Court operational review evaluations assist the Arizona Supreme Court in fulfilling its mandate in Art. 6, §§ 3, 7 of the Arizona Constitution, to "have administrative supervision over all the courts of the State."

The Court Operations Unit conducts operational evaluations to ensure courts comply with rules, statutes, administrative orders, ordinances, and standards applicable to their jurisdiction. This may include, but not limited to, a review of court administation, case management, and financial management. Valuable information that results from the review is provided to the judge and court administration to improve court operations and further promote public trust and confidence in the courts.

Selection for an operational review may be the result of a request by the judge, a reported issue, or because several years have passed since the court’s last operational review. The selection of a court for an operational review is not necessarily indicative of any problems in the court. Both limited and general jurisdiction courts are subject to review.

The court is notified of the operational review. An entrance conference is conducted by phone or video conference with the court. The court completes a case management and financial Request for Information (RFI) and returns the information to the operations unit (keep in mind that when more information is provided, that usually results in less time that reviewers are on site).

Operational review staff generates reports to determine the case sample for AJACS courts. Non-AJACS courts will be asked to provide reports so a case sample can be obtained. Staff review the RFI responses, AOC statistics, and other reports.

One to two weeks prior to the on-site arrival, a list of cases is sent to the court. The cases should be pulled and placed in a secure room that operational review staff can use upon their arrival at the court.

An introductory orientation is held on-site with court staff.

Operational review staff will review case files, observe financial processes, conduct courtroom observations, and interview staff. Staff interviews may be conducted in-person or through an online application. Operational review staff may also review courtroom proceedings via electronic means.

An exit conference is conducted with the judge and administrator to discuss preliminary areas of compliance or findings as well as the next steps in the process.

A comprehensive review is conducted of the collected data, which is then summarized in a draft report. The draft report contains areas of compliance and findings with subsequent recommendations. It is disseminated to other court operations staff for review and discussion.

The draft report and the court response template form are sent to the judge and administrator. The draft report is not a public document at this point and is considered confidential and not intended for distribution to anyone other than the recipients on the distribution email. The recipients include only the judge and administrator (or chief clerk) of the court and select AOC staff.

The court prepares and submits a court response to operational review staff approximately four weeks from receipt of the draft report.

Operational review staff conducts an exit conference via telephone conference with the judge and administrator (or chief clerk) to discuss the findings and court responses. The court may provide further information to reviewers for clarification at this time (if necessary).

Findings may be modified, removed, or kept intact, with edits incorporated into the draft report per the discussion, as applicable. If edits are needed, the draft report and court response form are returned to the court for one last review. The final court response, which is incorporated into the final report, is signed by the judge and returned to Court Operations.

An operational review completion letter and final report, including court responses, is emailed to the judge and administrator (or chief clerk) of the court, presiding judge of the county, and AOC directors. The report is now a public document. The court must address and correct findings in the final report.

If a court has a large number of repetitive findings, the court may be selected for a follow-up to ensure the findings in the report are being addressed. A follow-up report form will be provided to the court for court completion. It is recognized, however, that some findings may not be resolved by the time the follow-up is initiated.

Operational review staff reviews the compliance report to determine if further on-site follow-up is needed. Either an on-site follow-up is scheduled, if applicable, or the review is closed.

HANDOUT ON THE PHASES OF THE OPERATIONAL REVIEW PROCESS