INFORMATION TECHNOLOGY Fundamentals For Court Leaders

1National Association for Court Management

IT IT

INFORMATION TECHNOLOGYFundamentals For Court Leaders

Date(s)

Educational Program or SponsorFaculty

2.5 Day Toolbox


IT IT

1. Purposes and Context

2. Governance: Leadership and Vision

3. Strategic Planning

4. Infrastructure

5. Court Services and Applications6. Projects

Agenda


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Pre-Workshop Exercise Review

My court or court organization; andWhat I don’t know, want to know, and need to know.

• Assessment results displayed• Discuss findings• Present IT court organization charts• Discuss implications of court size and state

involvement


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Information Technology Fundamentals

PURPOSES AND CONTEXT

11


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Information technology is a tool, not an end unto itself.

Information Technology Curriculum Guidelines

National Association for Court Management

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Information technology must honor due process and equal protection, independence and impartiality, and the roles that courts and other organizations in the justice system properly play.

Information Technology Curriculum Guidelines


11


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Purposes of Courts1. Produce individual justice in individual cases;

2. Give the appearance of individual justice in individual cases;

3. Provide a forum for the resolution of legal disputes;

4. Protect individuals from the arbitrary use of government power;

5. Create a formal record of legal status;

6. Deter criminal behavior;

7. Rehabilitate persons convicted of crime; and

8. Separate some convicted people from society.

Ernie C. Friesen

11


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IT and Purposes

11

Purposes and

Responsibilities of Courts

Leadership

Visioning and Strategic Planning

Essential Components

Court Community Communication

Resources, Budget and

Finance

Human Resources

Management

Education, Training and Development

Information Technology Management

Caseflow Management


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Information Technology Outcome Measures

1. Improved processes and productivity;

2. Improved knowledge of the organization;

3. Increased communication;

4. Timeliness;

5. Integrity and accuracy; and

6. Dynamic and personal access.

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3. Timeliness;



Matching Court Purposes and Technology

11

Produce individual justice


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3. Timeliness;



Matching Court Purposes and Technology

11

Formal record of legal status


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Information Technology Data Measures

1. Integrity and accuracy;

2. Security;

3. Privacy;

4. Ubiquity and access

a. Speed

b. Scaleability

c. Standardization

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Technology Acceleration

19401930132 mill.

1937 First ElectronicCalculator

1623 First Mechanical Calculator

1823 First Programmable Mechanical Calculator

1853 First Mechanical Computer

1890 US Census Bureau

123 mill.

190076 mill.Est. 50,000

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1600

Babbage’s Difference Engine

Scheutz Difference Engine

18005 mill.

Hollerith Punch Card Computer

1911 IBM FoundedHollerith merges with competitor

Mechanical Era


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1991 World-Wide Web

Technology Acceleration

2000284 mill.

1943: Legacy Systems (mainframe computers)

Thin Client

1971 Email 1992 Public Email

E-Filing

1950’s Digital Imaging (documents)

Video Conferencing

281 mill.

19801970249 mill.227 mill.203 mill.

19601950

Web based

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1992 Public Internet

151 mill.

1984: Distributed ComputingClient Server Applications

CD/Subscription: Legal Resources

1984 EDI 1992 E-Commerce

1990


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Emerging Technologies

1. Wireless;

2. Voice recognition;

3. Virtual reality and 3D imagery;

4. Artificial intelligence;

5. Biometrics;

6. Service Oriented Architecture

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Historical Technology Drivers

• Population growth (367% from 1900-2000);• Dramatic caseload increases;• Systemic delays in case processing;• Massive increases in computing power, speed, and

network capacity;• Automatic assumption that computers solve all our

problems; and• Huge reductions in the cost of automation,

infrastructure, data storage and development.

11


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Current and New Technology Drivers

• Cost reduction and productivity demands; • Data and system standards;• Service improvement opportunities;• Interest groups (domestic violence, victim advocates,

private sector (information exchange));• Tsunami of public expectations and demand; • 24/7 culture;• Instantaneous gratification, results and purchasing power;

and• The Internet.

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Exercise 1

Matching the Purposes of Courts with information technology outcome and data measures

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• Use materials from Tab III• Work in teams• Appoint a spokesperson• Fill out forms and be prepared to report and discuss


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GOVERNANCE:

LEADERSHIP AND VISION

22


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InfrastructureHardware,

Systems, Software


Systems, Software

IT GovernancePolicy, Standards, Funding,Architecture, Organization


Services &ApplicationsData, Business

Information Technology Foundation

Adapted by Permission of Gartner, Inc.

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Leadership is the energy behind every court system and court accomplishment.

Leadership Curriculum Guidelines


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Leaders think about, create, and inspire others to act upon dreams, missions, strategic intent, and purpose.

Leadership Curriculum Guidelines


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IT Leadership Principles

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The Court’s mission and service must drive technology decisions and priorities;

Technology is not self-justifying;

Organizational change is the key to advancing technology;

Court leaders must understand technology and what it can do for them;

Technologists must understand court processes;

The end users must be involved in planning and development.


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What I Know That Ain’t So

22

Then Now

Technology will make the Courts more efficient

Changing work processes makes the Courts more efficient

Court uniqueness National standards based on similarity

Separate is essential Linked is essential

Mainframes, PCs Distributed, tiered applications

“Waterfall” development “Spiral” development


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Changing Court Processes

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Courts…design automated systems to reproduce their existing work processes rather than take advantage of technological capabilities to redesign those processes to do them more efficiently…At best, we can be said to have moved from the quill pen to the typewriter to the the keyboard.

COSCA/NACM Joint Technology Committee, Third Long Range Plan: July 2001 – June 2004, 1st Draft, May 4, 2001


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What is Process Reengineering?

22

A discipline that assumes courts must:

Change processes to leverage the potential of technology;

Use technology to drive changes in processes; and Develop measurements and controls for feedback

and continuous improvement.

Process Improvement is reengineering “lite,” or incremental change, usually defined by simplification and streamlining of court work processes. It is easier to promote in conservative and horizontal organizations.


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Process Reengineering Principles

22

Change will not happen without leadership and champions;

Change for the sake of change is pointless and dispiriting.

Don’t oversell the benefits; Power users are your best advocates. They know the

processes, applications, and pitfalls. They will not get on your side unless they believe in the change; and

Pilot projects always help promote change and discover what we do not know.

See IT Projects, Section 5, for a step by step approach to process reengineering and improvement.


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Process Reengineering Examples22

Court Need Improvement Reengineering

More file storage space needed

Image closed files 1st year, active files 2nd year, implement e-filing 3rd year. Pilot.

Convert to electronic document imaging, go paperless.

Too many folks at counter to get case information, not enough staff

1st year, use microfilm; 2nd year, use public workstations…

Public access to non-confidential case information on Internet or terminals.

Endless calendar calls for status and scheduling conferences

Promote alternative use of chambers and telephone conference calls.

Set up peer to peer digital video conferencing with attys.


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Why is IT Governance Important?

22

Information technology is in constant flux; There is a need for a clear vision of organizational

goals and objectives; Alignment of IT expenditures with organizational

goals; Fosters participatory leadership and ownership, both

for existing policies, standards and lifecycle management, as well as for new projects and initiatives;

Enhances accountability; and Promotes successful adoption of technology and

improved work processes;


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IT Governance

22

A. Policies

B. Organization

C. Standards

D. Funding

E. Architecture

F. Systems

Someone, somewhere is making decisions about these issues for your court or court organization.


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Effective IT policies:

22

Highest Level of Governance

Clearly articulate goals, with plans of action; Address all key IT issues: Security, privacy, reliability,

equity of access, data quality, network growth, investment, skills, research and development, funding, outsourcing and Web content;

Unify court and other stakeholder interests using common themes across departments and regions;

Challenge courts to be bold and innovative; Are credible, realistic and affordable.

AA


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OrganizationHow IT decisions get implemented

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Chief Information Officer (CIO) vs. Director

Ombudsman

Cross-jurisdiction management

IT staff skill sets

End user support, help desk functions, and training

Network support

Systems support, analysis, maintenance and modifications;

In-house development capacity vs. outsource

BB


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Standards

22

NetworkCapacity (performance), hardware and software;

Systems (application and database)Development and application platforms, hardware and software;

End user hardware and software; Data and enterprise integration; Performance and responsiveness; Security and Privacy Functional (applications)

Generally applied to projects.See Section 5.

CC


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Network Standards

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Standards foundation is performanceResponse time for database requests;LAN capacity shall be N x user population;Redundancy: e.g., minimum two paths.

Network protocols, software and hardware must be compatible with applications and client hardware and softwaree.g. An IPX/SPX network protocol is generally compatible with a Novell network but not compatible with the Internet (TCP/IP).Let your IT professional be your guide, but ask questions.

CC


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Funding and Prioritization

22

Systems lifecycle and maintenance;Many courts utilize a 3-4 year hardware replacement cycleSoftware licenses, renewals and upgrades

Technology staff salaries and benefits;

Funding for research and development;

Funding for new projects;

Lifecycle (continuous) and project funding for training and education.

DD


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Architecture Overview

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Wide and Local Area Network Topologies (maps)Centralized (hub and spoke, token ring)Decentralized (client server)Distributed (Internet model, peer to peer, email)

Network architectures (multiple layers)Open System Interconnection (OSI) model:Seven network layers between applications (Applications are the 7th layer)

N-tiered application architecturesIncludes at minimum: User interface, presentation, business logic, and database tiers

EE


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Architecture Overview

22

SecurityBuild into network architectureBuild into application development

Redundancy and disaster recoveryBuild into network architectureDistributed networking most effective

EE


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Systems: Services and ApplicationsSelection and prioritization of services for the application of needed technologies

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Where the rubber meets the road: the First and Foremost Task of IT Governance;

Demands alignment with Court purposes and mission;

Requires some compromise;

Phased and incremental approach – organize by

1) Immediate (6 months to two years);

2) Mid range (two to five years);

3) Long term (five to ten years).

FF


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Develop in-house vs. contracted;

Planned applications approach to information exchange, shared services, security, privacy, and access; and

Open and closed applicationsOpen: Generally, off the shelf and standardizedClosed: Proprietary software, highly customized, non standard

22

Systems: Services and ApplicationsTechnical Decisions

FF


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IT Trial Court Meta Governance Models

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State Centralized

State/Local Distributed

Local Centralized

Local Distributed


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State Centralized

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State Capitol (AOC)• Infrastructure and Networks• Hardware and Software• Case Management Systems• Judicial Support Systems• Public Access Technologies• Office Automation• Audio and Video • Email

Small Town USA Local Trial Court• Enterprise integration

NJ, Partial MD


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State/Local Distributed

22

State Capitol (AOC)• State Network• Case Management Systems• Judicial Support Systems• Email

Small Town/County USA Local Trial Court• Enterprise Integration• Local Network and Infrastructure• Hardware and Software• Local Network• Public Access Technologies• Office Automation• Audio and Video

HI, CT


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Local Centralized

22

State Capitol (AOC)• Enterprise Integration• Judicial Support Systems

Big County USA Local Trial Court• Enterprise Integration• Infrastructure and Networks• Hardware and Software• Case Management Systems• Judicial Support Systems• Public Access Technologies• Office Automation• Audio and Video • Email

Philadelphia, Montgomery County, MD


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Local Distributed

22

State Capitol (AOC)• Enterprise Integration• Judicial Support Systems

Small-Medium County USA

County Government• Enterprise Integration• Infrastructure and Networks• Hardware and Software • Office Automation• Audio and Video • Email

Trial Court• Case Management System• Judicial Support Systems• Public Access Technologies

TX, GA, OH


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Idealized IT Leadership Structure

22

Architecture CommitteeStakeholders and IT Representatives

Architecture CommitteeStakeholders and IT Representatives

Budget CommitteeStakeholders, Inter-AgencyBudget Committee

Stakeholders, Inter-Agency

Stakeholders: Policy and StandardsCo-Chairs: IT and Court Leader

Funding Authority

Stakeholders: Policy and StandardsCo-Chairs: IT and Court Leader

Funding Authority

Core MissionCase Management

Management Information

E-FilingDocument Mgmt.

Core MissionCase Management

Management Information

E-FilingDocument Mgmt.

Public Access

WebE-Records

E-CommerceIVR

Public Access

WebE-Records

E-CommerceIVR

Shared Services

Operating SystemsLibrary Tools

EmailWireless

Shared Services

Operating SystemsLibrary Tools

EmailWireless

EnterpriseCriminal Justice

FinanceHuman Resources

EnterpriseCriminal Justice

FinanceHuman Resources

Communities of Interest


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Exercise 2

Mapping and assessing IT Governance in my court or court organization

• Use materials from Tab III• Work in teams if with your co-workers/leaders• Appoint a spokesperson• Be prepared to report and discuss

22


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STRATEGIC PLANNING


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Systems, Software


Systems, Software




IT Strategic Planning


PlanningImplementation

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IT Strategic Planning StepsImmediate (6 months to two years); Mid range (two to five years);Long term (five to ten years).

1. Leadership and Vision: Establish an IT stakeholders group with direct user involvement and IT expertise and support;

2. Select and prioritize court services for needed automation and new technologies;

3. Formulate an infrastructure strategy that meets the court services and application needs; and

4. Design an IT governance structure that is directly accountable for policy-level decisions AND prioritized long-term initiatives.

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Establish Infrastructure/

Software Platform & Development

Approach



Approach

IT Long Range Planning:Waterfall Development (older approach)

Identify, Match and Prioritize

Court Services to Needed

Automation



Automation

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Build and TestBuild and Test


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One big, humongous project;

Huge capital investment;

Cost overruns;

High failure rate;

Technology moving too fast to keep up; and

Functionality – 5 to 10 years behind the curve.

IT Long Range Planning:Waterfall Development (older approach)

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IT Long Range Planning:Spiral Development (newer approach)



Automation



Automation



Approach



Approach

Build and TestBuild and TestEvaluate, Identify Gaps, Re-Focus on Next Phases

Evaluate, Identify Gaps, Re-Focus on Next Phases

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IT Long Range Planning:Spiral Development*

Advantages Better able to cope with changes Better able to accommodate technology improvements In-house developers are less restless during the design

process Costs become more realistic as work progresses

Disadvantages Costs are harder to estimate at outset Incremental change can lose momentum Early versions are often skeletal

* Methodology developed by Barry Boehm

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Top Down

Bottom Up

Chaos

Prototyping (sub-category)Evolutionary Prototyping

Agile Software Development (spiral derivatives)Lean DevelopmentExtreme Programming (XP)Evolutionary Approach

IT Long Range Planning:Other Development Approaches

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Services and ApplicationsSelection and prioritization of court services for needed automation and new technologies

Where the rubber meets the road: the First and Foremost Task of IT Governance;

Demands alignment with Court purposes and mission;

Requires some compromise;

Phased and incremental approach – organize by

1) Immediate (6 months to two years);

2) Mid range (two to five years);

3) Long term (five to ten years).

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Life Cycle ManagementFeasible lifespan of systems and infrastructure

NEW: Provision of connectivity, peripherals and support systems; ideally state of the art.

USED or DATED: Maintenance, updates, revisions and needed changes. Includes software licensing, new security features, increased connectivity and data exchange, software revisions and patches

OBSOLETE: Cyclical replacement of old hardware and infrastructure, strategic replacement of systems and applications

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Life Cycle ManagementSystem Replacement

How, when and why should a court leader make decisions about system replacement?

Do not wait until obsolete; maintenance will be costlier than replacement

What are the system utilization criteria that will help a court leader make these decisions?

These should be defined ahead of time. They include response time, capacity/scaleability, and user satisfaction. Are systems accomplishing what they are intended to do in a cost-effective manner?”


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Disaster Recovery, Redundancy and Contingency Planning

As dependency on technology grows, user tolerance for failure decreases.

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Weigh Risk and CostBe careful of what you ask for, you may pay for it.

Do it EarlyDisaster and recovery plans may influence your strategic, infrastructure and systems choices.

Think in terms of Manageable PiecesHow much failure can the organization tolerate. One size may not fit all


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Disaster Recovery, Redundancy and Contingency Planning

Components:

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Case entry and retrieval Calendar preparation Counters Public access Judicial proceedings Payment proceedings Administrative functions Servers Network


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Contingency Planning – Levels

33

1. Interruption: System or component is down for less than ___ hours. No facility damage

2. Minor Disaster: Down time is more than ___ hours and less than ___ days. May include minor software re-write, multiple disk failures, minor fire, or minor flood. Little facility damage.

3. Major Disaster: Down time is more than ___ days. Fire, flood, earthquake or civil disorder results in extensive facility or component damage.

4. Catastrophe: Community operations are disrupted and no need for computer support until rebuilding takes place.


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Privacy and Access Historic Practical Obscurity

The law has always recognized that court documents were public, and theoretically, they were. But the practical difficulty of reviewing those documents kept them effectively private.

Newfound Technological AccessTechnology now makes those documents “in fact” public.

Establish a Formal PolicyMust review access policies and practices to reflect laws and public expectation.Typically, electronic information on single cases is freeCharge fees to cover cost of generating reportsCharge additional fees for customized/bulk information

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Increased Access Positives

Public trust and confidence in the courts

Public knowledge of defective products and negligent professionals

Public knowledge of public interest issues, e.g. environmental and class action lawsuits

Increased public safety – access to criminal records

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Threats to personal safety from contact information

Invasions of personal privacy

Identity theft

Disclosure of trade secrets

Deterrence from seeking court resolution of conflicts – disclosure of personal information or personal embarrassment

Increased Access Negatives

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Case data, documents and other records

Judges’ notes on cases

Court administrative records

Emails

Internal memoranda

Employee personnel records

Internal management reports

Telephone records

Privacy and Access - Document Categories

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Bulk Data

Employers, credit agencies, government often seek access to bulk data

Search and query applications circumvent “one case at a time” restrictions

Recommend: Contract out bulk information access; impose duty of continually updating information

Federal courts have barred Internet access to criminal case documents, except in 12 pilot courts

Federal legislation restricts public access to Social Security numbers for most new systems

Most courts restrict access to juvenile records, and many types of personal data on all records

Privacy and Access – Other Issues

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Exercise 3

Choosing a Technology Strategy: Prioritizing the Court’s Services and Needs

• Use materials from Tab III• Work in teams by table• Appoint a spokesperson• Be prepared to report and discuss

33


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INFRASTRUCTURE

44


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Systems, Software


Systems, Software





Information Technology Backbone


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Network TopologiesPhysical or logical layouts

1. Star TopologyToken ring, cheap, slower

2. Ring TopologyExpensive, higher bandwidth

3. Bus TopologyEthernet, LANs

4. Tree TopologyStars on a bus, hybrid


IT IT 44

Network Questions

Can’t I just trust my IT professionals?

The State handles everything, why do I need to know this?

The County IT department seems to make all network decisions, they fund IT anyway. Why do I need to know this?

Do I care if we seem to be all Microsoft, all the time?


IT IT 44Wide Area NetworksDecision Making Criteria

1. Existing InfrastructureOlder networks, often star topology; urban networks, often ring topologies. Improvement over replacement.

2. SpeedCommon standard is T-1 (1.5 Mbps, leased phone line, also called DSL). Future standard is T-3 (43 Mbps)

3. ProtocolsGenerally TCP/IP, older usually frame relay, future may see Asynchronous Transfer Mode (ATM )

4. MediaUsually leased lines, microwave, or satellite

5. CostNeed to annualize.


IT IT 44Local Area NetworksDecision Making Criteria

1. Existing infrastructureMost today are Ethernet, limited user capacity

2. SpeedCurrent PC (Windows) standard is Fast (100 Mbps = megabits per second) and Gigabit (1,000 Mbps) Ethernet

3. ProtocolsRules for sending data, most courts use client/server and TCP/IP (transmission control/Internet protocol).

4. MediaWiring (twisted pair, CAT 5), fiber optic, coax, or wireless

5. CostMaybe wireless IS cheaper. Need to annualize.


IT IT 44

Network Principles

A network that combines topologies or multiple redundancies is faster than one big pipe.

Network and data storage redundancy are a must, not because you’ll lose your data (although that’s crucial, too), but because one connection or server will inevitably fail at 10 a.m. Monday, with 2,325 people in the courthouse.

Faster and bigger ARE more expensive. Bandwidth is a combination of both.

No one has proven yet that ATM is better than Ethernet.


IT IT 44

Three Network DiagramsHow to read them and why it is important

1. Review the 3 network diagrams on the next 6 slidesAn enlarged printout will be issued for each.

2. Discuss the questions after each diagramTable talk is good.

3. Ask questions, be confused, it’s okayNetwork analysts are a special breed.


IT IT

Existing Network Architecture - Overview

Hawaiian TelephoneCompany Frame Relay

2ND Circuit

3RD C

ircuit

1ST CircuitCivic Center

Complex

56K and 128K

56K and 128K

1 ST Circuit

remoteoffices

56K and 128K

5TH Circuit

56K and 128K

T-1

HAWAIIAN 56K

HAWAIIAN 56K

T-1(for HAWAIIAN

& phoneconnection

via 2nd Circuit)

44

Network Architecture High Level WAN Diagram

Circuit: Multiple Courts

Bandwidth


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Network High Level WAN DiagramGroup Discussion

Court leaders need to be able to read and understand these types of diagrams or ask network specialists:

1. Diagrams illustrate technical information better than a narrative

2. Diagrams are the way network specialists design and plan system.

What types of information are important to understand from this diagram?

1. How does our system provide redundancy?

2. Why is one of the islands always losing its connection to the mainframe?

3. Is the network leased, from whom, and how much does it cost annually?


IT IT 44

Ka'ahumana Hale

Kauikeaouli Hale

Existing Token Ring Networks - 1st Circuit Civic Center Complex

Honolulu DC

2502

Ali'iolani Hale

Token RingBackbone

Executive BranchNetwork (Sonet)

ICSDOBTS & Internet

Token RingBackbone

16Mbps

16Mbps

16Mbps

16Mbps

16Mbps

File Serverscc:Mail router

16Mbps16Mbps

3270 Gateway

16Mbps

Firewall

IBM 9672

374516Mbps

16Mbps Gateway

Wang VS

RS/6000

16Mbps

LS Gateway

16Mbps

Wang VS

IBM AS/400

MGS

Personnel

TP cat 4

(16Mbps)

Supreme

CourtTP cat 4

(16Mbps)

Budget TP cat 4

(16Mbps)

16Mbps 16Mbps 16Mbps

4500

TISDTP cat 4

(16Mbps) TVBTP cat 4/5(16Mbps)

FiscalTP cat 4

(16Mbps)

DC/DrEdTP cat 4

(16Mbps)

16Mbps

16Mbps

16Mbps16Mbps

FCTP cat 4

(16Mbps)

APDTP cat 4

(16Mbps)CC Crim

TP cat 4(16Mbps)

CC CivTP cat 4

(16Mbps)

CC AdmTP cat 4

(16Mbps)

4500

16Mbps

16Mbps

16Mbps16Mbps

16Mbps

NeighborIslands / 1st

Circuit Remote

Offices

Frame Relay & Token

Ring Networks

T-1

HAWAIIAN

ICATP cat 5

(16Mbps)

16Mbps

Legend:TP = Twisted Pair cableCC = Circuit CourtDC = District CourtFC = Family CourtAPD = Adult Probation Dept

= fiber optic cable = twisted pair cable = Token Ring Local Area Network

= RouterModel #

16Mbps

IBM - Leased LineConnections

(not documented)

16Mbps

Wide Area Network (WAN) Diagram

Building (LAN)


IT IT 44

WAN DiagramGroup Discussion

What types of information are important to understand from this diagram; what are the questions?

1. Number of Local Area Networks and who is responsible for them.

2. Where the court’s responsibility begins and ends.

3. How safe is the Court from hackers or piracy? How are we protected?

4. What’s a mainframe, and why does everyone complain about it? Are they complaining about response time or about the ability to make changes?


IT IT 44

Small WAN Diagram (many LANs)


IT IT 44

Small WAN DiagramGroup Discussion

What types of information are important to understand from this diagram; what are the questions?

1. What network protocol are we using and is it providing the best efficiency?

2. What’s the big gray rectangle, full of computers/ servers on the left? Which color blocks represent the courts?

3. Where are the courts’ primary case management mainframe or servers located? Is it a problem that the county controls them? What happens when our servers crash? Who is responsible?

4. Where’s the connection to the Internet? What protects the network from hackers?


IT IT 44

WirelessAre we there yet?

1. Two primary types of wireless systems:Fat access points; distributed application switchThin access points; consolidated application switchDramatic increases in coverage

2. Security is a multi-headed beast:Remote client (end user) hacking detectionAccess point hacking detectionHardwired switch hacking detection/firewallData transmission encryptionSignature handshakes

3. Significant long-term infrastructure savingsYes, and no. Court will still need to maintain and upgrade access points. NO WIRE.


IT IT 44

Wireless Diagram, how it works


IT IT 44

Network SecurityWhere the rubber meets the road

PurposesAuthentication, confidentiality, integrity, compression

Decision FactorsRisk, cost and speed.

Types of Security Firewalls; Encryption (e-commerce); Digital Signatures; Secure Socket Layers (SSLs) (Internet and e-commerce); and Virtual Private Networks (VPN’s)


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COURT SERVICES AND APPLICATIONS

55


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Systems, Software


Systems, Software



Services &Applications

Data, Business


Information Technology Driver

55


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Information Technology ArchitecturesNo architecture is mutually exclusive, many overlap.

Legacy (mainframe)

Stand Alone

Client Server (2 and 3-tiers)

Data Warehouse Systems

Mediated Systems

Internet/Intranet Architectures

Web Services

Service Oriented Architecture (n-tier)

55


IT IT 55

Legacy (mainframe)

Usually, operating system, application logic, database and presentation and user interface layers are in one location;

Traditionally, flat-file tables, instead of relational database, repetitive data, hard to program, report generation may require extensive programming hours;

End users’ (clients) computers traditionally see screens generated by host system (green screen). New graphic user interfaces require more “client” memory and power;

Network topology/protocols are token ring/frame relay, inexpensive/closed systems, high processing speeds, used for EDI – with middleware; and

MANY court systems are still on legacy platforms.


IT IT 55

Stand Alone

Independent applications, often developed in-house by small court or departments within courts lacking organizational capacity or resources;

Applications range from Visual Basic (VB) ,MS Access, Word or Excel to old relational database programs lacking open architecture and SQL (structured query language) data;

Application is run on one or multiple computers and are not linked to other networks;

Examples of traditional uses include probation management, fiscal (fines, fees, bail), calendaring, jury management, among others.


IT IT 55Client Server Any application that separates (physically) the user

interface layer from the database layer (2 tiers). In early systems, application logic was included on either the client or the server. Newer systems include the application on a 3rd tier, often called the application server;

Internet or “web-based” applications are often adapted from client server with a browser user interface, and multiple layers (n-tiered);

Most mission critical systems today are still built using this architecture;

Client PC

Client PC

Client PC

Database Server

Database Server

Application Server

Application Server


IT IT


55

Internet/Intranet connecting several

jurisdictions or agencies

Jurisdiction AHost DB and web server

Jurisdiction BHost DB and web server

Jurisdiction CHost DB and web server

Jurisdiction DHost DB and web server

Client Browsers


IT IT


55

Systems based on Internet technology and protocols, although often in a closed network connected to the Internet through a firewall;

Information is accessible to clients/users through a browser – no client-side application – generally, HTML;

No inherent structure for data sharing between systems;

Functions similar to a wide area network (WAN);

Good platform for enterprise email. File and data sharing generally occurs through email.


IT IT

Data Warehouse Systems

55

Centralized management and control of information, linked to multiple systems or databases, difficult to add new data sources, distributed interfaces;

Requires data transformation to standards (usu. extensible markup language – XML);

Often latent information, based on update lag, overcome using replication or mirroring technology, high initial costs – inexpensive integration.

Jurisdiction A

Jurisdiction B

Jurisdiction C

Jurisdiction D

DataWarehouse

Client Browsers

Client Applications

Interface

Interface

Interface

Interface


IT IT

Mediated (Data Sharing) Systems

55

Similar objectives as data warehouse systems, except without a data warehouse;

Real-time access to other data sources;

Mandates data transformation to a single standard (XML);

Query layer becomes a separate, unified application;

Less costly, but politically very difficult – one agency pulling data from another agency database.

SingleApplication

PermissionSet

QueryMapper

Client Browsers

Client Applications

SingleInterface

Jurisdiction A

Jurisdiction B

Jurisdiction C

Jurisdiction D


IT IT

Web Services ArchitectureA derivative of mediated systems applied to the Web

55

A web-based set of tools used as a platform to integrate disparate applications over the Internet or a network using Internet protocols;

The standardized tools used to transmit native data and processes independent of proprietary applications include:

XML (extensible markup language): Used to tag (identify) data according to a standard set of definitions

SOAP (simple object access protocol): Sends XML data over the Internet

WSDL (web services description language): Describes a web services capabilities, used by UDDI (see below)

UDDI (universal description discovery and integration): A worldwide business registry


IT IT 55

Web Services Architecture

http://en.wikipedia.org/wiki/Image:Webservices.png. Permission is granted to copy, distribute and/or modify this bitmap under the terms of the GNU Free Documentation License, Version 1.2 or any later version published by the Free Software Foundation


IT IT

Web Services Architecture

55

Court AdvantagesVery useful for closed, proprietary and legacy systems;Most applicable to: CJIS and therapeutic justice integration

Court DisadvantagesStill immature, while sold as the great solution to EDI Lack of securityPoor performance - XML model is data and process heavy


IT IT

Service Oriented Architecture

55

Cultural Shift to thinking about technologies as tools to provide services to users and the public;

Introduction of the term “channel,” ways that users access information;

Enterprise response to users and the public drove a rethinking about horizontal vs. vertical (silos) information, distributed computing, shared services, and integrated systems;

Synthesis of many architectures.


IT IT

Conceptual Court Service Architecture

55

IT Governance

Infrastructure

Public/Attorneys/Justice Participants/Court Users

Data Shared Services

Business and Logic

Public Access

Integration

Channels


IT IT

Service Delivery Architecture – New Concepts

Government – not Court – is model Adapted to medium-large court enterprise

Data storage is not always application dependent Based on data repository concept and shared services

Shared Services are not proprietary Forms, identities, payments, decision support, GIS

Customers are ALL users: Court and Public Judges, employees, partners, citizens, vendors

Methods of user access are called channels Internal and external, independent from systems

55


IT IT

Service Delivery Architecture – Pitfalls

55

Threatens Independence/Accountability BalanceEspecially when integrated with other government (county or state) systems;

“Local Courts are Local”For regional or state-wide systems, local identities (citizens) and other shared services create “big brother” tension;

Friction and Competing PrioritiesBetween stakeholders if leadership is not present and parties feel a lack of ownership; and

Complexity Demands Implementation SkillOften lacking in government.


IT IT

Services Should Drive TechnologyIT stakeholders must prioritize services and organizational needs and then map infrastructure and technology solutions;

State IT Systems Must Include Local InputState centralized systems often impose solutions, but they must get local input for planning and development;

Local Court Leaders Must Lead ITTrial courts that are part of a distributed county system must be drivers in a service delivery architecture. It’s hard to do.

Service Delivery and Communities of Interest

55


IT IT

Exercise 4

The Dilemma: Courts, Government, and Service Oriented Architecture


55


IT IT 55Court Services and Applications

Web PortalAccess to Records

PublicPublicAccessAccess

E-FilingE-Documents

CoreMission

CoreMission

AudioAudioVideoVideo

SharedSharedServicesServices

Case ManagementJury Management

IVRE-Commerce

Video ConferenceRecordingAssistive Listening

Office ToolsEmail

Operating SystemsIdentities

EnterpriseEnterprise Fiscal CJISProcurement HR

Web PortalAccess to Records

PublicPublicAccessAccess

E-FilingE-Documents

CoreMission

CoreMission

AudioAudioVideoVideo

SharedSharedServicesServices

Case ManagementJury Management

IVRE-Commerce

Video ConferenceRecordingAssistive Listening

Office ToolsEmail

Operating SystemsIdentities

EnterpriseEnterprise Fiscal CJISProcurement HR


IT IT

Core Mission

55

Critical to the Court’s primary function – to process cases from filing through to disposition and enforcement of orders.

Case management

Jury management

E-Filing

Electronic document management (EDM)

Public AccessPublic Access

Core MissionCore Mission

Audio VideoAudio Video

Shared ServicesShared Services

EnterpriseEnterprise







IT IT

Case Management, Mission Critical

NOTES 2002

Washington County 40% TMA; 56% DUI within time standard.

FY03 – 894 cases

filed: (1,493 – TMA)

(1,943 – 21-902)

Trial results based on %factors in FY03

Traffic Case Activity Report

* Note that Fallout

Rates are based on the 2002 Caseflow

Assessment and on the average times between

each case event.

Average scheduled time from Citation to Trial: 67-82 days

Trial Date set at Case and Docket Entry

Time Between Events

Fallout Rate

Significant Events 1

Traffic Citation Md Rule

4-201

2 Batch

Citation Mailing

4 TRIAL

3 Case and

Docket Entry

5 Body Attach/

Bond/ License

Suspended

Mailed directly to Maryland Automated

Traffic System (MATS) Processing Center by

law enforcement agencies.

Case has not yet been docketed.

Treated as Issuance of Charging Document

according to MD Rule 4-201

Cases considered misdemeanor petty

offenses, unless arrest made for associated

criminal charges (see Criminal case process)

7% (63 cases) FY03 Jury Trial Prayer Reassignment to

Circuit Court for Jury Trial

MD Rule 3-505

Filing of Charging Document

MD Rule 4-211

Citation and docket entry at MATS

Trial date set in

coordination with enforcement officers’

(witnesses) schedules

Primary sanction for non-payment of fine or FTA at

trial/hearing.

Enforcement by MD Civil Rules 3-631: 3-647

8B Motion to

Alter/Amend Judgment

Md Rule 4-331

8A Motion for New Trial

Md Rule 4-331

8C Appeal Md Rule 3-535

Within 30 days of judgment

82 TMA; 72 Payable at 67 days

60 TMA; 46 Payable

at 90 days

100 TMA 100 DUI

100 TMA 100 DUI

99 TMA 98 DUI

Within 7 days; usu. same week; MD Rule 4-211

states “promptly” Within 30 days of

Sentence

10 days after entry of

judgment

30 –45 days Judgment Enforcement Within 30-45 days

6 Sentence/ Probation/

Fine

Release after conviction

MD Rule 4-349

Traffic Payable

If Citation is paid by this event, a trial is not scheduled and the

defendant receives no notice.

MODEL TRAFFIC FLOW CHARTWashington County, MD

55


IT IT

Case Management Systems

55

CasetypesAppellate, criminal, civil, domestic relations, juvenile, traffic, probate and specialized courts (drug, community);

ArchitecturesInclude legacy, stand alone, client server, Internet/intranet, and service oriented architectures;

Enterprise Links Many systems have been linked with enterprise architectures, such as criminal justice information systems, that include data warehouses and mediated systems.

Any system that records and tracks court cases electronically. Generally, they are subdivided by casetypes:


IT IT

Case Management Functions (Six Total)

55

1. Case initiation and data entry Case-centric file management Docketing and record keeping (filings and events) Document indexing (generation and processing)

2. Calendaring Hearing schedules and case assignment Schedule coordination

3. Accounting Case-centric financial transactions Fees, fines, costs, bail, and related payments Reconciliation, distribution and reporting


IT IT

Case Management Functions (Six Total)

55

4. Management information Case-centric measures and reporting

Aggregate measures and reportingStandards integration

5. Systems Integration and External InterfacesCore systems: document management; data retrieval; web access; e-filingEnterprise: CJIS, finance, human resources

6. AdministrationUser controls, security and privacyMonitoring and maintenance


IT IT

Case Management Functional Standards

55

National benchmark for case management system functions; sponsored by COSCA/NACM Joint Technology Committee and endorsed by the Conference of Chief Justices and the Conference of State Court Administrators. Managed by the National Center for State Courts.

http://www.ncsconline.org/D_Tech/Standards/Standards.htm

Uses

Gap analysis and audit of your system;

Tool for strategic and technology planning;

Tool for RFP development and procurement assistance;

Helps vendors measure their products against existing standards.


IT IT

Functional Standards: Caution

55

Wholesale use of functional standards for RFPs without alignment with court needs and resources will result in costly proposals and unanticipated results;

Mandatory functions must be selected carefully, better results from incremental approaches and creative solutions.


IT IT

Case Management Issues

55

UbiquityMany small to midsize courts do not yet have a case management system. Some have rudimentary docket entry systems based on entries (minutes) made during court hearings.

Older Architectures Many case management systems are built on legacy and older client/server platforms, developed over many years at great expense.

ModernizationThe “look and feel” of older applications is modernized by the use of a graphic user interface (GUI) or middleware to a more advanced presentation application.


IT IT

Case Management Issues

55

Newer Architectures For many older applications, the presentation and client (GUI) layer have been converted to a browser environment, using HTML, often referred to as “web-based,” even though these systems are often on closed networks, independent of the world wide web (WWW).

The Next WaveNewer case management systems are being rapidly developed on enterprise platforms, some based on a service delivery architecture or using web services.


IT IT

Jury Management Systems

55

Two primary functions1. Selecting and noticing prospective jury pool2. Managing jury panels and trial assignments

IssuesWorks best when integrated with case management systems for calendar coordinationIntegration with prospective jury pool names and addresses with sources (DMV, voter registration, varies by state) is crucial. Some name and address lists are provided by CD subscription.

Standards


IT IT

E-Filing

55

E-filing refers to the electronic filing, usually via the Internet, of complaints, petitions, amendments, motions and answers. Two approaches:

Third Party Contracted

Court Owned

DataDataStorageStorage

FirewallFiling

ReviewReview


Firewall

FilingReviewReview

CMS

Court

Court3rd Party


IT IT

E-Filing Approaches

55

Third Party ContractedPricing model based exclusively on user fees, in some cases on court use fees;Usually no development or maintenance fees;Database is usually stored off-site;Some vendors are offering a mixed approach.

Court OwnedUsually no additional user fees;Higher development costs;Higher maintenance and expert resources;Can be integrated into case management system, increased performance


IT IT

E-Filing Objectives

55

Electronic filing to be the official court record, paper records should be considered a copy;

Use of freeware and/or open source software;

Use of browser interface, open standards (WC3), and most likely XML data standards;

Data and document integrity – Federal information processing standard 180.2;

Establish e-commerce to accept fines and fees;

Avoid surcharges; and

Integrate with electronic document management.


IT IT

E-Filing Standards

55

National benchmark for e-filing standards; sponsored by COSCA/NACM Joint Technology Committee and endorsed by the Conference of Chief Justices and the Conference of State Court Administrators. Managed by the National Center for State Courts: http://www.ncsconline.org/D_Tech/Standards/Standards.htm

Describes a “full service model;”

Maximizes incentives to use e-filing;

Road map for vendors;

Share expertise and experience; and

Helps move from paper to electronic environment


IT IT

E-Filing Example

55

SubscriptionLog In

Password Hint

Small Claims

Designed for self representation

http://www.apps-saccourt.com/scc/


IT IT

Electronic Document Management (EDM)

55

Electronic document management enables a court or court organization to create, tag, search, check out, check in, save, locate and print documents stored electronically. Courts use EDM to manage:

Archived (old), scanned case files and other court documents (e.g. court orders, deeds);

Court filings and supporting documentation, such as briefs, motions and document attachments (e.g. contracts, affidavits).


IT IT

Electronic Document Management Approaches

55

Attach to E-Filing document

Scan at Counter


FirewallFile

ReviewReview

Court

Scan

CMS


FirewallFiling

ReviewReview

Court

CMS

Index

Index


IT IT

EDM Issues and Considerations

55

Court owned vs. third party contractedAlso subject to the e-filing choices between fee-based and no fee systems.

Document FormatsAllow most formats, simple conversion for display:Word; Word Perfect; Adobe; XML

Security/Document LockingDocuments must be secure, no tampering

ScaleabilityAnticipate growth, allow for extensive storage capacity


IT IT

Public Access Technologies

Website portals

Electronic access to court records (Internet and public access workstations)

E-commerce

Interactive voice response (IVR) and database applications

55












IT IT

Public Access Goals and Issues

55

Increased AccessSocial divide between users with and without Internet and technology access;

Alternative approaches: Assisted e-filing; public access workstations, both in the court and in libraries and other public locations; interactive voice response;

IntegrityProvide court users and the Court with greater accuracy and integrity by reducing data entry and duplication. Goal is problematic if technology is not trusted, processes are not transparent.


IT IT

Presence

Cyberspace Placeholder

Presence

Cyberspace Placeholder

Interaction

Channel Exploration

Interaction

Channel Exploration

Transaction

Channel Development

Transaction

Channel Development

Transformation

Channel Exploitation

Transformation

Channel Exploitation

2005

Popular E-Government ModelA channel is an electronic mechanism to access government or conduct government business.Are channels key to the court’s mission?

Gartner, Inc.

55


IT IT

Website Portals

55

E-government theory is that all local government transactions should be accessible from a single portal;

In some jurisdictions (NJ), all trial courts statewide are accessible from a single statewide portal;

In some jurisdictions (LA), trial court websites are accessed from county or clerk portals.

A single website approach to access to local Courts and all the services that are offered online.


IT IT

Website Portal Example

55

http://www.judiciary.state.nj.us/

Site Index

Large Menu3 Clicks Max.

1 Click to Search Cases

News and Community

1 Click to Pay Fines


IT IT

Website Portals

55

Static information about the courts, court processes, ways of getting to court, and judge and personnel directories;

Calendar information about court cases (requires continuous update from the case management system);

Self-represented assistance resources;

Dynamic case information, accessible by outline or search;

Payment of fines and fees.

Potential functionality:


IT IT

Electronic Access to Court Records

55

Fixed Location SystemsPublic access workstations;Monitor displays of daily calendars (usu. in the courthouse)

Internet Based SystemsDaily calendars, posted in a static viewSearchable daily calendarsSearchable case information

Interactive Voice Response SystemsDial up, key pad responseVoice recognition systems

Any electronic means to access court records and information, including calendars.


IT IT

Internet Access to Court Records

55

http://www.gwinnettcourts.com/lib_asp/casendx2.asp?divisionCode=ALL

Court

Case Number

Casetype

Disclaimer


IT IT

Internet Access to Court Calendars

55

http://216.77.33.236/civil/calendar (NC Business Court)

Click a Date!


IT IT

Electronic Commerce

55

Approaches include:

Third party (bank link) credit card processing;

Debit accounts, usually set up by attorneys and law firms

Escrow account, against which fees are drawn; Revolving credit or debit card accounts; or Direct bank account funds transfer.

The buying, selling, and marketing of products and services over computer networks or the Internet. Courts generally use e-commerce to collect fees and fines associated with court filings and court cases.


IT IT

Electronic Commerce ExampleCredit card payment of traffic fines

55

http://www.judiciary.state.nj.us/atswep/njmcdirectmain/

License #

Parking/Traffic Ticket

Credit Card

Help Desk


IT IT

Cost Savings BenefitsA 2001 Gartner study notes a $3.25 savings per transaction for traffic fine collection, and a 20-30% penetration within one year.

Incremental ImprovementsThe same study notes “…cost savings do not appear instantaneously. There is a ramp-up period…”

Political IssuesCredit card transactions often include fees that are not easily offset by operational cost savings in Government.

E-Commerce Benefits and Hurdles

55


IT IT

Enterprise Applications

Criminal justice information systems (CJIS)

Problem solving court systems

Child support systems

Finance and accounting

Procurement and inventory

Human resources

55

Cross-jurisdictional, linked applications that build on Shared Services. Enterprise systems are architectures that link previously separate systems, allowing data exchange.












IT IT

CJIS and Problem Solving SystemsAny enterprise platform that links disparate agencies, branches of government, and treatment providers to allow data exchange

55

Criminal processing linkage – e.g. arrest to arraignment;

Criminal treatment systems – associated with probation terms and alternatives to incarceration;

Criminal history data exchange;

Juvenile justice systems;

Drug and treatment court systems;

Community court systems;

Extended Family court systems – usually associated with classes, private mediation and counseling orders.


IT IT

CJIS and Problem Solving Systems

55

Old Approach: Single Integrated System, Common Platform.Problems include:

Massive initial investment of time and resources; often technology had changed long before project completion;

Jurisdictional disputes: systems ownership, data ownership, funding, security;

Technology development faster than project development;

Limited number of developers/companies capable of implementation.


IT IT


55

Data Warehouse Approach

Data WarehouseData Warehouse

Police BookingPolice Booking

Federal and State Criminal History


ProsecutorProsecutor

SheriffSheriff

Probation and Pretrial


Court Case Management System


Treatment ProvidersTreatment Providers


IT IT


55

Data Warehouse Approach

Court participation demands Court leadership;

Who pays for, owns and manages the data warehouse;

Initial expense is high, cost sharing;

Data access controlled by agreement;

Does not require XML translation;

Promotes but does not require standardization of data elements;

In practice, often aggrandizing of data elements, e.g. six different defendant identifiers.


IT IT


55

Mediated Approach

Police BookingPolice Booking



ProsecutorProsecutor

SheriffSheriff





Treatment ProvidersTreatment Providers

XMLMiddleware


IT IT


55

Mediated Systems

Court participation demands Court leadership;

Demands data standardization, use of XML translation;

Everyone owns their own data; data exchange is process-based;

Data exchange controlled by agreement;

Security controls are crucial;

Promotes standardization of data elements;

Mediated systems devolve to agency/agency (linear) and not on a spoke.


IT IT

Finance, Procurement and HREnterprise management applications that are often owned by the executive/legislature in county governments.

55

Finance and procurement almost always require linkage to a county, and often to a state, system;

Court case management systems usually require a fee/fine/bail component that is linked to general revenue systems. Procurement, escrow, and estate accounting (masters) sometimes fall under court jurisdiction.

Courts often maintain their own HR applications as separate or sub-systems of a county;

Many accounting and HR applications exist, even for government. They are easily adaptable to the court environment.


IT IT

Shared ServicesServices that are provided to more than one department through a single service provider (internal or external)

Departments can work together in Communities of Interest to identify needs and requirements, and determine technological solutions

Common data and tool sets

Help desk operations

Improved quality and control

Better management of public and staff data and data exchange/retrieval

55












IT IT

Shared Services

Identities

Operating systems

Office automation systems

Email

Judicial support and bench book applications

Geographic information systems (GIS)

Customer service – customer resource management (CRM)

Application Security

55


IT IT

Shared Services

Identities: Names, aliases and contact information for ALL court users, both internal and external

Reduces data entry errors;Easy to compile from county/court recordsRequires system interfaces with all/most applications

Operating systems: PCs, Server, and Network. Economy of scale and maintenance. Tension between ubiquitous commercial and open source systems.

Office automation systems: Economy of scale and maintenance – Continuity. Legal vs. commercial popularity.

55


IT IT

Shared Services

Email: Generally, supported centrally. Smaller courts may rely on pre-installed commercial applications, assigning email addresses linked to domain names.

Judicial support and bench book applications: Usually, subscription based, billed by number of users. Can be Internet or CD-ROM with central storage.Bench book applications require extensive state customization. (e.g. Georgia)

Geographic information systems (GIS): Usually, executive/legislative branch function. Includes data for deeds, legal surveys, maps (website), etc.

55


IT IT

Shared Services

Customer Service – customer resource management (CRM): Linked to Public Access and Identities. Channels used to link the public and other court users with court information at public counters, workstations, lobby monitors or in direct transactions.

Broad term to unify court community services in automation. Examples include on-line self-help centers (see following Slide).

Application and Network Security: Applicable to shared security applications and technology in an organization. Includes firewalls, encryption, public key, passwords etc. Often managed by one department.

55


IT IT

On-Line Self Help Center

55

http://www.courtinfo.ca.gov/selfhelp/

Seniors

Legal Help

PFA

Languages

Traffic

Small Claims

Family


IT IT

Audio and VideoPrimarily technologies used in the courtroom, although increasingly in basic office tasks

Video conferencing

Audio and video recording

Evidence presentation

Assistive listening technologies

55












IT IT 55

Basic Courtroom Audio Video Setup

Monitors

Screen

Evidence

Jury

Cameras

Judge

Attorneys

Clerk


IT IT

Video conferencing and display

Video standard (usu. H.323)

Linkage to courtroom audio system

Video and audio recording

Existing external linkage via virtual private network (VPN), codex and/or local area network (LAN)

Future external linkages via public Internet line, an MCU gateway and a wide area network (WAN)

Linkage to evidence display systems

55

Basic Video Conferencing Functions


IT IT

Video Conferencing & Arraignment Issues

The Future

In the future, will be a subset of smart or hi-tech courtrooms;

Point to point video connectivity will not be dependent on dedicated systems;

Video links will be scheduled, authorized and transmitted using Internet or Intranet connectivity and common video standards

55

Courtroom usage is primarily for pretrial/arraignment hearings;

Few office uses of video conferencing – matching sites


IT IT

Audio and Video RecordingPrimarily technologies used in courtrooms

Video recording incorporates audio recording

Video recording requires a shift of reporting skills to monitoring, annotation and transcription

Audio recording often used as backup to real-time transcription or court reporting systems

Linkage to sound systems and directional mikes

Primary tension is political with the use of court reporters

Australia is the leader in automated court recording

55


IT IT

Evidence Presentation

Components usually include:

Integrated into courtroom video display and projection

Whiteboard (electronic markup board)

Digital camera (display of documents and objects)

DVD and VCR players (recorded and expert testimony)

Evidence recording linkage (bar code or other technology for court control during trial)

55

Judge

Attorneys

Clerk

Judge

Attorneys

Clerk


IT IT

Assistive Listening TechnologiesTechnologies used to provide sound amplification for hearing disabled and for language interpretation

Components usually include:

360 degree wireless sound transmitter (microwave or other medium)

Headphones with receivers; often courts share among courtrooms

Linkage to language interpretation and remote (separate room) transmission

55

Judge

Attorneys

Clerk

Judge

Attorneys

Clerk

Wireless Sound Transmitter


IT IT

Exercise 5

Establishing a Technology Solution: Prioritizing the Court’s Services and Needs


55


IT IT 66


PROJECTS



Automation



Automation



Approach



Approach





Automation



Automation



Approach



Approach




IT IT 66

ProjectsStrategic Principles

Plan for Versions/ Releases, not the

Big Bang

Plan for Versions/ Releases, not the

Big Bang

6 Month Development Increments

6 Month Development Increments

Constant Development,

Migration, Rollout

Constant Development,

Migration, Rollout

Pilot New Projects With a High Performance

Group

Pilot New Projects With a High Performance

Group

Budget Hardware, Software

Replacement

Budget Hardware, Software

Replacement

Spiral ApproachPlan, Build, Test,

Rollout, Fix..Repeat

Spiral ApproachPlan, Build, Test,

Rollout, Fix..Repeat

1

2

3

4

5

6


IT IT 66

Project ManagementSystem Lifecycle

1. Leadership Initiation and Funding Sources2. Feasibility, Alternatives Analysis3. Functional Requirements and Conversion Analysis4. System Design and Specifications5. Procurement6. BUILD – Development7. Testing8. Training9. User Acceptance10. ROLLOUT11. System and Performance Review


IT IT 66

Project FailureDoes It Need to Be A Nightmare?

Project Resolution 2000

Data from Extreme Chaos, The Standish Group International, Inc. 2001

The CHAOS Ten

Executive Support 18

User Involvement 16

Experienced Project Manager 14

Clear Business Objectives 12

Minimized Scope 10

Standard Software Infrastructure 8

Firm Basic Requirements 6

Formal Methodology 6

Reliable Estimates 5

Other 5

Each factor has been weighted according to its influence on a project’s success. The more points, the lower the project risk.

Failed23%

Challenged49%

Succeeded28%


IT IT 66

Technical ProcurementDoes It Need to Be A Nightmare?

Open, interoperable and scaleable systems Eschew custom development, where possible Penalty clauses Performance based contracts – bonds Early completion incentives Match the contract to the task Clear specifications Fixed price better than time and materials


IT IT

CO

UR

T

DE

VE

LO

PE

R

66

Project ManagementThe Team: Contracted Developer

Stakeholders4x per project


Court Project Manager

Daily


Daily

IT AnalystsDaily and Biweekly

IT AnalystsDaily and Biweekly

Vendor Project Manager

Daily

Vendor Project Manager

Daily

Vendor Project Director

4x per project

Vendor Project Director

4x per project

ProgrammersBiweekly

ProgrammersBiweekly

Senior AnalystBiweekly

Senior AnalystBiweekly

Senior DeveloperBiweekly

Senior DeveloperBiweeklyCOIs

Power User GroupBiweekly

COIsPower User Group

Biweekly


IT IT 66

Project ManagementContracted Developer Pitfalls and Concerns

Developer goes out of business Marketing folks are on their best behavior; small

problems there signal big problems down the road Developer leadership/management – high priority Platform dependent systems Proprietary and semi-closed systems Understanding of court processes by development

team – “learning on the job” In-house (in)ability to modify/update application Costly upgrades (future versions)


IT IT 66

Project ManagementRisk Management Checklist

Independent verification and validation User review, testing, acceptance and training Performance based contracts and specifications Court ownership of CODE (major systems) Written PLANS for:

• Security• Systems Integration• Data Migration• Operations/Maintenance• Downtime Contingencies• Disaster Recovery


IT IT 66

Project ManagementLessons Learned

Hands on approach, constant demos Use technology, demo online Heavy user involvement (COIs and power users) Incremental products Constant and meaningful feedback Don’t meet just to meet Frequent written updates should flag areas of concern

and need for group meetings


IT IT

CO

UR

T

66

Project ManagementIn-House Team




Daily


Daily

Independent Industry Analyst/Consultant

Biweekly (luxury)

Independent Industry Analyst/Consultant

Biweekly (luxury)

ProgrammersBiweekly

ProgrammersBiweekly

Senior AnalystsBiweekly

Senior AnalystsBiweekly

Senior Developer Project Manager

Daily

Senior Developer Project Manager

Daily


Biweekly


Biweekly

IT Director4x per projectIT Director4x per project


IT IT 66

Project ManagementIn-house Development Pitfalls and Concerns

Inadequate expertise, long learning curve Narrow IT advice – “This is what we know.” Strong allegiance to existing systems No competitive incentive to perform No contractual incentive to meet deadlines Isolation of IT staff Lack of knowledge of court processes Ongoing cost of large IT staff is high Not enough money to hire IT experts


IT IT 66

Project ManagementIn-house Development Benefits

Previous experience and better knowledge of Court’s processes and needs

Court owns system outright Process inherently promotes applications expertise Should get IT folks involved with users Upfront costs are hidden in salaries – “we would have

paid them anyway”


IT IT

Exercise 6

Managing a Procurement


66