Scotland's ICMS System: Enhancing Digital Case Management and Online Hearings, Exams of Technology

Download Scotland's ICMS System: Enhancing Digital Case Management and Online Hearings and more Exams Technology in PDF only on Docsity! v Developed with the right systems and infrastructure Delivered with our people and partners Criminal court business Civil court and tribunal business Online services and information Core infrastructure Digital Strategy – 2018-2023 Informed by policy and evidence 2 3 Our Digital Vision – Executive Summary Over the next 5 years the Scottish Courts and Tribunals Service will deliver an ambitious programme of reform, working continually to improve the administration of justice. This strategy sets out the key digital developments of that programme on which we will focus. Digital is not an end in itself – but it is clear that well targeted development and investment in digital technology can increase the effectiveness and efficiency of the services and support we provide to the judiciary, to all those who use our services and to those who work to deliver them. To ensure that our work is well informed, developed and delivered this strategy is founded on three key principles that underpin our approach to digital development and investment. Our approach to digital will be:  Informed by policy and evidence;  Developed with the right systems and infrastructure;  Delivered with our people and partners. Further detail on these principles can be found at pages 5-6. The strategy identifies four priority areas – these are the areas in which digital innovation and development can deliver significant improvements to the administration of justice.  Criminal court business;  Civil court and tribunal business;  Online services and information;  Our core infrastructure. The bulk of this strategy (pages 7-16) considers these areas in turn – setting out why each is a priority; where we are at present; and what we will do to make progress – the key actions. A summary of the fourteen key actions set out under the four priority areas is provided below. Criminal court business (priority 1, pages 7-10) 1. We will fully support the development and implementation of the Digital Evidence Sharing Capability (DESC) project – as a key prerequisite to reform of the summary justice system. 2. As the DESC project develops we will enhance our criminal case management system – ensuring it will be ready to support full digital case management and online hearings. 3. We will complete the roll-out of high quality video links across our estate to allow the efficient handling of procedural business between courts, prisons and, in due course, police custody units. 4. We will create new purpose built facilities for the taking of Evidence by Commissioner, making best use of technology. 5. We will work with the Scottish Government to develop and implement the provisions of the Vulnerable Witnesses (Criminal Evidence)(Scotland)Bill, to improve the process of taking evidence from child and other vulnerable witnesses – using technology to reduce appearances in court. 4 Civil court and tribunal business (priority 2, pages 11-12) 6. We will continue to invest in the development of the Integrated Case Management System (ICMS) introducing online case submission and management – commencing with simple procedure cases ahead of a phased roll-out across the full range of civil court business in the sheriff court. 7. We will use the platform provided by ICMS to enhance our digital case management capabilities in the Court of Session, followed by the devolved tribunals and OPG on a phased basis – supporting the further roll-out of online case submission and active judicial case management. 8. We will use technology to enhance and support the work of Scotland’s devolved tribunals, recognising the need to develop approaches that support the tribunal judiciary as they deliver justice across a wide range of locations and operating models. Online services and information (priority 3, pages 13-14) 9. We will continue to increase the range of transactional services that we make available online, introducing the ability to pay court fees via the ICMS system and extending the ability to pay fines online to all fine types, removing the restriction on online payment in cases where a driver’s licence requires endorsement. 10. We will develop a jurors’ hub – creating a one stop shop for jurors to access online – providing information on their role, attendance and supporting claims for expenses. 11. We will consolidate our web presence, reviewing and updating sites on a prioritised basis – including a full upgrade of the core SCTS website to ensure it provides high-quality access to information, advice and services. Core infrastructure and systems (priority 4, pages 15-16) 12. We will continue to develop and upgrade our core infrastructure – rolling out the latest operating system and implementing a new unified communications platform to further improve both the functionality and resilience of our network and systems. 13. We will continue to invest in the hardware provided to the judiciary and staff, through a rolling programme of upgrades – allowing us to make the most of new developments including digital evidence presentation, virtual hearings and recording of all relevant business. 14. We will embed cyber resilience into our approach so that we are prepared, secure and able to recover from incidents that take place. We will secure “cyber Essentials Plus” accreditation and maintain membership of the Cyber-security Information Sharing Partnership. Governing and Monitoring Progress The strategy (p17-18) also sets out how delivery will be managed and progress monitored, stressing that successful delivery will require us to have:  the right governance – to oversee and deliver our priorities;  the right culture – to create an environment in which we can develop and succeed; and  the right skills – to be able to develop, deliver, work in partnership and continually innovate the services of the future. New approaches that improve our service – a new child friendly website for the additional support needs jurisdiction 5 Our Approach to Digital – Key principles Whilst the case for making greater use of technology to improve the administration of justice is compelling, it is crucial that we choose the right developments for the right reasons; that we plan and invest in them properly so they will succeed; and that we implement them in such a way that they are understood, adopted and used to the full. Over the course of the next 5 years we expect to see a continuation in several trends that have emerged as we have started to take advantage of the benefits that technology can bring –  The shift from paper based to electronic processes will continue;  Uptake of digital services will lead to a reduction in the number of people attending court and tribunal facilities – and to the frequency of visits required for those who do need to attend;  The public expectation for information and advice to be available online and for services to be delivered digitally will continue to grow;  Our understanding of what constitutes the “best evidence” to be presented in a hearing may change – as we consider both the role technology can play and the impact of appearances in person on particular groups – especially child and vulnerable witnesses;  The desire of all particpants to move to electronic evidence presentation and virtual courts. These are significant trends that could lead to quite fundamental changes to the way in which court and tribunal business is delivered over the longer term. For those reasons we have established three key principles that underpin our approach to digital development and investment – to ensure that all our activity is effectively informed, developed and delivered. As we take forward specific initiatives and projects over the coming years we will ensure that their development observes these principles, supporting the efficient and effective administration of justice and maximising the likelihood of success. Our approach to digital will be: i. Informed by policy and evidence We do not begin with the notion that digital is “the solution” to the challenges we face in the abstract. We start from the position that we want to deliver the most effective and efficient service in the future – and consider what needs to be done in order to achieve that. We do this through a range of well-established and organised policy programmes, run in collaboration with other justice organisations. At present these include the Evidence and Procedure Review, the Civil Court Reform Programme and the Tribunal Reform Programme. The principal objectives for these programmes over the coming years are set out in the SCTS Corporate Plan. These, in turn, support delivery of the broader vision and priorities for Scotland’s justice system – agreed by the Justice Board for Scotland. Each of our programmes brings together the right people to consider how the operation of the system can be improved – and the role that digital services and new technology could play in that improvement. They also consider the sequencing of activity, with a view to avoiding the risk that we invest in automating existing ways of working without asking whether they are as effective as they can be and whether the potential benefits of technology may require the way in which we do business to be reconsidered. By taking this approach we ensure that digital development is informed by the needs of the judiciary and service users and that, we “innovate before we automate”. Our approach to digital is informed by our broader plans and programmes of work 8 What will we do over the period of this Strategy? A New Model for Summary Criminal Justice The case for further reform of the summary justice system is strong. In 2015-16 approximately 52,000 trial diets called in the sheriff court but only 9,000 proceeded with evidence being led. In the same year it was estimated that some 460,000 witnesses were cited to give evidence but only 92,000 were required to do so. The propositions of the Evidence and Procedure Review seek to improve the operation of the system, putting stronger case management at its core, based around the following principles:  Wherever possible all pre-trial procedure should take place as part of a digital case management process, with court hearings only for contested pre-trial pleas or case management issues.  Intermediate and trial diets should no longer be allocated when a not guilty plea is lodged. Trial diets should only be allocated (and witnesses cited) once the case management process is complete.  Strong judicial oversight of the case management process should be applied to bring about more agreement of evidence where possible, and to ensure trials focus on what is truly in dispute.  In those cases in which guilty pleas are tendered, there should be the option, where appropriate, for sentencing to be conducted without the need for the accused to appear in court. Implementing this model would represent the most significant overhaul in our criminal justice process in living memory – and will take time. One of the key prerequisites will be the development of a cross justice solution for the handling of digital evidence. The Scottish Government is leading the development of this through the Digital Evidence Sharing Capability project. The objective of this project is to allow digital sharing of all evidence required to manage criminal cases – evidence would be captured once and made available, as appropriate, to all parties involved in a case. This has the potential to deliver significant efficiencies by:  removing delay by providing real-time access to evidence whenever and wherever required;  enabling early case management hearings to take place;  witnesses only being cited for trials that are likely to proceed;  avoiding the repeat handling and storage of physical productions; and  providing accurate audit logs for disclosure purposes i.e. who has seen what and when. The project is still in the design stage – the timescale on which significant change can be achieved will be heavily dependent on its successful introduction and uptake. Action 1– We will fully support the development and implementation of the Digital Evidence Sharing Capability (DESC) project – as a key prerequisite to reform of the summary justice system The second significant change that will be required to realise this model is an enhanced digital criminal case management system. This will also be a major undertaking as the system will need to be able to facilitate full digital case management. For such a system to be effective it will need to be able to support communication between all parties to a case including the judiciary, prosecution, defence and court administrators. Ideally a system of this nature would provide the ability:  for participants to appear virtually via video link;  for all parties to view the same version of the “electronic case file” with real time access to supporting case papers for the hearing in question;  to simultaneously view and comment on any “digitised evidence” led at the hearing; and  to store a record of the proceedings as part of the official court record. 9 In relation to more minor offences where guilt is not disputed such a system may also allow the accused to respond online to the charges made and for financial penalties to be administered by the court without any need for physical appearance. There should be no doubt that the changes proposed represent a radical shift from the existing system – redefining access to justice based on a digital model as opposed to the current outdated processes. Implementation of this approach will require leadership and collaboration across the justice system. It will also require legislative change and significant investment up-front to create a faster, fairer system that can be delivered at a lower ongoing cost. And it will require a recognition that the costs and savings may not fall equally to any one organisation. The full realisation of this approach will extend beyond the 5-year span of this strategy – we believe it to be the best approach however – which will deliver a modern system meeting public expectation and at a lower public cost in future. Action 2 – As the DESC project develops we will enhance our criminal case management system – ensuring it will be ready to support full digital case management and online hearings. Improving processes and tackling case “churn” is at the very core of the proposals of the Evidence and Procedure Review. As it will take time to develop and introduce the proposed new model a number of other actions will be taken forward in parallel. A range of “interim measures” will be piloted over the coming year to identify reforms to the summary justice system capable of delivering improvement, which will be developed and implemented as part of our work to create a new “system model”. These pilots may further inform our digital agenda, but may also lead to practical improvements that can be introduced more quickly. We will also ensure that our core infrastructure remains resilient, flexible and up to date – in order that it can accommodate new developments. Further information on our core infrastructure can be found at section 4.4. It is clear at this point that we will increasingly need to be able to support remote communications to realise the benefits of digital case management and hearings – and that effective video links will play a key part in that development. Action 3 – We will complete the roll-out of high quality video links across our estate to allow the efficient handling of procedural business between courts, prisons and, in due course, police custody units. 10 Hearing Room plans for the new video evidence suite in Glasgow A new approach to taking evidence from child and vulnerable witnesses Victims and witnesses often find themselves involved in the court system through no action or fault of their own – and the role they play is crucial. Significant improvements in the service provided have been achieved over the past few years, including the introduction of service standards agreed by all major justice organisations and the extension of access to “special measures” for witnesses in a broader range of circumstances – including the option of giving evidence via video link. The work led by the Evidence and Procedure Review noted that the experience of giving evidence in court can be particularly distressing for child and vulnerable witnesses. Our vision for the future is that every child and vulnerable witness should be supported to give their evidence:  as early as possible in the proceedings;  in the course of one forensic interview, where appropriate; and  in an environment away from the court. That approach minimises the likelihood of subjecting the witness to further harm or trauma and allows them to give their best evidence as early as possible, whilst recognising the need not to compromise the fairness of the trial or the rights of the accused. This goal is recognised by the Scottish Government who have announced their intention to introduce appropriate changes to legislation to support the greater use of pre-recorded evidence in the criminal courts, eliminating the need for children in particular to have to attend court. Technology has a significant role to play in realising the success of this approach. A suite of evidence taking facilities will be opened in the state-of-the-art Glasgow Tribunals centre, alongside a supporting control room and editing suite. These rooms will be multi-functional, supporting the work of both the courts and tribunals. Three vulnerable witness rooms with special furnishings will also be provided. Young people have been involved in the design of these facilities, with the aim of minimising the stress and trauma of giving evidence - using multiple discreet cameras and mirrored glass to create a more reassuring environment. We will also refurbish existing facilities in Edinburgh and create new permanent facilities in Aberdeen and Inverness as an integral part of the new Justice Centre that is under construction. These dedicated facilities, together with the impact of the Lord Justice Clerk’s Practice Note, will allow evidence to be taken on commission in a greater proportion of appropriate cases – making use of technology to improve both the quality of evidence captured and the experience for those required to give it. Action 4 – We will create new purpose built facilities for the taking of Evidence by Commissioner, making best use of technology. Action 5 – We will work with the Scottish Government to develop and implement the provisions of the Vulnerable Witnesses (Criminal Evidence) (Scotland) Bill, to improve the process of taking evidence from child and other vulnerable witnesses – using technology to reduce appearances in court. 13 Online payment of fees and fines offers convenience to the user and efficiency and security to SCTS Jurors can view a video explaining what to expect before attending court Priority 3 Online services and information Why is this a priority area for us? The majority of Scots do not find themselves having to deal with courts or tribunals regularly – however, when they do, it may be at a significant or stressful point in their lives. That being the case it is important that they are able to access the information and advice they are looking for quickly and conveniently. The increase in both internet usage and means of accessing the web has made getting to advice and information easier than ever – it is incumbent on us to ensure that, when people reach that information, it meets their needs in the most effective way. Whilst contact with the system may be an infrequent experience for most that does not mean that our customers will expect routine transactions to be inconvenient – they will expect courts and tribunals to be able to deal with a range of transactions online. It is in their interests, and ours, that we should be able to do so. Where are we now? The SCTS website contains a range of static and dynamic advice and information that is accessed frequently by both professional court users and members of the public. Traditional information such as static pages on types of procedure and advice on what to do in particular circumstances is complemented by more modern content such as video guides on what to expect in court if you have been cited as a potential juror. In addition to the core SCTS website we manage around 20 other websites providing information on a range of tribunals and the work of the Office of the Public Guardian. We also provide advice and information that is hosted on mygov.scot, which acts as a hub for information on public services in Scotland. A number of the more simple transactions that customers wish to process with us can be carried out online. For example over 110,000 fines payments are made per year by automated means (online or via our automated telephone service) reducing significantly the number of people who need to attend public counters at court to pay. It is also possible to apply for a Power of Attorney online – last year some 35,000 submissions for the registration of a Power of Attorney were made online, accounting for 55% of initial submissions made. We also provide an online channel for cited jurors to acknowledge the receipt of their citation, check the information and advice we provide on jury trials, and download forms. What will we do over the period of this Strategy? Priorities 1 and 2 in this strategy have already set out our ambitions in relation to increasing the role played by technology in case management and the potential for a far greater proportion of procedural court business to be managed using technology – supported by virtual hearings in the longer term. In early 2018 we launched a new criminal online portal – allowing over 12,000 unique users from a range of justice and third sector organisations to access specific case information which they have a legitimate need to view in order to support case management or provide services and support to victims, witnesses or the accused. 14 The appetite for a service of this nature underscores the importance of providing case information in a format that can be accessed digitally. Moving from the ability to access such information to a position where more of the administration of cases can be carried out online has significant potential benefits for both SCTS and those using its services. Across the broader range of services administered by SCTS we will continue to review those that are capable of supporting online transactions with a view to introducing these. In particular, we believe that the payment of fees and fines is a core transaction that should move towards online processing as fully as possible – as this offers efficiency and security benefits for both customers and the organisation. The introduction of our Integrated Case Management System will increasingly allow fees to be paid as an integral part of the application process. In relation to fines some legislative constraints currently exist which preclude certain road traffic offences from online payment – we are working with the UK and Scottish Governments in order to remove those constraints. Action 9 – We will continue to increase the range of transactional services that we make available online, introducing the ability to pay court fees via the ICMS system and extending the ability to pay fines online to all fine types, removing the restriction on online payment in cases where a driver’s licence requires endorsement. Whilst we currently offer a range of advice and information to jurors online, there is scope to improve the service so that communication, attendance and the payment of expenses are co-ordinated through an online hub – providing convenience to jurors, more accurate information for court administrators and increased speed and security in the payment of expenses. Action 10 – We will develop a jurors’ hub – creating a one stop shop for jurors to access online – providing information on their role, attendance and supporting claims for expenses. As an organisation our span of responsibility has grown over the past 5 years, through changes in policy and the merger of the administration of Scotland’s courts and devolved tribunals to create the SCTS. Whilst we continually update the content published on our websites to ensure it remains relevant and up to date the organisation has inherited a range of different sites, many of which were developed by other organisations. There are a variety of underlying technologies and hosting partners involved in the current development and maintenance of these sites. Consolidation of our “web estate” has the potential to improve consistency, ensure that high security and design standards are met and to provide value for money as we develop and maintain our online advice, information and services over the coming years. As we consolidate the maintenance and hosting of the sites we have the opportunity to redesign those sites where appropriate – providing more intuitive advice and information services that will allow users to quickly find the right information and seek a speedier resolution of their dispute. We have already launched several new websites for devolved tribunal jurisdictions – and plan to pilot our new approach in the development of the Mental Health and Social Security Chamber websites which will be developed towards the end of 2018. Action 11 – We will consolidate our web presence, reviewing and updating sites on a prioritised basis – including a full upgrade of the core SCTS website to ensure it provides high-quality access to information, advice and services. Current Internet use in Scotland (source – Scottish Government Digital Strategy) 15 Priority 4 Core infrastructure Why is this a priority area for us? In the past the majority of our business has been delivered through hearings conducted in court and tribunal buildings – which provide effective, secure and accessible venues in which justice can be administered. We continue to use that physical infrastructure to good effect, but if we are to increase the digital delivery of services we must ensure that our core digital infrastructure is also effective, secure and accessible. In addition to paving the way for services to be delivered in more effective ways our core infrastructure forms a key part of the backbone which keeps SCTS running every day. As the judiciary and staff of the SCTS work to improve the administration of justice we must ensure they have the tools to do so – supported by a flexible, resilient infrastructure through which they can transact, communicate and administer the business. Where are we now? Over the past 5 years we have invested significantly in addressing long-standing “technical debts” – upgrading out-of-date infrastructure which, whilst still functional, did not provide a firm foundation for a step change in digital delivery of services. Some of the key activities completed include:  A complete upgrade of our local and wide area networks – ensuring that they are fit for the future;  A consolidation of our data centres, and upgrade of all key infrastructure components, leading to improvements in efficiency and resilience;  An ongoing “courtroom technology refresh” programme – ensuring that the hardware used in courts across Scotland is up to date and that those using it are confident in doing so;  Securing and retaining Public Service Network accreditation – demonstrating that our infrastructure and associated policies and processes meet rigorous, independently set standards in relation to security and data handling, which are regularly reviewed. Whilst much of this work has taken place behind the scenes it has brought a number benefits – both to those working in SCTS and those using its services. Our core network is fast, stable and resilient. We have been able to build on it – providing Wi-Fi access to the judiciary, staff and professional court users – many of whom spend a considerable amount of time in our buildings. The combination of Wi-Fi and the new criminal online portal provides near real-time access to case information for those who require it (e.g. social workers or the police who may need to quickly know the outcome of a case). The need to balance accessibility and flexibility with resilience is an ever present tension in this area – as we seek to capitalise on the benefits an enhanced infrastructure can bring without introducing new risks. In order to support remote working we have established a secure Virtual Private Network (VPN) allowing the judiciary and staff to remotely access our network from SCTS devices – to work securely “on the system” regardless of their location. Whilst these developments are significant, further investment and reform will be required if we are to deliver the priorities set out in the preceding sections. We have identified several key actions in the early period of this strategy. Once delivered we will continue to review the suitability, capacity and resilience of our infrastructure – to ensure it can support our ambitions – introducing further changes if required – and as resources allow. Maintaining a modern infrastructure is fundamental to providing digital services that the public can trust