IT
INFORMATION TECHNOLOGY
Fundamentals For Court Leaders
Date(s)
Educational Program or Sponsor
Faculty
2.5 Day Toolbox
National Association for Court Management
1
IT
Agenda
1.
2.
3.
4.
5.
6.
Purposes and Context
Governance: Leadership and Vision
Strategic Planning
Infrastructure
Court Services and Applications
Projects
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IT
Pre-Workshop Exercise Review
My court or court organization; and
What 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
National Association for Court Management
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1
IT
Information Technology Fundamentals
PURPOSES AND CONTEXT
National Association for Court Management
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IT
Information technology is a tool, not an
end unto itself.
Information Technology Curriculum Guidelines
National Association for Court Management
National Association for Court Management
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1
IT
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
National Association for Court Management
National Association for Court Management
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IT
1
Purposes of Courts
1. 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
National Association for Court Management
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IT and Purposes
Caseflow
Management
Information
Technology
Management
Education,
Training and
Development
Leadership
Purposes
and
Responsibilities of
Courts
Human
Resources
Management
Visioning and
Strategic
Planning
Essential
Components
Resources,
Budget and
Finance
National Association for Court Management
Court Community
Communication
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IT
Information Technology Outcome Measures
1.
2.
3.
4.
5.
6.
Improved processes and productivity;
Improved knowledge of the organization;
Increased communication;
Timeliness;
Integrity and accuracy; and
Dynamic and personal access.
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IT
Matching Court Purposes and Technology
1.
2.
3.
4.
5.
Improved processes and productivity;
Increased communication;
Timeliness;
Integrity and accuracy; and
Dynamic and personal access.
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IT
Matching Court Purposes and Technology
1.
2.
3.
4.
5.
Improved processes and productivity;
Increased communication;
Timeliness;
Integrity and accuracy; and
Dynamic and personal access.
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Information Technology Data Measures
1.
2.
3.
4.
Integrity and accuracy;
Security;
Privacy;
Ubiquity and access
a. Speed
b. Scaleability
c. Standardization
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IT
Technology Acceleration
1623 First Mechanical Calculator
1823 First Programmable Mechanical Calculator
Babbage’s Difference Engine
1853 First Mechanical Computer
Scheutz Difference Engine
1890 US Census Bureau
Hollerith Punch Card Computer
1911 IBM Founded
Hollerith merges with competitor
1937
First Electronic
Calculator
Mechanical Era
1600
1800
1900
1930
Est. 50,000
5 mill.
76 mill.
123 mill.
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1940
132 mill.
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IT
1991 World-Wide Web
Technology Acceleration
E-Filing
1984 EDI
1992 E-Commerce
CD/Subscription: Legal Resources
1992 Public Internet
Video Conferencing
1950’s Digital Imaging (documents)
1971 Email
1992 Public Email
Thin Client
Web based
1984: Distributed Computing
Client Server Applications
1943: Legacy Systems (mainframe computers)
1950
151 mill.
1960
203 mill.
1970
227 mill.
National Association for Court Management
1980
1990
249 mill.
281 mill.
2000
284 mill.
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Emerging Technologies
1.
2.
3.
4.
5.
6.
Wireless;
Voice recognition;
Virtual reality and 3D imagery;
Artificial intelligence;
Biometrics;
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.
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IT
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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IT
Exercise 1
Matching the Purposes of Courts with information
technology outcome and data measures
• 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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IT
Information Technology Fundamentals
GOVERNANCE:
LEADERSHIP AND VISION
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2
IT
Information Technology Foundation
Services &
Applications
Data, Business
Infrastructure
Hardware,
Systems, Software
IT Governance
Policy, Standards, Funding,
Architecture, Organization
Adapted by Permission of Gartner, Inc.
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IT
Leadership is the energy behind every
court system and court
accomplishment.
Leadership Curriculum Guidelines
National Association for Court Management
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IT
Leaders think about, create, and inspire
others to act upon dreams, missions,
strategic intent, and purpose.
Leadership Curriculum Guidelines
National Association for Court Management
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IT
IT Leadership Principles
 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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IT
What I Know That Ain’t So
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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IT
Changing Court Processes
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?
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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IT
Process Reengineering Principles
 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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IT
Process Reengineering Examples
Court Need
Improvement
Reengineering
More file storage
space needed
Image closed files 1st
year, active files 2nd
year, implement efiling 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 nonconfidential 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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IT
Why is IT Governance Important?
 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
IT Governance
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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IT
A
Effective IT policies:
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.
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IT
B
Organization
How IT decisions get implemented
 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
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IT
C
Standards
 Network
Capacity (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.
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IT
C
Network Standards
 Standards foundation is performance
Response 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 software
e.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.
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IT
D
Funding and Prioritization
 Systems lifecycle and maintenance;
Many courts utilize a 3-4 year hardware
replacement cycle
Software 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.
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IT
E
Architecture Overview
 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 architectures
Includes at minimum: User interface, presentation,
business logic, and database tiers
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IT
E
Architecture Overview
 Security
Build into network architecture
Build into application development
 Redundancy and disaster recovery
Build into network architecture
Distributed networking most effective
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IT
F
Systems: Services and Applications
Selection and prioritization of services for the application of
needed 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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IT
F
Systems: Services and Applications
Technical Decisions
 Develop in-house vs. contracted;
 Planned applications approach to information
exchange, shared services, security, privacy, and
access; and
 Open and closed applications
Open: Generally, off the shelf and standardized
Closed: Proprietary software, highly customized, non
standard
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IT
IT Trial Court Meta Governance Models
 State Centralized
 State/Local Distributed
 Local Centralized
 Local Distributed
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IT
State Centralized
 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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IT
State/Local Distributed
 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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IT
Local Centralized
 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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IT
Local Distributed
 State Capitol (AOC)
• Enterprise Integration
• Judicial Support Systems
Small-Medium County USA

County Government
• Enterprise Integration
Trial Court
• Case Management System
• Infrastructure and Networks
• Hardware and Software
• Office Automation
• Audio and Video
• Email
• Judicial Support Systems
• Public Access Technologies
TX, GA, OH
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IT
Idealized IT Leadership Structure
Stakeholders: Policy and Standards
Co-Chairs: IT and Court Leader
Funding Authority
Budget Committee
Architecture Committee
Stakeholders, Inter-Agency
Stakeholders and IT Representatives
Communities of Interest
Core Mission
Enterprise
Case Management
Management
Information
E-Filing
Document Mgmt.
Criminal Justice
Finance
Human Resources
National Association for Court Management
Shared
Services
Operating Systems
Library Tools
Email
Wireless
Public Access
Web
E-Records
E-Commerce
IVR
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IT
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
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IT
Information Technology Fundamentals
STRATEGIC PLANNING
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IT
IT Strategic Planning
Services &
Applications
Implementation
Data, Business
Planning
Infrastructure
Hardware,
Systems, Software
IT Governance
Policy, Standards, Funding,
Architecture, Organization
Adapted by Permission of Gartner, Inc.
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IT
IT Strategic Planning Steps
Immediate (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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IT
IT Long Range Planning:
Waterfall Development (older approach)
Identify, Match
and Prioritize
Court Services
to Needed
Automation
Establish
Infrastructure/
Software Platform
& Development
Approach
Build and Test
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IT
IT Long Range Planning:
Waterfall Development (older approach)
 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.
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IT
IT Long Range Planning:
Spiral Development (newer approach)
Identify, Match
and Prioritize
Court Services to
Needed
Automation
Establish
Infrastructure/
Software Platform &
Development
Approach
Evaluate, Identify
Gaps, Re-Focus
on Next Phases
Build and Test
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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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IT Long Range Planning:
Other Development Approaches
 Top Down
 Bottom Up
 Chaos
 Prototyping (sub-category)
Evolutionary Prototyping
 Agile Software Development (spiral derivatives)
Lean Development
Extreme Programming (XP)
Evolutionary Approach
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IT
Services and Applications
Selection 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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IT
Life Cycle Management
Feasible 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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IT
Life Cycle Management
System 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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IT
Disaster Recovery, Redundancy and
Contingency Planning
As dependency on technology grows, user
tolerance for failure decreases.
 Weigh Risk and Cost
Be careful of what you ask for, you may pay for it.
 Do it Early
Disaster and recovery plans may influence your
strategic, infrastructure and systems choices.
 Think in terms of Manageable Pieces
How much failure can the organization tolerate. One
size may not fit all
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IT
Disaster Recovery, Redundancy and
Contingency Planning
Components:
 Case entry and retrieval
 Calendar preparation
 Counters
 Public access
 Judicial proceedings
 Payment proceedings
 Administrative functions
 Servers
 Network
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IT
Contingency Planning – Levels
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 Access
Technology now makes those documents “in fact” public.
 Establish a Formal Policy
Must review access policies and practices to reflect laws and
public expectation.
Typically, electronic information on single cases is free
Charge fees to cover cost of generating reports
Charge additional fees for customized/bulk information
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IT
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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IT
Increased Access Negatives
 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
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IT
Privacy and Access - Document Categories
 Case data, documents and other records
 Judges’ notes on cases
 Court administrative records
 Emails
 Internal memoranda
 Employee personnel records
 Internal management reports
 Telephone records
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IT
Privacy and Access – Other Issues
 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
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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
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IT
Information Technology Fundamentals
INFRASTRUCTURE
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4
IT
Information Technology Backbone
Services &
Applications
Data, Business
Infrastructure
Hardware,
Systems, Software
IT Governance
Policy, Standards, Funding,
Architecture, Organization
Adapted by Permission of Gartner, Inc.
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IT
Network Topologies
Physical or logical layouts
1. Star Topology
Token ring, cheap, slower
2. Ring Topology
Expensive, higher bandwidth
3. Bus Topology
Ethernet, LANs
4. Tree Topology
Stars on a bus, hybrid
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IT
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?
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IT
Wide Area Networks
Decision Making Criteria
1. Existing Infrastructure
Older networks, often star topology; urban networks,
often ring topologies. Improvement over replacement.
2. Speed
Common standard is T-1 (1.5 Mbps, leased phone line,
also called DSL). Future standard is T-3 (43 Mbps)
3. Protocols
Generally TCP/IP, older usually frame relay, future may
see Asynchronous Transfer Mode (ATM )
4. Media
Usually leased lines, microwave, or satellite
5. Cost
Need to annualize.
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IT
Local Area Networks
4
Decision Making Criteria
1. Existing infrastructure
Most today are Ethernet, limited user capacity
2. Speed
Current PC (Windows) standard is Fast (100 Mbps =
megabits per second) and Gigabit (1,000 Mbps) Ethernet
3. Protocols
Rules for sending data, most courts use client/server and
TCP/IP (transmission control/Internet protocol).
4. Media
Wiring (twisted pair, CAT 5), fiber optic, coax, or wireless
5. Cost
Maybe wireless IS cheaper. Need to annualize.
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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.
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IT
Three Network Diagrams
How to read them and why it is important
1. Review the 3 network diagrams on the next 6 slides
An enlarged printout will be issued for each.
2. Discuss the questions after each diagram
Table talk is good.
3. Ask questions, be confused, it’s okay
Network analysts are a special breed.
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IT
Existing NetworkHigh
ArchitectureLevel
- Overview WAN Diagram
Network Architecture
2N D Circuit
T -1
3 RD
C
irc
ui
t
(for HAWAIIAN
& phone
connection
via 2nd Circuit)
56K and 128K
HA
WA
IIA
N
56K and 128K
Hawaiian T elephone
Company Frame Relay
56
K
1ST Circuit
Civic Center
Complex
T -1
56K and 128K
56K and 128K
t
ui
irc e
C ot s
ST
1 rem ice
f
of
HA
W
A
AII
N5
6K
Bandwidth
5TH Circuit
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Circuit: Multiple Courts
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Network High Level WAN Diagram
Group 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?
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Existing Token Ring Networks - 1st Circuit Civic Center Complex
Wide Area Network (WAN) Diagram
3270 Gateway
IBM - Leased Line
Connections
(not documented)
Supreme
Court
TP cat 4
(16Mbps)
T
6M
(1
16Mbps 16Mbps
16Mbps
Executiv e Branch
Network (Sonet)
ICSD
OBTS & Internet
t
ge 4
ud at )
B P c bps
3745
HA
W
AI
IA
N
16Mbps
MGS
ICA
Token Ring
Backbone
TP cat 5
(16Mbps)
Frame Relay & Token
Ring Networks
el
nn
r so at 4
e
P
c
s)
TP Mbp
(16
16Mbps
IBM 9672
Neighbor
Islands / 1st
Circuit Remote
Offices
Ali'iolani Hale
Firewall
16Mbps
16Mbps
Kauikeaouli Hale
16Mbps
16Mbps
16Mbps
T -1
TISD
2502
16Mbps
TP cat 4
(16Mbps)
16Mbps
H onolulu D C
TVB
16Mbps
TP cat 4/5
(16Mbps)
16Mbps
4500
16Mbps
16Mbps
Wang VS
16Mbps
cc:Mail router
File Servers
16Mbps
DC/DrEd
Fiscal
TP cat 4
(16Mbps)
TP cat 4
(16Mbps)
Gateway
To
k
Ba en Ri
ckb ng
on
e
16Mbps
Ka'ahumana Hale
RS/6000
16Mbps
4500
16Mbps
FC
TP cat 4
(16Mbps)
LS Gateway
IBM AS/400
TP cat 4
(16Mbps)
16Mbps
16Mbps
16Mbps
16Mbps
APD
Building (LAN)
CC Adm
16Mbps
TP cat 4
(16Mbps)
Wang VS
16
Mbps
CC Civ
CC Crim
TP cat 4
(16Mbps)
TP cat 4
(16Mbps)
Legend:
T P = T wisted Pair cable
CC = Circuit Court
DC = District Court
FC = Family Court
APD = Adult Probation Dept
= fiber optic
cable
= twisted pair
cable
= T oken Ring
Local Area
Network
Model #
National Association for Court Management
= Router
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WAN Diagram
Group 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?
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Small WAN Diagram (many LANs)
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Small WAN Diagram
Group 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?
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Wireless
Are we there yet?
1. Two primary types of wireless systems:
Fat access points; distributed application switch
Thin access points; consolidated application switch
Dramatic increases in coverage
2. Security is a multi-headed beast:
Remote client (end user) hacking detection
Access point hacking detection
Hardwired switch hacking detection/firewall
Data transmission encryption
Signature handshakes
3. Significant long-term infrastructure savings
Yes, and no. Court will still need to maintain and upgrade
access points. NO WIRE.
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Wireless Diagram, how it works
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Network Security
Where the rubber meets the road
 Purposes
Authentication, confidentiality, integrity, compression
 Decision Factors
Risk, 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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Information Technology Fundamentals
COURT SERVICES AND APPLICATIONS
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Information Technology Driver
Services &
Applications
Data, Business
Infrastructure
Hardware,
Systems, Software
IT Governance
Policy, Standards, Funding,
Architecture, Organization
Adapted by Permission of Gartner, Inc.
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Information Technology Architectures
No 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)
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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.
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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.
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Client 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;
Client PC
Database
Server
Client PC
Application
Server
Client PC
 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;
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Internet/Intranet Architectures
Jurisdiction B
Host DB and web server
Jurisdiction A
Host DB and web server
Internet/Intranet
connecting several
jurisdictions or
agencies
Jurisdiction D
Host DB and web server
National Association for Court Management
Client Browsers
Jurisdiction C
Host DB and web server
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Internet/Intranet Architectures
 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.
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Data Warehouse Systems
Jurisdiction A
Interface
Jurisdiction B
Interface
Jurisdiction C
Interface
Jurisdiction D
Interface
Client Browsers
Data
Warehouse
Client Applications
 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.
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Mediated (Data Sharing) Systems
Jurisdiction A
Client Browsers
Jurisdiction B
Jurisdiction C
Query
Mapper
Single
Application
Single
Interface
Jurisdiction D
Permission
Set
Client Applications
 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.
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Web Services Architecture
A derivative of mediated systems applied to the Web
 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
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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
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Web Services Architecture
 Court Advantages
Very useful for closed, proprietary and legacy systems;
Most applicable to: CJIS and therapeutic justice
integration
 Court Disadvantages
Still immature, while sold as the great solution to EDI
Lack of security
Poor performance - XML model is data and process
heavy
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Service Oriented Architecture
 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.
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Conceptual Court Service Architecture
Public/Attorneys/Justice Participants/Court Users
Channels
Public Access
Business and Logic
Integration
Shared Services
Data
Infrastructure
IT Governance
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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
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Service Delivery Architecture – Pitfalls
 Threatens Independence/Accountability Balance
Especially 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 Priorities
Between stakeholders if leadership is not present and
parties feel a lack of ownership; and
 Complexity Demands Implementation Skill
Often lacking in government.
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Service Delivery and Communities of Interest
 Services Should Drive Technology
IT stakeholders must prioritize services and
organizational needs and then map infrastructure and
technology solutions;
 State IT Systems Must Include Local Input
State centralized systems often impose solutions, but
they must get local input for planning and development;
 Local Court Leaders Must Lead IT
Trial courts that are part of a distributed county system
must be drivers in a service delivery architecture. It’s
hard to do.
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Exercise 4
The Dilemma: Courts, Government, and
Service Oriented Architecture
• Use materials from Tab III
• Work in teams by table
• Appoint a spokesperson
• Be prepared to report and discuss
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IT
Court Services and Applications
Public
Access
Web Portal
Access to Records
IVR
E-Commerce
Core
Core
Mission
Mission
Case Management
Jury Management
E-Filing
E-Documents
Audio
Video
Recording
Assistive Listening
Video Conference
Shared
Services
Operating Systems
Identities
Office Tools
Email
Enterprise Fiscal
Procurement
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CJIS
HR
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IT
Public Access
Core Mission
Core Mission
Audio Video
Critical to the Court’s primary
function – to process cases from
filing through to disposition and
enforcement of orders.
Shared Services
Enterprise
 Case management
 Jury management
 E-Filing
 Electronic document management (EDM)
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Case Management, Mission Critical
Fallout Rate
100 TMA
100 DUI
100 TMA
100 DUI
82 TMA; 72 Payable
at 67 days
99 TMA
98 DUI
60 TMA; 46 Payable
at 90 days
Average scheduled time from Citation to Trial:
67-82 days
Trial Date set at Case and Docket Entry
Within 7 days;
usu. same week;
MD Rule 4-211
states “promptly”
Time Between
Events
Significant Events
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.
8B
8C
Motion to
Alter/Amend
Judgment
Appeal
Md Rule
4-331
30 –45 days
Within 30-45 days
8A
Motion for
New Trial
Judgment Enforcement
10 days after
entry of
judgment
Within 30 days of
judgment
Within 30
days of
Sentence
1
2
3
4
5
6
Traffic
Citation
Md Rule
4-201
Batch
Citation
Mailing
Case and
Docket Entry
TRIAL
Body Attach/
Bond/
License
Suspended
Sentence/
Probation/
Fine
Mailed directly to
Maryland Automated
Traffic System (MATS)
Processing Center by
law enforcement
agencies.
Case has not yet been
docketed.
Filing of Charging
Document
MD Rule 4-211
7% (63 cases) FY03
Jury Trial Prayer
Reassignment to
Circuit Court for Jury
Trial
MD Rule 3-505
Primary sanction
for non-payment
of fine or FTA at
trial/hearing.
Release after
conviction
MD Rule 4-349
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)
Citation and docket
entry at MATS
Trial date set in
coordination with
enforcement officers’
(witnesses) schedules
Traffic Payable
Md Rule
3-535
Md Rule 4-331
Enforcement by
MD Civil Rules
3-631: 3-647
MODEL TRAFFIC FLOW CHART
Washington County, MD
If Citation is paid by this
event, a trial is not
scheduled and the
defendant receives no
notice.
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Case Management Systems
Any system that records and tracks court cases electronically.
Generally, they are subdivided by casetypes:
 Casetypes
Appellate, criminal, civil, domestic relations, juvenile, traffic,
probate and specialized courts (drug, community);
 Architectures
Include 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.
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Case Management Functions (Six Total)
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
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Case Management Functions (Six Total)
4. Management information
Case-centric measures and reporting
Aggregate measures and reporting
Standards integration
5. Systems Integration and External Interfaces
Core systems: document management; data retrieval;
web access; e-filing
Enterprise: CJIS, finance, human resources
6. Administration
User controls, security and privacy
Monitoring and maintenance
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Case Management Functional Standards
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.
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Functional Standards: Caution
 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.
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Case Management Issues
 Ubiquity
Many 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.
 Modernization
The “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.
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Case Management Issues
 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 “webbased,” even though these systems are often on closed
networks, independent of the world wide web (WWW).
 The Next Wave
Newer case management systems are being rapidly
developed on enterprise platforms, some based on a
service delivery architecture or using web services.
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Jury Management Systems
 Two primary functions
1. Selecting and noticing prospective jury pool
2. Managing jury panels and trial assignments
 Issues
Works best when integrated with case management
systems for calendar coordination
Integration 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
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E-Filing
E-filing refers to the electronic filing, usually via the Internet,
of complaints, petitions, amendments, motions and answers.
Two approaches:
 Court Owned
Court
Review
Filing
Data
Storage
Firewall
 Third Party Contracted
CMS
Filing
Review
Data
Storage
Firewall
Court
3rd Party
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E-Filing Approaches
 Court Owned
Usually no additional user fees;
Higher development costs;
Higher maintenance and expert resources;
Can be integrated into case management system,
increased performance
 Third Party Contracted
Pricing 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.
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E-Filing Objectives
 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.
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E-Filing Standards
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
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E-Filing Example
Designed for self representation
Small Claims
Password Hint
Subscription
Log In
http://www.apps-saccourt.com/scc/
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IT
Electronic Document Management (EDM)
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).
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Electronic Document Management Approaches
 Scan at Counter
Court
Review
CMS
File
Scan
Data
Storage
Index
Firewall
 Attach to E-Filing document
Court
Review
Filing
National Association for Court Management
Firewall
CMS
Data
Storage
Index
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EDM Issues and Considerations
 Court owned vs. third party contracted
Also subject to the e-filing choices between fee-based
and no fee systems.
 Document Formats
Allow most formats, simple conversion for display:
Word; Word Perfect; Adobe; XML
 Security/Document Locking
Documents must be secure, no tampering
 Scaleability
Anticipate growth, allow for extensive storage capacity
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Public Access
Public Access Technologies
Core Mission
Audio Video
Shared Services
 Website portals
Enterprise
 Electronic access to court records (Internet and
public access workstations)
 E-commerce
 Interactive voice response (IVR) and database
applications
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Public Access Goals and Issues
 Increased Access
Social 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;
 Integrity
Provide 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.
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Popular E-Government Model
A channel is an electronic mechanism to access government
or conduct government business.
Are channels key to the court’s mission?
Transformation
Transaction
Interaction
Presence
Cyberspace
Placeholder
Channel
Exploration
Channel
Development
Channel
Exploitation
2005
Gartner, Inc.
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Website Portals
A single website approach to access to local Courts and all
the services that are offered online.
 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.
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IT
Website Portal Example
1 Click to Search Cases
Site Index
Large Menu
3 Clicks Max.
1 Click to Pay Fines
News and
Community
http://www.judiciary.state.nj.us/
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Website Portals
Potential functionality:
 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.
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Electronic Access to Court Records
Any electronic means to access court records and
information, including calendars.
 Fixed Location Systems
Public access workstations;
Monitor displays of daily calendars (usu. in the
courthouse)
 Internet Based Systems
Daily calendars, posted in a static view
Searchable daily calendars
Searchable case information
 Interactive Voice Response Systems
Dial up, key pad response
Voice recognition systems
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Internet Access to Court Records
Case Number
Court
Casetype
Disclaimer
http://www.gwinnettcourts.com/lib_asp/casendx2.asp?divisionCode=ALL
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IT
Internet Access to Court Calendars
Click a Date!
http://216.77.33.236/civil/calendar (NC Business Court)
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IT
Electronic Commerce
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.
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.
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IT
Electronic Commerce Example
Credit card payment of traffic fines
Parking/Traffic Ticket
License #
Credit Card
Help Desk
http://www.judiciary.state.nj.us/atswep/njmcdirectmain/
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E-Commerce Benefits and Hurdles
 Cost Savings Benefits
A 2001 Gartner study notes a $3.25 savings per
transaction for traffic fine collection, and a 20-30%
penetration within one year.
 Incremental Improvements
The same study notes “…cost savings do not appear
instantaneously. There is a ramp-up period…”
 Political Issues
Credit card transactions often include fees that are not
easily offset by operational cost savings in Government.
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Public Access
Enterprise Applications
Core Mission
Audio Video
Cross-jurisdictional, linked applications that
build on Shared Services. Enterprise
systems are architectures that link previously
separate systems, allowing data exchange.
Shared Services
Enterprise
 Criminal justice information systems (CJIS)
 Problem solving court systems
 Child support systems
 Finance and accounting
 Procurement and inventory
 Human resources
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CJIS and Problem Solving Systems
Any enterprise platform that links disparate agencies,
branches of government, and treatment providers to allow
data exchange
 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.
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CJIS and Problem Solving Systems
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.
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CJIS and Problem Solving Systems
Data Warehouse Approach
Prosecutor
Sheriff
Police Booking
Data Warehouse
Federal and State
Criminal History
Court Case
Management System
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Treatment
Providers
Probation and
Pretrial
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CJIS and Problem Solving Systems
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.
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IT
CJIS and Problem Solving Systems
Mediated Approach
Prosecutor
Sheriff
Police Booking
XML
Middleware
Federal and State
Criminal History
Court Case
Management System
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Treatment
Providers
Probation and
Pretrial
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IT
CJIS and Problem Solving Systems
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.
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IT
Finance, Procurement and HR
Enterprise management applications that are often owned by the
executive/legislature in county governments.
 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.
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Shared Services
Services that are provided to more
than one department through a single
service provider (internal or external)
Public Access
Core Mission
Audio Video
Shared Services
Enterprise
 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
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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
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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 records
Requires 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.
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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.
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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.
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On-Line Self Help Center
Legal Help
Family
Small Claims
PFA
Traffic
Seniors
Languages
http://www.courtinfo.ca.gov/selfhelp/
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Public Access
Audio and Video
Primarily technologies used in the
courtroom, although increasingly in
basic office tasks
Core Mission
Audio Video
Shared Services
Enterprise
 Video conferencing
 Audio and video recording
 Evidence presentation
 Assistive listening technologies
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Basic Courtroom Audio Video Setup
Judge Clerk
Screen
Monitors
Jury
Evidence
Attorneys
Cameras
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IT
Basic Video Conferencing Functions
 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
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Video Conferencing & Arraignment Issues
 Courtroom usage is primarily for pretrial/arraignment
hearings;
 Few office uses of video conferencing – matching sites
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
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Audio and Video Recording
Primarily 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
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Evidence Presentation
Judge Clerk
Components usually include:
 Integrated into courtroom video display
and projection
Attorneys
 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)
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IT
Wireless Sound Transmitter
Assistive Listening Technologies
Technologies 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
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Exercise 5
Establishing a Technology Solution: 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
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IT
Information Technology Fundamentals
PROJECTS
National Association for Court Management
Identify,
Identify, Match
Match
and
and Prioritize
Prioritize
Court
Court Services
Services to
to
Needed
Needed
Automation
Automation
Establish
Establish
Infrastructure/
Infrastructure/
Software
Software Platform
Platform &
&
Development
Development
Approach
Approach
Evaluate,
Evaluate, Identify
Identify
Gaps,
Gaps, Re-Focus
Re-Focus
on
on Next
Next Phases
Phases
Build
Build and
and Test
Test
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Projects
Strategic Principles
Spiral Approach
Plan, Build, Test,
Rollout,
Fix..Repeat
Plan for Versions/
Releases, not the
Big Bang
4
2
Constant
Development,
Migration, Rollout
Pilot New Projects
With a High
Performance
Group
5
3
6 Month
Development
Increments
Budget Hardware,
Software
Replacement
6
1
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Project Management
System Lifecycle
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
Leadership Initiation and Funding Sources
Feasibility, Alternatives Analysis
Functional Requirements and Conversion Analysis
System Design and Specifications
Procurement
BUILD – Development
Testing
Training
User Acceptance
ROLLOUT
System and Performance Review
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Project Failure
Does It Need to Be A Nightmare?
Project Resolution 2000
Succeeded
28%
Failed
23%
Challenged
49%
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.
Data from Extreme Chaos, The Standish Group International, Inc. 2001
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Technical Procurement
Does 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
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Project Management
Stakeholders
4x per project
Vendor Project
Director
4x per project
Court Project
Manager
Vendor Project
Manager
Daily
Daily
Senior Developer
COIs
Power User Group
Biweekly
Biweekly
Senior Analyst
Biweekly
IT Analysts
Daily and Biweekly
Programmers
Biweekly
National Association for Court Management
DEVELOPER
COURT
The Team: Contracted Developer
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IT
Project Management
Contracted 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)
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Project Management
Risk 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
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Project Management
Lessons 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
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Project Management
Independent Industry
Analyst/Consultant
Biweekly (luxury)
In-House Team
Stakeholders
Court Project
Manager
Daily
COIs
Power User Group
Biweekly
IT Director
COURT
4x per project
4x per project
Senior Developer
Project Manager
Daily
Senior Analysts
Biweekly
Programmers
Biweekly
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Project Management
In-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
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Project Management
In-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”
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Exercise 6
Managing a Procurement
• Use materials from Tab III
• Work in teams by table
• Appoint a spokesperson
• Be prepared to report and discuss
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