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INFORMATION TECHNOLOGY

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Title: INFORMATION TECHNOLOGY


1
INFORMATION TECHNOLOGY Fundamentals For Court
Leaders
Date(s) Educational Program or
Sponsor Faculty 2.5 Day Toolbox
2
Agenda
  • Purposes and Context
  • Governance Leadership and Vision
  • Strategic Planning
  • Infrastructure
  • Court Services and Applications
  • 6. Projects

3
Pre-Workshop Exercise Review
  • My court or court organization and
  • What I dont 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

4
1
  • Information Technology Fundamentals
  • PURPOSES AND CONTEXT

5
1
  • Information technology is a tool, not an end
    unto itself.
  • Information Technology Curriculum Guidelines
  • National Association for Court Management

6
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

7
Purposes of Courts
1
  • Produce individual justice in individual cases
  • Give the appearance of individual justice in
    individual cases
  • Provide a forum for the resolution of legal
    disputes
  • Protect individuals from the arbitrary use of
    government power
  • Create a formal record of legal status
  • Deter criminal behavior
  • Rehabilitate persons convicted of crime and
  • Separate some convicted people from society.
  • Ernie C. Friesen

8
IT and Purposes
1
9
Information Technology Outcome Measures
1
  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.

10
Matching Court Purposes and Technology
1
  1. Improved processes and productivity
  2. Increased communication
  3. Timeliness
  4. Integrity and accuracy and
  5. Dynamic and personal access.

Produce individual justice
11
Matching Court Purposes and Technology
1
  1. Improved processes and productivity
  2. Increased communication
  3. Timeliness
  4. Integrity and accuracy and
  5. Dynamic and personal access.

Formal record of legal status
12
Information Technology Data Measures
1
  • Integrity and accuracy
  • Security
  • Privacy
  • Ubiquity and access
  • a. Speed
  • b. Scaleability
  • c. Standardization

13
Technology Acceleration
1
1623 First Mechanical Calculator
1823 First Programmable Mechanical Calculator
Babbages 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
1940
1930
1900
1600
1800
132 mill.
123 mill.
76 mill.
Est. 50,000
5 mill.
14
Technology Acceleration
1
1991 World-Wide Web
E-Filing
1984 EDI 1992 E-Commerce
CD/Subscription Legal Resources
1992 Public Internet
Video Conferencing
1950s Digital Imaging (documents)
1971 Email 1992 Public Email
Thin Client
Web based
1984 Distributed Computing
Client Server Applications
1943 Legacy Systems (mainframe computers)
2000
1980
1970
1960
1950
1990
284 mill.
281 mill.
249 mill.
227 mill.
203 mill.
151 mill.
15
Emerging Technologies
1
  1. Wireless
  2. Voice recognition
  3. Virtual reality and 3D imagery
  4. Artificial intelligence
  5. Biometrics
  6. Service Oriented Architecture

16
Historical Technology Drivers
1
  • 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.

17
Current and New Technology Drivers
1
  • 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.

18
Exercise 1
1
  • Matching the Purposes of Courts with information
    technology outcome and data measures
  • Use materials from Tab III
  • Work in teams
  • Appoint a spokesperson
  • Fill out forms and be prepared to report and
    discuss

19
2
  • Information Technology Fundamentals
  • GOVERNANCE
  • LEADERSHIP AND VISION

20
Information Technology Foundation
2

Services Applications Data, Business
Infrastructure Hardware, Systems, Software
IT Governance Policy, Standards,
Funding, Architecture, Organization
Adapted by Permission of Gartner, Inc.
21
2
  • Leadership is the energy behind every court
    system and court accomplishment.
  • Leadership Curriculum Guidelines
  • National Association for Court Management

22
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

23
IT Leadership Principles
2
  • The Courts 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.

24
What I Know That Aint So
2
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
25
Changing Court Processes
2
  • Courtsdesign automated systems to reproduce
    their existing work processes rather than take
    advantage of technological capabilities to
    redesign those processes to do them more
    efficientlyAt 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

26
What is Process Reengineering?
2
  • 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.

27
Process Reengineering Principles
2
  • Change will not happen without leadership and
    champions
  • Change for the sake of change is pointless and
    dispiriting.
  • Dont 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.

28
Process Reengineering Examples
2
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.
29
Why is IT Governance Important?
2
  • 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

30
IT Governance
2
  • Policies
  • Organization
  • Standards
  • Funding
  • Architecture
  • Systems
  • Someone, somewhere is making decisions about
    these issues for your court or court organization.

31
Effective IT policies
2
A
  • 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.

32
OrganizationHow IT decisions get implemented
2
B
  • 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

33
Standards
2
C
  • Network
  • Capacity (performance), hardware and software
  • Systems (application and database)
  • Development and application platforms, hardware
    and software
  • End user hardware and software
  • Data and enterprise integration
  • Performance and responsiveness
  • Security and Privacy
  • Functional (applications)
  • Generally applied to projects.
  • See Section 5.

34
Network Standards
2
C
  • Standards foundation is performance
  • Response time for database requests
  • LAN capacity shall be N x user population
  • Redundancy e.g., minimum two paths.
  • Network protocols, software and hardware must be
    compatible with applications and client hardware
    and software
  • e.g. An IPX/SPX network protocol is generally
    compatible with a Novell network but not
    compatible with the Internet (TCP/IP).
  • Let your IT professional be your guide, but ask
    questions.

35
Funding and Prioritization
2
D
  • Systems lifecycle and maintenance
  • Many courts utilize a 3-4 year hardware
    replacement cycle
  • Software licenses, renewals and upgrades
  • Technology staff salaries and benefits
  • Funding for research and development
  • Funding for new projects
  • Lifecycle (continuous) and project funding for
    training and education.

36
Architecture Overview
2
E
  • Wide and Local Area Network Topologies (maps)
  • Centralized (hub and spoke, token ring)
  • Decentralized (client server)
  • Distributed (Internet model, peer to peer,
    email)
  • Network architectures (multiple layers)
  • Open System Interconnection (OSI) model
  • Seven network layers between applications
    (Applications are the 7th layer)
  • N-tiered application architectures
  • Includes at minimum User interface,
    presentation, business logic, and database tiers

37
Architecture Overview
2
E
  • Security
  • Build into network architecture
  • Build into application development
  • Redundancy and disaster recovery
  • Build into network architecture
  • Distributed networking most effective

38
Systems Services and ApplicationsSelection and
prioritization of services for the application of
needed technologies
2
F
  • 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).

39
2
Systems Services and ApplicationsTechnical
Decisions
F
  • Develop in-house vs. contracted
  • Planned applications approach to information
    exchange, shared services, security, privacy, and
    access and
  • Open and closed applications
  • Open Generally, off the shelf and standardized
  • Closed Proprietary software, highly
    customized, non standard

40
IT Trial Court Meta Governance Models
2
  • State Centralized
  • State/Local Distributed
  • Local Centralized
  • Local Distributed

41
State Centralized
2
  • 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
42
State/Local Distributed
2
  • 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
43
Local Centralized
2
  • 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
44
Local Distributed
2
  • 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
45
Idealized IT Leadership Structure
2
Stakeholders Policy and Standards Co-Chairs IT
and Court Leader Funding Authority
Architecture Committee Stakeholders and IT
Representatives
Budget Committee Stakeholders, Inter-Agency
Communities of Interest
Core Mission Case Management Management
Information E-Filing Document Mgmt.
Public Access Web E-Records E-Commerce IVR
Shared Services Operating Systems Library
Tools Email Wireless
Enterprise Criminal Justice Finance Human
Resources
46
Exercise 2
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

47
3
  • Information Technology Fundamentals
  • STRATEGIC PLANNING

48
IT Strategic Planning
3

Services Applications Data, Business
Planning
Implementation
Infrastructure Hardware, Systems, Software
IT Governance Policy, Standards,
Funding, Architecture, Organization
Adapted by Permission of Gartner, Inc.
49
IT Strategic Planning StepsImmediate (6 months
to two years) Mid range (two to five
years)Long term (five to ten years).
3
  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.

50
IT Long Range PlanningWaterfall Development
(older approach)
3
Establish Infrastructure/ Software Platform
Development Approach
Identify, Match and Prioritize Court Services to
Needed Automation
Build and Test
51
3
IT Long Range PlanningWaterfall Development
(older approach)
  • One big, humongous project
  • Huge capital investment
  • Cost overruns
  • High failure rate
  • Technology moving too fast to keep up and
  • Functionality 5 to 10 years behind the curve.

52
IT Long Range PlanningSpiral Development (newer
approach)
3
53
IT Long Range PlanningSpiral Development
3
  • 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

54
3
IT Long Range PlanningOther Development
Approaches
  • Top Down
  • Bottom Up
  • Chaos
  • Prototyping (sub-category)
  • Evolutionary Prototyping
  • Agile Software Development (spiral derivatives)
  • Lean Development
  • Extreme Programming (XP)
  • Evolutionary Approach

55
Services and ApplicationsSelection and
prioritization of court services for needed
automation and new technologies
3
  • 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).

56
Life Cycle ManagementFeasible lifespan of
systems and infrastructure
3
  • 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

57
3
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?

58
Disaster Recovery, Redundancy and Contingency
Planning
3
  • 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

59
Disaster Recovery, Redundancy and Contingency
Planning
3
  • Components
  • Case entry and retrieval
  • Calendar preparation
  • Counters
  • Public access
  • Judicial proceedings
  • Payment proceedings
  • Administrative functions
  • Servers
  • Network

60
Contingency Planning Levels
3
  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.

61
Privacy and Access
3
  • Historic Practical Obscurity
  • The law has always recognized that court
    documents were public, and theoretically, they
    were. But the practical difficulty of reviewing
    those documents kept them effectively private.
  • Newfound Technological Access
  • Technology now makes those documents in fact
    public.
  • Establish a Formal Policy
  • Must review access policies and practices to
    reflect laws and public expectation.
  • Typically, electronic information on single
    cases is free
  • Charge fees to cover cost of generating reports
  • Charge additional fees for customized/bulk
    information

62
Increased Access Positives
3
  • 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

63
3
Increased Access Negatives
  • Threats to personal safety from contact
    information
  • Invasions of personal privacy
  • Identity theft
  • Disclosure of trade secrets
  • Deterrence from seeking court resolution of
    conflicts disclosure of personal information or
    personal embarrassment

64
3
Privacy and Access - Document Categories
  • Case data, documents and other records
  • Judges notes on cases
  • Court administrative records
  • Emails
  • Internal memoranda
  • Employee personnel records
  • Internal management reports
  • Telephone records

65
3
Privacy and Access Other Issues
  • Bulk Data
  • Employers, credit agencies, government often
    seek access to bulk data
  • Search and query applications circumvent one
    case at a time restrictions
  • Recommend Contract out bulk information
    access impose duty of continually updating
    information
  • Federal courts have barred Internet access to
    criminal case documents, except in 12 pilot
    courts
  • Federal legislation restricts public access to
    Social Security numbers for most new systems
  • Most courts restrict access to juvenile records,
    and many types of personal data on all records

66
Exercise 3
3
  • Choosing a Technology Strategy Prioritizing
    the Courts Services and Needs
  • Use materials from Tab III
  • Work in teams by table
  • Appoint a spokesperson
  • Be prepared to report and discuss

67
4
  • Information Technology Fundamentals
  • INFRASTRUCTURE

68
Information Technology Backbone
4
69
Network TopologiesPhysical or logical layouts
4
  • Star Topology
  • Token ring, cheap, slower
  • Ring Topology
  • Expensive, higher bandwidth
  • 3. Bus Topology
  • Ethernet, LANs
  • 4. Tree Topology
  • Stars on a bus, hybrid

70
Network Questions
4
  • Cant 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?

71
Wide Area NetworksDecision Making Criteria
4
  • 1. Existing Infrastructure
  • Older networks, often star topology urban
    networks, often ring topologies. Improvement
    over replacement.
  • 2. Speed
  • Common standard is T-1 (1.5 Mbps, leased phone
    line, also called DSL). Future standard is T-3
    (43 Mbps)
  • 3. Protocols
  • Generally TCP/IP, older usually frame relay,
    future may see Asynchronous Transfer Mode (ATM )
  • 4. Media
  • Usually leased lines, microwave, or satellite
  • Cost
  • Need to annualize.

72
Local Area NetworksDecision Making Criteria
4
  • Existing infrastructure
  • Most today are Ethernet, limited user capacity
  • 2. Speed
  • Current PC (Windows) standard is Fast (100 Mbps
    megabits per second) and Gigabit (1,000 Mbps)
    Ethernet
  • 3. Protocols
  • Rules for sending data, most courts use
    client/server and TCP/IP (transmission
    control/Internet protocol).
  • 4. Media
  • Wiring (twisted pair, CAT 5), fiber optic, coax,
    or wireless
  • Cost
  • Maybe wireless IS cheaper. Need to annualize.

73
Network Principles
4
  • A network that combines topologies or multiple
    redundancies is faster than one big pipe.
  • Network and data storage redundancy are a must,
    not because youll lose your data (although
    thats 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.

74
Three Network DiagramsHow to read them and why
it is important
4
  • Review the 3 network diagrams on the next 6
    slides
  • An enlarged printout will be issued for each.
  • 2. Discuss the questions after each diagram
  • Table talk is good.
  • 3. Ask questions, be confused, its okay
  • Network analysts are a special breed.

75
4
Network Architecture High Level WAN Diagram
Bandwidth
Circuit Multiple Courts
76
4
Network High Level WAN Diagram Group Discussion
  • Court leaders need to be able to read and
    understand these types of diagrams or ask
    network specialists
  • Diagrams illustrate technical information better
    than a narrative
  • Diagrams are the way network specialists design
    and plan system.
  • What types of information are important to
    understand from this diagram?
  • How does our system provide redundancy?
  • Why is one of the islands always losing its
    connection to the mainframe?
  • Is the network leased, from whom, and how much
    does it cost annually?

77
4
Wide Area Network (WAN) Diagram
Building (LAN)
78
4
WAN Diagram Group Discussion
  • What types of information are important to
    understand from this diagram what are the
    questions?
  • Number of Local Area Networks and who is
    responsible for them.
  • Where the courts responsibility begins and ends.
  • How safe is the Court from hackers or piracy?
    How are we protected?
  • Whats a mainframe, and why does everyone
    complain about it? Are they complaining about
    response time or about the ability to make
    changes?

79
4
Small WAN Diagram (many LANs)
80
4
Small WAN Diagram Group Discussion
  • What types of information are important to
    understand from this diagram what are the
    questions?
  • What network protocol are we using and is it
    providing the best efficiency?
  • Whats the big gray rectangle, full of computers/
    servers on the left? Which color blocks represent
    the courts?
  • 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?
  • Wheres the connection to the Internet? What
    protects the network from hackers?

81
4
Wireless Are we there yet?
1. Two primary types of wireless systems Fat
access points distributed application
switch Thin access points consolidated
application switch Dramatic increases in
coverage 2. Security is a multi-headed
beast Remote client (end user) hacking
detection Access point hacking
detection Hardwired switch hacking
detection/firewall Data transmission
encryption Signature handshakes 3. Significant
long-term infrastructure savings Yes, and no.
Court will still need to maintain and upgrade
access points. NO WIRE.
82
4
Wireless Diagram, how it works
83
4
Network Security Where the rubber meets the road
  • Purposes
  • Authentication, confidentiality, integrity,
    compression
  • Decision Factors
  • Risk, cost and speed.
  • Types of Security
  • Firewalls Encryption (e-commerce) Digital
    Signatures Secure Socket Layers (SSLs) (Internet
    and e-commerce) and Virtual Private Networks
    (VPNs)

84
5
  • Information Technology Fundamentals
  • COURT SERVICES AND APPLICATIONS

85
5
Information Technology Driver

Services Applications Data, Business
Infrastructure Hardware, Systems, Software
IT Governance Policy, Standards,
Funding, Architecture, Organization
Adapted by Permission of Gartner, Inc.
86
5
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)

87
5
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.

88
5
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.

89
5
Client Server
  • Any application that separates (physically) the
    user interface layer from the database layer (2
    tiers). In early systems, application logic was
    included on either the client or the server.
    Newer systems include the application on a 3rd
    tier, often called the application server
  • 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

90
5
Internet/Intranet Architectures
Jurisdiction B Host DB and web server
Jurisdiction A Host DB and web server
Internet/Intranet connecting several
jurisdictions or agencies
Client Browsers
Jurisdiction C Host DB and web server
Jurisdiction D Host DB and web server
91
5
Internet/Intranet Architectures
  • Systems based on Internet technology and
    protocols, although often in a closed network
    connected to the Internet through a firewall
  • Information is accessible to clients/users
    through a browser no client-side application
    generally, HTML
  • No inherent structure for data sharing between
    systems
  • Functions similar to a wide area network (WAN)
  • Good platform for enterprise email. File and
    data sharing generally occurs through email.

92
5
Data Warehouse Systems
Interface
Jurisdiction A Jurisdiction B Jurisdiction
C Jurisdiction D
Data Warehouse
Client Browsers
Interface
Interface
Interface
Client Applications
  • Centralized management and control of
    information, linked to multiple systems or
    databases, difficult to add new data sources,
    distributed interfaces
  • Requires data transformation to standards (usu.
    extensible markup language XML)
  • Often latent information, based on update lag,
    overcome using replication or mirroring
    technology, high initial costs inexpensive
    integration.

93
5
Mediated (Data Sharing) Systems
Jurisdiction A Jurisdiction B Jurisdiction
C Jurisdiction D
Query Mapper
Single Application
Client Browsers
Single Interface
Permission Set
Client Applications
  • Similar objectives as data warehouse systems,
    except without a data warehouse
  • Real-time access to other data sources
  • Mandates data transformation to a single standard
    (XML)
  • Query layer becomes a separate, unified
    application
  • Less costly, but politically very difficult one
    agency pulling data from another agency database.

94
5
Web Services Architecture A derivative of
mediated systems applied to the Web
  • A web-based set of tools used as a platform to
    integrate disparate applications over the
    Internet or a network using Internet protocols
  • The standardized tools used to transmit native
    data and processes independent of proprietary
    applications include
  • XML (extensible markup language) Used to tag
    (identify) data according to a standard set of
    definitions
  • SOAP (simple object access protocol) Sends XML
    data over the Internet
  • WSDL (web services description language)
    Describes a web services capabilities, used by
    UDDI (see below)
  • UDDI (universal description discovery and
    integration) A worldwide business registry

95
5
Web Services Architecture
http//en.wikipedia.org/wiki/ImageWebservices.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
96
5
Web Services Architecture
  • Court Advantages
  • Very useful for closed, proprietary and legacy
    systems
  • Most applicable to CJIS and therapeutic
    justice integration
  • Court Disadvantages
  • Still immature, while sold as the great solution
    to EDI Lack of security
  • Poor performance - XML model is data and process
    heavy

97
5
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.

98
5
Conceptual Court Service Architecture
99
5
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

100
5
Service Delivery Architecture Pitfalls
  • Threatens Independence/Accountability Balance
  • Especially when integrated with other government
    (county or state) systems
  • Local Courts are Local
  • For regional or state-wide systems, local
    identities (citizens) and other shared services
    create big brother tension
  • Friction and Competing Priorities
  • Between stakeholders if leadership is not
    present and parties feel a lack of ownership and
  • Complexity Demands Implementation Skill
  • Often lacking in government.

101
5
Service Delivery and Communities of Interest
  • Services Should Drive Technology
  • IT stakeholders must prioritize services and
    organizational needs and then map infrastructure
    and technology solutions
  • State IT Systems Must Include Local Input
  • State centralized systems often impose
    solutions, but they must get local input for
    planning and development
  • Local Court Leaders Must Lead IT
  • Trial courts that are part of a distributed
    county system must be drivers in a service
    delivery architecture. Its hard to do.

102
Exercise 4
5
  • 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

103
5
Court Services and Applications
104
5
Core Mission
Critical to the Courts primary function to
process cases from filing through to disposition
and enforcement of orders.
  • Case management
  • Jury management
  • E-Filing
  • Electronic document management (EDM)

105
5
Case Management, Mission Critical
MODEL TRAFFIC FLOW CHART Washington County, MD
106
5
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.

107
5
Case Management Functions (Six Total)
1. Case initiation and data entry
Case-centric file management Docketing and
record keeping (filings and events)
Document indexing (generation and
processing) 2. Calendaring Hearing
schedules and case assignment Schedule
coordination 3. Accounting Case-centric
financial transactions Fees, fines, costs,
bail, and related payments Reconciliation,
distribution and reporting
108
5
Case Management Functions (Six Total)
4. Management information Case-centric
measures and reporting Aggregate measures and
reporting Standards integration 5. Systems
Integration and External Interfaces Core
systems document management data retrieval
web access e-filing Enterprise CJIS, finance,
human resources 6. Administration User
controls, security and privacy Monitoring and
maintenance
109
5
Case Management Functional Standards
National benchmark for case management system
functions sponsored by COSCA/NACM Joint
Technology Committee and endorsed by the
Conference of Chief Justices and the Conference
of State Court Administrators. Managed by the
National Center for State Courts. http//www.ncsco
nline.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.

110
5
Functional Standards Caution
  • Wholesale use of functional standards for RFPs
    without alignment with court needs and resources
    will result in costly proposals and unanticipated
    results
  • Mandatory functions must be selected carefully,
    better results from incremental approaches and
    creative solutions.

111
5
Case Management Issues
  • Ubiquity
  • Many small to midsize courts do not yet have a
    case management system. Some have rudimentary
    docket entry systems based on entries (minutes)
    made during court hearings.
  • Older Architectures
  • Many case management systems are built on legacy
    and older client/server platforms, developed over
    many years at great expense.
  • Modernization
  • The look and feel of older applications is
    modernized by the use of a graphic user interface
    (GUI) or middleware to a more advanced
    presentation application.

112
5
Case Management Issues
  • Newer Architectures
  • For many older applications, the presentation
    and client (GUI) layer have been converted to a
    browser environment, using HTML, often referred
    to as web-based, even though these systems are
    often on closed networks, independent of the
    world wide web (WWW).
  • The Next Wave
  • Newer case management systems are being rapidly
    developed on enterprise platforms, some based on
    a service delivery architecture or using web
    services.

113
5
Jury Management Systems
  • Two primary functions
  • 1. Selecting and noticing prospective jury pool
  • 2. Managing jury panels and trial assignments
  • Issues
  • Works best when integrated with case management
    systems for calendar coordination
  • Integration with prospective jury pool names and
    addresses with sources (DMV, voter registration,
    varies by state) is crucial. Some name and
    address lists are provided by CD subscription.
  • Standards

114
5
E-Filing
E-filing refers to the electronic filing, usually
via the Internet, of complaints, petitions,
amendments, motions and answers. Two approaches
  • Court Owned

Court
Data Storage
Review
Firewall
Filing
  • Third Party Contracted

CMS
Data Storage
Firewall
Review
Filing
Court
3rd Party
115
5
E-Filing Approaches
  • Court Owned
  • Usually no additional user fees
  • Higher development costs
  • Higher maintenance and expert resources
  • Can be integrated into case management system,
    increased performance
  • Third Party Contracted
  • Pricing model based exclusively on user fees, in
    some cases on court use fees
  • Usually no development or maintenance fees
  • Database is usually stored off-site
  • Some vendors are offering a mixed approach.

116
5
E-Filing Objectives
  • Electronic filing to be the official court
    record, paper records should be considered a
    copy
  • Use of freeware and/or open source software
  • Use of browser interface, open standards (WC3),
    and most likely XML data standards
  • Data and document integrity Federal information
    processing standard 180.2
  • Establish e-commerce to accept fines and fees
  • Avoid surcharges and
  • Integrate with electronic document management.

117
5
E-Filing Standards
National benchmark for e-filing standards
sponsored by COSCA/NACM Joint Technology
Committee and endorsed by the Conference of Chief
Justices and the Conference of State Court
Administrators. Managed by the National Center
for State Courts http//www.ncsconline.org/D_Tech
/Standards/Standards.htm
  • Describes a full service model
  • Maximizes incentives to use e-filing
  • Road map for vendors
  • Share expertise and experience and
  • Helps move from paper to electronic environment

118
5
E-Filing Example
Designed for self representation
Small Claims
Password Hint
Subscription
Log In
http//www.apps-saccourt.com/scc/
119
5
Electronic Document Management (EDM)
Electronic document management enables a court or
court organization to create, tag, search, check
out, check in, save, locate and print documents
stored electronically. Courts use EDM to manage
  • Archived (old), scanned case files and other
    court documents (e.g. court orders, deeds)
  • Court filings and supporting documentation, such
    as briefs, motions and document attachments (e.g.
    contracts, affidavits).

120
5
Electronic Document Management Approaches
  • Scan at Counter

Court
Data Storage
CMS
Review
Firewall
File
Scan
Index
  • Attach to E-Filing document

Court
Data Storage
CMS
Review
Firewall
Filing
Index
121
5
EDM Issues and Considerations
  • Court owned vs. third party contracted
  • Also subject to the e-filing choices between
    fee-based and no fee systems.
  • Document Formats
  • Allow most formats, simple conversion for
    display
  • Word Word Perfect Adobe XML
  • Security/Document Locking
  • Documents must be secure, no tampering
  • Scaleability
  • Anticipate growth, allow for extensive storage
    capacity

122
5
Public Access Technologies
  • Website portals
  • Electronic access to court records (Internet and
    public access workstations)
  • E-commerce
  • Interactive voice response (IVR) and database
    applications

123
5
Public Access Goals and Issues
  • Increased Access
  • Social divide between users with and without
    Internet and technology access
  • Alternative approaches Assisted e-filing
    public access workstations, both in the court and
    in libraries and other public locations
    interactive voice response
  • Integrity
  • Provide court users and the Court with greater
    accuracy and integrity by reducing data entry and
    duplication. Goal is problematic if technology
    is not trusted, processes are not transparent.

124
5
Popular E-Government Model A channel is an
electronic mechanism to access government or
conduct government business. Are channels key to
the courts mission?
Gartner, Inc.
125
5
Website Portals
A single website approach to access to local
Courts and all the services that are offered
online.
  • E-government theory is that all local government
    transactions should be accessible from a single
    portal
  • In some jurisdictions (NJ), all trial courts
    statewide are accessible from a single statewide
    portal
  • In some jurisdictions (LA), trial court websites
    are accessed from county or clerk portals.

126
5
Website Portal Example
1 Click to Search Cases
Site Index
1 Click to Pay Fines
Large Menu 3 Clicks Max.
News and Community
http//www.judiciary.state.nj.us/
127
5
Website Portals
Potential functionality
  • Static information about the courts, court
    processes, ways of getting to court, and judge
    and personnel directories
  • Calendar information about court cases (requires
    continuous update from the case management
    system)
  • Self-represented assistance resources
  • Dynamic case information, accessible by outline
    or search
  • Payment of fines and fees.

128
5
Electronic Access to Court Records
Any electronic means to access court records and
information, including calendars.
  • Fixed Location Systems
  • Public access workstations
  • Monitor displays of daily calendars (usu. in the
    courthouse)
  • Internet Based Systems
  • Daily calendars, posted in a static view
  • Searchable daily calendars
  • Searchable case information
  • Interactive Voice Response Systems
  • Dial up, key pad response
  • Voice recognition systems

129
5
Internet Access to Court Records
Case Number
Court
Casetype
Disclaimer
http//www.gwinnettcourts.com/lib_asp/casendx2.asp
?divisionCodeALL
130
5
Internet Access to Court Calendars
Click a Date!
http//216.77.33.236/civil/calendar (NC Business
Court)
131
5
Electronic Commerce
The buying, selling, and marketing of products
and services over computer networks or the
Internet. Courts generally use e-commerce to
collect fees and fines associated with court
filings and court cases.
  • Approaches include
  • Third party (bank link) credit card processing
  • Debit accounts, usually set up by attorneys and
    law firms
  • ? Escrow account, against which fees are drawn
  • ? Revolving credit or debit card accounts or
  • ? Direct bank account funds transfer.

132
5
Electronic Commerce Example Credit card payment
of traffic fines
Parking/Traffic Ticket
License
Credit Card
Help Desk
http//www.judiciary.state.nj.us/atswep/njmcdirect
main/
133
5
E-Commerce Benefits and Hurdles
  • Cost Savings Benefits
  • A 2001 Gartner study notes a 3.25 savings per
    transaction for traffic fine collection, and a
    20-30 penetration within one year.
  •  
  • Incremental Improvements
  • The same study notes cost savings do not
    appear instantaneously. There is a ramp-up
    period
  • Political Issues
  • Credit card transactions often include fees that
    are not easily offset by operational cost savings
    in Government.


134
5
Enterprise Applications
Cross-jurisdictional, linked applications that
build on Shared Services. Enterprise systems are
architectures that link previously separate
systems, allowing data exchange.
  • Criminal justice information systems (CJIS)
  • Problem solving court systems
  • Child support systems
  • Finance and accounting
  • Procurement and inventory
  • Human resources

135
5
CJIS and Problem Solving Systems Any enterprise
platform that links disparate agencies, branches
of government, and treatment providers to allow
data exchange
  • Criminal processing linkage e.g. arrest to
    arraignment
  • Criminal treatment systems associated with
    probation terms and alternatives to
    incarceration
  • Criminal history data exchange
  • Juvenile justice systems
  • Drug and treatment court systems
  • Community court systems
  • Extended Family court systems usually
    associated with classes, private mediation and
    counseling orders.

136
5
CJIS and Problem Solving Systems
Old Approach Single Integrated System, Common
Platform. Problems include
  • Massive initial investment of time and resources
    often technology had changed long before project
    completion
  • Jurisdictional disputes systems ownership, data
    ownership, funding, security
  • Technology development faster than project
    development
  • Limited number of developers/companies capable of
    implementation.

137
5
CJIS and Problem Solving Systems
Data Warehouse Approach
Prosecutor
Sheriff
Police Booking
Data Warehouse
Treatment Providers
Federal and State Criminal History
Probation and Pretrial
Court Case Management System
138
5
CJIS and Problem Solving Systems
Data Warehouse Approach
  • Court participation demands Court leadership
  • Who pays for, owns and manages the data
    warehouse
  • Initial expense is high, cost sharing
  • Data access controlled by agreement
  • Does not require XML translation
  • Promotes but does not require standardization of
    data elements
  • In practice, often aggrandizing of data elements,
    e.g. six different defendant identifiers.

139
5
CJIS and Problem Solving Systems
Mediated Approach
Prosecutor
Sheriff
Police Booking
XML Middleware
Treatment Providers
Federal and State Criminal History
Probation and Pretrial
Court Case Management System
140
5
CJIS and Problem Solving Systems
Mediated Systems
  • Court participation demands Court leadership
  • Demands data standardization, use of XML
    translation
  • Everyone owns their own data data exchange is
    process-based
  • Data exchange controlled by agreement
  • Security controls are crucial
  • Promotes standardization of data elements
  • Mediated systems devolve to agency/agency
    (linear) and not on a spoke.

141
5
  • Finance, Procurement and HR
  • Enterprise management applications that are often
    owned by the executive/legislature in county
    governments.
  • Finance and procurement almost always require
    linkage to a county, and often to a state,
    system
  • Court case management systems usually require a
    fee/fine/bail component that is linked to general
    revenue systems. Procurement, escrow, and estate
    accounting (masters) sometimes fall under court
    jurisdiction.
  • Courts often maintain their own HR applications
    as separate or sub-systems of a county
  • Many accounting and HR applications exist, even
    for government. They are easily adaptable to the
    court environment.

142
5
  • Shared Services
  • Services 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

143
5
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

144
5
Shared Services
  • Identities Names, aliases and contact
    information for ALL court users, both internal
    and external
  • Reduces data entry errors
  • Easy to compile from county/court records
  • Requires system interfaces with all/most
    applications
  • Operating systems PCs, Server, and Network.
    Economy of scale and maintenance. Tension
    between ubiquitous commercial and open source
    systems.
  • Office automation systems Economy of scale and
    maintenance Continuity. Legal vs. commercial
    popularity.

145
5
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.

146
5
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.

147
5
On-Line Self Help Center
Legal Help
Family
Small Claims
PFA
Traffic
Seniors
Languages
http//www.courtinfo.ca.gov/selfhelp/
148
5
Audio and Video Primarily technologies used in
the courtroom, although increasingly in basic
office tasks
  • Video conferencing
  • Audio and video recording
  • Evidence presentation
  • Assistive listening technologies

149
5
Basic Courtroom Audio Video Setup
Screen
Monitors
Jury
Evidence
Cameras
150
5
Basic Video Conferencing Functions
  • Video conferencing and display
  • Video standard (usu. H.323)
  • Linkage to courtroom audio system
  • Video and audio recording
  • Existing external linkage via virtual private
    network (VPN), codex and/or local area network
    (LAN)
  • Future external linkages via public Internet
    line, an MCU gateway and a wide area network
    (WAN)
  • Linkage to evidence display systems

151
5
Video Conferencing Arraignment Issues
  • Courtroom usage is primarily for
    pretrial/arraignment heari
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