Guide to Digital CaseManagement for LawEnforcement Processesand Investigations

Why exacerbate existing information management challenges in law enforcement work

Whether practiced by private companies, law enforcement agencies, or internal affairs organisations, the life cycle of investigations has traditionally involved gathering evidence, analysing information, developing and validating theories, forming reasonable beliefs, and finally arresting/ charging or otherwise closing out casesⁱ . Each stage of the investigative process usually introduces more information, while compelling investigators to cast back on information gathered in previous steps, so as to reach decisions that will drive the investigation forward.

The idealised process might be highly linear. Mountains of research suggest, though, that the method by which many investigating teams accumulate information is anything but. Teams still tend to compile expansive narratives, where every (subsequent) piece of information found during an investigation gets added to the end of the narrative, irrespective of when it actually happened in real time. 

Not unreasonably, this practice has evolved as part of the job. Nevertheless, it’s created logistical nightmares for investigators and their supervisors, seeking to locate or analyse specific pieces of information about a given event or fit that information into a larger picture. Rather than being spent investigating, time is lost “curing” information that’s already been gathered. 

As technology has entered law enforcement, things haven’t always improved, either. Information is amassed in much the same way – only now digitally instead of manually. The rub, here, is that crucial data is now getting split, siloed, and often duplicated across multiple digital databases, creating further information-sharing (both inter- and intra-agency) and data-quality challenges for investigating teams.

Add to it all, law enforcement agencies (and often private organisations, as well) are usually operating under tight compliance regimes. Those regimes vary from jurisdiction to jurisdiction and case to case. However, they usually impose stringent auditory requirements on data compiled in the course of an investigation. Step out of compliance, and there goes the evidence you’ve painstakingly amassed. 

When it doesn’t come to that, the larger effect of process inefficiencies in information gathering is still lost time and slower analysis. Those inefficiencies spiral upwards, too, as supervisors get less visibility into aggregate caseloads, which limits their ability to assign new tasks. 

The benefits of effective case management techniques for agencies who need to gather and process information quickly

What can be done? Case management techniques, many of which have already been introduced into law enforcement, can be further refined and enhanced. Remember, case management – the collaborative work method to link people to the relevant and available resources they need to attain pre-determined goals (Stages below) – is all about solving problems, especially problems resulting from the need to gather and distribute information quicklyⁱⁱ. 

So, what are the specific benefits effective case management can bring to law enforcement? The adaptive approach is well suited to the kind of complex, unpredictable work associated with investigations, i.e. work that involves accessing fragmented data sources to meet the fast-changing needs of stakeholders.

In the law enforcement investigation scenario, data might exist in surfeits (data overload). Not just that. As mentioned, relevant information is likely to be spread across multiple, siloed channels (Word docs, spreadsheets, case notes, jottings from telephone calls, etc.), rendering it difficult to access the right information when it’s needed most. Law enforcement work, in general, also involves communicating across channels, particularly when multiple, related investigations are happening simultaneously with little transparency. 

Effective case management interventions work well in these instances, because they form an important link between the “client” and the service delivery system to yield better, faster outcomes. How, exactly? Well, practitioners (triage, vetting, and case officers, as well as supervisors) are enabled to more efficiently interact with the wider environment of information, resources, and services. In turn, these stakeholders make more expeditious decisions throughout the life cycle of a case, which creates a better service experience. 

In law enforcement, specifically, case management techniques and capabilities can help better engage officers about ongoing investigations, enabling the more efficient routing of those officers for faster case resolution. The improved “customer service” component of case management can also help, where agencies must navigate complex client issues that often require multiple steps to rectify and manage long-term relationships.

Key phases of case management

• Screening 

  In the clinical setting, screening helps determine whether a patient would benefit from case management services. Information is reviewed to this effect, including claims information, utilisation of healthcare services, current health status and history. 

• Assessing 

  Assessing involves the collection of information about a client’s situation similar to those reviewed during screening, but at greater depth, with the goal of (1) identifying the client’s key problems to be addressed, as well as individual needs and interests; (2) determining the expected goals and target outcomes; and (3) developing a comprehensive case management plan that addresses these problems and needs while enabling the achieving of goals outlined. The phase also involves either confirmation or update of the client’s risk category based on the information gathered. 

• Stratifying risk 

  During this phase, the appropriate level of intervention is determined by classifying the client’s level of risk. In the clinical setting, health risk assessment and biomedical screening would be performed, based on these risk factors. The case manager would then review the information generated and contact the patient if appropriate. 

• Planning

  As the name suggests, planning involves determining specific objectives, goals, and actions designed to meet the client’s needs as identified through the assessment process. The resulting case management plan is action-oriented and time bound, with both short- and long-term goals articulated.

• Implementing 

  Defined officially as the “process of executing specific case management activities and/or interventions that will lead to accomplishing the goals set forth in the case management plan,” implementation is the stage during which care is coordinated by organising, securing, integrating, and modifying the resources needed for the client to reach the desired outcome. Here, the case manager can act as a liaison between the client, their support system and/or caregivers, providers, and payer/insurance company.

• Following-up 

  Again, as the name suggests, the following-up phase focuses on review, evaluation, additional monitoring, and reassessment of the client. In the clinical setting, the focus is on the client’s condition and treatment. 
  
  In other settings, the phase offers an opportunity to evaluate the appropriateness and effectiveness of the client’s case management plan and its effect on outcomes, i.e. gathering information from relevant resources and sharing that information with relevant stakeholders. Unsurprisingly, following-up might result in either a minor modification or a complete change to the case management plan. 

• Transitioning

  This phase is better known as transitional care, a clinical stage. Case managers typically use the stage to mitigate the risk of errors occurring when patients are transferring from care settings. They do so via education and follow-up.

• Communication post-transition 

  This post-transition phase follows an episode of care. At this time, the case manager follows up to determine how things are going. Issue and problems, such as management and compliance, are addressed to ensure resolution.

• Evaluation

  Here, the case management plan is finally assessed, with its effect on the client measured. Metrics include cost-benefit analysis, returnon-investment, and client satisfaction – in the clinical setting, quality of life is also taken into account.

Digital case management systems for expediting law enforcement processes and investigations

The very unpredictable nature of investigations serves as a reminder that effective case management isn’t easy. An acute challenge is lack of a systematic approach to enforcing rules and ensuring compliance. Another challenge is the inability of measuring time spent on processes as well as knowing who is doing what at a glance. Ad-hoc digital methods (like spreadsheets) aren’t secure, either – something to consider as public law enforcement agencies remain targets of cyber crime. And like manual methods, ad-hoc digital methods also make it difficult for teams to sort and find information quickly. The ungovernable mix of the two mitigates against a centralised approach to storing and securing information. 

What it comes down to: many of the advantages of effective case management will remain all-but-theoretical without the introduction of the appropriate digital case management technologies to help agencies better manage and improve the details of how investigative work gets done. 

How do these technologies work, specifically? For investigative work, technologies with configurable workflows automate key facets of unpredictable work to increase visibility into complex operations, improve collaboration, and facilitate better stakeholder engagement. 

Intuitive user interface and experience (UI and UX) cater to the varying demographics and technology skill levels of investigators and their supervisors, as well. Other key digital case management platform capabilities include:

• Business process management via key business workflows helps automate and optimise business processes, making them easier to track and measure (See more below).
• Data capture via digitised forms eliminates human error associated with manual data entry, while also lowering cost and time outlays. Data that’s input digitally can be extracted within the same flexible system, as well, making it easier to retrieve relevant information. 
• Information management provides real-time situational awareness of an ongoing case, with security controls limiting visibility of sensitive information.
• Compliance management ensures an auditable trail of evidence and communications, in compliance with regulatory requirements. 
• In-system communication (chat, e-mail, case notes, etc.) facilitates collaboration, while the communications themselves remain centralised and accessible.

Digital case management for law enforcement: key business workflows supported 

• Triage of referrals, claim requests, and complaints to prioritise work
• Automate case creation, review processes, and user notifications following pre-defined workflow rules to reduce unnecessary human intervention
• Track case lifecycles at any time
• Create high-quality digital forms
• Upload and centralise documents from all external and internal sources, regardless of the format
• Create and record tasks, case notes, meeting notes, conversations, and more
• Create shareable outputs
• Get notified when processes are going off track
• Dashboards to track team performance analytics, e.g.
  – Security clearance, e.g. number of cases by vetting officer, number of cases by priority by stage, cases completed by month
  – Security investigations, e.g. number of referrals by month, number of complaints by month, number of open cases by case manager, active investigations by investigator
  – Parties of interest. Number of parties by type, number of related incidents by POI, number of related incidents by organisation of interest, number of related incidents by vehicle of interest

Further, in-system dashboards are designed so that the various roles involved in diverse types of law enforcement work have easy access to the information most relevant to their responsibilities in a single-source-of truth platform where they can efficiently complete their tasks. For law enforcement investigations, possible use cases might include:

• Security clearance. Particularly valuable when vetting is subcontracted out, digital case management software provides a centralised location for collected information, which might need to be reviewed for auditory purposes.
  
  How does it work? For security clearance cases, dashboards are customised for triage, vetting, and QA officers, as well as managers and executives. Triage and QA officers might need to review case files for typos and spelling mistakes and to ensure that all relevant documents are available. 
  
  Once the case is out of triage, it will go to a vetting officer to review. That vetting officer might also have to interview subjects, be they the candidate or referees. And so, dashboards applicable to this role include relevant tasks and actions, such as: 
  • Review case files
  • Start a digital footprint check
  • Add a task
  • Add case notes
  • Referee details
  • Create a record of the conversation (interview notes)
  • Send a message
  • File inspection form (information provided by the applicant)
  • Complete the vetting analysis report
  • Clearance decision 
  
  For managers/supervisors and executives, though, the work doesn’t end once clearance decisions are given. Managers/supervisors will still need the ability to create and allocate new cases that come in. They might also need overviews of ongoing cases.
  
  Executives or department heads might have reporting requirements, or they might also be called on to make policy (re: staffing decisions) based on the department’s case load. Digital case management platforms will give executives a needed overview of cases by officer, cases by priority and stage, as well as cases per month.
• Security investigations. In addition to law enforcement agencies, customer-facing organisations, like retailers, might need to conduct security investigations, either based on internal referrals or client complaints. Once submitted, those referrals and complaints might go to a triage officer who will determine if they will become official cases to be investigated further. Should they, the officer will need digital tools to send communications, add tasks and documents (including photos, videos, witness statements, etc.), as well as log updates. 
  
  Several concurrent investigations might also spin off from the same case, which digital case management technologies better help clarify. In their absence, relevant documents would instead be scattered across multiple systems (e.g. CCTV footage), rather than collated and available in a centralised location, so that teams can access the most critical information when they need it. 
• Parties of interest. Digital case management technology provides registries of persons, organisations, or even vehicles of interest. Instead of manually capturing and updating information, these platforms capture details, such as gender, ethnicity, eye colour, height, hair colour, distinguishing features, build, age group, hair colour, weight, or details, like license plate information, brand, model, photos, as well as information about authorities and affiliates.
• Other law enforcement cases, including offender management, might be approached similarly to investigations. An enforcement officer might have a given order, such as extended supervision or continuing detention. Right now, those orders might be managed manually, which means expiration dates, in particular, won’t be flagged dynamically. A digital case management platform, on the other hand, will make relevant information more accessible for case managers and executives.
  
  How, so? Those systems will provide enforcement officers with tailored dashboards customised to their role and the order in question, including capture information, send communications, view different types of orders, review associates, look at sentence, documents related to offender (e.g. directions/approvals, reports, directions, checklists), create directions/ approvals (e.g. associations with persons, prohibitions on places, schedule of movements, accommodation), and more.
  
  While those tasks and activities might be relevant to an enforcement officer, an executive might need to see something different. Typically, team leaders will need at-a-glance overviews of the case load per officer, including the number of offenders an officer is handling, offenders by status, and orders by status. 
  
  Finally, investigative work is hard – no matter how you look at it. Manual processes only make that work harder, while introducing ad hoc digital platforms can exacerbate the issue. Fortunately, digital case management platforms, like Noggin’s, eliminate common frictions and frustrations associated with managing investigations while automating some of the most time-consuming aspects of that unpredictable work. The results: better visibility and oversight, less human error, time saved, and more investigative work gets done. 

Citations

i     Rod Gehl and Darry Plecas, Introduction to Criminal Investigation: Processes, Practices and Thinking. Available at https://pressbooks.bccampus.ca/criminalinvestigation/chapter/chapter-4-theprocess-of-investigation/.

ii     IDavid Challis, University of Kent: Case management: problems and possibilities. Available at http://www.psi.org.uk/publications/archivepdfs/Care%20managers/CHALLIS.pdf