1. Applying E-Filing to the Court Technology Framework CTFWG Meeting Seattle, WA March 16, 2010

2. Topics Revisit Purpose Mapping Process Presentation Examples In Retrospect What Next Court Technology Framework2

3. Purpose Apply an existing court function (and related standards) to the framework for: – Illustrating how the framework can be useful – Identifying opportunities for additional products (guidelines, papers, standards, etc) Court Technology Framework3

4. Process Court Technology Framework4 Scope Dimensions Content Publish Identify the business function or process being addressed Affected CTF Components Key Areas of concern Key Stakeholders Questions and issues that should be addressed Impact on other processes and business functions Relevant artifacts such as rules, guidelines, specifications, etc. Opportunities for new artifacts that may be needed or useful Select presentation tools (PPT, XMind, PDF, etc) Configure template navigation and structure Apply content to each template

5. Scope Electronic filing of cases and subsequent pleadings 5Court Technology Framework

6. Dimension 1 - Areas of Concern 6Court Technology Framework PlanningStrategic planning, including communication and risk assessment Court RulesState statutes, court rules, and other state or local policies FundingFunding sources and business models to support fixed and ongoing costs Access to JusticeEnsure equal access to the justice system by those with limited means Change ManagementManaging organizational impact of changes to systems and processes ImplementationScope, challenges, and risks relaing to implementation Process FlowOverall business process flow Judicial Work FlowsImpact on judiciary Access to RecordsAccess to and use of the case record Data IntegrityData integrity and quality issues SecurityControlling access to court records PrivacyProtection of personally identifiable information and information on certain individuals (such as juveniles and victims) IntegrationIntegration with internal systems Information SharingInterfaces and data sharing with external partners Technology PoliciesState and/or local IT policies StandardsState and national standards and specifications

7. Dimension 2 - Key Stakeholders PublicGeneral public, including litigants, defendants, etc. AttorneyAttorneys, law firms, etc. Party Litigants, defendants, and other individuals who are party to a case Pro SeSelf-represented litigants JudgeJudges and other judicial officers Administrator Court administrators, clerks of court, and other senior management staff Operations Manager Managers, assistant managers, and supervisors in operational business units Court Clerk Clerk of Court staff typically responsible for maintaining court records DesignerApplication designers and business analysts DeveloperApplication developers IT StaffIT operations and support staff VendorPrivate sector solution providers 7Court Technology Framework

8. Dimension 3 – CTF Components 8Court Technology Framework

9. Capture Content Identify key issues relating to e-filing – Questions – Potential problems – Known challenges Associate with each issue: – Applicable area(s) of concern – Affected stakeholders – Applicable CTF layers – Applicable CTF categories Capture additional information relating to each issue: – Impact on other processes and business functions – Relevant artifacts - rules, guidelines, tech specs, etc. – Opportunities for new artifacts that may be useful Court Technology Framework9

10. Presentation Examples Court Technology Framework10 Excel Table with Filters Access Queries and Reports PowerPoint Drill-Down Crystal Mapping PDF with Bookmarks XMind Mind Map

11. E-Filing Applied to the CTF Business strategygovernancecapabilitiescultureperformance Applications component designinternal data sharingexternal data sharing Data Management logical data modelcategorizationaccess / sharingquality / integrity Technology Infrastructure hardwaresystems softwarenetworkfacilities Technology Opportunities Business Goals 11Court Technology Framework  Click on CTF component to view e-filing issues relating to that component

12. Business Layer Court Technology Framework12 Strategy Adopting and utilizing standards that support best practices Determine the public access to case documents and if fees are applied Develop a communications plan Develop a plan for judicial workflow outside of the courtroom Develop a plan for judicial workflow within the courtroom Develop a strategy for routing proposed orders from attorneys to the Judge without going through the Clerk Establish and document standards for submission of electronic filings to the court Governance How will initial implementation be funded? How will recurring costs be funded? Policies on dealing with private/sensitive information on electronically filed documents Prepare comprehensive business plan Should e-filing be mandatory? Determine policy on how to handle high volume filers (in small claims) Should electronic documents be made available online? Review existing court rules and audit for court procedures How should documents that require signatures be addressed? Policy regarding use of electronic records as official court record rather than paper-based case files Determine policy on how to handle corporations filing in small claims Determine if a fee is necessary to file electronically Develop an Implementation plan for business and technology Governance practice within court Capabilities Concerned about limiting access to low-income or handicapped individuals Provide training to lawyers and other filers on use of E-Filing Provide training to court and clerk staff on systems and processes relating to e-filing Develop strategy for supporting mobile judges Determine impact on and changes to processes in order to facilitate e-filing Develop strategy for enabling judges to use electronic documents Culture Reengineering aspects of the court/clerk business Problems with culture and resistance to change. Determine policy for allowing not only the attorney, but secretary Performance Determine metrics to assess increased productivity after implementation

13. Business Layer – Strategy Adopting and utilizing standards that support best practices Determine the public access to case documents and if fees are applied Develop a communications plan Develop a plan for judicial workflow outside of the courtroom Develop a plan for judicial workflow within the courtroom Develop a strategy for routing proposed orders from attorneys to the Judge without going through the Clerk Establish and document standards for submission of electronic filings to the court How will initial implementation be funded? How will recurring costs be funded? Policies on dealing with private/sensitive information on electronically filed documents Prepare comprehensive business plan Should e-filing be mandatory? Court Technology Framework13

14. Business Layer – Governance Determine policy on how to handle high volume filers (in small claims) Should electronic documents be made available online? Review existing court rules and audit for court procedures How should documents that require signatures be addressed? Policy regarding use of electronic records as official court record rather than paper-based case files Determine policy on how to handle corporations filing in small claims Determine if a fee is necessary to file electronically Develop an Implementation plan for business and technology Governance practice within court Court Technology Framework14

15. Business Layer – Capabilities Concerned about limiting access to low-income or handicapped individuals Provide training to lawyers and other filers on use of E-Filing Provide training to court and clerk staff on systems and processes relating to e-filing Develop strategy for supporting mobile judges Determine impact on and changes to processes in order to facilitate e-filing Develop strategy for enabling judges to use electronic documents Court Technology Framework15

16. Business Layer – Culture Reengineering aspects of the court/clerk business Problems with culture and resistance to change. Determine policy for allowing not only the attorney, but secretary Court Technology Framework16

17. Business Layer – Performance Determine metrics to assess increased productivity after implementation Court Technology Framework17

18. Applications Layer Court Technology Framework18 Component Design Validation of information entered by filer. Develop a process for posting filing fees to the case Develop a process for handling filing fees (credit card or billing) Integrate as much of E- Filing with the case management system as possible Design and document end-to-end workflow for submission and processing of electronically filed documents Internal Data SharingExternal Data Sharing How will parties view electronically filed documents? Implement privacy policies

19. Applications Layer – Component Design Validation of information entered by filer. Develop a process for posting filing fees to the case Develop a process for handling filing fees (credit card or billing) Integrate as much of E-Filing with the case management system as possible Design and document end-to-end workflow for submission and processing of electronically filed documents Court Technology Framework19

20. Applications Layer – Internal Data Sharing Court Technology Framework20

21. Applications Layer – External Data Sharing How will parties view electronically filed documents? Implement privacy policies Court Technology Framework21

22. Data Management Layer Court Technology Framework22 Logical Data Model Categorization Access / Sharing Do we need to limit document size? Quality / Integrity

23. Data Layer – Logical Data Model Court Technology Framework23

24. Data Layer – Categorization Court Technology Framework24

25. Data Layer – Access / Sharing Do we need to limit document size? Court Technology Framework25

26. Data Layer – Quality / Integrity Court Technology Framework26

27. Technology Infrastructure Layer Court Technology Framework27 Hardware Assess hardware infrastructure required to support e- filing Systems Software Assess systems required to support e- filing Network Perform a network assessment for the impact of E- Filing Facilities

28. Technology Layer - Hardware Assess hardware infrastructure required to support e-filing Court Technology Framework28

29. Technology Layer – Systems Software Assess systems required to support e-filing Court Technology Framework29

30. Technology Layer - Network Perform a network assessment for the impact of E-Filing Court Technology Framework30

31. Technology Layer - Facilities Court Technology Framework31

32. In Retrospect Relative to initial objectives, this exercise: – Doesn’t seem particularly valuable in helping to illustrate how the framework can be useful – Could be helpful in identifying opportunities for additional products (guidelines, standards, etc) Though not stated objectives, mapping a business function like this could help with: – Organizing and documenting issues and other information important to that function – Identifying additional categories that should be considered for the framework Court Technology Framework32

33. Enterprise Architecture Should we be looking at this in a different way? The CTF is essentially an Enterprise Architecture (EA) Understanding different levels used in the FEA may be helpful Court Technology Framework33

34. NASCIO EA Framework Court Technology Framework34 Enterprise Element Relationships

35. What Next ? Should we continue this effort? Should we change the process? Does this serve as a good example of how the framework can be used? Are there other/better ways to demonstrate how the framework can be useful? Court Technology Framework35