access that Court’s Case Search screen and attempt a Style search for the patron’s name. Below is a list of answers to our query of “Moreno” for a Style search.

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Fig 7: Search results for “Moreno” in the Style field at 13COA As you can see, the list of cases with “Moreno” in the style extends past one full page so it will be necessary to locate “Jason Omar Moreno” in the list. The best method is to use Ctrl-F to bring up your browser’s page search function and then enter the patron’s first name (this is helpful with common names such as Jackson and Smith). You should then be able to locate the name of the patron. If the patron is not found, his or her case is most likely stored at the District Clerk’s Office. To be 100% sure however you may wish to repeat this same process for the Court of Criminal Appeals, though it is unlikely the patron’s case is there (unless it is a Death Penalty offense). In searching for “Jason” in the 13COA list we were able to locate his 13COA cause [13-9700156-CR]. By clicking on the folder icon next to his cause number we can bring up the case information for this particular cause.

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Fig. 8: Locating information for “Jason” in the “Moreno” search results.

Fig. 9: 3COA Information for 13-97-00156-CR showing Trial Court Cause

Fig. 10: Bottom of 3COA Information for 13-97-00156-CR showing Case Stored

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Now that we know that the file is stored at the 13th Court of Appeals we may go ahead and create an Unable to Process (UTP) form for the inmate referring him to the 13COA Clerkâ&#x20AC;&#x2122;s office. A walkthrough of the Document Delivery Database will come later to show you how to create these UTP forms. Bottom-up searching does not have to begin at the Trial Court level. For instance, a patron may be searching for a Writ application but may only have the COA cause number. In these instances you can go to the CCA case information portal and insert the COA number in its search field (the CCA search options are more robust than those for the COAs). This query should bring up any CCA filings associated with that Appeal. I say should, however, because not all records have the COA metadata completed and may not be searchable in this manner. To cover all bases you should perform a Style search as outlined before. Below is a graphical representation of the COA query process for COA number 14-04-00267-CR which you may wish to attempt before a Style search:

Fig. 11: Entering the COA number in the CCA search field

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Fig. 12: Search results for 14-04-00267-CR showing a Writ and PDR. By using the COA information supplied to us by the inmate we were able to locate his Application and his PDR. However, there is a problem. As you can see the only Writ showing up is his -02, which means this is the second writ he has filed. Why hasnâ&#x20AC;&#x2122;t the first application appeared? We can search for the 1st application by entering the Application cause number we have found with a modified order number of -01.

Fig 13: Entering the modified Application number.

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Fig. 14: The -01 Case information [Note: this is a Mandamus Writ so no COA info attached] By using the information we have just found and substituting a new order number we were able to locate the application for Writ of Mandamus. As this form of application is not attached to the COA proceedings it did not come up in our COA search. If you wanted to retrieve a list of all of this patron’s files you would have to perform a Style search, but with a name like “James Smith” the retrieved documents may be vastly larger than those targeted. There are a number of ways in which we can conduct bottom-up searches. Having an understanding of the various ways in which you may retrieve information helps as each particular patron request will have different clues you may go on. Top down search methods work best when a patron supplies you with information regarding their cause that describes its subsequent history (i.e. its Court of Appeals or Criminal Court of Appeals information) and they are looking for Trial records prior to these cause numbers (i.e. they supply you with a Writ number, but are looking for their Appellate record). The simplest of these searches is the CCA search for COA information. In these instances you may use a patron’s CCA information (Writ, Appeal, or PDR number) to locate their CCA cause. In most instances (if the metadata is completed) you will be able to find this information straight from the CCA record. As we have already gone through examples that illustrate how you can search CCA we don’t need a step-by-step example. The important point is that there are numerous conduits you may utilize for locating Court information and that you may be required to cross reference various sources to locate specific documents. On the following page is a table of the most used information sources, what you may search by, and what information you may be able to retrieve.

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Information Source TDCJ Inmate Directory

Information Searchable First/Last Name Race TDCJ # SID # Gender

Texas Courts Online: COA

COA Cause # Style

Texas Courts Online: CCA

CCA Cause # Filing Date Style COA Cause #

Information Available Offense Date Offense Sentence Date County Cause # Sentence COA Information Trial Court Cause # Case Events Case Storage CCA Information COA Cause #* Trial Court Cause #* Case Events Case Storage

*Note: May or may not be available depending on thoroughness of metadata entry.

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Working with the Courts As the Document Delivery Service provides court document copies for the Supreme Court, Court of Criminal Appeals, and 3rd Courts of Appeals it is necessary to understand the policies and procedures for requesting and retrieving documents from each. While the three are similar to each other in terms of their processes, there are slight differences in the procedures required of each. This guide will provide a step-by-step walkthrough of requesting, retrieving, and returning court documents for all three Courts.

The 3rd Court of Appeals Requesting Documents from the 3 rd Court of Appeals The 3rd Court of Appeals has the most specific process for requesting documents for viewing and copying. When a document needs to be requested from the 3 rd Court of Appeals this must be done in person by submitting a Request for Records form. The request form has been scanned to a .pdf file and is available on the server at H:\Departments\Inmate Copy Service\Request Forms. You may wish to print out a number of the forms to keep from having to print one out each time you need to request a file. Following is a screenshot image of the form with an explanation of the fields you will be required to fill out. You do not have to fill out all fields and some are already completed as the information for them does not change: Field A: Cause number – For each file requested you will need to fill in the 3COA cause number. Each request form may only contain one cause number. Multiple cause numbers for one patron will require separate forms. Field B: Style – Each case has a style which outlines the parties to the pleadings. In criminal cases these usually take the form of Doe, John v. the State of Texas. In civil cases they usually take the form of Doe, John v. Doe, Jane. Civil cases may have multiple parties for both the defendant and the plaintiff. In these cases you need only fill out the first party and may signal that there are more parties by writing et al (Ex. Doe, John et al v. Texas Workforce Commission et al). Field C: Items Requested – For each file you request you must notify the court beforehand if you wish to view the file at the Clerk’s office or if you wish to remove it from the office and bring it to the library. In most cases, when a file is being requested for an inmate via mail you may simply request the file to view. If you wish to view the file and create an estimate on paper in the Clerk’s office simply write File to View in this field. If you would like to remove the file from the Clerk’s office so that you may make copies you will need to write File to Check Out. When checking out files there are 2 ways in which to do this: Same day or Overnight. We will discuss the difference between these two later. Field D: Name – This is simply the name of the person requesting the file. Enter your name as you will be the one either viewing or picking up the file. Field E: SLL Contact information – This is the field for contact information and is already completed to notify the court that the file is being requested by the State Law Library and that the Document Delivery Service can be contacted at extension 3-8988.

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Fig. 1: 3 rd Court of Appeals request form.

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After you have completed each of the necessary fields the completed form should be brought to the 3rd Court of Appeals Clerk’s Office. The 3COA office is up stairs from the Library. Once reaching the top of the stairs you will make a 180 degree left turn and follow the carpeted hallway to the Price Daniel Building. Continue past the downward staircase to the end of the hall to reach the Clerk’s Office. The receptionist’s desk is to the left once you enter the double doors. Drop the form with the receptionist (this position is currently filled by Barbara, but a number of other employees may stand in for her in her absence). Leave the form with the court and they will contact you via phone at the 3-8988 extension to notify you when the file is available. Viewing files at the 3 rd Court of Appeals Once the court has contacted you to notify you that your file is available to view you may head back to the Clerk’s office to go through the file (this usually occurs days after the initial request). When you are viewing a file in the clerk’s office bring a pad and pen as you will need to record the contents of the file by hand and then later transcribe it over to the Document Delivery database. Once you arrive at the court notify Barbara (or the other receptionist) that you are here to view a file for SLL. When you first enter the office you will notice a visitor log laid out on the front table. Fill in your name, time of arrival, and the file number you are viewing in this log. The receptionist will buzz you in to the office and will most likely have the file laid out on the viewing table (at the back right of the room). Open the file at the table and go through it to locate the documents you need. When placing documents back in the file make sure to return them in the order you took them out as the file is usually put together in a reverse chronological order. Once you have completed viewing the file take the copy of the original request form you submitted (which should be on top of the file) and write in the lower left hand corner Done – Can be returned to notify the clerk’s office that the file may go back to retention. If you wish to hold the file for some reason write Please Hold. Notify Barbara or the other employee aiding you that you are finished and the file can be returned or that you would like them to hold it. If you request a hold you will need to notify them when you are no longer in need of the file so it may be returned to the retention center. When you leave the viewing room make sure to return to the log and record the time you are leaving the office. Checking out files from the 3 rd Court of Appeals When requesting a file for check out from the 3 rd Court of Appeals there are 2 ways in which this may be done. A Same Day checkout means that you will return the file the very same day as you remove it from the Court. An Overnight checkout allows you to hold on to the file at the Library for a number of days (usually about a month). Same Day checks are usually used when you are making a copy of a small document which may be done quickly and returned to the Court by the end of the day or when a document you have requested is a part of a file which is

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currently under review by the judges and can not be removed from the Clerk’s office for an extended period of time. Overnight checks are used when the case file being copied is larger in size (such as a complete Clerk and Reporter’s record set) and is already ruled upon and stored in retention. Same Day and Overnight checkouts both require you to fill out a form in the Clerk’s office to keep track of the record. The form for each is identical although there are differences in terms of the information provided for each. In a Same Day checkout you will need to fill out the specific items you are removing from the file (ex. Appellant’s brief or Clerk’s Record) in the Items field of the form. You will need to print and sign your name, enter SLL in the Firm field, and provide your driver’s license number. For a Same Day checkout you will need to leave your driver’s license with the Clerk’s office. Your license will be returned to you once you bring the file back. To best insure you return everything on time try to bring items back to the Clerk’s office no later than 4pm. For an Overnight checkout you will need to fill out the same information as the Same Day checkout with some slight differences. Rather than listing all of the items you are checking out you may write Complete File [X Shuck(s)] in the Items field where X represents the total number of shucks the file is made up of (usually 1 or 2, but sometimes more). While you will not need to leave your license this time you will have to provide your license number on the check out form. Once Barbara or the other employee checks the paper work over you may return to the library with file and keep it overnight. When you are finished with the file be sure to return it to the Court. Barbara or another employ will take the file from you, mark it as returned, and set it away to be transported back to the retention center.

The Court of Criminal Appeals When reading over A Guide to Court Documents it was explained that the Court of Criminal Appeals has a number of different file types stored with their clerk’s office. Different file types, while all having the same request process, have different retrieval procedures. First we will explain the request process which is universal for all CCA documents and then go step-by-step through the difference procedures necessary for retrieving and returning documents.

Requesting Documents from the Court of Criminal Appeals Requesting documents from the CCA is actually the simplest of all the courts. Much like 3COA you will be required to fill out a request form, however in the case of CCA all requests are made via e-mail rather than in person. First we will take a look at the necessary form and its fields. The CCA request form is a .doc file which will be filled out in MS-Word and attached to the e-mail you send to CCA requesting files. The CCA request form may also be found at H:\Departments\Inmate Copy Service\Request Forms.

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Below is a screenshot image of the form with an explanation of the fields you will be required to fill out: Field A: Requestor Name – This is simply the name of the person requesting the file. Enter your name as you will be the one picking up the file. Field B: Date – Enter the date on which you are making the request for the file. Field C: File Number – This is the cause number assigned to the file by the Court of Criminal Appeals. This will begin with either WR-, AP-, or PD- dependent upon the pleading type. As Writs may have numerous filings associated with their individual sequential numbers you may wish to clarify the order number. Unlike 3COA, multiple writs of the same sequential number (i.e. WR12,345-01 & WR-12,345-02) may be ordered on the same form. If you leave off the Order Number CCA will assume you are requesting all writs associated with that sequential number. You may request specific writs by including the Order Number (ex. WR-12,345-05). Different pleading types (i.e. a Wr- and an Ap-) will require separate forms. Field D: File Name – This is the name on the file. If the file is a Writ or Petition for Discretionary review it will most likely be in the form for Doe, John. If it is an Appeal then the file name may be written as Ex Parte John Doe. For any file all that needs to be provided in this field is the Last and First name on the case file.

Fig. 2: Court of Criminal Appeals request form.

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Once you have completed filling out all the necessary fields you should save the form to your desktop with the file number as its name (be sure to use Save as… as a simple Save will overwrite the original form or last form you completed). It is best to complete all the forms before e-mailing. Each request does not need a separate e-mail and all requests should be e-mailed to Tina at CCA in one message if possible. Once your forms are completed, open Outlook and create a new message. In the To: field you will need to email: Tina.Edwards@cca.state.tx.us – Tina Edwards and Audrey.Banda@cca.state.tx.us – Audrey Banda Both Tina and Audrey work at the CCA file room and handle file requests for the Document Delivery Service. Tina handles these requests but, Audrey should also be e-mailed as she stands in for Tina in her absence. In addition to e-mailing Tina and Audrey you should also CC: the Document Delivery Service this request to keep everyone on the same page. The e-mail address for the Document Delivery Service is: copyservice@sll.state.tx.us A standard e-mail request for documents should look like this:

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Once Tina receives your request and pulls the files for you she will send an e-mail back notifying you that the files are available. When files are ready to be picked up Tina will let you know if the file is at the file room to check out or if it has been transferred to the FTP site for download. Picking up Physical files from CCA All AP- and PD- records are physical paper copies and need to be picked up at the CCA file room. In addition, some of the WR- files are physical documents as well. To get to the file room, exit the Library doors and go past the stairs (i.e. do not go upstairs) and proceed through the double doors. Pass the elevators and go through the next set of double doors (you will need your ID card to open these doors so do not forget it – the access pad is to the left of the doors). Go straight and take a left. Continue forward past the vending machines and the File room is on the left. When you enter the file room Tina’s desk is directly on the right. On top of her desk, towards the right, is a visitor’s log. Fill this out in the same fashion as you would with the 3COA log. Once you fill out the log go take a right at the end of the reception desk and you will see a small table. On the table is a box in which Tina places SLL files. Each file will have a print out of the request form you have e-mailed to Tina on top of it. At the bottom of the form is a line to sign for File (out). Sign and date there and return the form to Tina. You may now bring the file back to the Library and hold it overnight for a number of days (usually about a month as well). When you are finished with the file return it to Tina and she will sign it back in. Retrieving Scanned files from the FTP site Some of the WR- files have been digitized and are stored as .TIFF files. When a file is in digital form you will need to retrieve it from the FTP site. When Tina contacts you she will let you know if a file has been transferred, meaning it is in digital form. Digital files are downloaded from the FTP and then archived on the H: drive for easy access when payment comes in for copies. First we will go through how to access the FTP site and then see how files are archived on the H: drive. To access the FTP site you will want to click on My Computer on your desktop. In the address bar you will need to type in the FTP address. Our login address for the FTP site is: ftp://update5@ftp.courts.state.tx.us Once you retrieve the FTP address a login screen will appear. The User name should already be completed as update5. The password to enter is fileit! Below is a screen shot of the login screen with the User name and password completed in red:

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Once you enter this information, click Log On and you will be allowed access to the FTP directory where the .TIFF files are stored (ftp://ftp.courts.state.tx.us/). Digital documents have a standardized file name. Each Writ will come in the form of WR-##,###-##_####### where the WR illustrates that the document is part of a Writ file. The next five digits are the Sequential number for the Writ. Following the sequential number (after the second “-“) will be the Order number. The final 7 digits are the event ID number for the filing. As Writ record documents come in at different times they may be stored as different digital documents. As long as the Order and Sequential numbers are the same for files that means that they go together as a part of the same record. Below is a screen shot of digital documents with differing order numbers to illustrate how records are compiled:

Now that you have located the digital files on the FTP site you will need to archive them on the H: drive. ICS has its own directory for storing Writ files (H:\Departments\Inmate Copy Service\WRITS). When archiving a scanned document you will need to create a subdirectory for the Applicant in the Writs directory. Writ folders follow a standardized naming system. When you download a new Writ for an applicant who does not have a folder yet you should create one. When naming the folder do so by typing LastName, Firstname – WR-##,###. Once you have created a directory for the applicant you may then copy the .TIFF files to it. Files are stored by their

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Sequential number. You do not need to create subdirectories for each Order number. A screen shot of the Writ directory illustrating the naming convention can be seen below:

Fig. 3: The H: Drive Writs directory digital document archive

Fig. 4: An applicant subdirectory with stored digital files (Buffington, Seth â&#x20AC;&#x201C; WR-69,675)

The Supreme Court Requesting documents from the Supreme Court Much like the Court of Criminal Appeals, requests to the Supreme Court are made via email. In addition, the Supreme Court also requires a request form to be filled out. While the form is almost identical to the CCA form, the Supreme Court does require you to list the particular document you are looking for if possible. Complete files may also be checked out. Below is a screenshot of the Supreme Court request form with the necessary information fields highlighted.

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Field A: Date – The date the request is being made. Field B: Docket Number – The Supreme Court Docket number. SC case numbers have a standardized notation in the form of ##-#### where the first 2 digi ts are the last 2 numbers of the original filing year (i.e. 97 for 1997 or 03 for 2003) and the last 4 digits are a sequential number keeping track of filings chronologically. Field C: Style – The style or party names attached to the case. This may take t he form of Doe v. Smith or In the Matter of Smith or one of a number of other formats. Like the 3COA files, if there are multiple parties you may just write et al after providing the first party name. Field D: Requested by – This is simply the name of the person requesting the file. Enter your name as you will be the one either viewing or picking up the file. Field E: SLL Contact information – This is the field for contact information to notify the court that the file is being requested by the State Law Library and that the Document Delivery Service can be contacted at extension 3-8988. Field F: Documents Requested – If you are looking for a particular document in the file (ex. The Original Petition or an Amicus Brief) you should list it here with the filing date (which is available via Texas Courts Online). In most instances the Clerk’s office will locate the particular document for you so that you do not have to go through the entire file and locate it yourself. If you need the entire file you should note that in this space.

Fig. 5: Supreme Court request form

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Just like the other request forms the Supreme Court form is located on the H: drive (H:\Departments\Inmate Copy Service\Request Forms) and is in a .doc format just like the Court of Criminal Appeals. You should take the same steps in regards to filling out and saving the form to attach to an e-mail as you would with CCA. Instead of e -mailing Tina and Audrey, however, you will contact Blanca and Jessica who work at the Supreme Court. You should compose an e-mail in the same manner as you would with a CCA request (attach the forms, put the date in the subject field, list the file and documents in the e-mail body, CC: the message to the Copy Service e-mail, etc.). To contact Blanca and Jessica you should e-mail: Blanca.Uribe@courts.state.tx.us – Blanca Uribe and Jessica.Hamby@courts.state.tx.us – Jessica Hamby Blanca (or in her absence, Jessica) will usually notify you via e-mail that they received your request. When they pull the file and it is available for you to check out they will send an email notifying you that the file is now available. Picking up files from the Supreme Court Once you have been contacted by Blanca (or Jessica in Blanca’s absence) you may go to the Supreme Court clerk office to pick up your documents. To make your way to the office exit the library and go directly up the stairs. Continue straight past the elevators and the Clerk’s office is the first door on the right (directly across from the CCA clerk office). Once you enter notify Blanca that you are here to pick up the documents you have requested. Blanca will either buzz you in so that you may go through the file at the viewing table or she may just hand you the document if she has already pulled it for you. Unlike CCA and 3COA all files or documents checked out from the Supreme Court must be returned the same day. When you check out a file or document you will have to fill out a Document Receipt form which is a small yellow card making note of your reception of the file or document as well as leave your license or some other form of identification. A screenshot of the Document Receipt form is below with an explanation of the fields you will need to fill out: Field A: Date – The date the file or document is being checked out. Field B: Docket Number – The Supreme Court Docket number. SC case numbers have a standardized notation in the form of ##-#### where the first 2 digits are the last 2 numbers of the original filing year (i.e. 97 for 1997 or 03 for 2003) and the last 4 digits are a sequential number keeping track of filings chronologically. Field C: Style – The style or party names attached to the case. This may take the form of Doe v. Smith or In the Matter of Smith or one of a number of other formats. Like the 3COA files, if there are multiple parties you may just write et al after providing the first party name. Field D: Received by – This is simply the name of the person receiving the file. Enter your name as you will be the one either viewing or picking up the file. For TDL/State Bar # you may enter “State Law Library”. Field E: Signature – Sign to make notice of your reception of the file or document.

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Field F: SLL Contact information – This is the field for contact information to notify the court that the file is being requested by the State Law Library and that the Document Delivery Service can be contacted at extension 3-8988. Field G: List of Documents borrowed – If you are looking for a particular document in the file (ex. The Original Petition or an Amicus Brief) you should list it here with the filing date (which is available via Texas Courts Online). If you need the entire file you should note that in this space.

Fig. 6: Supreme Court Document Receipt Form

Once you have filled out the Receipt form and have left your license you may bring the document or file back to the Library. Viewing times for the Supreme Court end at 4:30pm so you should make sure to return the file by that time to retrieve your identification.

Tips for managing workflow There are a number of useful tips and tricks for managing the workflow, minimizing duplicate processes, and keeping track of requests:  As SC requires files to be returned the same day, take care of any of these requests first to ensure you get everything back on time.  When receiving a request for a 3COA file, bring it to the office the next day so that you may collect a number of 3COA requests and drop them off together, minimizing your back and forth time going and returning from there.  Make CCA requests to Tina at the end of the day so that you may make all of the requests forms at once and only have to compose 1 e-mail. Their turn around is usually pretty quick so you should have it the next day.  3COA takes the longest to retrieve files. If a patron is requesting a file from 3COA notify them that it could be a number of days before you are able to view it.

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ď&#x201A;ˇ If you are trying to obtain a relatively small document for a patron, rather than viewing the document and making an estimate and having to go back to retrieve it if the patron does want copies, check the document out and make a scan of it (this works best for SC documents). If the patron decides they donâ&#x20AC;&#x2122;t want to document you havenâ&#x20AC;&#x2122;t wasted any paper but still have a copy of it without having wasted much time. A number of patrons are requesting scanned documents now so this may also save you some time.

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A Guide to the Document Delivery Database In 2007 the Document Delivery Service decided to design and implement a database to aid in keeping track of document copy requests. This guide will walk you through your first initial login to the system, explain features, and illustrate how estimates for copy jobs should be entered into the system.

Initial Login to the Document Delivery Database (3Db) The 3Db system may be accessed via the Sydney server by retrieving the address: http://sydney/documentdelivery2/ Once you have retrieved the above address you will see the Login screen. For your initial login you will need to choose your user name from the drop down list (this will have been entered by an Electronic Services Librarian) and then enter the temporary login password of password.:

Fig. 1: Locating your login, entering the temporary password, and logging in [note: the password you enter will be hidden for security purposes.]

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Once you have logged in to the system for the first time you will now have to change your password to something more secure. Upon logging in you will be greeted with the Main Index listing the various tasks you may accomplish with the 3Db. To change your password you will need to access the Administrative Options menu. Once you have clicked on Administrative Options you should now click on Change Password. Once you are at the Change Password form you will be prompted to enter your Old Password (password in this case) as well as your desired password. You will also be prompted to re-enter your new password to verify your choice. Once you have completed all fields click on Submit Changes.

Fig. 2: Accessing Administrative Options>Change Password and updating your new password

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Once you have entered your new password you will have your own official account in the 3Db system. Now that we have updated our password we will take a look at the Main Index and explain some of the different tools which may be utilized.

The 3Db Main Index The 3Db MainIindex has a number of options which allow you to search the contents of the database, add new patrons or requests, and even track progress of work. A screen shot of the Main Index follows. The options available on the main page consist of: Main Index Options Add a new patron: Allows you to add a patron to the system along with their address, phone number, e-mail, and other contact information. Search patrons: Search the patron listings through utilizing fields. Add a new request: Add a request for a patron whom already exists in the database or create a new request for a new patron. Search requests: Search through the request list through utilizing fields. View all pending/incomplete requests: See a status listing of pending document requests. View all requests â&#x20AC;&#x153;at a glanceâ&#x20AC;?: A listing of all requests in the database with options for sorting the list. Generate reports: See a status update on workflow output for the team or individual workers. Administrative options: Change your password Search estimate files/items: Search through the estimates created to locate particular files and items which have been entered. Supplemental Options Back to the Index: Return to the Main Index Logout: Log out of the database. Recently viewed requests: Links to the last few requests you have viewed to allow you quick access back to them

Fig. 3: The Main Index interface and its options.

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As you can see from the list outlining the options there are a number of ways in which to input or search for information. To best explain how the 3Db works we will look at how records are organized in the system. From there we will be able to see the various ways one can browse or search through those records as well as add new records.

Organization of Information in the 3Db The 3Db keeps information organized by creating files and sub-files of records according to their classes. The 3Db organizes requests by Patron records as each can act as a unique folder. Within a Patron record there may be one or many Request records. Request records are requests for documents which are made at the same time [i.e. it may be more than one document]. Within a Request record you may have an Estimate record, UTP [Unable to Process] record, or simply a Finalize record. For particular requests there may be a combination of Estimate and/or UTP records. Each Request record may have only one Finalize record which is a record of the information signaling the request as being completed in full. If a Request record has an Estimate record attached to it then there may also be a Payment Info record if a patron has sent in payment for copies. On the following page is a flowchart outlining a series of Request records for one Patron record. Some of the Request records have UTP records [if the request was unable to fill], Estimate and Payment Info records [if we provided an estimate and payment was received], and/or Finalize records [when the request was filled].

Patron: Doe, John

Request 1: 5COA File

Request 2: Statute

Request 3: 5COA File & Statute

UTP: Refer to 5COA

Estimate: Statute

Finalize: UTP

Payment Info

Finalize: Mail

UTP: Refer to 5COA

Request 4: Address

Finalize: Reference

Fig. 4: An example of the 3Db Record Structure

Another way to think of the 3Db record structure, rather than as a flowchart, is a series of folders within folders. If we express the organization model this way it would look something like below:

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Fig. 5: The 3Db structure expressed as a folder metaphor. Now that we have a firm understanding of how the 3Db is structured in terms of its organization we can begin to add records to the system. First we will add a Patron record.

Adding a Patron Record To add a Patron record we should click on Add a New Patron from the main menu.

Fig. 6: The Add a new patron option from the Main Menu.

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Once we have accessed the Patron record addition screen we will find a number of empty fields which must be completed. The 3Db system is setup to classify patrons in one of two ways: Non-TDCJ patrons and TDCJ patrons. A Non-TDCJ patron is any patron who is not an inmate in the Texas Department of Criminal Justice system. This category includes the general public, law firms, other State agencies, and inmates in other correctional institutions. The TDCJ patrons are kept separate as they require a different set of fields to be entered for their contact information. Below are screen shots of the Non-TDCJ and TDCJ patron data entry screens with an explanation of the fields: Field A: Patron Information – These fields should be filled with the Patron’s First, Middle [if available], and Last names. Field B: TDCJ Inmate – This box should be checked if the patron is a TDCJ inmate. Checking this box will bring up the TDCJ patron entry screen [lower image]. Field C: Non-TDCJ patron contact information – These fields should be filled in as completely as possible. The Office field may be used to make a notation of the patron’s Law Firm, State Agency or non-TDCJ inmate ID number [i.e. a Federal Penitentiary or State Jail ID number]. The E-mail field should be completed for document requests which require scanning and e-mailing. Field D: Tax Exempt – You should check this box if a patron is located out of State or is otherwise tax exempt. This option will keep the tax from being calculated into the total cost when an estimate is compiled. Field E: TDCJ Unit – This field will appear if the TDCJ Inmate check box is selected. You should select the Inmate’s TDCJ unit [found on the correspondence or via the TDCJ database]. Field F: TDCJ Number – Here you should enter in the Inmate’s TDCJ number. This is usually found next to their name on their correspondence and is either 6 or 7 digits in length.

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Fig. 7: Non-TDCJ and TDCJ patron entry screens Once you have successfully completed all fields and have clicked on Submit the 3Db will notify you that your Patron record has successfully been added or that there is a possibility that you have created a duplicate record. If the new record is not a duplicate you will see the screen below:

Fig. 8: A new Patron record has been created. If the record you have created is a possible duplicate, the 3Db will notify you of this and show a list of possible matches. The 3Db cross references the existing name and contact information with that which has been entered. If your patrons share the same last name, they may be flagged as duplicates. When the possible duplicate screen appears, review the list of patrons and decide if the new record is pre-existing or not. Below is a screen shot of the possible duplicate screen for the last name â&#x20AC;&#x153;Morenoâ&#x20AC;?. If the new record does not match the options supplied you would choose to continue with the addition at the bottom. If you find that a duplicate does exist you may then just access the original record:

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Fig. 9: The Duplicate Entry screen with options to see duplicate records or create new. Now that we have learned how to create a patron record we will learn how to search the existing Patron records. Searching Patron Records Now that we know the forms of information that are stored in the 3Db for Patron records, we are able to input information in to the search fields to locate existing records. To access the Search patrons screen you will need to click on the Search patrons option on the main menu or on the main menu sidebar. Once you have accessed this function you will have a series of options you may use to locate records: Field A: Patron Information – These fields will allow you to search by a patron’s name. Field B: Office – This field will allow you to search based on the patron’s organization. Field C: Location – This field will allow you to search based upon a patron’s city and state. Field D: TDCJ Information – These fields allow you to look up patrons based on TDCJ information.

Fig. 10: The Search patrons screen with search option fields.

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Now that you have accessed this screen you may enter information into one or multiple fields to locate your desired patron record. The simplest way to locate a Patron record is to utilize the Last name field. This will give you a listing of all records with the last name you have entered. You may also narrow down searched by entering information into multiple fields. However, it is suggested that you search by Last name only and locate the record from the list returned as the First name field may vary in regards to how the information has been entered (ex. Billy rather than William may have been used in a prior record creation). Once you have submitted your query the 3Db will return a list of possible matches from which you may choose the desired record. Below is a screen shot of the information returned for the last name “Williams”:

Fig. 11: Search results for the last name Williams. To select a Patron record simply click on the desired Patron # hyperlink in the left-hand column. Now let’s learn how to attach a Request record to a Patron record.

Adding a Request Record There are a number of ways in which you may add a Request record to the 3Db. You may either add the Request and input the Patron information while creating the request or create the Patron record and then attach the Request record to it. This second option is easier and will serve as our example for adding a new Request record. The Add a new request option from the Main Menu will not be discussed in this tutorial as it is more difficult than the example we will review below. To add a Request record to a Patron record you will first need to access the Patron record desired. Either add a Patron record or access an existing record via the search function to bring up the Patron record information screen. Once you have accessed your record you may click on the Create a new request for this patron option at the bottom of the screen. Below is a screen

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shot of the Patron record for “Dawn Norman,” listing her contact information, existing requests, and the option to add a new request:

Fig. 12: The Patron details screen with the New Request option. Click on the Create new option and you will access the Request record input screen: Field A: Request received information – Here you should enter the date the request was received, the date it was mailed (if it is a letter with a composition date), and your initials. Field B: Requestor information – Here, if you have added the Request to a Patron, the name of the patron should already be pre-filled. You may also select from a drop-down list of existing patrons or add a new Patron record (if you chose the Add Request option from the main menu rather than adding the request to a pre-existing Patron record via search). Field C: Mailing address information – You should click here if the patron requests the documents to be sent to an address other than their own (i.e. if a patron is requesting copies on behalf of someone else). Click the check box with open a new set of fields to input this information. Field D: ICS request – Check this box if the request is from an inmate. Field E: Letter scan – This feature allows us to upload a .pdf scan of the original letter and attach it to the 3Db record for the request. Currently we have not implemented its usage and you are not required to complete this field. Field F: Request details – This is the field in which you should enter details regarding the request. You should enter information to make it clear to co-workers what is being requested (i.e. Art. 42.12 from TCCP for 1994 or WR-12,245-06). This field can handle HTML mark-up. If you wish to list the documents for easier reading, input the <br> tag after each line to start a new one.

A Guide to Court Documents: 43

Fig. 13: The Add new request screen. Once you have added the request the 3Db will notify you that the new record has been created. It will then give you the options for Creating an Estimate, Viewing request details, or Add another request.

Fig. 14: Successfully adding a new request to a Patron record Before we create an estimate for a request, let’s review the Request details screen to better understand how the record is composed. For this example we w ill again use the “Dawn Norman” Patron record and pretend she is requesting “WR-61,231: Berry, Michael”. If we have already added her contact information and created a Request record, then our Request details screen will look as it does below. The Request record screen is home to a number of supplemental options which allow us to make notes and add information to the Request record. An explanation of these options follows the screen shot:

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Field A: Request editing – Here you can edit the information you have entered regarding the request or delete the Request record all together. Field B: Request status – This field allows you to mark the request as in process and make a note of where you are in terms of completion. This is a good way of keeping track of Court Document requests to see which files need to be requested, have been requested, or have been received from the Courts. Field C: Create estimate – This option will bring up the Estimate record input screen where all estimates for documents are created. Field D: Create UTP – This option will allow you to create a standard UTP [Unable to Process] letter form letter from a series of pre-defined responses or create a custom letter utilizing the text input field. Field E: Add a note – This option will allow you to add a note to the Request details screen. This is helpful when you need to note that an inmate requests an estimate for USPS postage or if a document is to be returned (such as an incorrect Money Order). Field F: Finalize – This option will only be utilized when a request is completed in full (i.e. copies have been sent out, etc). This removes the request from the pending list.

Fig. 15: The Request Details screen with supplemental options.

Now that we understand the options available to us regarding the Request details screen, we can now create an Estimate record for our patron’s request. Next we will review how Estimate records are organized so that we may understand how they should be put into the system.

Creating an Estimate Estimate records are organized in a manner similar to that of the Patron record. By this, we mean that the Estimate is comprised of a series of sub-folders which house information. This allows us to easily locate the document we are looking for if we need to access it at a later date.

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For an Estimate record we must fill out a set of fields that allow us to follow bread crumbs back to the specific document we are trying to locate. The fields are: Type

File

E-Doc File Item

The document type [controlled vocabulary]:  CCA  SupCt  3COA  Cite  Misc File [uncontrolled vocabulary]: Examples:  WR-12,345-06  03-01-00234-CR  West’s TCCP 1998 Edition  42 TXJur 3d The E-doc number [optional for CCA scans]: Example:  1234567 The Specific Item: Examples:  Application for Writ of HC  Appellant’s Brief  Art. 42.12  §1.01 – General Definitions

These fields are organized in a hierarchy which allows us to drill down to the specific document we are locating. For example:

CCA > WR-12,345-06 > 1234567 > Application for Writ of HC means The Application for Writ of Habeas Corpus located in E-doc number 1234567 in WR-12,345-06 at the Court of Criminal Appeals. Another way to think of this organizational model is as a series of folders within folders. The Item, which is housed within the File, is housed within the Type:

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Fig. 16: Estimate organization using the file metaphor. As we can see, there may be multiple Files within a Type and multiple Items within a File. In addition, the E-Doc File is only used to make notation of CCA Scanned files which are assigned E-doc file numbers [see Understanding Court Documents]. The Create Estimate screen mirrors this organizational model through its interface. When we first choose to create an Estimate record we are greeted with the screen pictured below:

Fig. 17: The Create Estimate screen mirroring the organizational model.

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To best understand how to input requests in to the Create Estimate screen, we will work through an example request that asks for a series of different documents. Below is the original request we are trying to fill: Dear Library Staff: I would like the cost for the below documents: 1. WR-12,345-06: Application for Writ of HC 2. AP-12,345: Order 3. 03-01-00123-CR: Appellant’s Brief 4. TX Code of Criminal Procedure: Art. 42.12 for 1992 Thank you. Once we have made requests for and received our Court Documents and have located any and all documents in the Library collection, we can create an estimate from the page counts we have made. As this particular request is for a series of diverse documents of different types (2 courts and a citation), we will have to create our Estimate to reflect that. First, let’s deal with the CCA documents. Let’s say that we have already located the Order in the Appeal file. To make an estimate for this document in the 3Db we should take these steps: 1. 2. 3. 4. 5.

Click on the Type drop down menu and choose CCA. Enter AP-12,345 in the File field. Click Add item to this file under the File field. Enter Order in the new Item field. Enter the page count in the Pages field.

You should now have a record which looks like this:

Fig. 18: Creating an Estimate for a CCA file. Now that we have entered our Appeal document successful, we need to enter information regarding the Writ document. This time, however, the Writ file is an Electronic Document rather than a hardcopy file. We will need to note this in the Estimate so that we can easily retrieve the document at a later date. To make an estimate for this document in the 3Db we should take these steps:

A Guide to Court Documents: 48

1. 2. 3. 4. 5. 6. 7.

Click on Add new file to this type to create a new file for CCA. Enter WR-12,345-06 in the new File field. Click on the E-Doc check box next to this File field. Enter 1234567 (our E-Doc number) in the E-Doc field. Click on Add item to this file under this File. Enter Application for Writ of Habeas Corpus in the new Item field. Enter the page count in the Pages field.

You should now have a record which looks like this, including the Appeals information:

Fig. 19: Two Files under the CCA Type. Now that we have successfully added all of our CCA documents to the Estimate, we should add our 3COA and Citation information. To do this you should follow the steps below for each Type you need to enter. 1. Click on Add a New Type to create a new Type record. 2. Follow steps 1-5 for the Appeals record above, substituting the proper Type, File, and Item information. After entering the 3COA and Citation information we should find ourselves with a screen which looks like this:

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Fig. 20: Entering information for multiple Types in the 3Db. Now that all of the documents have been entered in to the system, we just need to add any supplemental charges to the estimate, input any notes we may wish to include for the patronâ&#x20AC;&#x2122;s own understanding of the estimate, and submit. We can input this information at the bottom of the Create Estimate screen. Charges and notes, along with their fields, are:

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Field A: Service Charge – All requests are charged $5.00 for each 500 copies or part there of. For example, a request consisting of 501 copies would accrue a $10.00 service charge. A request for 1001 copies would accrue a $15.00 charge. Field B: Postage – If a patron requires or requests postage via USPS, the postage cost should be included in the estimate. Field C: Handling – If the patron requests special handling (i.e. a rush job on the copies) any additional fees should be entered here. Field D: Notes – Any notes you wish to leave for the patron regarding their request or estimate can be entered here.

Fig. 21: The Charges and Notes fields of the Create Estimate screen. Once all the necessary fields have been entered you can click on the Submit button at the bottom of the screen and your new Estimate record will be created and a table listing your documents will appear. Once your Estimate is successfully created you can create a .pdf form to supply to your patron for ordering their copies.

Fig. 22: Completing an Estimate and printing an Order Form.

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Fig. 23: The .pdf Order Form created from the Estimate.

Now that you understand how to Search for Patrons, Create Records, and make Order Forms you should have everything you need to start using the 3Db for Patron requests. Tips for Creating an Estimate Because estimates are mailed to the patron and are later returned with payment it is possible that the staff member who creates the estimate may not be the one providing copies to the patron. With this being the case it is necessary to fill out the Estimate form in a manner that allows others to understand which documents it is referring to. Here are some tips for creating estimates so that the entire Library staff can understand what is being copied. 1.

When filling in the File field, be as specific as possible regarding the resource. For example, if the case law you are providing is from Westlaw, rather than a hardcopy Reporter, make a notation of this (ex. File: Citations via Westlaw).

2. Use brackets or paranethesis to include information for retrieval purposes. For example, you may wish to make a note of the Edition number this way (ex. File: West’s TxCCP [1998 Ed.]) or include a call number for a physical volume in the Library collection (ex. File: The Employer’s Legal Handbook [KF 3455 Z9 S74 2005]). 3. When entering citations, include a title so that resources can be verified and to aid in retrieving the proper document if a typo is made (ex. File: Citations via Westlaw > Item: 987 S.W.2d 195: Moreno v. State). 4. The Section sign (§) can be entered into the 3Db fields by holding down Alt, typing 167 on the Num Lock keypad, and then de-pressing Alt. 5. When creating an Estimate for Court Documents, make an itemized list of what is included. Files can be substantial in size and often a patron may be looking for only a few specific documents. For Trial Court documents (The Clerk and Reporter Records) list them out as volumes with their titles (ex. File: 03-01-00123-CR > Item: Clerk’s Record v.1 or File: 03-01-00123-CR > Item: Reporter’s Record v.1: Voir Dire).

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6. When creating estimates for Writ files, use the Recordâ&#x20AC;&#x2122;s Index as a guide for creating your Estimate. Often a Writ record can be hundreds of pages, but a patron may only wish to order a copy of the Original Application, which may only be about 20. This allows the Patron to choose specific documents from the record. 7. Use the Notes field to communicate information to the Patron or for purposes of explaining future document retrieval (ex. Notes: We are unable to locate any filings for Dec. 2008 as requested. The above documents were filed in Jan. of 2009 according to Court records or Notes: The above page numbers refer to the digital file page numbers and not the Clerkâ&#x20AC;&#x2122;s numbering of the record).

Adding Payment Information Once an estimate has been forwarded to a patron they may choose to order copies of the documents. When this is done the patron should return the .pdf order form along with a check, money order, or credit card payment in the amount quoted. When payment is made, it should be processed in the Invoice Database. After payment is processed successfully, this information should be transposed to the 3Db. To add payment information to the 3Db you will need to retrieve the Request Details to which the Estimate Record has been attached. You may view the Estimate to verify that you are adding payment information to the proper request. Once you have processed payment and located your request in the 3Db you should choose the Add payment details option from the Request details screen:

Fig. 24: The add payment details option Once you are at the Payment details screen you should fill out the applicable forms to create a Payment record.

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Field A: Date – The date on which payment was processed in the Invoice Database. Field B: Received by – The employee adding the payment information. This should be selfpopulated by your login. Field C: Amount – The amount of payment received. Field D: Payment type – The form of payment provided. You may choose from Cash, Check, Credit Card, Inmate Trust Fund, or LegalEase. Field E: Invoice number – The Invoice Database invoice number for the payment. Field F: Confirmation number – The Check number or Credit Card approval number from the Credit Card receipt (not the actual card number).

Fig.25: The Payment information screen. Once you have submitted the information to the 3Db, the system will now mark the request as having been paid. The next steps would be to make copies, forward them to the patron, and Finalize the request. We will cover Finalizing after we learn how to create a UTP record.

Creating an UTP Often patrons will request documents that we are unable to supply them with. As the 3 rd Court of Appeals, Court of Criminal Appeals, and Supreme Court are the only Courts housed in our building, these are the only courts whose records we have access to. Patrons, particularly inmates, may often receive incorrect information regarding what we have access to in terms of Court documents and will make requests for files which are stored elsewhere. In these instances we create an Unable to Process record for these requests and refer them to the proper Clerk’s Office. In addition, UTP forms may be used to notify the patron that we are unable to understand their request, are unable to locate documents as they have been cited, or to explain that a request they have made is for a service we do not offer (such as legal research or contacting a 3rd party on their behalf). To create a UTP record you will need to access the Request Details screen. Below the detail information you will find an option for creating a UTP form. Click on this link and you will be brought to the UTP creation form:

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Fig. 26: The Create UTP option on the Request details screen. The UTP creation screen has a series of pre-determined responses for requests we are unable to process. If the request you can not process fits one of the pre-existing answers, you may simply click on the check box next to that answer to create a form letter. If you need to provide the patron with further information (for example, a District Clerk’s Office contact information for files not available to us) you may utilize the Other option and text field to explain further. A listing of the available options and their uses follows: Field A: Re: Information – Fill in this field to notify the patron what this UTP form is in regards to. Field B: Unable to Supply – If we are unable to provide an Inmate with all of the documents they have requested (ex. A complete volume of text) you may utilize this option. Field C: Unable to Understand or Locate – If the patron has provided us with incorrect citations or we are unable to understand what he or she is trying to receive copies of you may use this option to request further clarification. Field D: No Legal Advice – Use this option if the patron is request legal aid, legal research, advice, or interpretation of statutes. Field E: Records not at CCA or 3COA: Contact District Court – If the Court Record the patron is requesting are not at any of the Courts we have access to, use this option to refer them to the proper District Clerk’s Office where the record is stored. Field F: Records located at another COA – If the Court Record requested is located at another Court of Appeals, use this option to provide the patron with their cause number and contact information for the applicable court. Field G: Case currently unavailable – If the case file requested is currently under review at one of the Courts and is unavailable to us, use this option to notify the patron that they will have to resubmit their request at a later date.

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Field H: Other – Use this option to include any information not available as a pre-existing response or to include contact information when referring the patron to another court, office, or agency.

Fig. 27: The Create UTP form screen. Once you have completed the form, click on Create Printable Letter and the 3Db will create a PDF form which can be printed and mailed or saved and e-mailed to the patron.

Finalizing a Request When a request has been completed in full (i.e. its reference question has been answered, its copies have been supplied, or it has been answered with a UTP form) you should Finalize the request to note that it has been completed. To create a Finalize record you will again have to locate the Request details screen for the applicable request. Once you have retrieved the proper record, click on Finalize this Request to bring up the Finalization dialog. The fields you will need to complete consist of: Field A: Date – Fill in this field with the date the request was completed. Field B: Delivery Method - Make a notation of how the request was completed. This field has a controlled vocabulary. Choose the applicable method from the options of: No Delivery needed – If the correspondence was picked-up or did not require a response. Mail – If the request was answered through USPS, Truck mail, or FedEx. E-mail – If the request was answered through E-mail. Fax – If the request was answered via Fax. Unable to Process – If the request was answered with a UTP form. Sent to Reference – If the request was answered by Reference staff.

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Fig. 28: The Finalize Request screen. After you have filled out the necessary fields, click on Finalize to complete the request.

Conclusion Now that you have an understanding of the basic 3Db features you should be able to complete requests for documents from start to finish. To aid in understand the request process you may wish to review the process flowchart outlining the steps to be taken for each form of request on the following pages. As all requests are different you may find yourself with a request that does not seem the fit the standard model described in this guide. For assistance with the ICS process, Court documents, or document delivery in general you may wish to ask Ruth, Pasquale, or Aaron.

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Inmate Copy Service Request Process Chart A

Receive Correspondence

Search for Patron Record Is there an existing Patron Record?

No: Create new Patron Record

Yes: Add Request Record to existing Patron Record

Add Request Record to new Patron Record

Proceed to Chart B

Legend

Inmate Copy Service Request Process Chart B Continued from Chart A What type of request is being made?

Court Records

Resource Citations

Reference

Proceed to Chart D

Proceed to Chart C

Letter forwarded to Reference

Answer forwarded to ICS from Reference Answer forwarded to Patron from ICS

Finalize: Sent to Reference

Legend

Inmate Copy Service Request Process Chart C Continued from Chart B Can you locate the resources from the information provided? No: Create UTP requesting additional information

Finalize: UTP

Yes: Create Estimate Record for citations and forward to Patron Has the Patron returned payment for this estimate?

Yes: Process payment in Invoice DB

Create Payment Record in the 3Db

Forward copies and invoice to Patron

Finalize: Mail/E-mail/No Delivery

Legend

No: Leave as â&#x20AC;&#x153;Estimate Createdâ&#x20AC;? until payment arrives

Inmate Copy Service Request Process Chart D Continued from Chart B At which Court are these records stored?

3rd Court of Appeals

Court of Criminal Appeals

Supreme Court

Other Court

Proceed to Chart E

Proceed to Chart F

E-mail request to Supreme Court

Proceed to Chart G

Mark Request as “In Process: File requested on xx/xx/xxxx” Receive notice of availability from Supreme Court

View file at Supreme Court Create Estimate Record for documents and forward to Patron

Has the patron returned payment? No: Leave as estimate created until payment arrives.

Yes: Process payment in Invoice DB Create Payment Record in 3Db

E-mail Request for to Supreme Court Mark Request as “In Process: File requested on xx/xx/xxxx” Receive notice of availability and check-out file Forward copies and invoice to Patron

Return file to Supreme Court Finalize: Mail-E-mail/No Delivery Necessary

Legend

Inmate Copy Service Request Process Chart E Continued from Chart D Bring Request Form to 3 rd Court of Appeals Mark Request as “In Process: File requested on xx/xx/xxxx” Receive notice of availability from 3rd Court of Appeals View file at 3rd Court of Appeals Create Estimate Record for documents and forward to patron Has the patron returned payment? No: Leave as estimate created until payment arrives

Yes: Process payment in Invoice DB Create Payment Record in 3Db Bring Request Form to 3 rd Court of Appeals Mark Request as “In Process: File requested on xx/xx/xxxx”

Receive notice of availability from 3rd Court of Appeals

Check-out file from 3rd Court of Appeals

Forward copies and invoice to Patron Return file to 3rd Court of Appeals Finalize: Mail/E-mail/No Delivery Necessary

Legend

Inmate Copy Service Request Process Chart F Continued from Chart D E-mail Request Form to Court of Criminal Appeals Mark Request as “In Process: File requested on xx/xx/xxxx” Receive notice of availability from Court of Criminal Appeals IS this file an E-Doc?

No: Retrieve File from Court of Criminal Appeals

Yes: Download and Archive E-Doc Files

Create Estimate and Forward to Patron

Create Estimate and Forward to Inmate

Return file to Court of Criminal Appeals

Has the Patron returned payment?

Yes: Process payment in Invoice DB

Has the Patron returned payment?

Yes: Process payment in Invoice DB

No: Leave as estimate created until payment arrives

Create Payment Record in 3Db

Retrieve E-Doc File from Archives

E-mail Request Form to Court of Criminal Appeals

Forward copies and invoice to Patron

Mark Request as “In Process: File requested on xx/ xx/xxxx”

Finalize: Mail/E-mail/No Delivery Necessary

Receive notice of availability from Court of Criminal Appeals

Forward copies and invoice to Patron Return file to Court of Criminal Appeals Finalize: Mail/E-mail/No Delivery Necessary

Legend

Inmate Copy Service Request Process Chart G

Continued from Chart D Is this file at a Court of Appeals?

No: Locate District Court Information

Yes: Locate COA Information

Create UTP Record with District Clerk contact information

Create UTP Record with COA contact information

Forward UTP to Patron

Finalize: UTP

Legend