Flexibility in Case Management Software:
by John Paul Kemp
Kemp's Case Works

I. The Flexibility Issue

A common issue that occurs during any discussion of case management is whether a particular case management software program is flexible. "Flexibility" is desired because offices don't want to be locked into a particular approach to the way they help clients or paper flows in their office. Many offices have geographic and historical factors that distinguish their procedures from offices in other states or even their own state. Forcing a particular intake method on an office could negatively affect the quality, quantity or ability of that office to deliver services to clients.

Yet, there is inefficiency in "reinventing the wheel." Despite some unique factors, offices also share many things. Reporting requirements, the demands of practicing law, governing regulations, problems faced by clients and opposing government agencies are factors very similar from office to office.

The ideal case management software would provide an office with a "core" of case management, while allowing the flexibility to adjust this core to particular needs. If this case management could be adjusted without dependence on a particular vendor or the "high priests" of computers, it would give the office the power to tailor their system quickly and inexpensively.

I joined Legal Services of Northern California, immediately after they were sold a network from IBM. This network had only 256K of memory on each workstation, despite the fact that it took 182K to operate the network. This made it impossible to run any application software if the network was running. We clearly needed more memory, however only IBM memory could be used, or all warranties would be invalidated. The cost of IBM memory was about four times the going price of normal memory. This experience made me resolve that I didn't want to make any office dependant on a particular vendor, including me.

Flexibility is defined as:

1. Capable of withstanding stress without injury,
2. Easily altered or influenced,
3. Capable of adapting or being adapted
4. Capable of being shaped, bent, or drawn out, as by hammering or pressure.

This definition describes both what is expected of case management and what the software is exposed to in a legal services office. The stress and hammering of case management software in an office come from many sources and many competing interests. Some of these interests are:

1. Administration: Wants reports on performance, reports to funding agencies and the ability to insure that office priorities and the dictates of regulations are being followed.
 
2. Managing Attorneys: Want to avoid malpractice, insure quality representation, keep track of performance of advocates and insure that people are aware of what is going on in the office and can cover for each other.
   
3. Advocates: Want something easy to use and understand. They need software that helps them with their cases and takes the burden off of them when handling heavy case loads. They want features that make the rote portions of practicing law, such as opening letters, as simple as possible. However, they also want to ability to modify these to fit their needs, e.g., we need to find clients by Social Security Number, not just by last names.
   
4. Computer Responsible Person: Sees flexibility as a mixed blessing. It allows the software to provide others in the office with what they need, but can allow the destruction of data integrity and software stability. Flexibility needs to be controlled and monitored if complete chaos is to be avoided.
   
5. Support Staff: "Do we need to put in the client's address?" Support staffs are busy keeping their offices running. The fewer things they need to put in, the better. A rule of thumb is - Don't have people operate a case management system unless they get something out of it. Support staff will love a case management system that is easy to use, keeps input simple and to a minimum, and, most important, gives them something back in return for their efforts. Form letters, file folder labels, tickle systems, easy conflict checking, and trust account management all are things that make them see case management as more that just more "busy work."
   
6. Fund Raiser: Can we track who gave us money, what organization they belong to and who raised it? When we ask for more money, can we come back to the funder with reports that show both the statistics on how the money was used to help people and provide "good stories" that turn the statistics into human faces.
 
7. LSC: If they give us money, we must respond. The Legal Services Corporation has a different perspective. They answer to Congress and thus are subject to a hammering of a different sort. Can an office provide the Corporation with the needed reports, but have the ability to put together a custom one on the spur of the moment (although I know that would never happen!). What happens if more permanent reports are required? Is it easy to "hang" these on?

Once we recognize flexibility as important, the next question is, "Where do we find it in case management?" The short answer is that a case management system can be flexible in many areas. The following provides some examples of the where and how of flexibility. A comprehensive discussion of flexibility is a complete analysis of every possible feature of case management, which is beyond the scope of this paper.

A Computer Operating System controls the way a computer addresses critical features such as disk access and file storage. In the past the rule was to pick the software then buy the computer. This is no longer the case. Although there are several operating systems available, such as for the Macintosh, buying something that doesn't run on mainstream computers is a formula for future disaster. Just what is a mainstream computer operating system?

The current consensus is that such a computer can run Microsoft Windows 95/98, Microsoft Windows NT, Microsoft Windows NT Workstation, or Microsoft Windows 2000. The current version of Windows and Windows NT are merging into the Microsoft Windows 2000, which will be available in different versions.

Esperanto was considered by many to be a language that was superior to English. However, how many parents would consider teaching their children how to speak only Esperanto?

This is a similar dilemma faced by people shopping for case management software. Most people don't care and shouldn't what language their software is written in, except for the following reasons:

1. Does the software include custom query and report writing features?
2. Is the language in widespread use?
3. Can you get in and adjust or add to the programming?
4. Is the programming broken down into sections and easy to understand, or is it "spaghetti code" that is impossible to read or follow?

These questions are important because they give the office flexibility in adjusting the software to fit their needs, without only having one source of help.

Software that includes custom query and report writing features allows you to create your own reports and queries. You can do this without outside help. Such needs arise often, such as when a funder establishes a new reporting requirement or you decide certain information can help you better represent clients.

When the software and language it is written in are in widespread use, there are many resources that can help you adjust the software to fit your needs. Having case management based on a common piece of software makes many third-party utilities and add-ons available, such as mapping and statistics software. Training sessions at local colleges and training centers are both available and meaningful. Useful books and magazines are available at the corner book store.

The use of common software is wasted, however, if the programming is locked. Even if unlocked, having access to the programming can be of very limited use if it is written in such large blocks or in such a confusing manner that it can't be figured out.

Software that is based on a standard language is flexible, as discussed above. However, if only a few copies of your case management software in use, you are at a disadvantage. Widespread use of your system has its benefits:

1. The software has been tested and the bugs worked out by many offices.
2. Other offices are available to help you.
3. Because widespread use, it is likely that solutions exist in it for most typical office situations.
4. The software will continue to evolve and have features added.
5. The developer can afford to put on national trainings where users can learn from the vendor and from each other.
6. The software can be adequately documented.
7. The Legal Services Corporation has to respond to the fact that many offices use the system. They can advise offices how to use the software to satisfy regulation reporting requirements.

Sharing information between advocates is very important because it allows our offices to act less like separate, small partnerships, and more like one large law firm. This "need to share information" exists both within a physical office and between offices, programs and the Legal Services Corporation.

        1). LAN

Sharing computer information within a single office uses a Local Area Network (LAN). This allows many people to be using case management information at the same time. LANs require a network operating system. The one your office uses depends on technical, financial and personal preference factors.

A network operating system has two primary purposes, to allow sharing of information between computers and to provide security for the information. The primary network operating systems currently in use are, Microsoft Windows NT, Microsoft Windows NT Workstation, Microsoft Windows 95/98, Microsoft Windows 2000, Novell, LANtastic, and others (such as Unix and Linux).

One of the last hurtles offices face concerning case management is the challenge of conveniently and inexpensively sharing information between different branches and programs. This hurtle is subject to much discussion because it is currently in the process of being solved. It is important to remember that this sharing is only one of many factors in choosing a piece of software. Sharing data is not very useful unless you can turn it into information and use it.

The legal services community stands at the same point we did in 1989, when LANs were expensive and hard to set up. However, unlike the LAN solution, there are many choices on how to share information between multiple offices.

It is easiest to understand the complexity of sharing information between multiple offices by imagining what it would be like to share the information using three by five cards. Certain cards would have to go to the central office to be gathered into a master deck and then this deck would be copied for distribution among the branch offices. Changed cases would have to have their cards revised and sent back to the appropriate office. During this process the problems of lost, obsolete or duplicated cards would have to be avoided.

The primary problem with sharing information between multiple offices is the cost of getting connections that are fast enough to make sharing practical. A good percentage of this cost recurs as a monthly lease expense.

                b. Disk or E-Mail Transfers
Information can be sent between offices by 3.5 inch floppies, Zip Disks, CD-ROMs, or even E-Mailed.

Generally two methods exist for this transfer: "Destroy and Rebuild" and "Update." The Destroy and Rebuild method sends all cases periodically to the central office, where the old central database is renamed and a new one created. This bypasses the problem of deleted cases and acts as an offsite backup of the database, since the central office receives a snapshot of the branch office database at the moment it is sent. The trouble with this method is that a large amount of data is sent. The Update method only sends the new or changed case information. The trouble with this method is that if cases are deleted, they must be manually deleted in the central database. Also, if the transfer fails, it is hard to figure out what should have been sent.

                d. PCAnywhere, remote control software
This allows a single user to dial into an office and operate another computer via a phone connection, Internet connection or a WAN. This works over a normal "slow" modem connection because the actual work is being done on the computer at the office. The remote computer merely sends key strokes and receives screen updates.

                e. Terminal Server, Citrix
This is real time computing, where everyone sees the information the instant it is put in the computer. There is only one database. Terminal server can send the information over a WAN, Internet or LAN. It works because the actual work is done on the terminal server. The branch computer merely sends key strokes and receives screen updates. The difference between this and PCAnywhere is that multiple users can use the same computer, a Terminal Server, at one time. A difficulty is that if the connection goes down, the branch office can't continue to work on case management.

                f. SQL
The word SQL, as used here, should not to be confused with Structured Query Language, which is a language used to asking for data from a database. Microsoft SQL Server 6.5 /7.0 and Oracle are pieces of software known as database servers. The database server software resides on a server and processes the requests there. Instead of sending all the cases to the branch office, where the workstation finds the information, that task is taken care of at the server and only the results are sent. This requires less bandwidth (think of it as a smaller pipe) to connect the branch office. It is also real time computing, where there is only one database and changes are seen instantaneously. If the connection goes down, the branch office can't continue to work on case management.

                g. Internet
This is the new buzz word. This solution would use your internet browser as a "front-end" to input data and generate reports. The actual work would be performed by the server on the Internet. The database engine on the Internet could also use SQL as a "back-end" database, the one that actually does the work. A request is made by the workstation and the results are generated by the server and returned to the workstation in HTML format. Bandwidth and complexity are somewhat of a problem here, although this is being worked out. If the connection goes down, the branch office can't continue to work on case management.

                h. Intranet
An intranet is a private internet network, not to be viewed by people outside of the business. It can run across the internet. It can also run across a LAN or WAN and use internet technologies such as HTTP or FTP protocols.

                i. The future
There is no telling where technology is going in the future. The merging of different phone, satellite and computer functions make such predictions difficult, at best.

    E. Usage Flexibility

Although an application may be open and based on widely used technology, it still may fail if it does not provide the user with flexibility in use. Does the application lock you into a particular method of doing something? Legal services offices find they need choices in how they help clients. The following are just a few examples of how flexibility in usage can be built into case management.

Where does the intake begin? Can it begin at a call-in, the eligibility sheet or at the full intake where eligibility is not an issue?

                b. Eligibility
Determining eligibility is essential to avoid regulation compliance issues. Can the system calculate income and asset levels? Does it check for conflicts? Does it allow you to easily adjust and track the reasons why the client was deemed not eligible?

                c. Full Intake
Under some funding sources, it is not necessary to do an eligibility determination. Is it possible to skip this step and go right to the full intake?

            2.) How to do Time Keeping

                a. Stop Watch
Can time keeping use a form that times your work? Will this shut off automatically when another one is opened? Will the necessary information about the case be filled out when you open a time keeping slip from an eligibility slip or the full intake form?

                b. Batch Processing, quick and easy
Is there a batch processing form that allows you or others to enter the time with the minimum number of keystrokes possible? Does it repeat the last date entry so you don't have to keep changing today's date back to last Friday's date (when you're entering in those records because you were out-of-town).

            3.) Calendaring

                a. Group for Office Use
Does the software provide a group calendar so that people in the office can share their schedules across a network or between offices? Does this calendar allow you to limit the schedule to an individual workgroup or advocate? Does it work for scheduling meetings, acting as a tickle system, setting appointments and marking letters to be sent? Can you enter multiple dates for a case at one time?

                b. Private to Do Lists
Does the software also allow for a private To Do List? This allows you to track things that are private or not of interest to anyone else in the office.

            4.) Features available in multiple places

It is very frustrating to have to move around in software because the feature you need, such as time keeping, is not available where you currently are. This need to access features in many different places is very important when you realize how many different ways offices handle the intake procedure. Does the software allow you to use different methods of intake to suit the needs of your office and clients?

How easy it is to take the software and make it work for your office? This installation flexibility describes the ease with which local factors, such as office numbers, funding codes, etc., can be put into the software.

But additional factors can affect the ease of installation. What happens if your office needs to gather additional information about the type of case handled beyond the standard intake form in the system? What happens if you're receiving money from sources other than LSC? How easy is it to add these additional criteria to the system? What happens if the additional pieces of information exceed the number of user-definable fields provided on the standard client intake form?

Another factor affecting flexibility is the number of features built into the system. Does the system do just case management, or are other features included?

Besides the ability to add features or customize, software comes with some built-in flexibility. These revolve around the ability to use the software on a day-to-day basis without making any changes. Examples of operational flexibility include:

Perhaps the most widely used feature by advocates is the ability to search for records. Putting things into a database is not very useful unless you can find them. The ability to easily search and find entries in tables is critical. Can multiple criteria be used to search? Can the full record be opened immediately upon being found? Can searches be performed by a simple point and click? Once a record is opened, are the results of the search lost or can it be referred to again? Are there ways to do weak searches, such as with the use of a "wildcard?" Can a client be found by the way their name sounds rather than having to search using an exact total or partial spelling? Can the search results be printed?

Can additional form letters be added? Is it possible to convert your existing letters into a case management form letter in less than a minute? Can existing letters be modified? How many letterheads are available for use? Can additional text be added "on the fly" to existing form letters? Can they be printed out for a single case and for a batch of cases? Is it possible to use the calendar to schedule the sending of form letters?

Report writing is like baking. You decide what you want, a cookie, a cake, a row and column report, then you decide on the ingredients, sugar, carrots, clients more than sixty years old, clients with a housing problem. Not only having a wide variety of reports is important, but the ability to use many different variables to choose the "ingredients" is essential. Is it possible to create reports and then add them to the criteria setting screens? Can existing reports be modified to fit special needs? Are built-in wizards available in the software to make designing custom queries and reports a snap? Does the software have built-in graphing capability? Can the graphs be modified or new ones created? Can the graphs be easily cut and pasted into your word processor?

Once a report is run, can the results be exported to another format in addition to being printed? Can it be sent to a spreadsheet, HTML, RTF, text and email formats? This provides users with the maximum flexibility. Can the address be exported to a word processor to make creation of a custom letter simpler? Can the software export to document assembly software to create pleadings and other complex documents?

The ability to customize the software is the ultimate flexibility. This goes beyond user-defined fields and add-ins. What happens if the office has special needs that the software doesn't address, or you have an idea that would make helping clients much easier with the software? The ability to go into the program and make important changes, such as adding fields, changing menus and even adding brand-new code give an office the ultimate flexibility in making the software work for them.

The way a case management system evolves over time effects its flexibility. If a system is built upon a limited design, adding features and new requirements becomes difficult. New features appear "hung on" and not part of the original program. Retraining becomes necessary on not only the existence of these additions, but also how to find and use them. Does the design of the system change so radically that any customizing previously done by the user becomes useless?

Software is less flexible if only one source of help is available when you have questions or problems. The more sources, the less likely you'll be stumped. The primary sources of help are:

1. On line help - Is there extensive assistance available with a help or "How do I" button?
2. Trainings - Are trainings available to users on a local, state and national level?
3. Manuals - Are the manuals complete and easy to understand? Does a report manual exist that allows even computer phobics to choose the reports they need to better help clients?
4. Web Site - Email - Is help available both from a web site and direct request email? Does the web site allow:
1. Shared Reports, Queries and Questions
2. A Tips and Trouble shooting section
3. Announcements of changes
4. Training announcements
5. New Developments
6. Things to keep your eyes open for
5. Standard Books - Are books available at any book store that can help you understand, use and customize the software?
6. User's groups - Has the software been adopted on a statewide basis or are there user groups to assist you with the implementation?
7. Local Trainings by colleges, etc. - Can trainings done by local colleges or training centers help you understand, use and customize the software?
8. Is there someone available for telephone support?
9. Does the program provide you with a list of policy decisions that need to be made and a suggested implementation schedule?
10. What assistance is available in converting your old data into the new program?

IV. In Conclusion

Flexibility is both an important and broad concept when applied to case management software. It is found in many different places in the software and its use. However, no software is flexible enough, from your perspective, unless it can be made to fit your current and future needs.