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Case management system for prosecution and courts

Case management system for prosecution and courts. Key Challenges in the Justice Sector. A solution for justice authorities must be built to last for 15-20 years , while accepting almost continuous change. Highly traditional : low level of automation Highly complex business logic

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Case management system for prosecution and courts

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  1. Case management system for prosecution and courts

  2. Key Challenges in theJusticeSector A solution for justiceauthorities must be built to last for 15-20 years,whileacceptingalmostcontinuouschange • Highlytraditional: lowlevelofautomation • Highlycomplex business logic • High volume and flowof cases • High expectations from stakeholders • Significant media focus In fact, maybethe most important part of a modernstate

  3. “Case Management System” - Interpretations • If a case is considered to be documents; • A case mgmt system is a documentmgmtsystem • Or a documentmarkup system • Or a electronicdocument filing system • If cases are “managed” for statistics purposes; • A case mgmt system is a pure case registry; or “Excel on steroids” • If case mgmtreallymeans case management; • An Adaptive Case Management system is needed • If “system” means “product”; • The catalogueof US standard products is long, selectone(or more), and youneed to adaptyourprocedures and practices to that/thoseproduct(s)

  4. Case Management and Information System for Prosecution and Courts • Collect data AND documents • Assist in applyingthecorrectprocedure • Ensure uniform and predictablepractise • Ensure timely and preciseregistrationofstructured data- or “metadata” on cases, parties, decisions, etc. • Usethestructured data to generatecourtdocuments • Serve as platform for newfunctionality – basedontheessential case model

  5. Standard Products for Legal Case Mgmt Systems? • A long list ofsuchproductscould be set up • Most arecreated for US legislation and practise • Typicallyfocusedoncertainfunctionalities • E-Filing; “dockets”/calendaring; jury mgmt; probation; etc. • Someproducts have moderate workflowfacilities • None ofthesearetrulyadaptable to theprocedurespecificsofthe different case types found in European legislation

  6. Key Success Elements • Separate business logic from «household logic» • Respecttheimportanceoftime in the system foundation • Don’toverdoarchitecture –newstuffwillbecomefashionable during system lifetimeanyway • Respectthatit’s an organizationalproject, not really an IT project

  7. Contents • ACM – Adaptive Case Management • LOVISA – The Domain • WhatabouttheProsecution? • CMIS - Kosovo • Integration • Summary

  8. ACM – Adaptive Case Management

  9. Knowledge Workersdecide for themselveswhattheyneed to do; Theyevaluatemanyinfluencingfactors and alternative actions; Theydecide and actbasedoninterpretationofinformation from diverse sources; Theycollectevidence, follow up and discoverthings during the progress oftheirwork

  10. Characteristics of knowledge work • Non-Repeated Two different audits will not lead to the same result or plans No two corporate mergers are identical No chain of accident events are identical

  11. Characteristics of knowledge work • Non-Repeated • Unpredictable The chain of events in a court case can take unexpected turns So does a criminal case investigation… The sequence of (human) actions are not known in advance, although guidelines and directives are often given

  12. Characteristics of knowledge work • Non-Repeated • Unpredictable • Emergent A doctor orders a blood test on a patient leading to a treatment plan which is supervised; leading to new tests leading to a modified treatment which is supervised….

  13. Characteristics of knowledge work • Non-Repeated • Unpredictable • Emergent • Robustness in the face of variable conditions However, there are patterns, the work can indeed be organized Knowledge work organized through effective, efficient and dependable institutions based on experience,competence and repeatable action fragments

  14. LOVISA – Court cAse Management in the Norwegian courts - The Domain Model

  15. Court Case Management – The LayMan’s Version Plaintiff Case Defendant

  16. Court Case Management – Legal Representation Plaintiff Legal counsel Case Defendant Legal counsel

  17. Court Case Management – Criminal Cases Prosecutor «The Crown» Case DefenceAttorney Defendant

  18. Court Case Management – More Complexparties Plaintiff Legal counsel Case Defendants Legal counsels

  19. Court Case Management – More Complex Cases + The Judge(s) Claims; Charges Plaintiffrole Plaintiff Legal counsel Defendantrole Case Judge(s) Defendants Legal counsels

  20. Court Case Management – Introducingcourthearings Claims; Charges Legal counsel Plaintiff Case Judge Legal counsels Courtroom Defendants Court Hearing

  21. Court Case Management – And the Organization Model Claims; Charges Legal counsel Plaintiff Case Judge Court Legal counsels Courtroom Defendants Court Hearing

  22. Court Case Management – Decisions Claims; Charges Legal counsel Plaintiff Case Judge Legal counsels Defendants Decision 2 Decision 1

  23. And So It Goes… • Parties/actorscan be individuals or entities (e.g. businesses); evengroups • Documentsmerged from all structuredinformation; ready for the judge’s legal reasoning • All resourcesscheduledaccording to sharedcalendars • Decisions have Results (as structuredobjects) • Claims / Charges can be hierarchical • Claims / Charges can have «conflictobjects» • Focusonstructured data • To enableefficientdocumentproduction • To enableinformationinterchangewithotherauthorities (taxauthority, nationalregistries) • To enablestatistics and reports oncourtoperations and management • To enabledecisionsonimprovingefficiency and costeffectiveness

  24. LOVISA – Some Basic Facts • A national solution – covers all courts (>100) of the kingdom of Norway • First production case entered 3 March 2003 • A predecessor had been operational in the Supreme Court from 1 Dec 1999 • Continuous enhancements and extensions since then • System metrics (indicational): • 1,410 task/process definitions containing 6,309 steps • 1,578 different document templates • 350 screens • 102 domain object types • 125 database tables • 430,000 XML lines of task/process definitions • 500,000 lines of code + the FrameSolutions ACM framework of some 750 k lines of code

  25. WhatabouttheProsecution?

  26. The policereceivescrime reports and performsinvestigation Investigationdirected by theprosecution A prosecutorevaluatestheevidence …and decideswhether case is readyfor trial, requires more investigation – or is dismissed From Police to Prosecution

  27. The Norwegian criminal case proceedings system – «BL» • Supports criminal case investigation – performed by policeinvestigators; directed by prosecutors • Handle courtmotions for variousinvestigatorysteps • Prepare final indictment for the trial • Ensures CriminalProcedure Code compliance • Has beenoperationalsince 1996 • Continuouslydeveloped to support newregulations, integrations, reorganizations, etc. • A predecessorof LOVISA – the court system

  28. Cases – withrelations Persons – withroles in cases Artifacts – related to the case Documents– e.gwitness statements «Codes» – structured data Allowing case information to «grow» as required in investigation Structure in BL

  29. Electronic Interchange • When indictment is ready, it’s packaged electronically, and • …submitted to court, and auto-entered in the court system • When court decision is ready, it’s returned to the prosecution • …and the prosecutor can take action • More integrations are under way (the ESAS project) • Summons, dispatch information, etc.

  30. CMIS – Case Management and Information System For the Courts and Prosecution Authority of the Republic of Kosovo • Project runs from Feb 2016 until July 2018 • Milestone 3C (ordinary criminal cases) deployed to pilot courts April 2017 • Milestone 2P (prosecution prototype) approved Nov 1, 2017 • Currently: • Finalizing Milestone 4C (serious crime, juvenile crime) • Starting work on Milestone 5C (civil cases) • Starting work on Milestone 3P (ordinary prosecution cases)

  31. Backgroundof Kosovo CMIS • Consortium setup: Computas (N) project responsible + technology and competence transfer, Cacttus and Altima (both based in Prishtina) • Consortium value: Bringing technology, knowledge and experience from the Judicial sector in Norway to Kosovo • Using local resources to perform the development work

  32. Case Flow across authorities

  33. Or how a simple case may end up in a large case complex– as seen from an enterpriseviewpoint Police & Prosecution Authority Indictment Prosecution& Court Collaboration example 1 Criminal case #4711/13 Motion for detention Motion for search «Magistrate's Court» Court decision Courts Court decision 2 4 Court case #1341/13 Court case #1527/13 City or District Court 5 Verdict Court case #2361/13 Court of Appeal Court decision 3 Court case #1498/13

  34. SUMMARY

  35. Summary • The Norwegian justice IT solutions have shown a successful path • Challenging projects: • «It’s not an IT project» • It’s all aboutcreating a «workassistant» • Aligningcourt and prosecution practice • Roll-outneedsspecial planning • Training the users and managers • Local superusers • What cases to loadinitially • Statisticscross-over • Platform for futuredevelopmentofnew, efficient practises • International awards winners

  36. Category: Legal and Courts National Courts Administration of Norway nominatedbyComputas AS Olav Berg Aasen – Deputy Director General Astrid Irene Eggen – Senior Advisor Endre Helgesen Skjetne – Senior Advisor • Situation • Case handling and court management for all 1st and 2nd instance courts • High-quality uniform case handling in accordance with procedural law • Improve service-level for parties / actors / public • Improve efficiency and effectiveness of the Norwegian courts • Improve integration with other judicial actors

  37. Thank you!

  38. Wednesday, 8 Nov 2017

  39. Considerationsonimplementing case management systems

  40. The necessarysteps to takewhenintroducing a case mgmt system • User training • Organizationaladaptation • Adaptation ofpracticalroutines • User support • Roll-overof cases and statistics • Legal knowledge management • Sourcingmodel • Technology and integration management • Testing • And, on a longer cycle, adaptationofprocedurallegislation to facilitatemodernwaysofworking and collaboration

  41. User Training • “Train thetrainers” • Usethelocal “super users”

  42. Organizational Adaptation • Identifyroles for theemployees • Unifytheway different rolestake part in theprocesses • For economical and practicalreasons, thevariousinstancesneed to operateaccording to similarpatterns – although not necessarilyequal

  43. Adaptation ofPracticalRoutines • Ofparticularinterestarethe linksbetweenthephysicalworld and theregistrations in thesyste • Documentsonpapervsdocumentsstoredelectronically • “Metadata” • The reception desk is vital – theinterfacebetweenthecitizen/business and theauthority

  44. User Support • Appoint local super-users • 1st tier of support • Central support • 2nd tier • Usetheprofessionalgroup – the «BPU» • Developers • 3rd tier • Whenthings «go rough»

  45. Roll-overof Cases and Statistics • Migration of cases from previous systems to thenew CMIS • Typicallyold case registries do not containsufficient data to enable a valid registration in thenew CMIS • Need a strategy • Finalizeexisting cases in theold system • Enter new cases in thenew system • Decideafter a graceperiodhow to enterongoing cases intothenew system • Roll-overofstatistics • Not probable thattheold stats data arecounted in the same way as thenew • Must be plannedhow to dealwiththis

  46. Legal Knowledge Management • Comingchanges in thelaws and regulations must be monitored • …and consequencesanalyzed • …in order to design and implementrequiredchangesbeforethecomeintoeffect • Requires legal professionalswithknowledgeabouthow legal changesaffecttheimplementation

  47. Sourcing Model • In-house employees? • Canyoureallyestablish and keepthecompetence in-house? • Are youwilling to invest in thecompetencerequired? Cantheseemployeesgetsufficientinspiration from otherdomains to provideinnovation? • Hiring “lonerangers”? • Individuals. Youcan be lucky, butfewpossessthemethodologyrequired • A contractedapplicationsupplier? • A well-formedcontractwithappropriateincentives is important • Yougetaccess to a largercompetence pool, with cross-domainexpertise

  48. Technology and Integration Management • Changes in technologythataffecttheimplementationneed to be analyzed • Technology-relatedactivities must be prioritizedalongwiththe business changes • …a never ending story

  49. Testing • Technical and system testing • From thedeveloperpointofview • User testing • By “BPU” and user representatives • Pilot deployment • For use in the pilot court or pilot prosecutionoffice

  50. Adaptation aboutProceduralLegislation • Often, theprocedurelegislationpresupposespaperroutines • Do change it – withoutsacrificingtherightsoftheparties – to streamlineproceedings • Examples…

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