Case Management System

The Vendor is required to provide implement, and support a secure, web-based case management system for tracking and managing investigations into certified educators who have been reported for potential misconduct.
- These investigations involve the collection of sensitive personal information, documentary evidence, and correspondence; coordination among investigators, supervisors, and legal counsel; and compliance with statutory timelines and regulatory requirements.
- Provide information about commercially available or custom-developed case management systems that would support and modernize this investigative function.
- Goals:
•    Provide a centralized, secure platform for managing all active educator misconduct investigations from intake through resolution
•    Streamline investigative workflows and ensure consistent application of agency policies and procedures
•    Enable robust reporting and data analysis to support oversight, transparency, and continuous improvement
•    Ensure full compliance with applicable federal and state data privacy laws, including FERPA and state privacy statutes
•    Integrate, where appropriate, with agency existing educator certification systems and external databases
- Case and investigation management
•    Maintain a real-time, searchable list of all active, pending, and closed investigations
•    Create and manage individual case files for each educator under investigation, including all relevant case metadata (e.g., date opened, assigned investigator, current status, case number) 
•    Support configurable case statuses and lifecycle stages (e.g., intake, under review, and pending hearing, closed — substantiated, closed — unsubstantiated)
•    Categorize cases based on the nature of allegations (e.g., sexual misconduct, physical abuse, substance abuse, fraud, criminal conviction) with the ability to apply multiple categories to a single case
•    Enable assignment and reassignment of cases to specific investigators or supervisors
- Document management
•    Support upload, storage, and organization of documents within each case file (e.g., complaints, evidence, correspondence, hearing records, final decisions)
•    Version control and audit history for uploaded documents
•    Support for common file formats including pdf, word, excel, and image files
•    Ability to restrict document access by user role
- Task management and automated reminders
•    Automated reminders and alerts for upcoming deadlines, next steps, and statutory investigation timeframes
•    Configurable task assignments linked to individual cases
•    Escalation notifications to supervisors for overdue tasks or approaching deadlines
•    Ability to track and log all correspondence and communications (emails, letters, phone calls) within each case
- Educator records and history
•    Maintain a profile for each educator subject to investigation, linkable to their certification record
•    Ability to identify educators with multiple cases or prior history of substantiated findings
•    Cross-referencing capability against external databases, including the association interstate clearinghouse for educator misconduct
- Reporting and analytics
•    Dashboards displaying caseload by investigator, allegation type, status, and case age
•    Standard and ad hoc reporting capabilities (e.g., legislative summaries, annual reports, workload analysis)
•    Export functionality in standard formats (e.g., pdf, excel, csv)
•    Time-tracking for compliance with any applicable statutory investigation deadlines
- Security and access control
•    Role-based access controls restricting system access and functionality based on user roles (e.g., intake staff, investigators, supervisors, legal counsel, read-only reviewers)
•    Full compliance with FERPA and applicable laws
•    Data encryption at rest and in transit
•    Multi-factor authentication (MFA) for all users
•    Detailed system access logs and audit trails for all user activity
•    Compliance with state ramp, fedramp, or equivalent cloud security frameworks (as applicable)
- Workflow automation and audit trail
•    Comprehensive, immutable audit trail recording all actions taken within the system, including case modifications, document uploads, status changes, and user access
•    Configurable workflow automation to route cases through defined review and approval steps
•    E-signature capability for internal approvals and official correspondence
- Integration capabilities
•    Integration or data exchange capability with agency existing educator certification system
•    API availability for future integrations with state systems
•    Ability to export case data and documentation for use in legal proceedings or regulatory reporting