Information Technology
INFORMATION TECHNOLOGY
Fundamentals and Foundations for Court Leaders
Date(s)
Educational Program or Sponsor
Faculty
1.5 Hour Toolbox
National Association for Court Management
1
Information Technology
Agenda
1.
2.
3.
4.
Purposes and Context
Governance: Leadership and Vision
Infrastructure: Court Services and Applications
Projects
National Association for Court Management
2
IT Purposes and Context
1
Information Technology Fundamentals
PURPOSES AND CONTEXT
National Association for Court Management
3
IT Purposes and Context
1
Information technology is a tool, not an
end unto itself.
Information Technology Curriculum Guidelines
National Association for Court Management
National Association for Court Management
4
IT Purposes and Context
1
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
5
IT Purposes and Context
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 Friesen
National Association for Court Management
6
1
IT Purposes and Context
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
7
IT Purposes and Context
1
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.
National Association for Court Management
8
IT Purposes and Context
1
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.
National Association for Court Management
9
IT Purposes and Context
1
Information Technology Data Measures
1.
2.
3.
4.
Integrity and accuracy;
Security;
Privacy;
Ubiquity and access
a. Speed
b. Scaleability
c. Standardization
National Association for Court Management
10
1
IT Purposes and Context
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.
National Association for Court Management
1940
132 mill.
11
1
IT Purposes and Context
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.
12
IT Purposes and Context
1
Exercise 1
Matching the Purposes of Courts with information
technology outcome and data measures
• Use handout
• Take about 5 minutes
• Group discussion
National Association for Court Management
13
IT Governance: Leadership, Vision and Strategic Planning
2
Information Technology Fundamentals
GOVERNANCE: LEADERSHIP, VISION
and STRATEGIC PLANNING
National Association for Court Management
14
IT Governance: Leadership, Vision and Strategic Planning
2
Information Technology Foundation
Services &
Applications
Data, Business
Infrastructure
Hardware,
Systems, Software
IT Governance
Policy, Standards, Funding,
Architecture, Organization
Adapted by Permission of Gartner, Inc.
National Association for Court Management
15
IT Governance: Leadership, Vision and Strategic Planning
2
Leadership is the energy behind every
court system and court accomplishment.
Leadership Curriculum Guidelines
National Association for Court Management
National Association for Court Management
16
IT Governance: Leadership, Vision and Strategic Planning
2
Leaders think about, create, and inspire
others to act upon dreams, missions,
strategic intent, and purpose.
Leadership Curriculum Guidelines
National Association for Court Management
National Association for Court Management
17
IT Governance: Leadership, Vision and Strategic Planning
2
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.
National Association for Court Management
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IT Governance: Leadership, Vision and Strategic Planning
2
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
National Association for Court Management
19
IT Governance: Leadership, Vision and Strategic Planning
2
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.
National Association for Court Management
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IT Governance: Leadership, Vision and Strategic Planning
2
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.
National Association for Court Management
21
IT Governance: Leadership, Vision and Strategic Planning
2
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.
National Association for Court Management
22
IT Governance: Leadership, Vision and Strategic Planning
2
IT Trial Court Meta Governance Models
 State Centralized
 State/Local Distributed
 Local Centralized
 Local Distributed
National Association for Court Management
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IT Governance: Leadership, Vision and Strategic Planning
2
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
National Association for Court Management
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2
IT Governance: Leadership, Vision and Strategic Planning
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
25
IT Governance: Leadership, Vision and Strategic Planning
2
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.
National Association for Court Management
26
IT Governance: Leadership, Vision and Strategic Planning
2
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
National Association for Court Management
27
IT Governance: Leadership, Vision and Strategic Planning
2
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
National Association for Court Management
28
IT Governance: Leadership, Vision and Strategic Planning
2
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
National Association for Court Management
29
IT Governance: Leadership, Vision and Strategic Planning
2
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
National Association for Court Management
30
IT Infrastructure, Court Services and Applications
3
Information Technology Fundamentals
INFRASTRUCTURE, COURT SERVICES
AND APPLICATIONS
National Association for Court Management
31
3
IT Infrastructure, Court Services and Applications
Services &
Applications
Drivers
Data, Business
Infrastructure
Hardware,
Systems, Software
Backbone
IT Governance
Policy, Standards, Funding,
Architecture, Organization
Adapted by Permission of Gartner, Inc.
National Association for Court Management
32
IT Infrastructure, Court Services and Applications
3
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?
National Association for Court Management
33
IT Infrastructure, Court Services and Applications
3
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)
National Association for Court Management
34
IT Infrastructure, Court Services and Applications
3
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.
National Association for Court Management
35
IT Infrastructure, Court Services and Applications
3
Conceptual Court Service Architecture
Public/Attorneys/Justice Participants/Court Users
Channels
Public Access
Business and Logic
Integration
Shared Services
Data
Infrastructure
IT Governance
National Association for Court Management
36
IT Infrastructure, Court Services and Applications
3
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
National Association for Court Management
CJIS
HR
37
IT Infrastructure, Court Services and Applications
3
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)
National Association for Court Management
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3
IT Infrastructure, Court Services and Applications
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.
National Association for Court Management
39
IT Infrastructure, Court Services and Applications
3
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.
National Association for Court Management
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3
IT Infrastructure, Court Services and Applications
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
National Association for Court Management
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3
IT Infrastructure, Court Services and Applications
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.
National Association for Court Management
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3
IT Infrastructure, Court Services and Applications
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/
National Association for Court Management
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3
IT Infrastructure, Court Services and Applications
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
National Association for Court Management
44
3
IT Infrastructure, Court Services and Applications
CJIS and Problem Solving Systems
Mediated Approach
Prosecutor
Sheriff
Police Booking
XML
Middleware
Federal and State
Criminal History
Court Case
Management System
National Association for Court Management
Treatment
Providers
Probation and
Pretrial
45
3
IT Infrastructure, Court Services and Applications
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
National Association for Court Management
46
IT Infrastructure, Court Services and Applications
3
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
National Association for Court Management
47
3
IT Infrastructure, Court Services and Applications
On-Line Self Help Center
Legal Help
Family
Small Claims
PFA
Traffic
Seniors
Languages
http://www.courtinfo.ca.gov/selfhelp/
National Association for Court Management
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3
IT Infrastructure, Court Services and Applications
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
National Association for Court Management
49
3
IT Infrastructure, Court Services and Applications
Basic Courtroom Audio Video Setup
Judge Clerk
Screen
Monitors
Jury
Evidence
Attorneys
Cameras
National Association for Court Management
50
4
IT Projects
Information Technology Fundamentals
PROJECTS
National Association for Court Management
51
4
IT Projects
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
National Association for Court Management
52
4
IT Projects
Project Failure
Does It Need to Be A Nightmare?
Project Resolution 2000
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
National Association for Court Management
53
IT Projects
4
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
National Association for Court Management
54
IT Projects
4
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
National Association for Court Management
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4
IT Projects
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
56
4
IT Projects
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
National Association for Court Management
57
IT Projects
4
Discussion and Feedback
National Association for Court Management
58