State of Washington Administrative Office of the Courts

State of Washington Administrative Office of the Courts JIS Roadmap Program Assessment and Oversight October Checkpoint Assessment and Findings Presentation to the JISC 26 October 2007 Engagement: 221311470

Purpose of this Presentation § The purpose of this presentation is to document Gartner’s eighth Quality Assurance Checkpoint Assessment and Findings Report regarding the JIS Roadmap Program. © 2007 Gartner, Inc. All Rights Reserved. 2

Reporting Period Activities Interviews Conducted § § § § N. A. “Butch” Stussy – State Court Administrator Jeff Hall – Deputy State Court Administrator Tim Bates – Director, Information Services Division Cathy Grindle – Chair, Core Case Management System Steering Committee Kathy Martin – President, County Clerks Association Richard Johnson – Member, JISC and Chair of the Data Management Working Steering Committee Jeff Amram – Member, Core Case Management System Steering Committee Gregg Richmond – Deputy Director, Information Services Division © 2007 Gartner, Inc. All Rights Reserved. 3

Assessment Focus Areas This assessment focused on the three key areas below: 1. Core Case Management: - Progress - Accomplishments - Issue/impacts - Mitigation recommendations 2. Data Management: - Progress - Accomplishments - Issue/impacts - Mitigation recommendations 3. AOC Organization and Staffing: - Staff turnover - Vendor management - Mitigation recommendations The charts that follow present Gartner’s findings, assessments and recommendations for each of the three areas above. © 2007 Gartner, Inc. All Rights Reserved. 4

High Core Case Management Assessment Findings – High Risk (Red) § Progress Assessment: - The project is running behind plan. The Share. Point project repository deployment was later than scheduled. Business process engineering activities were completed and 275 gaps identified and documented. System configuration is underway based on the above. Pre-implementation surveys were completed by 66 Courts indicating their desire to be included in the Phase I implementation. - Initial Probation Case Management and Juvenile Detention Module RFP activities have been completed. § Findings: - TCS and LT Court Tech are performing well and are fully committed to the project’s success. However, the vendor team has notified the AOC that they will not be able to deliver a system that meets Washington Court requirements by the December 31 st due date. The outcome of the currently planned November demonstration of the “configured” system will validate when the system can be delivered. It is this finding that has resulted in the project being rated at High Risk in terms of it being able to meet the current delivery schedule. - Sending AOC staff to TCS was well worth the effort and has helped jump start the vendor in terms of their coming up to speed regarding Washington Courts. - All interviewees expressed positive comments regarding the business process engineering activities and outcomes. All felt the vendor was knowledgeable in terms of Washington Court processes and that they came well prepared. The outcome of the process was viewed as very good although most felt the results where at a high level and additional work will be needed to address the “devil in the details”. - Data clean-up and conversion is an area that will need to be closely monitored given that there is six weeks to go before the scheduled completion of this activity. © 2007 Gartner, Inc. All Rights Reserved. 5

High Core Case Management Assessment Findings – High Risk (Red) § Findings (continued): - The Probation and Detention Project’s efforts to identify and license a commercially available solution that could be included as part of the C-Track rollout was ultimately unsuccessful. Though the effort identified a potential solution, pricing of the product was cost prohibitive. Therefore, the JCS system used by the Juvenile Courts today will continue to serve the Courts until a replacement system is available. - As a result of project budget realignments, planned implementation of help desk and system support activities have been impacted. Implementation planning should take this into account in terms of the number of Courts to be involved in the initial rollout. - Going forward, the governance process will continue to be tested. The need to address policy and programmatic issues as rapidly as possible to mitigate schedule impacts will be critical. - The smooth transition of JISC leadership early next year will be important in terms of maintaining the project’s momentum and the timely mediation of issues that could impact the project’s schedule. - The Courts are beginning to understand the impact of the new system in terms of the transparency it affords them in identifying workflow and process issues and helping drive business process engineering improvements and standardizing processes across all Courts in a given Court level. - The lack of progress on the data exchanges resulting from the reallocation of AOC staff to support CMS has impacted this critical area. Unless addressed ASAP this could in turn impact initial CMS implementation activities. - Although the Courts are becoming increasingly ready for the new system, the goal to implementing twenty plus Courts in six months is aggressive given the complexity of the task, the impact to the Courts, and the fact that this is “new ground” for the AOC. © 2007 Gartner, Inc. All Rights Reserved. 6

High Core Case Management Assessment Findings – High Risk (Red) § Recommendations: - The JISC, Steering Committees and the AOC need to focus on implementation execution: § Define specific exit criteria for the design and development phase. § Define specific entrance requirements for system implementation. § Given the complexities and risks associated with initial implementation, it is strongly recommended that the number of Courts impacted in the first phase be limited as much as possible. Don’t rush to failure. Give yourself plenty of time to address the issues that will arise. § Plan for a post implementation assessment of the initial Courts to ensure the application is providing the envisioned functionality and that business process engineering activities are effective before moving on to other Courts. This will also allow for the validation of infrastructure requirements (e. g. , bandwidth, servers) to support follow-on implementations. § Ensure that the end-user’s support infrastructure (help desk, level two on-site support, help-guides, etc. ) is ready to support implementation activities and supporting processes and procedures have been validated before system rollout activities begin. § Aggressively manage the implementation schedule and all its moving parts on a daily basis. § Move with caution regarding the Probation Case Management and Juvenile Detention Module activities until CMS implementation is well underway and the process has stabilized. Take a strategic view of this effort to ensure that a solid technical solution is chosen. One supported by a viable business partner. § As with any project of this complexity, aggressively manage the budget to avoid cost overruns and scope creep. © 2007 Gartner, Inc. All Rights Reserved. 7

Medium Data Management Assessment Findings – Medium Risk (Yellow) § Progress Assessment: - Data Management activities have stalled due to the reallocation of AOC resources to support CMS. - In addition, the loss of AOC subject matter experts (Tim Bates and Brian Lonardo) could impact progress going forward. § Findings: - The successful implementation and use of the new CMS hinges on the ability to share and exchange data with Court legacy applications. Without validated data exchanges in place, the implementation of CMS is at risk. This area is viewed as Medium Risk given that there is time to assess the plans that are in place and mitigate issues found. Key issues include who will be responsible for exchange interface development, how will it be funded for those interfaces required to replace “screen scraping” today, what third party (application vendor) support will be required? - The AOC will be publishing a set of API’s (application program interfaces) to support the Courts in the development of interfaces to the generic data exchanges. § Recommendations: - The JISC, Steering Committees and the AOC need to focus on implementation execution: § Clarifying what will and will not be provided in terms of exchanges, who will be expected to do what, how will their efforts be funded (i. e. , by the specific Courts, the AOC) and when will all this have to be completed? § Ensure that the Data Management effort is fully staffed to support CMS implementation as scheduled. § Ensure that adequate time is provided to fully test and validate all Court interfaces and data exchanges associated with initial implementation of the CMS. § The Courts need to inventory all “screen scraping” applications then identify what is needed (if anything) in terms of third party (application vendor) support, internal staffing, funding, etc. to develop the needed interfaces to the AOC’s generic exchanges. © 2007 Gartner, Inc. All Rights Reserved. 8

High AOC Organization and Staffing Assessment Findings – High Risk (Red) § Progress Assessment: - AOC hired Gregg Richmond to fill the staffing vacancy left by Stephen Comfort-Mason’s departure. - AOC lost two key staff members during this reporting period, Tim Bates and Brian Lonardo. § Findings: - Gregg Richmond has come up to speed quickly and has earned the respect of his peers. He is delivery focused with a passion for quality. He is committed to doing the right thing in terms of ensuring the AOC delivers a quality product to the Washington Courts. - AOC is still transitioning from a system development focused, to a system acquisition focused organization and thus continues to mature its vendor management and oversight processes. - The Project Management Office (PMO) function that was being developed within the AOC has faltered. Little progress has been made in the last three months. The result being that the AOC has no standardized processes, tools or policies to oversee, assess and manage projects. Although not desirable, the ability to leverage “gray beard” talent within the organization (e. g. , Tim Bates) mitigated this issue to some extent. With Tim’s departure, and the lack of a viable PMO function within the AOC, these duties will fall on Gregg Richmond and other members of the AOC team. Although the team appears to be picking up the slack, this is seen as a significant risk given all the moving parts that need to be managed to support the implementation of the CMS and the data exchanges. - As the projects move into the implementation phase the setting of end-user expectations is critical. The Courts need to know what they will have to do to get ready, what the system will provide, what it will not provide, how issues will be handled following deployment (in terms of resolution action and timeframes), etc. § Recommendations: - Communication from the AOC regarding CMS and Data Management, etc. , will need to be closely monitored to ensure that the communication channels are open and that a consistent message is provided. © 2007 Gartner, Inc. All Rights Reserved. 9

Medium Overall JIS Roadmap Assessment Findings – Medium Risk (Yellow) Gartner rates the overall JIS Roadmap Project at Medium Risk (Yellow). JIS Roadmap Overall Assessment Rating Medium Low None High Current Rating - - Previous Rating Blue Light = Best in Class i. e. , No Risk Green Light = Acceptable to Excellent, i. e. , Low Risk Yellow Light = Caution, i. e. , Medium Risk Red Light = Risk Alert, i. e. , High Risk © 2007 Gartner, Inc. All Rights Reserved. 10 NR* = Not Rated During this Assessment Period NR**= No Assessment was conducted in December, instead Gartner was requested by the AOC to provide two White Papers on recommendations for Data Exchange and Business Process Reengineering R*** = Assessment Finding and Recommendations are under Core CMS

Summary and Conclusion § Although the projects face a number of significant issues, the components of the new CMS and Data Exchanges are coming together. However, there a lot of moving parts to manage and control. Effective management of the end-game will be critical to the projects overall success. § November’s activities (system validation, process engineering, etc. ) will be the litmus test in terms of defining the implementation schedule. The JISC, Steering Committees and the AOC are cautioned not to rush to failure. You have all come too far to let that happen. § If time is needed to address issues in system configuration, testing, database development, or business process engineering, take the time needed to address and resolve those issues even if it results in a schedule impact. The JISC is encouraged to mitigate any push back from the Courts or other areas if that occurs. § All parties need to ensure that there is no customization of the CMS and financial applications to meet Court business process requirements unless the vendors provide documentation that the Washington Court approved modifications will be made a part of the vendor’s core (supported) product set. To modify a single line of code without such assurances would mitigate all the hard work that has taken place, and compromise the Washington Court’s ability to support and maintain the commercial off the shelf applications they have invested so much time and resources into. § Finally, continue to work the staffing issues. © 2007 Gartner, Inc. All Rights Reserved. 11

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Contact Information Client Contact Information Gartner Contact Information Washington State Administrative Office of the Courts Mr. Jeff Hall Telephone: + 1 -360 -705 -5314 E-mail: Jeff. Hall@courts. wa. gov Engagement Manager Mr. Richard Flowerree Office: +1 -619 -542 -4815 Mobile: +1 -619 -515 -1500 E-mail: richard. flowerree@gartner. com