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1National Association for Court Management
IT IT
INFORMATION TECHNOLOGYFundamentals For Court Leaders
Date(s)
Educational Program or SponsorFaculty
2.5 Day Toolbox
2National Association for Court Management
IT IT
1. Purposes and Context
2. Governance: Leadership and Vision
3. Strategic Planning
4. Infrastructure
5. Court Services and Applications6. Projects
Agenda
3National Association for Court Management
IT IT
Pre-Workshop Exercise Review
My court or court organization; andWhat I don’t know, want to know, and need to know.
• Assessment results displayed• Discuss findings• Present IT court organization charts• Discuss implications of court size and state
involvement
4National Association for Court Management
IT IT
Information Technology Fundamentals
PURPOSES AND CONTEXT
11
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IT IT
Information technology is a tool, not an end unto itself.
Information Technology Curriculum Guidelines
National Association for Court Management
11
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IT 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
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7National Association for Court Management
IT IT
Purposes of Courts1. Produce individual justice in individual cases;
2. Give the appearance of individual justice in individual cases;
3. Provide a forum for the resolution of legal disputes;
4. Protect individuals from the arbitrary use of government power;
5. Create a formal record of legal status;
6. Deter criminal behavior;
7. Rehabilitate persons convicted of crime; and
8. Separate some convicted people from society.
Ernie C. Friesen
11
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IT IT
IT and Purposes
11
Purposes and
Responsibilities of Courts
Leadership
Visioning and Strategic Planning
Essential Components
Court Community Communication
Resources, Budget and
Finance
Human Resources
Management
Education, Training and Development
Information Technology Management
Caseflow Management
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IT IT
Information Technology Outcome Measures
1. Improved processes and productivity;
2. Improved knowledge of the organization;
3. Increased communication;
4. Timeliness;
5. Integrity and accuracy; and
6. Dynamic and personal access.
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IT IT
1. Improved processes and productivity;
2. Increased communication;
3. Timeliness;
4. Integrity and accuracy; and
5. Dynamic and personal access.
Matching Court Purposes and Technology
11
Produce individual justice
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IT IT
1. Improved processes and productivity;
2. Increased communication;
3. Timeliness;
4. Integrity and accuracy; and
5. Dynamic and personal access.
Matching Court Purposes and Technology
11
Formal record of legal status
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IT IT
Information Technology Data Measures
1. Integrity and accuracy;
2. Security;
3. Privacy;
4. Ubiquity and access
a. Speed
b. Scaleability
c. Standardization
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IT IT
Technology Acceleration
19401930132 mill.
1937 First ElectronicCalculator
1623 First Mechanical Calculator
1823 First Programmable Mechanical Calculator
1853 First Mechanical Computer
1890 US Census Bureau
123 mill.
190076 mill.Est. 50,000
11
1600
Babbage’s Difference Engine
Scheutz Difference Engine
18005 mill.
Hollerith Punch Card Computer
1911 IBM FoundedHollerith merges with competitor
Mechanical Era
14National Association for Court Management
IT IT
1991 World-Wide Web
Technology Acceleration
2000284 mill.
1943: Legacy Systems (mainframe computers)
Thin Client
1971 Email 1992 Public Email
E-Filing
1950’s Digital Imaging (documents)
Video Conferencing
281 mill.
19801970249 mill.227 mill.203 mill.
19601950
Web based
11
1992 Public Internet
151 mill.
1984: Distributed ComputingClient Server Applications
CD/Subscription: Legal Resources
1984 EDI 1992 E-Commerce
1990
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IT IT
Emerging Technologies
1. Wireless;
2. Voice recognition;
3. Virtual reality and 3D imagery;
4. Artificial intelligence;
5. Biometrics;
6. Service Oriented Architecture
11
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IT IT
Historical Technology Drivers
• Population growth (367% from 1900-2000);• Dramatic caseload increases;• Systemic delays in case processing;• Massive increases in computing power, speed, and
network capacity;• Automatic assumption that computers solve all our
problems; and• Huge reductions in the cost of automation,
infrastructure, data storage and development.
11
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IT 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.
11
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IT IT
Exercise 1
Matching the Purposes of Courts with information technology outcome and data measures
11
• Use materials from Tab III• Work in teams• Appoint a spokesperson• Fill out forms and be prepared to report and discuss
19National Association for Court Management
IT IT
Information Technology Fundamentals
GOVERNANCE:
LEADERSHIP AND VISION
22
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IT IT
InfrastructureHardware,
Systems, Software
InfrastructureHardware,
Systems, Software
IT GovernancePolicy, Standards, Funding,Architecture, Organization
IT GovernancePolicy, Standards, Funding,Architecture, Organization
Services &ApplicationsData, Business
Information Technology Foundation
Adapted by Permission of Gartner, Inc.
22
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IT 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 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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23National Association for Court Management
IT IT
IT Leadership Principles
22
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.
24National Association for Court Management
IT IT
What I Know That Ain’t So
22
Then Now
Technology will make the Courts more efficient
Changing work processes makes the Courts more efficient
Court uniqueness National standards based on similarity
Separate is essential Linked is essential
Mainframes, PCs Distributed, tiered applications
“Waterfall” development “Spiral” development
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IT IT
Changing Court Processes
22
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
26National Association for Court Management
IT IT
What is Process Reengineering?
22
A discipline that assumes courts must:
Change processes to leverage the potential of technology;
Use technology to drive changes in processes; and Develop measurements and controls for feedback
and continuous improvement.
Process Improvement is reengineering “lite,” or incremental change, usually defined by simplification and streamlining of court work processes. It is easier to promote in conservative and horizontal organizations.
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IT IT
Process Reengineering Principles
22
Change will not happen without leadership and champions;
Change for the sake of change is pointless and dispiriting.
Don’t oversell the benefits; Power users are your best advocates. They know the
processes, applications, and pitfalls. They will not get on your side unless they believe in the change; and
Pilot projects always help promote change and discover what we do not know.
See IT Projects, Section 5, for a step by step approach to process reengineering and improvement.
28National Association for Court Management
IT IT
Process Reengineering Examples22
Court Need Improvement Reengineering
More file storage space needed
Image closed files 1st year, active files 2nd year, implement e-filing 3rd year. Pilot.
Convert to electronic document imaging, go paperless.
Too many folks at counter to get case information, not enough staff
1st year, use microfilm; 2nd year, use public workstations…
Public access to non-confidential case information on Internet or terminals.
Endless calendar calls for status and scheduling conferences
Promote alternative use of chambers and telephone conference calls.
Set up peer to peer digital video conferencing with attys.
29National Association for Court Management
IT IT
Why is IT Governance Important?
22
Information technology is in constant flux; There is a need for a clear vision of organizational
goals and objectives; Alignment of IT expenditures with organizational
goals; Fosters participatory leadership and ownership, both
for existing policies, standards and lifecycle management, as well as for new projects and initiatives;
Enhances accountability; and Promotes successful adoption of technology and
improved work processes;
30National Association for Court Management
IT IT
IT Governance
22
A. Policies
B. Organization
C. Standards
D. Funding
E. Architecture
F. Systems
Someone, somewhere is making decisions about these issues for your court or court organization.
31National Association for Court Management
IT IT
Effective IT policies:
22
Highest Level of Governance
Clearly articulate goals, with plans of action; Address all key IT issues: Security, privacy, reliability,
equity of access, data quality, network growth, investment, skills, research and development, funding, outsourcing and Web content;
Unify court and other stakeholder interests using common themes across departments and regions;
Challenge courts to be bold and innovative; Are credible, realistic and affordable.
AA
32National Association for Court Management
IT IT
OrganizationHow IT decisions get implemented
22
Chief Information Officer (CIO) vs. Director
Ombudsman
Cross-jurisdiction management
IT staff skill sets
End user support, help desk functions, and training
Network support
Systems support, analysis, maintenance and modifications;
In-house development capacity vs. outsource
BB
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IT IT
Standards
22
NetworkCapacity (performance), hardware and software;
Systems (application and database)Development and application platforms, hardware and software;
End user hardware and software; Data and enterprise integration; Performance and responsiveness; Security and Privacy Functional (applications)
Generally applied to projects.See Section 5.
CC
34National Association for Court Management
IT IT
Network Standards
22
Standards foundation is performanceResponse time for database requests;LAN capacity shall be N x user population;Redundancy: e.g., minimum two paths.
Network protocols, software and hardware must be compatible with applications and client hardware and softwaree.g. An IPX/SPX network protocol is generally compatible with a Novell network but not compatible with the Internet (TCP/IP).Let your IT professional be your guide, but ask questions.
CC
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IT IT
Funding and Prioritization
22
Systems lifecycle and maintenance;Many courts utilize a 3-4 year hardware replacement cycleSoftware licenses, renewals and upgrades
Technology staff salaries and benefits;
Funding for research and development;
Funding for new projects;
Lifecycle (continuous) and project funding for training and education.
DD
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IT IT
Architecture Overview
22
Wide and Local Area Network Topologies (maps)Centralized (hub and spoke, token ring)Decentralized (client server)Distributed (Internet model, peer to peer, email)
Network architectures (multiple layers)Open System Interconnection (OSI) model:Seven network layers between applications (Applications are the 7th layer)
N-tiered application architecturesIncludes at minimum: User interface, presentation, business logic, and database tiers
EE
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IT IT
Architecture Overview
22
SecurityBuild into network architectureBuild into application development
Redundancy and disaster recoveryBuild into network architectureDistributed networking most effective
EE
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IT IT
Systems: Services and ApplicationsSelection and prioritization of services for the application of needed technologies
22
Where the rubber meets the road: the First and Foremost Task of IT Governance;
Demands alignment with Court purposes and mission;
Requires some compromise;
Phased and incremental approach – organize by
1) Immediate (6 months to two years);
2) Mid range (two to five years);
3) Long term (five to ten years).
FF
39National Association for Court Management
IT IT
Develop in-house vs. contracted;
Planned applications approach to information exchange, shared services, security, privacy, and access; and
Open and closed applicationsOpen: Generally, off the shelf and standardizedClosed: Proprietary software, highly customized, non standard
22
Systems: Services and ApplicationsTechnical Decisions
FF
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IT IT
IT Trial Court Meta Governance Models
22
State Centralized
State/Local Distributed
Local Centralized
Local Distributed
41National Association for Court Management
IT IT
State Centralized
22
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
42National Association for Court Management
IT IT
State/Local Distributed
22
State Capitol (AOC)• State Network• Case Management Systems• Judicial Support Systems• Email
Small Town/County USA Local Trial Court• Enterprise Integration• Local Network and Infrastructure• Hardware and Software• Local Network• Public Access Technologies• Office Automation• Audio and Video
HI, CT
43National Association for Court Management
IT IT
Local Centralized
22
State Capitol (AOC)• Enterprise Integration• Judicial Support Systems
Big County USA Local Trial Court• Enterprise Integration• Infrastructure and Networks• Hardware and Software• Case Management Systems• Judicial Support Systems• Public Access Technologies• Office Automation• Audio and Video • Email
Philadelphia, Montgomery County, MD
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IT IT
Local Distributed
22
State Capitol (AOC)• Enterprise Integration• Judicial Support Systems
Small-Medium County USA
County Government• Enterprise Integration• Infrastructure and Networks• Hardware and Software • Office Automation• Audio and Video • Email
Trial Court• Case Management System• Judicial Support Systems• Public Access Technologies
TX, GA, OH
45National Association for Court Management
IT IT
Idealized IT Leadership Structure
22
Architecture CommitteeStakeholders and IT Representatives
Architecture CommitteeStakeholders and IT Representatives
Budget CommitteeStakeholders, Inter-AgencyBudget Committee
Stakeholders, Inter-Agency
Stakeholders: Policy and StandardsCo-Chairs: IT and Court Leader
Funding Authority
Stakeholders: Policy and StandardsCo-Chairs: IT and Court Leader
Funding Authority
Core MissionCase Management
Management Information
E-FilingDocument Mgmt.
Core MissionCase Management
Management Information
E-FilingDocument Mgmt.
Public Access
WebE-Records
E-CommerceIVR
Public Access
WebE-Records
E-CommerceIVR
Shared Services
Operating SystemsLibrary Tools
EmailWireless
Shared Services
Operating SystemsLibrary Tools
EmailWireless
EnterpriseCriminal Justice
FinanceHuman Resources
EnterpriseCriminal Justice
FinanceHuman Resources
Communities of Interest
46National Association for Court Management
IT 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
22
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IT IT 33
Information Technology Fundamentals
STRATEGIC PLANNING
48National Association for Court Management
IT IT
InfrastructureHardware,
Systems, Software
InfrastructureHardware,
Systems, Software
IT GovernancePolicy, Standards, Funding,Architecture, Organization
IT GovernancePolicy, Standards, Funding,Architecture, Organization
Services &ApplicationsData, Business
IT Strategic Planning
Adapted by Permission of Gartner, Inc.
PlanningImplementation
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IT IT
IT Strategic Planning StepsImmediate (6 months to two years); Mid range (two to five years);Long term (five to ten years).
1. Leadership and Vision: Establish an IT stakeholders group with direct user involvement and IT expertise and support;
2. Select and prioritize court services for needed automation and new technologies;
3. Formulate an infrastructure strategy that meets the court services and application needs; and
4. Design an IT governance structure that is directly accountable for policy-level decisions AND prioritized long-term initiatives.
33
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IT IT
Establish Infrastructure/
Software Platform & Development
Approach
Establish Infrastructure/
Software Platform & Development
Approach
IT Long Range Planning:Waterfall Development (older approach)
Identify, Match and Prioritize
Court Services to Needed
Automation
Identify, Match and Prioritize
Court Services to Needed
Automation
33
Build and TestBuild and Test
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IT IT
One big, humongous project;
Huge capital investment;
Cost overruns;
High failure rate;
Technology moving too fast to keep up; and
Functionality – 5 to 10 years behind the curve.
IT Long Range Planning:Waterfall Development (older approach)
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IT IT
IT Long Range Planning:Spiral Development (newer approach)
Identify, Match and Prioritize
Court Services to Needed
Automation
Identify, Match and Prioritize
Court Services to Needed
Automation
Establish Infrastructure/
Software Platform & Development
Approach
Establish Infrastructure/
Software Platform & Development
Approach
Build and TestBuild and TestEvaluate, Identify Gaps, Re-Focus on Next Phases
Evaluate, Identify Gaps, Re-Focus on Next Phases
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IT IT
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 IT
Top Down
Bottom Up
Chaos
Prototyping (sub-category)Evolutionary Prototyping
Agile Software Development (spiral derivatives)Lean DevelopmentExtreme Programming (XP)Evolutionary Approach
IT Long Range Planning:Other Development Approaches
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55National Association for Court Management
IT IT
Services and ApplicationsSelection and prioritization of court services for needed automation and new technologies
Where the rubber meets the road: the First and Foremost Task of IT Governance;
Demands alignment with Court purposes and mission;
Requires some compromise;
Phased and incremental approach – organize by
1) Immediate (6 months to two years);
2) Mid range (two to five years);
3) Long term (five to ten years).
33
56National Association for Court Management
IT IT
Life Cycle ManagementFeasible lifespan of systems and infrastructure
NEW: Provision of connectivity, peripherals and support systems; ideally state of the art.
USED or DATED: Maintenance, updates, revisions and needed changes. Includes software licensing, new security features, increased connectivity and data exchange, software revisions and patches
OBSOLETE: Cyclical replacement of old hardware and infrastructure, strategic replacement of systems and applications
33
57National Association for Court Management
IT IT 33
Life Cycle ManagementSystem Replacement
How, when and why should a court leader make decisions about system replacement?
Do not wait until obsolete; maintenance will be costlier than replacement
What are the system utilization criteria that will help a court leader make these decisions?
These should be defined ahead of time. They include response time, capacity/scaleability, and user satisfaction. Are systems accomplishing what they are intended to do in a cost-effective manner?”
58National Association for Court Management
IT IT
Disaster Recovery, Redundancy and Contingency Planning
As dependency on technology grows, user tolerance for failure decreases.
33
Weigh Risk and CostBe careful of what you ask for, you may pay for it.
Do it EarlyDisaster and recovery plans may influence your strategic, infrastructure and systems choices.
Think in terms of Manageable PiecesHow much failure can the organization tolerate. One size may not fit all
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IT IT
Disaster Recovery, Redundancy and Contingency Planning
Components:
33
Case entry and retrieval Calendar preparation Counters Public access Judicial proceedings Payment proceedings Administrative functions Servers Network
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IT IT
Contingency Planning – Levels
33
1. Interruption: System or component is down for less than ___ hours. No facility damage
2. Minor Disaster: Down time is more than ___ hours and less than ___ days. May include minor software re-write, multiple disk failures, minor fire, or minor flood. Little facility damage.
3. Major Disaster: Down time is more than ___ days. Fire, flood, earthquake or civil disorder results in extensive facility or component damage.
4. Catastrophe: Community operations are disrupted and no need for computer support until rebuilding takes place.
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Privacy and Access Historic Practical Obscurity
The law has always recognized that court documents were public, and theoretically, they were. But the practical difficulty of reviewing those documents kept them effectively private.
Newfound Technological AccessTechnology now makes those documents “in fact” public.
Establish a Formal PolicyMust review access policies and practices to reflect laws and public expectation.Typically, electronic information on single cases is freeCharge fees to cover cost of generating reportsCharge additional fees for customized/bulk information
33
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Increased Access Positives
Public trust and confidence in the courts
Public knowledge of defective products and negligent professionals
Public knowledge of public interest issues, e.g. environmental and class action lawsuits
Increased public safety – access to criminal records
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IT IT
Threats to personal safety from contact information
Invasions of personal privacy
Identity theft
Disclosure of trade secrets
Deterrence from seeking court resolution of conflicts – disclosure of personal information or personal embarrassment
Increased Access Negatives
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IT IT
Case data, documents and other records
Judges’ notes on cases
Court administrative records
Emails
Internal memoranda
Employee personnel records
Internal management reports
Telephone records
Privacy and Access - Document Categories
33
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IT IT
Bulk Data
Employers, credit agencies, government often seek access to bulk data
Search and query applications circumvent “one case at a time” restrictions
Recommend: Contract out bulk information access; impose duty of continually updating information
Federal courts have barred Internet access to criminal case documents, except in 12 pilot courts
Federal legislation restricts public access to Social Security numbers for most new systems
Most courts restrict access to juvenile records, and many types of personal data on all records
Privacy and Access – Other Issues
33
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IT IT
Exercise 3
Choosing a Technology Strategy: Prioritizing the Court’s Services and Needs
• Use materials from Tab III• Work in teams by table• Appoint a spokesperson• Be prepared to report and discuss
33
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IT IT
Information Technology Fundamentals
INFRASTRUCTURE
44
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IT IT 44
InfrastructureHardware,
Systems, Software
InfrastructureHardware,
Systems, Software
IT GovernancePolicy, Standards, Funding,Architecture, Organization
IT GovernancePolicy, Standards, Funding,Architecture, Organization
Services &ApplicationsData, Business
Adapted by Permission of Gartner, Inc.
Information Technology Backbone
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Network TopologiesPhysical or logical layouts
1. Star TopologyToken ring, cheap, slower
2. Ring TopologyExpensive, higher bandwidth
3. Bus TopologyEthernet, LANs
4. Tree TopologyStars on a bus, hybrid
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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 IT 44Wide Area NetworksDecision Making Criteria
1. Existing InfrastructureOlder networks, often star topology; urban networks, often ring topologies. Improvement over replacement.
2. SpeedCommon standard is T-1 (1.5 Mbps, leased phone line, also called DSL). Future standard is T-3 (43 Mbps)
3. ProtocolsGenerally TCP/IP, older usually frame relay, future may see Asynchronous Transfer Mode (ATM )
4. MediaUsually leased lines, microwave, or satellite
5. CostNeed to annualize.
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IT IT 44Local Area NetworksDecision Making Criteria
1. Existing infrastructureMost today are Ethernet, limited user capacity
2. SpeedCurrent PC (Windows) standard is Fast (100 Mbps = megabits per second) and Gigabit (1,000 Mbps) Ethernet
3. ProtocolsRules for sending data, most courts use client/server and TCP/IP (transmission control/Internet protocol).
4. MediaWiring (twisted pair, CAT 5), fiber optic, coax, or wireless
5. CostMaybe wireless IS cheaper. Need to annualize.
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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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Three Network DiagramsHow to read them and why it is important
1. Review the 3 network diagrams on the next 6 slidesAn enlarged printout will be issued for each.
2. Discuss the questions after each diagramTable talk is good.
3. Ask questions, be confused, it’s okayNetwork analysts are a special breed.
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Existing Network Architecture - Overview
Hawaiian TelephoneCompany Frame Relay
2ND Circuit
3RD C
ircuit
1ST CircuitCivic Center
Complex
56K and 128K
56K and 128K
1 ST Circuit
remoteoffices
56K and 128K
5TH Circuit
56K and 128K
T-1
HAWAIIAN 56K
HAWAIIAN 56K
T-1(for HAWAIIAN
& phoneconnection
via 2nd Circuit)
44
Network Architecture High Level WAN Diagram
Circuit: Multiple Courts
Bandwidth
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Network High Level WAN DiagramGroup Discussion
Court leaders need to be able to read and understand these types of diagrams or ask network specialists:
1. Diagrams illustrate technical information better than a narrative
2. Diagrams are the way network specialists design and plan system.
What types of information are important to understand from this diagram?
1. How does our system provide redundancy?
2. Why is one of the islands always losing its connection to the mainframe?
3. Is the network leased, from whom, and how much does it cost annually?
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Ka'ahumana Hale
Kauikeaouli Hale
Existing Token Ring Networks - 1st Circuit Civic Center Complex
Honolulu DC
2502
Ali'iolani Hale
Token RingBackbone
Executive BranchNetwork (Sonet)
ICSDOBTS & Internet
Token RingBackbone
16Mbps
16Mbps
16Mbps
16Mbps
16Mbps
File Serverscc:Mail router
16Mbps16Mbps
3270 Gateway
16Mbps
Firewall
IBM 9672
374516Mbps
16Mbps Gateway
Wang VS
RS/6000
16Mbps
LS Gateway
16Mbps
Wang VS
IBM AS/400
MGS
Personnel
TP cat 4
(16Mbps)
Supreme
CourtTP cat 4
(16Mbps)
Budget TP cat 4
(16Mbps)
16Mbps 16Mbps 16Mbps
4500
TISDTP cat 4
(16Mbps) TVBTP cat 4/5(16Mbps)
FiscalTP cat 4
(16Mbps)
DC/DrEdTP cat 4
(16Mbps)
16Mbps
16Mbps
16Mbps16Mbps
FCTP cat 4
(16Mbps)
APDTP cat 4
(16Mbps)CC Crim
TP cat 4(16Mbps)
CC CivTP cat 4
(16Mbps)
CC AdmTP cat 4
(16Mbps)
4500
16Mbps
16Mbps
16Mbps16Mbps
16Mbps
NeighborIslands / 1st
Circuit Remote
Offices
Frame Relay & Token
Ring Networks
T-1
HAWAIIAN
ICATP cat 5
(16Mbps)
16Mbps
Legend:TP = Twisted Pair cableCC = Circuit CourtDC = District CourtFC = Family CourtAPD = Adult Probation Dept
= fiber optic cable = twisted pair cable = Token Ring Local Area Network
= RouterModel #
16Mbps
IBM - Leased LineConnections
(not documented)
16Mbps
Wide Area Network (WAN) Diagram
Building (LAN)
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IT IT 44
WAN DiagramGroup Discussion
What types of information are important to understand from this diagram; what are the questions?
1. Number of Local Area Networks and who is responsible for them.
2. Where the court’s responsibility begins and ends.
3. How safe is the Court from hackers or piracy? How are we protected?
4. What’s a mainframe, and why does everyone complain about it? Are they complaining about response time or about the ability to make changes?
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Small WAN Diagram (many LANs)
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Small WAN DiagramGroup Discussion
What types of information are important to understand from this diagram; what are the questions?
1. What network protocol are we using and is it providing the best efficiency?
2. What’s the big gray rectangle, full of computers/ servers on the left? Which color blocks represent the courts?
3. Where are the courts’ primary case management mainframe or servers located? Is it a problem that the county controls them? What happens when our servers crash? Who is responsible?
4. Where’s the connection to the Internet? What protects the network from hackers?
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WirelessAre we there yet?
1. Two primary types of wireless systems:Fat access points; distributed application switchThin access points; consolidated application switchDramatic increases in coverage
2. Security is a multi-headed beast:Remote client (end user) hacking detectionAccess point hacking detectionHardwired switch hacking detection/firewallData transmission encryptionSignature handshakes
3. Significant long-term infrastructure savingsYes, and no. Court will still need to maintain and upgrade access points. NO WIRE.
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Wireless Diagram, how it works
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Network SecurityWhere the rubber meets the road
PurposesAuthentication, confidentiality, integrity, compression
Decision FactorsRisk, cost and speed.
Types of Security Firewalls; Encryption (e-commerce); Digital Signatures; Secure Socket Layers (SSLs) (Internet and e-commerce); and Virtual Private Networks (VPN’s)
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Information Technology Fundamentals
COURT SERVICES AND APPLICATIONS
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InfrastructureHardware,
Systems, Software
InfrastructureHardware,
Systems, Software
IT GovernancePolicy, Standards, Funding,Architecture, Organization
IT GovernancePolicy, Standards, Funding,Architecture, Organization
Services &Applications
Data, Business
Adapted by Permission of Gartner, Inc.
Information Technology Driver
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Information Technology ArchitecturesNo architecture is mutually exclusive, many overlap.
Legacy (mainframe)
Stand Alone
Client Server (2 and 3-tiers)
Data Warehouse Systems
Mediated Systems
Internet/Intranet Architectures
Web Services
Service Oriented Architecture (n-tier)
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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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IT IT 55Client Server Any application that separates (physically) the user
interface layer from the database layer (2 tiers). In early systems, application logic was included on either the client or the server. Newer systems include the application on a 3rd tier, often called the application server;
Internet or “web-based” applications are often adapted from client server with a browser user interface, and multiple layers (n-tiered);
Most mission critical systems today are still built using this architecture;
Client PC
Client PC
Client PC
Database Server
Database Server
Application Server
Application Server
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Internet/Intranet Architectures
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Internet/Intranet connecting several
jurisdictions or agencies
Jurisdiction AHost DB and web server
Jurisdiction BHost DB and web server
Jurisdiction CHost DB and web server
Jurisdiction DHost DB and web server
Client Browsers
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Internet/Intranet Architectures
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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
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Centralized management and control of information, linked to multiple systems or databases, difficult to add new data sources, distributed interfaces;
Requires data transformation to standards (usu. extensible markup language – XML);
Often latent information, based on update lag, overcome using replication or mirroring technology, high initial costs – inexpensive integration.
Jurisdiction A
Jurisdiction B
Jurisdiction C
Jurisdiction D
DataWarehouse
Client Browsers
Client Applications
Interface
Interface
Interface
Interface
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Mediated (Data Sharing) Systems
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Similar objectives as data warehouse systems, except without a data warehouse;
Real-time access to other data sources;
Mandates data transformation to a single standard (XML);
Query layer becomes a separate, unified application;
Less costly, but politically very difficult – one agency pulling data from another agency database.
SingleApplication
PermissionSet
QueryMapper
Client Browsers
Client Applications
SingleInterface
Jurisdiction A
Jurisdiction B
Jurisdiction C
Jurisdiction D
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Web Services ArchitectureA derivative of mediated systems applied to the Web
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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
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Court AdvantagesVery useful for closed, proprietary and legacy systems;Most applicable to: CJIS and therapeutic justice integration
Court DisadvantagesStill immature, while sold as the great solution to EDI Lack of securityPoor performance - XML model is data and process heavy
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Service Oriented Architecture
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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
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IT Governance
Infrastructure
Public/Attorneys/Justice Participants/Court Users
Data Shared Services
Business and Logic
Public Access
Integration
Channels
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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
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Threatens Independence/Accountability BalanceEspecially when integrated with other government (county or state) systems;
“Local Courts are Local”For regional or state-wide systems, local identities (citizens) and other shared services create “big brother” tension;
Friction and Competing PrioritiesBetween stakeholders if leadership is not present and parties feel a lack of ownership; and
Complexity Demands Implementation SkillOften lacking in government.
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Services Should Drive TechnologyIT stakeholders must prioritize services and organizational needs and then map infrastructure and technology solutions;
State IT Systems Must Include Local InputState centralized systems often impose solutions, but they must get local input for planning and development;
Local Court Leaders Must Lead ITTrial courts that are part of a distributed county system must be drivers in a service delivery architecture. It’s hard to do.
Service Delivery and Communities of Interest
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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 IT 55Court Services and Applications
Web PortalAccess to Records
PublicPublicAccessAccess
E-FilingE-Documents
CoreMission
CoreMission
AudioAudioVideoVideo
SharedSharedServicesServices
Case ManagementJury Management
IVRE-Commerce
Video ConferenceRecordingAssistive Listening
Office ToolsEmail
Operating SystemsIdentities
EnterpriseEnterprise Fiscal CJISProcurement HR
Web PortalAccess to Records
PublicPublicAccessAccess
E-FilingE-Documents
CoreMission
CoreMission
AudioAudioVideoVideo
SharedSharedServicesServices
Case ManagementJury Management
IVRE-Commerce
Video ConferenceRecordingAssistive Listening
Office ToolsEmail
Operating SystemsIdentities
EnterpriseEnterprise Fiscal CJISProcurement HR
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Core Mission
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Critical to the Court’s primary function – to process cases from filing through to disposition and enforcement of orders.
Case management
Jury management
E-Filing
Electronic document management (EDM)
Public AccessPublic Access
Core MissionCore Mission
Audio VideoAudio Video
Shared ServicesShared Services
EnterpriseEnterprise
Public AccessPublic Access
Core MissionCore Mission
Audio VideoAudio Video
Shared ServicesShared Services
EnterpriseEnterprise
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Case Management, Mission Critical
NOTES 2002
Washington County 40% TMA; 56% DUI within time standard.
FY03 – 894 cases
filed: (1,493 – TMA)
(1,943 – 21-902)
Trial results based on %factors in FY03
Traffic Case Activity Report
* Note that Fallout
Rates are based on the 2002 Caseflow
Assessment and on the average times between
each case event.
Average scheduled time from Citation to Trial: 67-82 days
Trial Date set at Case and Docket Entry
Time Between Events
Fallout Rate
Significant Events 1
Traffic Citation Md Rule
4-201
2 Batch
Citation Mailing
4 TRIAL
3 Case and
Docket Entry
5 Body Attach/
Bond/ License
Suspended
Mailed directly to Maryland Automated
Traffic System (MATS) Processing Center by
law enforcement agencies.
Case has not yet been docketed.
Treated as Issuance of Charging Document
according to MD Rule 4-201
Cases considered misdemeanor petty
offenses, unless arrest made for associated
criminal charges (see Criminal case process)
7% (63 cases) FY03 Jury Trial Prayer Reassignment to
Circuit Court for Jury Trial
MD Rule 3-505
Filing of Charging Document
MD Rule 4-211
Citation and docket entry at MATS
Trial date set in
coordination with enforcement officers’
(witnesses) schedules
Primary sanction for non-payment of fine or FTA at
trial/hearing.
Enforcement by MD Civil Rules 3-631: 3-647
8B Motion to
Alter/Amend Judgment
Md Rule 4-331
8A Motion for New Trial
Md Rule 4-331
8C Appeal Md Rule 3-535
Within 30 days of judgment
82 TMA; 72 Payable at 67 days
60 TMA; 46 Payable
at 90 days
100 TMA 100 DUI
100 TMA 100 DUI
99 TMA 98 DUI
Within 7 days; usu. same week; MD Rule 4-211
states “promptly” Within 30 days of
Sentence
10 days after entry of
judgment
30 –45 days Judgment Enforcement Within 30-45 days
6 Sentence/ Probation/
Fine
Release after conviction
MD Rule 4-349
Traffic Payable
If Citation is paid by this event, a trial is not scheduled and the
defendant receives no notice.
MODEL TRAFFIC FLOW CHARTWashington County, MD
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Case Management Systems
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CasetypesAppellate, criminal, civil, domestic relations, juvenile, traffic, probate and specialized courts (drug, community);
ArchitecturesInclude legacy, stand alone, client server, Internet/intranet, and service oriented architectures;
Enterprise Links Many systems have been linked with enterprise architectures, such as criminal justice information systems, that include data warehouses and mediated systems.
Any system that records and tracks court cases electronically. Generally, they are subdivided by casetypes:
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Case Management Functions (Six Total)
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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)
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4. Management information Case-centric measures and reporting
Aggregate measures and reportingStandards integration
5. Systems Integration and External InterfacesCore systems: document management; data retrieval; web access; e-filingEnterprise: CJIS, finance, human resources
6. AdministrationUser controls, security and privacyMonitoring and maintenance
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Case Management Functional Standards
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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
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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
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UbiquityMany small to midsize courts do not yet have a case management system. Some have rudimentary docket entry systems based on entries (minutes) made during court hearings.
Older Architectures Many case management systems are built on legacy and older client/server platforms, developed over many years at great expense.
ModernizationThe “look and feel” of older applications is modernized by the use of a graphic user interface (GUI) or middleware to a more advanced presentation application.
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Case Management Issues
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Newer Architectures For many older applications, the presentation and client (GUI) layer have been converted to a browser environment, using HTML, often referred to as “web-based,” even though these systems are often on closed networks, independent of the world wide web (WWW).
The Next WaveNewer case management systems are being rapidly developed on enterprise platforms, some based on a service delivery architecture or using web services.
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Jury Management Systems
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Two primary functions1. Selecting and noticing prospective jury pool2. Managing jury panels and trial assignments
IssuesWorks best when integrated with case management systems for calendar coordinationIntegration with prospective jury pool names and addresses with sources (DMV, voter registration, varies by state) is crucial. Some name and address lists are provided by CD subscription.
Standards
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E-Filing
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E-filing refers to the electronic filing, usually via the Internet, of complaints, petitions, amendments, motions and answers. Two approaches:
Third Party Contracted
Court Owned
DataDataStorageStorage
FirewallFiling
ReviewReview
DataDataStorageStorage
Firewall
FilingReviewReview
CMS
Court
Court3rd Party
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E-Filing Approaches
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Third Party ContractedPricing model based exclusively on user fees, in some cases on court use fees;Usually no development or maintenance fees;Database is usually stored off-site;Some vendors are offering a mixed approach.
Court OwnedUsually no additional user fees;Higher development costs;Higher maintenance and expert resources;Can be integrated into case management system, increased performance
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E-Filing Objectives
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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
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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
55
SubscriptionLog In
Password Hint
Small Claims
Designed for self representation
http://www.apps-saccourt.com/scc/
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Electronic Document Management (EDM)
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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
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Attach to E-Filing document
Scan at Counter
DataDataStorageStorage
FirewallFile
ReviewReview
Court
Scan
CMS
DataDataStorageStorage
FirewallFiling
ReviewReview
Court
CMS
Index
Index
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EDM Issues and Considerations
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Court owned vs. third party contractedAlso subject to the e-filing choices between fee-based and no fee systems.
Document FormatsAllow most formats, simple conversion for display:Word; Word Perfect; Adobe; XML
Security/Document LockingDocuments must be secure, no tampering
ScaleabilityAnticipate growth, allow for extensive storage capacity
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Public Access Technologies
Website portals
Electronic access to court records (Internet and public access workstations)
E-commerce
Interactive voice response (IVR) and database applications
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Public AccessPublic Access
Core MissionCore Mission
Audio VideoAudio Video
Shared ServicesShared Services
EnterpriseEnterprise
Public AccessPublic Access
Core MissionCore Mission
Audio VideoAudio Video
Shared ServicesShared Services
EnterpriseEnterprise
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Public Access Goals and Issues
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Increased AccessSocial divide between users with and without Internet and technology access;
Alternative approaches: Assisted e-filing; public access workstations, both in the court and in libraries and other public locations; interactive voice response;
IntegrityProvide court users and the Court with greater accuracy and integrity by reducing data entry and duplication. Goal is problematic if technology is not trusted, processes are not transparent.
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Presence
Cyberspace Placeholder
Presence
Cyberspace Placeholder
Interaction
Channel Exploration
Interaction
Channel Exploration
Transaction
Channel Development
Transaction
Channel Development
Transformation
Channel Exploitation
Transformation
Channel Exploitation
2005
Popular E-Government ModelA channel is an electronic mechanism to access government or conduct government business.Are channels key to the court’s mission?
Gartner, Inc.
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Website Portals
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E-government theory is that all local government transactions should be accessible from a single portal;
In some jurisdictions (NJ), all trial courts statewide are accessible from a single statewide portal;
In some jurisdictions (LA), trial court websites are accessed from county or clerk portals.
A single website approach to access to local Courts and all the services that are offered online.
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Website Portal Example
55
http://www.judiciary.state.nj.us/
Site Index
Large Menu3 Clicks Max.
1 Click to Search Cases
News and Community
1 Click to Pay Fines
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Website Portals
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Static information about the courts, court processes, ways of getting to court, and judge and personnel directories;
Calendar information about court cases (requires continuous update from the case management system);
Self-represented assistance resources;
Dynamic case information, accessible by outline or search;
Payment of fines and fees.
Potential functionality:
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Electronic Access to Court Records
55
Fixed Location SystemsPublic access workstations;Monitor displays of daily calendars (usu. in the courthouse)
Internet Based SystemsDaily calendars, posted in a static viewSearchable daily calendarsSearchable case information
Interactive Voice Response SystemsDial up, key pad responseVoice recognition systems
Any electronic means to access court records and information, including calendars.
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Internet Access to Court Records
55
http://www.gwinnettcourts.com/lib_asp/casendx2.asp?divisionCode=ALL
Court
Case Number
Casetype
Disclaimer
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Internet Access to Court Calendars
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http://216.77.33.236/civil/calendar (NC Business Court)
Click a Date!
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Electronic Commerce
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Approaches include:
Third party (bank link) credit card processing;
Debit accounts, usually set up by attorneys and law firms
Escrow account, against which fees are drawn; Revolving credit or debit card accounts; or Direct bank account funds transfer.
The buying, selling, and marketing of products and services over computer networks or the Internet. Courts generally use e-commerce to collect fees and fines associated with court filings and court cases.
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Electronic Commerce ExampleCredit card payment of traffic fines
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http://www.judiciary.state.nj.us/atswep/njmcdirectmain/
License #
Parking/Traffic Ticket
Credit Card
Help Desk
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Cost Savings BenefitsA 2001 Gartner study notes a $3.25 savings per transaction for traffic fine collection, and a 20-30% penetration within one year.
Incremental ImprovementsThe same study notes “…cost savings do not appear instantaneously. There is a ramp-up period…”
Political IssuesCredit card transactions often include fees that are not easily offset by operational cost savings in Government.
E-Commerce Benefits and Hurdles
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Enterprise Applications
Criminal justice information systems (CJIS)
Problem solving court systems
Child support systems
Finance and accounting
Procurement and inventory
Human resources
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Cross-jurisdictional, linked applications that build on Shared Services. Enterprise systems are architectures that link previously separate systems, allowing data exchange.
Public AccessPublic Access
Core MissionCore Mission
Audio VideoAudio Video
Shared ServicesShared Services
EnterpriseEnterprise
Public AccessPublic Access
Core MissionCore Mission
Audio VideoAudio Video
Shared ServicesShared Services
EnterpriseEnterprise
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CJIS and Problem Solving SystemsAny enterprise platform that links disparate agencies, branches of government, and treatment providers to allow data exchange
55
Criminal processing linkage – e.g. arrest to arraignment;
Criminal treatment systems – associated with probation terms and alternatives to incarceration;
Criminal history data exchange;
Juvenile justice systems;
Drug and treatment court systems;
Community court systems;
Extended Family court systems – usually associated with classes, private mediation and counseling orders.
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CJIS and Problem Solving Systems
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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
55
Data Warehouse Approach
Data WarehouseData Warehouse
Police BookingPolice Booking
Federal and State Criminal History
Federal and State Criminal History
ProsecutorProsecutor
SheriffSheriff
Probation and Pretrial
Probation and Pretrial
Court Case Management System
Court Case Management System
Treatment ProvidersTreatment Providers
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CJIS and Problem Solving Systems
55
Data Warehouse Approach
Court participation demands Court leadership;
Who pays for, owns and manages the data warehouse;
Initial expense is high, cost sharing;
Data access controlled by agreement;
Does not require XML translation;
Promotes but does not require standardization of data elements;
In practice, often aggrandizing of data elements, e.g. six different defendant identifiers.
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CJIS and Problem Solving Systems
55
Mediated Approach
Police BookingPolice Booking
Federal and State Criminal History
Federal and State Criminal History
ProsecutorProsecutor
SheriffSheriff
Probation and Pretrial
Probation and Pretrial
Court Case Management System
Court Case Management System
Treatment ProvidersTreatment Providers
XMLMiddleware
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CJIS and Problem Solving Systems
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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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Finance, Procurement and HREnterprise management applications that are often owned by the executive/legislature in county governments.
55
Finance and procurement almost always require linkage to a county, and often to a state, system;
Court case management systems usually require a fee/fine/bail component that is linked to general revenue systems. Procurement, escrow, and estate accounting (masters) sometimes fall under court jurisdiction.
Courts often maintain their own HR applications as separate or sub-systems of a county;
Many accounting and HR applications exist, even for government. They are easily adaptable to the court environment.
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Shared ServicesServices that are provided to more than one department through a single service provider (internal or external)
Departments can work together in Communities of Interest to identify needs and requirements, and determine technological solutions
Common data and tool sets
Help desk operations
Improved quality and control
Better management of public and staff data and data exchange/retrieval
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Public AccessPublic Access
Core MissionCore Mission
Audio VideoAudio Video
Shared ServicesShared Services
EnterpriseEnterprise
Public AccessPublic Access
Core MissionCore Mission
Audio VideoAudio Video
Shared ServicesShared Services
EnterpriseEnterprise
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Shared Services
Identities
Operating systems
Office automation systems
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 recordsRequires system interfaces with all/most applications
Operating systems: PCs, Server, and Network. Economy of scale and maintenance. Tension between ubiquitous commercial and open source systems.
Office automation systems: Economy of scale and maintenance – Continuity. Legal vs. commercial popularity.
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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
55
http://www.courtinfo.ca.gov/selfhelp/
Seniors
Legal Help
PFA
Languages
Traffic
Small Claims
Family
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Audio and VideoPrimarily technologies used in the courtroom, although increasingly in basic office tasks
Video conferencing
Audio and video recording
Evidence presentation
Assistive listening technologies
55
Public AccessPublic Access
Core MissionCore Mission
Audio VideoAudio Video
Shared ServicesShared Services
EnterpriseEnterprise
Public AccessPublic Access
Core MissionCore Mission
Audio VideoAudio Video
Shared ServicesShared Services
EnterpriseEnterprise
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Basic Courtroom Audio Video Setup
Monitors
Screen
Evidence
Jury
Cameras
Judge
Attorneys
Clerk
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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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Basic Video Conferencing Functions
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Video Conferencing & Arraignment Issues
The Future
In the future, will be a subset of smart or hi-tech courtrooms;
Point to point video connectivity will not be dependent on dedicated systems;
Video links will be scheduled, authorized and transmitted using Internet or Intranet connectivity and common video standards
55
Courtroom usage is primarily for pretrial/arraignment hearings;
Few office uses of video conferencing – matching sites
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Audio and Video RecordingPrimarily technologies used in courtrooms
Video recording incorporates audio recording
Video recording requires a shift of reporting skills to monitoring, annotation and transcription
Audio recording often used as backup to real-time transcription or court reporting systems
Linkage to sound systems and directional mikes
Primary tension is political with the use of court reporters
Australia is the leader in automated court recording
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Evidence Presentation
Components usually include:
Integrated into courtroom video display and projection
Whiteboard (electronic markup board)
Digital camera (display of documents and objects)
DVD and VCR players (recorded and expert testimony)
Evidence recording linkage (bar code or other technology for court control during trial)
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Judge
Attorneys
Clerk
Judge
Attorneys
Clerk
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Assistive Listening TechnologiesTechnologies used to provide sound amplification for hearing disabled and for language interpretation
Components usually include:
360 degree wireless sound transmitter (microwave or other medium)
Headphones with receivers; often courts share among courtrooms
Linkage to language interpretation and remote (separate room) transmission
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Judge
Attorneys
Clerk
Judge
Attorneys
Clerk
Wireless Sound Transmitter
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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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Information Technology Fundamentals
PROJECTS
Identify, Match and Prioritize
Court Services to Needed
Automation
Identify, Match and Prioritize
Court Services to Needed
Automation
Establish Infrastructure/
Software Platform & Development
Approach
Establish Infrastructure/
Software Platform & Development
Approach
Build and TestBuild and TestEvaluate, Identify Gaps, Re-Focus on Next Phases
Evaluate, Identify Gaps, Re-Focus on Next Phases
Identify, Match and Prioritize
Court Services to Needed
Automation
Identify, Match and Prioritize
Court Services to Needed
Automation
Establish Infrastructure/
Software Platform & Development
Approach
Establish Infrastructure/
Software Platform & Development
Approach
Build and TestBuild and TestEvaluate, Identify Gaps, Re-Focus on Next Phases
Evaluate, Identify Gaps, Re-Focus on Next Phases
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ProjectsStrategic Principles
Plan for Versions/ Releases, not the
Big Bang
Plan for Versions/ Releases, not the
Big Bang
6 Month Development Increments
6 Month Development Increments
Constant Development,
Migration, Rollout
Constant Development,
Migration, Rollout
Pilot New Projects With a High Performance
Group
Pilot New Projects With a High Performance
Group
Budget Hardware, Software
Replacement
Budget Hardware, Software
Replacement
Spiral ApproachPlan, Build, Test,
Rollout, Fix..Repeat
Spiral ApproachPlan, Build, Test,
Rollout, Fix..Repeat
1
2
3
4
5
6
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Project ManagementSystem Lifecycle
1. Leadership Initiation and Funding Sources2. Feasibility, Alternatives Analysis3. Functional Requirements and Conversion Analysis4. System Design and Specifications5. Procurement6. BUILD – Development7. Testing8. Training9. User Acceptance10. ROLLOUT11. System and Performance Review
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Project FailureDoes It Need to Be A Nightmare?
Project Resolution 2000
Data from Extreme Chaos, The Standish Group International, Inc. 2001
The CHAOS Ten
Executive Support 18
User Involvement 16
Experienced Project Manager 14
Clear Business Objectives 12
Minimized Scope 10
Standard Software Infrastructure 8
Firm Basic Requirements 6
Formal Methodology 6
Reliable Estimates 5
Other 5
Each factor has been weighted according to its influence on a project’s success. The more points, the lower the project risk.
Failed23%
Challenged49%
Succeeded28%
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Technical ProcurementDoes It Need to Be A Nightmare?
Open, interoperable and scaleable systems Eschew custom development, where possible Penalty clauses Performance based contracts – bonds Early completion incentives Match the contract to the task Clear specifications Fixed price better than time and materials
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CO
UR
T
DE
VE
LO
PE
R
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Project ManagementThe Team: Contracted Developer
Stakeholders4x per project
Stakeholders4x per project
Court Project Manager
Daily
Court Project Manager
Daily
IT AnalystsDaily and Biweekly
IT AnalystsDaily and Biweekly
Vendor Project Manager
Daily
Vendor Project Manager
Daily
Vendor Project Director
4x per project
Vendor Project Director
4x per project
ProgrammersBiweekly
ProgrammersBiweekly
Senior AnalystBiweekly
Senior AnalystBiweekly
Senior DeveloperBiweekly
Senior DeveloperBiweeklyCOIs
Power User GroupBiweekly
COIsPower User Group
Biweekly
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Project ManagementContracted Developer Pitfalls and Concerns
Developer goes out of business Marketing folks are on their best behavior; small
problems there signal big problems down the road Developer leadership/management – high priority Platform dependent systems Proprietary and semi-closed systems Understanding of court processes by development
team – “learning on the job” In-house (in)ability to modify/update application Costly upgrades (future versions)
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Project ManagementRisk Management Checklist
Independent verification and validation User review, testing, acceptance and training Performance based contracts and specifications Court ownership of CODE (major systems) Written PLANS for:
• Security• Systems Integration• Data Migration• Operations/Maintenance• Downtime Contingencies• Disaster Recovery
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Project ManagementLessons Learned
Hands on approach, constant demos Use technology, demo online Heavy user involvement (COIs and power users) Incremental products Constant and meaningful feedback Don’t meet just to meet Frequent written updates should flag areas of concern
and need for group meetings
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CO
UR
T
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Project ManagementIn-House Team
Stakeholders4x per project
Stakeholders4x per project
Court Project Manager
Daily
Court Project Manager
Daily
Independent Industry Analyst/Consultant
Biweekly (luxury)
Independent Industry Analyst/Consultant
Biweekly (luxury)
ProgrammersBiweekly
ProgrammersBiweekly
Senior AnalystsBiweekly
Senior AnalystsBiweekly
Senior Developer Project Manager
Daily
Senior Developer Project Manager
Daily
COIsPower User Group
Biweekly
COIsPower User Group
Biweekly
IT Director4x per projectIT Director4x per project
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Project ManagementIn-house Development Pitfalls and Concerns
Inadequate expertise, long learning curve Narrow IT advice – “This is what we know.” Strong allegiance to existing systems No competitive incentive to perform No contractual incentive to meet deadlines Isolation of IT staff Lack of knowledge of court processes Ongoing cost of large IT staff is high Not enough money to hire IT experts
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Project ManagementIn-house Development Benefits
Previous experience and better knowledge of Court’s processes and needs
Court owns system outright Process inherently promotes applications expertise Should get IT folks involved with users Upfront costs are hidden in salaries – “we would have
paid them anyway”
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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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