Projects, Process, and Performance Measurement

Chapter 2 1

Chapter 2: Goal

Understand and use the principles of project management, process mapping, and performance measures in creating an enterprise architecture.

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Networks and Network Security

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Network Basic Concepts

Computer networks allow computers to share:  Information      Resources Printers Disk arrays Backup tape systems Access to other networks and Internet Reference: NLECTC, “A Guide to Applying Technology for Law Enforcement” 4



Local Area Network (LAN)

Three Functional Segments:  The Servers Workstations (users or “client” computers)      LAN infrastructure or transmission medium: Ethernet is dominant networking technology Protocol (transmission language), TCP/IP typical Cabling Hubs/switches/routers for traffic control and coordination 5

Network Infrastructure

Small Ethernet Network

NLECTC, “A Guide to Applying Technology for Law Enforcement” p. 28 6

Network Security

A Wide Area Network (WAN) interconnects Local Area Networks. The WAN can be located entirely in a local geographic region or may be interconnected around the world. 7

Network Infrastructure Wide Area Network (WAN)

Large Ethernet Network

NLECTC, “A Guide to Applying Technology for Law Enforcement” p. 29 8

Security Requirements Basic Model

      User authentication Confidentiality Data origin authentication Data integrity Non-repudiation (proof of sender’s ID and delivery) Availability - security that does not hinder authorized use Reference: USGAO Executive Guide to Information Security Management 9

Security Components (Technology vs. Policy)

      Firewalls to protect information systems and assets Disable writing to/booting from disk Access control mechanisms (biometrics/smart card) Virus protection software Encryption software/hardware Public Key Infrastructure for authentication 10

Costs and Architecture Issues

     Servers must be adequate in speed and capacity to support the mission – plan for growth.

Mobile access will increase requirements for network computing capacity.

Routers/hubs/switches will be critical in maintaining network viability.

Enterprise architecture will determine hardware/software requirements.

Wireless issues (including security) 11

Project Management

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Typical Scenario

   Step 1: Identifying a problem Step 2: What “quick fix” can we purchase to solve the problem Step 3: Make a purchase and HOPE it solves the problem 13

There Is a Difference Between Automation and Reengineering

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Project Manager

     Develops a sequence of steps for project planning Creates the budget Develops implementation plan Keeps all stakeholders on task Develops training timelines including the costs of training 15

Project Management

Having a well-written and comprehensive strategic plan and a history of good project management is your strongest selling point in acquiring the necessary funding for IT projects.

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10 Things You Need to Know About Project Management

1. Planning, planning, planning.

2. Did I mention to create a sound plan?

3. What are other jurisdictions doing well? How did they do it?

4. Do not completely rely on subordinates to make all of your IT decisions.

5. Factor internal and external political considerations and priorities of current administration.

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10 Things You Need to Know About Project Management

6. Find experts you can trust.

7. Have a contingency plan available in case unanticipated obstacles surface.

8. Don’t be a guinea pig. Do not buy into any “Bleeding Edge” technology.

9. Check out the vendors.

10. Know the questions to ask in advance and know the answers as they apply to your organization.

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Process and Process Mapping

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Design Process

  What can we do better? (antiquated process, redundant workflow, inadequate controls) How can we do it better? (don’t get caught up in ‘analysis to paralysis’) 20

Mapping Flowchart Analysis

    Time per event (How long do we spend performing a task?) Identify duplication of efforts (Eliminate redundant work) Identify unnecessary tasks Identify areas where process can be streamlined 21

Process Mapping

1.

2.

Determine “As Is” status of process Determine “Should Be” map of streamlined process 22

Managing Criminal Justice Technology

 Last and Best – Day 1 23

Performance Measurement Tools for Justice Information Technology Projects

Center for Society & Law & Justice Faculty 24

Performance Measurement Tools for Justice IT Projects

A CSLJ ongoing project Funded by the Bureau of Justice Assistance Grant # 2002LD-BX K002

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Project Background and Purpose

This project is designed to identify and validate an inventory of performance measures appropriate for justice information technology projects and develop field-friendly performance measurement tools.

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Performance Measurement Tools for Justice IT Projects

Fact: There is an increasing focus on measuring performance in both government and industry.

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Performance Measurement Tools for Justice IT Projects

Fact: The demand for performance measures in law enforcement and criminal justice settings is high.

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Performance Measurement Tools for Justice IT Projects

Question: Why do you think there is currently a high demand for performance measurement in law enforcement and criminal justice settings?

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Some Reasons Why There is a High Demand for Performance Measures    Performance measurement is increasingly being mandated Tight budgets There is a need to justify expenditures 30

Performance Measurement Tools for Justice IT Projects

Problem: Even though the demand for performance measures in law enforcement and criminal justice settings is high, technology integration projects are not in advanced stages of performance measurement.

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Performance Measurement Tools for Justice IT Projects

Question: What are some of the unique challenges or “road blocks” to performance measurement?

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Some Unique Challenges or “Road Blocks” to Performance Measurement     Many people are unfamiliar with performance measurement or reluctant to use it.

Measurements are imposed from the outside.

Most measures are not outcome oriented.

Existing measures are not sufficient.

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A Definition of Performance Measures

Performance Measures: a particular value or characteristic used to objectively measure results. This means using valid and reliable indicators.

Valid: Do they truly measure what they are intended to measure?

Reliable: Do they consistently do so ?

(Time A, Time B, Time C, etc.) 34

A Useful Acronym

Valid performance measures are

SMART S

pecific

M A

easurable ccountable

R T

esults-Oriented imebound 35

The Two “O”s of Performance Measurement

Performance measurement can be defined as the process of routinely measuring the outputs and outcomes produced by a project, thereby allowing one to assess the effectiveness of project investments and activities.

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Outputs and Outcomes: The Logic Model Approach to Performance Measurement “A program logic model … provides a roadmap of your program, highlighting how it is expected to work, what activities need to come before others, and how desired outcomes are achieved.” Source: WK Kellogg Foundation Evaluation Handbook (1998) 37

The Logic Model Approach

INPUTS ACTIVITIES OUTPUTS OUTCOMES INPUTS

are your resources

OUTPUTS

are the product of an activity

OUTCOMES

are the consequences of the program/initiative efforts—changes in conditions, attitudes or behavior of individuals or outcomes for agencies and communities, not what the program or initiative itself does.

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The Logic Model Approach

INPUTS Example: Money, Personnel, Hardware, Software ACTIVITIES Example: Mobile Data Terminals in Patrol Cars OUTPUTS More Rapid ID of Suspects OUTCOMES INPUTS

are your resources

Increased public safety OUTPUTS

are the product of an activity

OUTCOMES

are the consequences of the program/initiative efforts—changes in conditions, attitudes or behavior of individuals or outcomes for agencies and communities, not what the program or initiative itself does.

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The Logic Model Approach

INPUTS ACTIVITIES OUTPUTS OUTCOMES

When creating performance measures, you can use the Strategic Plan and the Theory of Change to link together the:    Inputs Outputs Outcomes 40

The Logic Model Approach Helps You to Define Your Theory of Change   A theory of change is a statement of how your program intends to proceed from initial outputs to produce long-term outcomes.

Once you articulate and reach consensus on your theory of change, you can then move on to identify those vital, few performance measures that are aligned with your organization’s mission, goals and objectives.

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Thinking Through a Logic Model and Articulating a Theory of Change

Goals In order to solve these Problems Activities Targets We will do the following activities and Events For these people and for this amount of time Theory of Change This activity will lead to changes in these factors __________, which in turn will lead to solving these problems Initial/ Short & Intermediate Term Outcomes Long Term Outcomes We will know these changes have occurred if: ___________ We will know we are reaching our goals if: ___________

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A Logic Model and Theory of Change Example

Goals In order to solve these Problems Activities Targets We will do the following activities and Events For these people and for this amount of time Theory of Change This activity will lead to changes in these factors __________, which in turn will lead to solving these problems Initial/ Short & Intermediate Term Outcomes Long Term Outcomes We will know these changes have occurred if: ___________ We will know we are reaching our goals if: ___________

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Developing a Theory of Change

     Recommended Process for Surfacing and Articulating a Theory of Change Use a Focus Group Format Start with Long-term Outcomes Work Backwards Toward Initial Activities Map Required Existing Resources Reconcile Multiple Theories of Change Adapted from J.P. Connell et al., 1995, “New Approaches to Evaluating Community Initiatives.” Aspen Institute.

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The Logic Model/Theory of Change Method for Developing Performance Measures Category

Program Logic Model and Chain of Events

Program Feature and Activity Initial Outcomes Intermediate Outcomes Intermediate Outcomes II Final Outcomes/Goals Accomplished

Measures: 1._______

2._______

3._______

4._______

1._______

2._______

3._______

4._______

1._______

2._______

3._______

4._______

1._______

2._______

3._______

4._______

1._______

2._______

3._______

4._______

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Summary: Why Measure Performance?

      To monitor project implementation Because IT projects are high-risk To demonstrate improvements To correct problems and make adjustments To ensure accountability To illustrate progress and justify additional funding for your integration effort 46

Some Suggested Steps…

1. Invest in Performance Measurement 2. Carefully select and form a team 3. Identify the Business Process to be mapped 4. Specify the logic model using the Theory of Change method 5. Decide the Audience/Level of the Measures 6. Keep in mind that the Model should be Plausible, Doable and Testable 7. Reconcile conflicting assumptions among stakeholders 8. Revise and Refine model and corresponding measures as needed 47

IT Integration

Challenges and Issues 48

CAD CARS admin patrol COURTS admin case files criminal DIST ATTY detectives PROSE CUTOR field int intelligence personnel COM STAT Local narcotics PD property incident int’l affairs int’l affairs traffic OTHER LAW EN homicide JAIL

Integration

 Sharing data electronically:       At key decision points throughout the justice enterprise Across disparate systems and applications, and agencies and branches Using new or existing systems/applications Share within agency or consortium, or between parties in other Federal/state/local jurisdictions Civil info and non-justice agencies Public Reference: SEARCH Group Reports: www.search.org

“Integration in Context of Justice Information Systems” –March, 2000.(BJA Monograph) “Justice Information Exchange Model, Final Project Report,” May 2002 50

Functional Components of Integration      Automatically Query status of subject all levels of databases to assess Automatically Push information to another agency based on action at originating agency Automatically Pull Publish actions information from other systems regarding people, cases, events and agency Subscribe to a notification service Reference: SEARCH Group Reports 51

Founding Principles of Integration     Data capture at originating point Data captured once, used many times Integrated system should be driven by operational systems of participating agencies (not separate from) Capabilities for functional components should be constructed as general capabilities of system Reference: SEARCH Group Reports 52

Integration Management Issues

 Scope Of Project- Inter, Intra, $  Organizing For Change - Goals  Big Decisions   Justice eXchange Data Definition (JXDD) Model – provides standard, structured, flexible methodology to define exchange points and standards Leadership responsibilities identified 53

Integration Management Issues (cont.)

 Development Challenges  Organizational Pre-planning  Develop a Tech Foundation and Plan     Funding Issues (value of partners/consortiums) Field Implementation Long term Oversight Models and Standards – Global JXDD national programs and models Reference: BJA Monograph 54

Integration

Models and Standards  Federal Enterprise Architecture Framework http://cio.gov

(Federal process and principles)  U.S. DOJ Integration Projects: www.it.ojp.gov

   Global Justice Information Network www.it.ojp.gov Integrated Justice information Systems (IJIS) www.SEARCH.org

XML (Extensible Markup Language is the developing set of standards for integration)  NASCIO Project - Statewide Architecture and identified models for statewide - www.nascio.org

 National Association of State CIO’s  Industry Working Group - www.ijisinstitute.org

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Integration Techno-theology Issues

        Hardware /Software Interfaces Web-based Technology – XML Standards, Web services and messaging Gateways (HW/SW Combo) Security Between Systems Legacy Systems - Value Not-Invented-Here Rejections Custom vs COTS/GOTS 56

Integration

Leadership Principles   Standards are critical – see U.S. DOJ projects and programs XML and messaging, with web services – the direction       Justice XML Data Dictionary Model (JXDD) JTF on Rap Sheet Standardization Regional Information Sharing Systems - RISS (Intelligence) Legal XML American Association of Motor Vehicle Administrators (AAMVA)  Drivers license and vehicle registration info.

Refer:    www.it.ojp.gov/global www.it.ojp.gov/jsr (Justice Standards Registry) www.iacptechnology.org/LEITSC (Law Enf. Info. Standards Council) 57

eXtensible Markup Language (XML)

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eXtensible Markup Language (XML)

    A structured language for describing an electronic document sent by one agency to another (e.g. Arrest/Incident Report) Sets a standard for exchanging information electronically Establishes an organizing template for the electronic document Facilitates standards-based data exchange Reference: www.it.ojp.gov/global 59

eXtensible Markup Language (XML)

   XML specifications do not dictate how the data is stored in sending or receiving systems Specifications are broad enough to accommodate jurisdictional differences Specifications are shared among states and federal justice agencies Reference: www.it.ojp.gov/global 60

Sample Objects and Relationships Core Objects Person Organization Agency Location (address, lat/long, …) Contact Info (tel, fax, email, …) Property Weapon Vehicle Other Incident Accident Case Event Conviction

Reference: www.it.ojp.gov/global

Relationships Person



Organization Works_for Affiliated_with Supervised_by member_of leader_of customer_of Owns Arrested_by Convicted_by incarcerated_by booked_by Relationships Person



Person Works_for Affiliated_with Supervised_by leader_of customer_of Arrested_by Convicted_by incarcerated_by booked_by family (father_of) work (works_for) seen_with victim_of business_partner_of committed_crime_with

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Activity Typical Activity Objects Incident Rpt Arrest Warrant Arrest Rpt Investigate Incident Book Charge Arrest Confine Prosecute Org Loc Cnt Bond Pers Prop Activity Relate Doc ???

Doc.xsd

Booking Rpt Charge Doc Sentence Order Case File Indict Protect Order Adjudicate Fine Incarcerate Parole Sentence Pardon Supervise Release

Reference: www.it.ojp.gov/global 62

eXtensible Markup Language (XML)

Reference: www.it.ojp.gov/global 63

What Standards Are Being Applied?

XML.gov

Draft Federal XML Schema Developer’s Guide (04/02) ISO / IEC 11179 Specification & Standardization of Data Elements UN / CEFACT ebXML Core Components Technical Spec 1.85 (09/02) FBI ANSI / NIST OASIS Electronic Fingerprint Transmission Spec v7 (01/99) Data Format for Interchange of Fingerprint, Facial, & SMT XML Common Biometrics Format Committee (09/02) Dept of Navy Draft XML Registry Requirements (09/02) DoD DoD 5015.2-STD Design Criteria Std for E-RMS Apps (06/02) W3C W3C XML Schema Specification (05/01) RDF and RDF Schema Specification (02/99)

Reference: www.it.ojp.gov/global 64

What Requirement Sources Are Used?

SPONSOR Global ISWG JTF for ICHTS RISS LegalXML AAMVA NIJ LA County CA SOURCE DOCUMENTS / SPECIFICATIONS Reconciliation Data Dictionary (RDD) v1.0.0

Rap Sheet v2.2 schema RISSIntel v2.0 schema CourtFiling v1.1 DTD Driver History v1.02 schema InfoTech v2.0 Data Dictionary and schema Incident Report schema SEARCH LegalXML LegalXML LegalXML Minnesota Justice Info Exchange Model (JIEM) data sets Arrest Warrant schema Charging Document schema Sentencing Order schema CriMNet v1.0 Data Dictionary and schema NCSC Maricopa Co AZ ICJIS Data Dictionary v1.3

CISA Data element spreadsheets (civil, criminal, juvenile) Southwest Border States DD (TX, AZ, NM) FBI NCIC 2000 Data Dictionary and Code Tables NIBRS Incident Report schema

Reference: www.it.ojp.gov/global 65

Traditional Data Exchanges

Your Systems Oracle DB Access DB Legacy Systems Custom Export One-to One

$$$ V E N D O R S $$$

Custom Import One-to-One Their Systems SQL DB Paradox DB DB2 DB 66

Your Systems Not Applicable Oracle Access Paradox DB2 SQL Legacy

XML Data Exchanges

Your Data Elements Name DOB Address Crime Location Gang Info Alias Name Scars Marks Tattoos Photo SSN # Date of Arrest

XML V A L I D A T I O N JXDD MODEL

Data They Want Name Gang Info Date of Arrest DOB Photo SSN # Crime Location Tattoos Their Systems Not Applicable Oracle Access Paradox DB2 SQL Legacy 67

CAD CARS admin patrol COURTS admin case files criminal DIST ATTY detectives PROSE CUTOR field int intelligence personnel COM STAT Local narcotics PD property incident int’l affairs int’l affairs traffic OTHER LAW EN homicide JAIL

Law Enforcement Not Applicable Oracle Access Paradox DB2 SQL Legacy CAD RMS JMS

XML JXDD Vision

Police Data Elements Name DOB Address Crime Location Gang Info Alias Name Scars Marks Tattoos Photo SSN # Date of Arrest

XML V A L I D A T I O N JXDD MODEL

Data They Want Other Agencies Not Applicable Name Gang Info Date of Arrest DOB Photo SSN # Crime Location Tattoos Probation Courts Parole State Feds Jail County Public Defender District Attorney Sheriff Other Police Victim Crime Brd.

Managing Criminal Justice Technology

 Break 70

Privacy and Ethical Concerns

     Privacy and information systems as a national concern Issues: What types of information may be reasonably maintained within criminal justice information systems?

Who should have access to this information?

Emerging legal standards Technology based solutions: privacy filters 71

Managing Criminal Justice Technology

  Lunch Next Topic: Solution Design & Project Management 72