INFORMATION TECHNOLOGY Fundamentals For Court Leaders

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 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

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. 1 Purposes of Courts • 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. 1 Caseflow Management Information Leadership Technology Management Education, Visioning and Training and Strategic Purposes Development Planning and Responsibilities of Courts Human Es sential Resources Components Management Resources, Court Community Budget and Communication Finance IT and Purposes

9. 1 Information Technology Outcome Measures • Improved processes and productivity; • Improved knowledge of the organization; • Increased communication; • Timeliness; • Integrity and accuracy; and • Dynamic and personal access.

10. 1 Matching Court Purposes and Technology • Improved processes and productivity; • Increased communication; • Timeliness; • Integrity and accuracy; and • Dynamic and personal access. Produce individual justice

11. 1 Matching Court Purposes and Technology • Improved processes and productivity; • Increased communication; • Timeliness; • Integrity and accuracy; and • Dynamic and personal access. Formal record of legal status

12. 1 Information Technology Data Measures • Integrity and accuracy; • Security; • Privacy; • Ubiquity and access a. Speed b. Scaleability c. Standardization

13. 1 Technology Acceleration 1623 First Mechanical Calculator 1823 First Programmable Mechanical Calculator Babbage’s Difference Engine 1853 First Mechanical Computer Scheutz Difference Engine 1890 US Census Bureau Hollerith Punch Card Computer 1911 IBM Founded Hollerith merges with competitor 1937 First Electronic Calculator Mechanical Era 1600 1800 1900 1930 1940 Est. 50,000 5 mill. 76 mill. 123 mill. 132 mill.

14. 1 Technology Acceleration 1991 World-Wide Web E-Filing 1984 EDI 1992 E-Commerce CD/Subscription: Legal Resources 1992 Public Internet Video Conferencing 1950’s Digital Imaging (documents) 1971 Email 1992 Public Email Thin Client Web based 1984: Distributed Computing Client Server Applications 1943: Legacy Systems (mainframe computers) 1950 1960 1970 1980 1990 2000 151 mill. 203 mill. 227 mill. 249 mill. 281 mill. 284 mill.

15. 1 Emerging Technologies • Wireless; • Voice recognition; • Virtual reality and 3D imagery; • Artificial intelligence; • Biometrics; • Service Oriented Architecture

16. 1 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.

17. 1 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.

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

19. 2 Information Technology Fundamentals GOVERNANCE: LEADERSHIP AND VISION

20. 2 Information Technology Foundation Services & Applications Data, Business Infrastructure Hardware, Systems, Software IT Governance Policy, Standards, Funding, Architecture, Organization Adapted by Permission of Gartner, Inc.

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. 2 IT Leadership Principles • The Court’s mission and service must drive technology decisions and priorities; • Technology is not self-justifying; • Organizational change is the key to advancing technology; • Court leaders must understand technology and what it can do for them; • Technologists must understand court processes; • The end users must be involved in planning and development.

24. 2 What I Know That Ain’t So

25. 2 Changing Court Processes Courts…design automated systems to reproduce their existing work processes rather than take advantage of technological capabilities to redesign those processes to do them more efficiently…At best, we can be said to have moved from the quill pen to the typewriter to the the keyboard. COSCA/NACM Joint Technology Committee, Third Long Range Plan: July 2001 – June 2004, 1st Draft, May 4, 2001

26. 2 What is Process Reengineering? A discipline that assumes courts must: • Change processes to leverage the potential of technology; • Use technology to drive changes in processes; and • Develop measurements and controls for feedback and continuous improvement. • Process Improvement is reengineering “lite,” or incremental change, usually defined by simplification and streamlining of court work processes. It is easier to promote in conservative and horizontal organizations.

27. 2 Process Reengineering Principles • Change will not happen without leadership and champions; • Change for the sake of change is pointless and dispiriting. • Don’t oversell the benefits; • Power users are your best advocates. They know the processes, applications, and pitfalls. They will not get on your side unless they believe in the change; and • Pilot projects always help promote change and discover what we do not know. See IT Projects, Section 5, for a step by step approach to process reengineering and improvement.

28. 2 Process Reengineering Examples

29. 2 Why is IT Governance Important? • Information technology is in constant flux; • There is a need for a clear vision of organizational goals and objectives; • Alignment of IT expenditures with organizational goals; • Fosters participatory leadership and ownership, both for existing policies, standards and lifecycle management, as well as for new projects and initiatives; • Enhances accountability; and • Promotes successful adoption of technology and improved work processes;

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

31. 2 Effective IT policies: 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. 2 OrganizationHow IT decisions get implemented 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. 2 Standards 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. 2 Network Standards 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. 2 Funding and Prioritization 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. 2 Architecture Overview 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. 2 Architecture Overview E • Security Build into network architecture Build into application development • Redundancy and disaster recovery Build into network architecture Distributed networking most effective

38. 2 Systems: Services and ApplicationsSelection and prioritization of services for the application of needed technologies 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. 2 IT Trial Court Meta Governance Models • State Centralized • State/Local Distributed • Local Centralized • Local Distributed

41. 2 State Centralized • State Capitol (AOC) • Infrastructure and Networks • Hardware and Software • Case Management Systems • Judicial Support Systems • Public Access Technologies • Office Automation • Audio and Video • Email • Small Town USA Local Trial Court • Enterprise integration NJ, Partial MD

42. 2 State/Local Distributed • State Capitol (AOC) • State Network • Case Management Systems • Judicial Support Systems • Email • Small Town/County USA Local Trial Court • Enterprise Integration • Local Network and Infrastructure • Hardware and Software • Local Network • Public Access Technologies • Office Automation • Audio and Video HI, CT

43. 2 Local Centralized • State Capitol (AOC) • Enterprise Integration • Judicial Support Systems • Big County USA Local Trial Court • Enterprise Integration • Infrastructure and Networks • Hardware and Software • Case Management Systems • Judicial Support Systems • Public Access Technologies • Office Automation • Audio and Video • Email Philadelphia, Montgomery County, MD

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

46. 2 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

47. 3 Information Technology Fundamentals STRATEGIC PLANNING

48. 3 IT Strategic Planning Services & Applications Data, Business Implementation Planning Infrastructure Hardware, Systems, Software IT Governance Policy, Standards, Funding, Architecture, Organization Adapted by Permission of Gartner, Inc.

49. 3 IT Strategic Planning StepsImmediate (6 months to two years); Mid range (two to five years);Long term (five to ten years). • Leadership and Vision: Establish an IT stakeholders group with direct user involvement and IT expertise and support; • Select and prioritize court services for needed automation and new technologies; • Formulate an infrastructure strategy that meets the court services and application needs; and • Design an IT governance structure that is directly accountable for policy-level decisions AND prioritized long-term initiatives.

50. 3 IT Long Range Planning:Waterfall Development (older approach) Establish Infrastructure/ Software Platform & Development Approach Identify, Match and Prioritize Court Services to Needed Automation Build and Test