State of Utah Department of Corrections

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State of UtahDepartment of Corrections
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Gae Lyn DeLand, DirectorInformation
TechnologyUtah Dept. Of Corrections

• The Utah Experience

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Vision

• Develop a single, automated system that meets
  the offender information needs of all system
  users serves as the telecommunications,
  hardware, and software platform for all future
  systems development and enables data to be
  easily shared with other agencies.

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Success Criteria

• Replace the OBSCIS and Wang systems
• Provide the solution to the Year 2000 problem
• Provide real-time information
• Capture data once
• Reengineer work processes
• Provide Department standardization
• Eliminate paper files
• Provide UDC with the ability to manage the
  information
• Provide Outcome Measurements for management
• Minimize BITs efforts to modify system

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O-TRACK Timetable

• 90 Conducted needs analysis
• 91 Created high-level master plan
• 92-93 Canvassed other states
• 93 Evaluated four systems
• 93 Decided to create system in newer
  client-server technology
• 93 Determined hardware platform, database and
  software requirements
• 94 Hired Informix to work with staff to create
  Offender Obligation System (OOS)

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O-TRACK Timetable (continued)

• 95 Issued RFP to over 100 vendors
• 95 Negotiated 3 ½ year contract with Informix,
  Inc., to create O-TRACK, the UDCs Offender
  Tracking System
• Sept. 95 Finalized contracts commenced
  O-TRACK project
• Oct . 95 Finalized strategy and chose
  participants
• Jan. 96 Held first JAD sessions with users
• June 96 Installed first module at APP
• Feb. 99 Extended contract two years to Feb.
  2001, for lack of funding
• Jan. 2001 Extended contract to June 30 to
  utilize new grant

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No Frills RFP for O-TRACK

• RFP issued for a shoe string budget
• UDC would
• hire additional staff to program along side of
  vendor
• convert the data
• create user manuals
• conduct alpha and beta tests
• conduct user training
• implement system
• Frills such as help screens would be added
  later

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Funding For O-TRACK

• Legislature funded project at 400,000 per year
• Contract awarded for 3,751,100.60
• 10 year project could be a death sentence
• UDC hoped to internally fund 600,000 per year
• With increasing prison population didnt happen
• Legislature did NOT approve new staff
• Increased contract 1,448,899.40 to 5,200,000
• Enhancements, new modules 7,000,000 system
• With creative financing, Utah paid 4,270,000

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Funding Challenges

• Required true partnership with Informix
• Forced slower development and implementation
  which turned out to be a benefit
• Through out the rule books
• No change orders
• Built system in modules
• Partial requirements, prototype, complete
  requirements
• Developed six week development cycle
• Cycle could be one or many modules
• Enabled users to learn from previous modules
• Required creative financing

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Internal Challenges

• Users had to be trained to use personal computers
• BIT staff had to be trained in client-server
  technology, Informix, SQL and PowerBuilder
• System required DBA, Unix Administrators, new
  security concepts, etc.
• Infrastructure had to be created
• Prisons had to be rewired
• Corrections LANs had to replace Wang systems
• Dumb terminals and outdated PCs had be be
  replaced only two PCs were useable
• APP offices needed to be rewired

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User Defined System

• User groups created to
• Define system requirements
• Write user manuals
• Conduct alpha and beta tests
• Conduct system training
• Implement system modules
• Provide first-line help to users
• Negotiate enhancements with each other

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Roadblocks

• Creating the infrastructure
• Selecting the right individuals for the user
  groups
• New top level management
• Losing executive sponsor
• Getting new executive group to catch the vision
  
• Turnover with user teams/chairmen
• Working with real men use guns, not computers
  mind set
• Training staff to give up paper and use computers
• Funding, Funding, Funding
• Communicating, Communicating, Communicating

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Creative Financing

• Grants
• Y2K Funding
• Because of good plan, received only 500,000
• Internal funding from divisions
• Partner with other states
• Contacted states who sent out questionnaires
• Offered joint development at small cost for base
  system already completed
• Alaska joined just prior to completion of APP
• New Mexico joined just after APP modules
  completed
• Governor and State CIO gave us an award for
  innovation
• Legislature commended us for innovative financing
  and cut all funding for the project

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System Built to Work in Other States

• Completed APP system was taken to Alaska New
  Mexico to evaluate and request modifications
• Design sessions for new modules were held with
  UDC users
• Utah design specifications were brought to Alaska
  and New Mexico and their ideas returned to UDC
• Utah users reviewed new ideas/enhancements and
  negotiated what would be added
• Special modules were created for other states, at
  their cost, for functions not relevant to Utah

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Additional States Joined Group

• Colorado was interested in the Medical System
• Joint states wanted Pharmacy system built by
  Colorado
• Alaska and Utah would pay for Medical System and
  Colorado would bring in Pharmacy System
• All three states would design the Medical System
• Colorado purchased APP portion of O-TRACK
• Idaho is purchasing O-TRACK and will be fourth
  partner in Medical System and assist in design

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Indirect Costs

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Funding Sources
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O-TRACK Statistics

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Offender Information Screens
OFFENDER
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Offender Search
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Name Search Results
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Offender Information
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Offender Search Menu
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Offender Basic Information
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Name Listing
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Name Detail
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Job Detail
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Address History
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Address Detail
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Scars, Marks, Tattoos Detail
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Other Number Listing
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Agent Desktop Expanded
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Supervisor Desktop
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Offender Information Screens
LEGAL
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Offender InformationPermits Access to Legal
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Court Case Listing
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Court Case Detail
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Offense History
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Offense Detail
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Parole Agreement Listing
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Parole Reports Selection
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Parole Agreement Detail
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Add Special Condition
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Caseload AssignmentsVia Agent Desktop
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Agent DesktopFor Officer Schofield
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Offender History ReportTopic Selection
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Offender History Report
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Sex Offender Enhanced Description
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Sex Offender Sex Offense Detail
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Sex Offender Locator
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Web Sex OffenderSearch Results
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Web Sex Offender Detail
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O-TRACK Components
Indicates completed components Indicates
canceled components
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SECTION 1 OFFENDER CASE FILE

• 100 Face Sheet and Vital Statistics
• 102 Photographs
• 103 Fingerprints
• 104 Alerts
• 105 Status and Movement
• 106 Caseload Assignments
• 107 Caseload Checklists
• 108 Workload Formula
• 109 Other

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SECTION 2 CASE MANAGEMENT

• 200 Pre-Sentence Investigation
• 201 Probation
• 202 Community Service
• 203 Diagnostics
• 204 Reception and Orientation

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SECTION 2 CASE MANAGEMENT

• 205 Classification
• 205.01 Classification Assessments
• 205.02 Risks/Needs Assessments
• 205.03 Reassessments
• 205.04 Temporary Restraining Orders
• 205.05 Predictive Instruments (LSI)
• 205.06 Board of Pardons Guidelines
• 205.07 Special Management Tracking
• 205.08 Levels for Residents
• 205.09 Other

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SECTION 2 CASE MANAGEMENT

• 206 Case Management and Supervision
• 206.01 Case Planning
• 206.02 Case Notes
• 206.03 Case Reports
• 206.04 Case Staffings
• 206.05 Supervision Standards
• 206.06 Office Visits
• 206.07 Field Visits
• 206.08 Interviews/Counseling
• 206.09 Crisis Intervention
• 206.10 Collateral Contacts
• 206.11 Legal Status Verifications
• 206.12 Court Ordered Treatment Verification
• 206.13 Other

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SECTION 2 CASE MANAGEMENT

• 207 Placements, Referrals, and Applications
• 207.01 Referrals
• 207.02 Temporary Absences
• 207.03 Travel Permits
• 207.04 Institutional Transfers
• 207.05 Jail Placements
• 207.06 Interstate Transfers
• 207.07 International Transfers
• 207.08 Extraditions
• 207.09 Other

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SECTION 2 CASE MANAGEMENT

• 208 Education and Training
• 208.01 Educational Background and Records
• 208.02 Educational Testing
• 208.03 Class Enrollments
• 208.04 Grades and Achievements
• 208.05 Other

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SECTION 2 CASE MANAGEMENT

• 209 Offender Employment
• 209.01 Employment Background and Records
• 209.02 Offender Work Assignments
• 209.03 Offender Work Evaluations
• 209.04 Offender Employment Verification
• 209.05 Offender Work Release
• 209.06 Level 5 Kitchen Program
• 209.07 Other

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SECTION 2 CASE MANAGEMENT

• 210 Treatment and Programs (Habilitative
  Tracking)
• 210.01 Substance Abuse Treatment
• 210.02 Mental Health Treatment
• 210.03 Sex Offender Treatment
• 210.04 Support Group Participation
• 210.05 Other Group Therapies
• 210.06 Social Development Programs
• 210.07 Recreational Activities
• 211 Visits
• 212 Pre-Release Preparation
• 213 Other

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SECTION 3 BOARD OF PARDONS

• 300 Parole Interface
• 301 Board Schedules and Calendar
• 302 Board Reports
• 303 Release Dates
• 304 Other

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SECTION 4 OFFENDER MANAGEMENT

• 400 Cell Assignments
• 401 Offender Counts
• 402 Offender Movement
• and Control
• 403 Offender Clearances and Passes
• 404 Electronic Monitoring
• 405 Searches
• 406 Critical Incidents
• 407 Disciplinarians
• 408 Evidence

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SECTION 4 OFFENDER MANAGEMENT

• 409 Inside Disciplinary Hearings
• 410 Security Cells
• 411 Protective Custody
• 412 Substance Testing
• 413 Antibuse Monitoring
• 414 Intelligence Information
• 415 Gang Affiliation
• 416 Fugitive Tracking
• 417 Arrests
• 418 Escapes
• 419 Other

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SECTION 5 OFFENDER ADMINISTRATIVE SYSTEMS

• 500 Offender Obligations
• (Not part of this RFP)
• 501 Offender Funds Accounting
• 502 Offender Payroll
• 503 Commissary
• 504 TV Leasing
• 505 Offender Mail
• 506 Offender Property
• 507 Offender Grievances
• 508 Other

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SECTION 6 INTERAGENCY LINKAGES

• 600 Criminal History File
• 601 Courts
• 602 Bureau of Criminal Investigations (BCI)
• 603 Federal Bureau of Investigations (FBI)
• 604 County Jails
• 605 Sheriffs and Police
• 606 Juvenile Corrections
• 607 Motor Vehicle
• 608 Human Services
• 609 Social Services

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SECTION 6 INTERAGENCY LINKAGES

• 610 Substance Abuse
• 611 Medical Hospitals
• 612 Mental Health Hospitals
• 613 Education
• 614 Job Services
• 615 Interstate Compacts
• 616 Federal Prisons
• 617 Other

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SECTION 7 WARRANTS AND NOTICES

• 700 Warrants
• 701 Waivers
• 702 Affidavits
• 703 Orders to Show Cause
• 704 Notice to Offenders
• 704 Other

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SECTION 8 REPORTS STATISTICS

• 800 As Defined in Module Development

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The O-TRACK system and accompanying screens are
proprietary to the State of Utah, Department of
Corrections and may not be used, reproduced, or
copied without the express written permission of
the State of Utah, Department of Corrections,
Bureau of Information Technology.
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O-TRACK
For information Gae Lyn DeLand,
Director Information Technology Utah Department
of Corrections gaelynd_at_utah.gov 801-545-5508