FCR(1999-2000)23

For discussion
on 25 June 1999

CAPITAL WORKS RESERVE FUND
HEAD 710 - COMPUTERISATION
Judiciary
Subhead A025YL Implementation of information systems strategy plan (phase III)

HEAD 80 - JUDICIARY
Subhead 001 Salaries

Members are invited to approve -

1. a new commitment of $67,768,000 for implementing Phase III of the Judiciary Information Systems Strategy; and

2. an increase in the ceiling placed on the total notional annual mid-point salary value of all non-directorate posts in the permanent establishment of the Judiciary in 1999-2000 from $513,923,000 by $2,799,720 to $516,722,720 for creating four non-directorate posts to assist in implementation.

PROBLEM

Although the Judiciary has made good use of modern technology to improve its efficiency and effectiveness with implementation of Phases I and II of the Judiciary Information Systems Strategy (JISS), problems associated with manual processes in the un-automated registries of the Court of Final Appeal, Lands Tribunal, Labour Tribunal and Coroner's Court persist. Moreover, the

Judiciary needs to integrate the total information systems strategy to maximise its efficiency, effectiveness and productivity and to enable it to cope with increased caseload and work complexity.

PROPOSAL

2. The Judiciary Administrator (JA), with the support of the Director of Information Technology Services, proposes to implement Phase III of JISS with a commitment of $67,768,000.

JUSTIFICATION

3. JISS is a three-phased information technology development programme for the Judiciary. With Members' approval, we have fully implemented Phases I and II by November 1995 and July 1998 respectively. Following full implementation of these two phases, the operations of the District Court, the Small Claims Tribunal, the Probate Registry, the Family Court, the High Court and the Court of Appeal have been greatly enhanced. In order to complete the coverage of computer support for all major areas of Judiciary operations and to integrate computer facilities within the Judiciary, JA proposes to implement the final phase of JISS which builds upon the improvements achieved in the first two phases.

Proposed Systems under JISS Phase III

4. Specifically, the proposed systems under JISS Phase III include -

1. Case Management Systems - In view of the successful implementation of Case Management Systems under Phases I and II, we consider a full coverage of all its business areas is essential for building up a Judiciary network for the free flow of case information. In this phase, the proposed systems will cover Court of Final Appeal, Lands Tribunal, Labour Tribunal and the Coroner's Court.

2. Electronic filing of Inland Revenue Department (IRD) tax claims at District Court - In Phase I, we have cooperated with IRD in the pilot run of electronic filing of tax claims using diskette. The process has been a successful test and we consider it timely to proceed to the next phase of the electronic filing system which is a pre-requisite for the vision of a paperless court.

3. ALERT (Automatic LEadership Resource Tool) - ALERT is an integrated case management and human resources information system which translates operational data across all Courts and Tribunals into timely and meaningful information. It will provide a means for top level management to quickly determine the status of key court performance indicators and enhance the Judiciary's responsiveness to problem solving and risk management.

4. Accounts system connection to Case Management Systems - The proposed system will link the accounts offices at the Lands Tribunal and the Labour Tribunal electronically to the Case Management Systems at the respective registries. This will provide a much better service to the patrons and will improve the waiting times between case settlement and collection of judgment payments.

5. Public Payment and Information Systems - The Public Payment System will afford members of the public more choices of locations and time to their convenience in making court payments through ATM machines or like devices. On the other hand, the Public Information System will improve the public access to timely court information at the High Court and the District Court through automated information panels.

6. Enhancement of existing systems - Under this phase of JISS, the existing Case and Summons Management System for Magistracies (CASEMAN) will be enhanced in order to strengthen its interface with the Transport Department and the Correctional Services Department. In addition, the existing Resources and Operations Management Automation (ROMA) will be further developed to include the Career Development and Integrated Judicial Appointments and Placement modules, which will facilitate the human resources management of the Judiciary staff.

We set out at Enclosure 1 details of the proposed systems.

Benefits of JISS Phase III

5. Upon successful implementation of JISS Phase III, there will be significant tangible benefits, including -

1. improved public service and access to justice services;

2. improvement in the efficiency, effectiveness, economy and, ultimately, the productivity of the Judiciary;

3. opportunities for external interface with the public and other government departments; and

4. integration of the Judiciary's information and processes to improve the whole organisation.

We set out at Enclosure 2 the specific improvements in public service as brought about by JISS Phase III.

6. In addition, the enhanced efficiencies, improved communication, and system integration to be gained by the proposed systems will enable the Judiciary to achieve far more important ends rooted in the core purpose of the Judiciary, namely, preservation of the rule of law; access to fair and equal justice; responsive service to the community; public accountability for performance; and public trust and confidence. Progress towards these goals are the important intangible benefits of JISS Phase III. We set out at Enclosure 3 details of these intangible benefits.

7. We envisage that upon implementation of JISS Phase III, the operations of the Judiciary will be further enhanced and this will lead to improved performance. We set out at Enclosure 4 comparisons between existing and improved performance in the Lands Tribunal, Labour Tribunal and Coroner's Court; at Enclosure 5 the proposed standards of timely disposition of cases following the implementation of ALERT; and at Enclosure 6 performance indicators following the implementation of public payment systems based on statistical averages from start-up using ATM.

8. On cost savings, we estimate that the proposed project will generate an annual saving of $17,617,000, comprising -

1. Realisable savings of $2,584,000 - This represents the staff costs of three Assistant Clerical Officer (ACO), four Typist and three Clerical Assistant (CA) posts. Seven (one ACO, four Typist and two CA) of these posts will be realised by December 2000 and the remaining three (two ACO and one CA) by September 2001 when ALERT development is completed.

2. Notional savings of $9,490,000 - This is the majority of savings that arise because of reduced or eliminated staff effort and time in all areas covered by JISS Phase III. While it may not be practicable to realise the time and effort savings spread over a large number of offices and staff, the Judiciary will clearly be in a position to absorb some increases in caseload as a result of this phase of computerisation. In addition, JA will review the situation in light of caseload changes. Should there be no evident increase in workload, he will make use of these savings to produce tangible results.

3. Cost avoidance of $5,543,000 - The consultant conducting the feasibility study calculated that 10% of the time of each post holder in each of the judicial entities embraced by JISS Phase III development would be saved, thus avoiding the cost of additional resource allocations in the future to accommodate increasing workload. Similar to the case of notional savings, JA will review the position and will turn these savings into tangible benefits if there is no evident increase in workload.

Cost and Benefit Analysis

9. A cost and benefit analysis of JISS Phase III is at Enclosure 7. This phase completes automation and integrates all three JISS phases. Although there is no break-even point for this phase of the investment, the proposed project is justified on operational grounds and the main benefits are intangible - to enhance the efficiency of the Judiciary and hence its services to the public, thereby improving the access to justice. The greater use of information technology and the integration of JISS will also assist the Judiciary to attain targets associated with the Enhanced Productivity Programme.

FINANCIAL IMPLICATIONS

Non-recurrent expenditure

10. We estimate that the total non-recurrent cost for implementing the JISS Phase III will be $77,882,000, broken down as follows -

	1999-2000 $'000	2000-01 $'000	2001-02 $'000	Total $'000
Non-recurrent expenditure for which we are seeking a commitment
(a)Computer hardware and software	3,104	8,256	4,618	15,978
(b) Communication network	857	2,166	335	3,358
(c) Site preparation	1,956	1,788	532	4,276
(d) Training/Consumables/ Miscellaneous	289	474	67	830
(e) Data conversion	200	100	-	300
(f) Implementation services	9,283	20,981	6,601	36,865
(g) Contingency	-	-	6,161	6,161
	______	______	______	______
Sub-total	15,689	33,765	18,314	67,768
	______	______	______	______
Other non-recurrent costs
(h) Judiciary staff costs	3,251	4,335	2,528	10,114
	______	______	______	______
Sub-total	3,251	4,335	2,528	10,114
	______	______	______	______
Total	18,940	38,100	20,842	77,882
	______	______	______	______

11. As regards paragraph 10(a), the expenditure of $15,978,000 is for the acquisition of computer hardware and system software. They include eight database servers, 223 workstations, public display panels and firewall security facilities.

12. As regards paragraph 10(b), the expenditure of $3,358,000 is for expanding the existing Judiciary-wide network that connects 15 Judiciary premises.

13. As regards paragraph 10(c), the expenditure of $4,276,000 is for site preparation work, including the establishment of a computer room at the Eastern Law Courts Building, installation of additional power supplies and conduits for the computer network.

14. As regards paragraph 10(d), the expenditure of $830,000 is for the provision of training in Chinese input, and the acquisition of consumables and miscellaneous items during project implementation.

15. As regards paragraph 10(e), the expenditure of $300,000 is for the conversion of data relating to Lands Tribunal and Labour Tribunal cases over the past three years, and those relating to Coroner's Court cases over the past one year.

16. As regards paragraph 10(f), the expenditure of $36,865,000 is for contract services to undertake system development and network installation. In this phase of JISS, the emphasis, among other things, is on the integration of the total information systems strategy, the interfacing with external parties and the further development of performance indicators and standards. All these integration and interfacing endeavours are human resource-intensive and require substantial input from the external service provider.

17. As regards paragraph 10(g), the expenditure of $6,161,000 represents a 10% contingency in respect of the items set out in paragraphs 10(a) to (f).

18. As regards paragraph 10(h), the expenditure of $10,114,000 represents the Judiciary staff costs of 28 man-months of Chief Judicial Clerk (CJC) and 84 man-months of Senior Judicial Clerk I (SJC I) for implementation of the new system from July 1999 to October 2001. These officers will be responsible for the re-design of forms and documents, supervision of data conversion, co-ordination of site preparation, equipment installation and training. In terms of posts required in 1999-2000, this involves one additional CJC and three additional SJC I posts, with a total notional annual mid-point salary value of $2,799,720. To enable these posts to be created in 1999-2000, JA proposes to increase the establishment ceiling of the Judiciary by the same amount.

Recurrent expenditure

19. We estimate that the recurrent expenditure and costs are as follows -

20. As regards paragraph 19(a), the annual expenditure of $1,144,000 is to meet the maintenance service charges for the computer hardware and system software.

21. As regards paragraph 19(b), the annual expenditure of $510,000 is for the maintenance of the communication network equipment and for the rental of communication lines.

22. As regards paragraph 19(c), the annual expenditure of $9,246,000 is for contract services to provide on-going system support and maintenance. As explained in paragraph 16, the emphasis of JISS Phase III is on integration and interfacing. Maintenance of the proposed systems is therefore human resource-intensive and requires substantial input from the external service provider.

23. As regards paragraph 19(d), the annual expenditure of $456,000 is for the provision of consumable items such as toners and paper for the printers, and tapes for backup purposes.

24. As regards paragraph 19(e), the annual expenditure of $4,614,000 represents Judiciary staff costs of two CJC and two SJC I posts. These posts are required to undertake the additional system administration work and to provide additional supervisory input to cope with the increase in processing capacity brought about by the efficiency improvements. The Judiciary will absorb the staffing requirements by internal redeployment.

Implementation Plan

25. We plan to implement the JISS Phase III through a phased delivery approach of the major system functions in accordance with the following timetable -

BACKGROUND INFORMATION

26. In 1991 the Judiciary commissioned a consultancy study to advise on areas where the application of information technology can bring about improvements in service and efficiency and to recommend a strategy for implementation. We completed the study in mid-1992. The consultants proposed the provision of information technology support to all the main operational functions of the Judiciary on a phased basis.

27. The Finance Committee approved funding for Phase I of the implementation plan for JISS on 10 June 1994. We successfully completed implementation on schedule in November 1995. In the same year, we commenced a feasibility study of Phase II. The Finance Committee approved funding for implementation of Phase II on 13 December 1996 and we successfully completed its implementation in July 1998 as scheduled. Both Phases have achieved their objectives in providing improved services to the public, increasing the handling capacities, reducing court waiting times and improving operational efficiencies at the various judicial entities.

28. In December 1997 we commenced a feasibility study of Phase III which was completed in August 1998. We now seek Members' funding approval for implementation of Phase III, which is the final phase of JISS.

Judiciary
June 1999

Enclosure 1 to FCR(1999-2000)23

Case Management Systems

The expanded implementation of case management systems that cover the Court of Final Appeal, Lands Tribunal, Labour Tribunal and Coroner's Court under JISS Phase III aims to address the problems associated with manual processes in the remaining un-automated Registries. Each of these case management systems will repeat the improvements gained from previous phases, namely -

• maintain a record of case files and documents filed, as well as provide an indexing and search capability for Judiciary staff and the public;

• track case events and alert the user when additional action is required, such as listing a case or destroying a case file;

• generate standard notices, letters and other documents;

• record minutes and generate endorsements and orders;

• set hearing dates and manage listing with computer assistance;

• request interpreters when needed; and

• prepare case status and other management information reports.

Electronic filing of Inland Revenue Department (IRD) tax claims at District Court

2. The Electronic Filing System under JISS Phase III will implement electronic filing as a pilot scheme using a two-way exchange of data (including some scanning of documents) rather than hard copy documents. The System will work in conjunction with the District Court's case management system to -

• accept electronically submitted writs of summons and assign action numbers to cases;

• transfer case status, document filing, service details, hearing results between District Court and IRD in respect of Civil Actions;

• accept electronic filing in the form of structured data (including some scanning of documents);

• provide security features to authenticate and protect filed documents and data; and

• allow flexibility to revert an electronically filed case to a manual case file if needed.

3. Procedures, protocols, policies, rules and safeguards established in this application will enable the Judiciary to expand electronic data interchange, if the pilot scheme is successful, into future applications as computerisation and demand becomes more widespread. This will address the need for expanded external interfaces in the Judiciary.

ALERT (Automated LEadership Resource Tool)

4. ALERT uses data from across all of the Courts and Tribunals for evaluation and analysis of case management, measured against established standards. It aims to address the need for improved management information systems in the Judiciary by adopting a "filing to disposition" approach to fully appraise the time a case takes to complete. Automated management information data collection exists in the Magistracies, District Court, High Court, Small Claims Tribunal, Probate Registry and Family Court, but the data generated from existing case management systems is only used primarily for individual registry functions (i.e. for case tracking) and is not integrated for system wide analysis and management information purposes. After JISS Phase III, all Courts and Tribunals will have automated Case Management Systems that will capture most of the necessary data. ALERT will be a dynamic transformation from the collection of static monthly data produced manually to the production of data that is on-line for instant interpretation by managers and management.

5. A graphic user interface will provide access to colour-coded performance indicators that identify problem areas of court operations. The functions include -

• define standards and performance indicators;

• interface with all case management systems of the Judiciary to obtain case and hearing related data for analysis;

• interface with Resources and Operations Management Automation to obtain staff and personnel data for analysis;

• store extracted and consolidated data obtained from various computer systems in the Judiciary for further analysis;

• produce management-interested statistics report; and

• provide notification on screen for indicators deviating from defined standards or reference.

Accounts system connection to Case Management Systems

6. Electronic connectivity of Accounts Offices to case management systems at the magistracies exists and the Judiciary has decided to extend this by linking the Lands Tribunal and the Labour Tribunal Accounts Offices to the case management systems at the respective registries. Registries in the higher courts already have accounts recoverable systems put in place by Treasury that are considered adequate. The Lands and Labour Tribunal systems will -

• provide automation of cashiering, receipting, and settlement functions at each of the above Accounts Offices associated with the respective registry;

• share relevant data with the case management systems at each Tribunal in order to reduce data entry, increase integrity of data, and improve services to the public;

• provide a much better service to the patrons at these two tribunal buildings, many of whom are not legally represented; and

• improve the present long waiting times between settlement and collection of judgment payments.

Public Payment and Information Systems

7. The Public Payment System aims to expand financial transaction options for the public and provide the ability for defendants to pay Fixed Penalty and Court fines at the ATM machines around Hong Kong. The system will -

• interface between ATM service providers and the existing case management systems of the Judiciary for payment orders and payments received;

• cater for refund procedures; and

• establish a firewall to protect the interface between the Judiciary and the ATM service providers against illegal access.

8. The Public Information System aims to improve services to the public at the High Court and the District Court by providing automated listing information monitors on those floors where the public frequently visit to obtain court information. The system will -

• interface with the various case management systems to obtain hearing related data; and

• display daily cause lists in bilingual form.

Enhancement of existing systems

9. The external interfaces with CASEMAN (Case and Summons Management System for Magistracies) will be enhanced and the functionality of ROMA (Resources and Operations Management Automation) will be extended.

10. The CASEMAN enhancements aims (i) to reduce the document flow of Driving-Offence Point (DOP) summonses between the Magistracies and the Transport Department and (ii) to improve the accuracy and completeness of defendant information exchanged between the Judiciary and the Correctional Services Department (CSD). The enhanced functions will -

• print DOP Summonses, DOP Certificates and related documents in a single automated step; and

• pass on higher court case numbers, future hearing dates and hearing results to the CSD and receive remand numbers and places of custody from the CSD.

11. The extension of ROMA aims to provide information to facilitate long-term manpower planning, and career development planning for the Judiciary staff members. The system shall provide turn-over patterns, retirement projections, resources demand projections and matching of staff skills and experiences profiles with job requirements.

Enclosure 2 to FCR(1999-2000)23

The proposed systems under Judiciary Information Systems Strategy Phase III will provide ample opportunity to improve public service by altering barriers of time, distance and the necessity for personal appearance. Among the specific public service benefits derived from the systems are -

• court filings that previously were only acceptable in hard copy may now be filed electronically;

• payments for fees and fines that had to be paid in person may be paid at alternative convenient locations and times, with the proposed Public Payment System;

• case status enquiries no longer require locating the physical case file;

• case enquiries no longer require knowledge of the case number when the computer databases contain a cross-indexing capability to locate files; and

• interaction of the Judiciary with other government departments is improved when mutual accessibility of computer files is provided.

Enclosure 3 to FCR(1999-2000)23

Affordable costs of access

Responsive judicial administration requires Courts and Tribunals to be open and accessible. Measured in terms of money, time, or convenience, electronic filing and automated public information and payment systems will improve accessibility to the public.

Courtesy and responsiveness to the public

2. Improved computerisation and integrated information systems afford the opportunity for the Judiciary to be more responsive to the public it serves. Staff will be less dependent upon labour-intensive manual processing and reliance upon physical case files. Technological efficiencies will enable improved courtesy and responsiveness, as automated information technology handles routine enquiries and time is freed for staff to address more complex matters.

Timely case disposition

3. Untimely Court decisions and actions are primary causes of diminished public trust and confidence in the Courts. The recommended case management and accounts systems, electronic filing, and remote automated information systems will result in more expeditious and timely case processing. An integrated case management and human resource information system will enable Judiciary leaders and managers to spot and remove more readily the bottlenecks to timely disposition of cases.

Compliance with Court processes

4. The public expectation of the Judiciary is focused on responsiveness and outcomes. A responsive Court is structured by procedures and processes which should lead to fair and timely justice and compliance with orders. To the public, however, these procedures and processes are often incomprehensible. The recommended information technology projects facilitate compliance with established processes. Computerised records in the case management systems are easier to track. The public payment and information systems improve both accessibility and timely compliance; and the improved management information will enable Judiciary leadership to identify and respond more effectively to a lack of compliance with Court processes.

Production and preservation of records

5. The Judiciary is a paper intensive institution. Equality, fairness, and the integrity of the Judiciary depend in substantial measure on the accuracy, availability and preservation of records. Computerisation improves production, preservation and retrieval of the Judiciary's records.

Clarity

6. Courts should ensure that their processes are clear and unambiguous to the public they serve. Automation, especially automated public information systems of the type recommended, helps achieve this clarity. At their best, the recommended information technology systems and projects enable the Judiciary to educate and inform the community about its processes and structures.

Public accountability

7. Public accountability includes identifying public expectations and responding appropriately to those expectations. It includes responsibly seeking, using and accounting for scarce public resources, and monitoring and controlling operations. The recommended case management and human resource information systems facilitate this public accountability.

Streamlined document flow between Magistracies and Transport Department

8. With the enhancements of Case and Summons Management System for Magistracies, three dispatch steps between the magistracies and Transport Department are eliminated in the issuance of the Driving-Offence Point (DOP) summonses to the drivers. The marrying of certificates to individual DOP summonses by the Transport Department is also eliminated. Hence, the document handling process is vastly simplified and the time required to issue the DOP summons is reduced by about one week.

Enhanced communication between Judiciary and Correctional Services Department (CSD)

9. Improved accuracy and completeness of inmate/defendant information exchanged between the Judiciary and CSD shall reduce confusion in identification of inmates/defendants. Chances of mis-match of defendant will be reduced. Data integrity and consistency between computer systems will be enhanced.

Better human resources planning

10. Resources and Operations Management Automation enhancements allow the exercise of post requirement matching to be performed in a more efficient and systematic manner. Furthermore, it also facilitates the long-term career development planning for staff members in the Judiciary.

Enclosure 4 to FCR(1999-2000)23

Improvement Area	Existing Performance	Improved Performance
Lands Tribunal
Number of queues claimants must stand in to file documents/pay fees	3	1
Time spent queuing to file documents/pay fees	20 minutes	10 minutes
Time to receive refund of Bailiff's deposit	3 to 5 weeks	2 weeks
Time until information from Court hearing is available to claimant at Registry counter	15 minutes	immediately
Number of enquiries that can be answered without pulling the case file	0	10 per day
Labour Tribunal
Number of queues claimants must stand in to file documents/pay fees	3	1
Time spent queuing to file documents/pay fees	20 minutes	10 minutes
Number of enquiries that can be answered without pulling the case file	0	30 per day
Coroner's Court
Time for receipt of documents from mortuaries*	1 to 3 days	1 day
Number of enquiries that can be answered without pulling the case file	0	25 per day

*enables the issue of the burial order one day earlier to the family of the deceased

Enclosure 5 to FCR(1999-2000)23

Enclosure 6 to FCR(1999-2000)23

Enclosure 7 to FCR(1999-2000)23