Chapter Ten - Information Technology
10.1 Throughout this report, we
have identified numerous ways in which the work of tribunals could be
improved through the application of IT. This chapter builds on these
suggestions by demonstrating and recommending how IT, through both automation
and innovation, can increase administrative efficiency, enhance the
quality of the work of tribunals and promote better public understanding
of their operation. We also point to new ways in which users might soon
be able to conduct tribunal business.
The approach
10.2 It is a characteristic of tribunals
that they are at present entirely self-contained: those who work in
each think only in terms of their own tribunal. Many are oblivious of
the practices, the ideas and in many cases even the existence of the
others. The same is true of their individual IT systems: each tribunal
has its own, often developed in-house, and it works, well or adequately
or after a fashion, but only to serve its own limited area, thereby
fostering the isolation that it represents. Yet as part of a uniform
tribunal system each would benefit by interchange and collaboration
with others and from the resultant economies of scale. As we have described
in previous chapters, a single Tribunals Service will allow all elements
of currently isolated and distributed organisations to come together
and work as a single managed organisation (with common processes, working
practices, knowledge and information services, communications and so
on) but will also provide physically separate, local support services
for tribunal members. This is now especially achievable with the introduction
of innovative approaches to the use of Internet-based architectures
and applications, and is particularly relevant now that all Government
departments and public sector services, in accordance with the Modernising
Government programme, have a 2005 target to put the underlying infrastructure
and systems in place to deliver 100% of their services electronically.
10.3 In this report our recommendations
are based on innovation through IT as well as on automation —
that is, on the use of IT not only to streamline and improve current
working practices but also to bring about new facilities, such as improved
public awareness and understanding of tribunals and new ways of pursuing
remedies. Not dictated by any political need for "quick wins"
or incremental improvements that might be made in the short term, we
have sought to take a medium- to long-term perspective, basing ourselves
on what we believe to be technically possible, socially desirable and
jurisprudentially acceptable. In support of a single Tribunals System,
supported by a single Tribunals Service, IT, if strategically directed,
should itself afford a unifying influence. Consonant with this approach
is the widely held view that the Internet will become pervasive in the
United Kingdom over the next five years and accessible by the great
majority of its citizens.
10.4 There are many computer systems
already in operation across the many current tribunals. As with tribunals
themselves, so with IT: in no sense is there a single system common
to the tribunals now in place, nor are the systems designed to be interoperable,
that is, to work compatibly alongside each other. On the contrary, the
various systems in place differ greatly in nature, scope and sophistication
of technical development. Some are very impressive, such as those of
the Parking Appeals Service (PAS) and the Appeals Service, while some
are modest in aspiration, and still others are almost non-existent.
The current systems operate under different management regimes, with
different financial and contractual bases, and with no common infrastructure.
In sum, there is separate technology, separate data and separate management;
and no track record of, or need hitherto for, collaboration amongst
the IT specialists supporting individual tribunals.
10.5 It is important to understand
the many and different ways in which IT might greatly enhance and even
transform the work of today’s tribunals. The discussion and recommendations
below offer signposts to the benefits that could be realised through
IT and, where appropriate, identify relevant enabling technologies.
Administrative efficiency
10.6 It is, or
should be, obvious that IT, where well deployed, can promote greater
internal administrative efficiency, effectiveness and productivity across
most organisations. Although the administration of tribunals, especially
high volume tribunals, is highly information-intensive and document-intensive,
the current level of usage of basic office automation is generally low.
In the first instance, a variety of systems and technologies should
therefore be put in place to manage the paperwork and administration
that underpins all tribunals. Further, there should be a rapid move
towards the introduction of common administrative computer and
communication systems across the Tribunals System. In due course, the
entire Tribunals Service should operate on one single set of systems.
We believe it to be axiomatic that, in any modern Tribunals System,
case administration systems should be in place, of which the best example
is the system operated by the Appeals Service, the Generic Appeals Processing
System (GAPS). [234] These systems are of two main kinds: case
flow systems, to support the flow and administration of particular
cases, including registration, listing, allocation, recording of decisions,
communication of decisions, project management facilities, and case
tracking to monitor progress; and case load systems, to support
the management of the entire case load of a tribunal, including scheduling,
room allocation, project management facilities, availability of members
and allocation systems, and management information systems (see paragraph
10.17). Also important, although a longer term priority, are electronic
case filing systems, of which the best example is that of the PAS, containing
all the documents and materials relating to any particular case, all
collected together and accessible on an online basis, usually stored
and presented as images (like photographs) of the documents.
10.7 Looking forward,
a major issue of system design and operations will be whether the master
file of a case is the paper file or the electronic version. Alternatively,
a half-way house may be possible — an electronic index of case
files, with file contents (but not images) listed, indexed by type of
document, date, author, recipient etc., and attached or linked to the
file in the case administration system. This is a handy listing of all
the documents relating to a case. Ideally, case administration systems
and electronic filing systems (or electronic indexes) should be integrated
as one system, although so far the only working example of this is the
system at the PAS. Looking elsewhere in the justice system, the National
Criminal Records system and in particular the National Fingerprint system
(NAFIS) are good examples of combining the two. [235] Finally,
document production systems should be available as a standard tool for
all tribunals ensuring the uniform production of letters, directions,
rulings, forms, decisions and publications. [236]
10.8 While the introduction of these
various administrative systems within tribunals should result in cost
savings in individual cases, these efficiency gains might lead to greater
productivity and greater throughput and so to no overall cost savings
for individual tribunals. The merging of the administrative systems
of the many tribunals, however, as recommended here, should undoubtedly
bring considerable economies of scale.
Improved quality
10.9 Over and
above these administrative systems, there is a variety of further technologies
and systems that should be put in place, not simply to improve the underlying
management but to help enhance the quality of the work undertaken by
tribunals, to improve their productivity and to assist in imposing greater
consistency. These systems are devoted to promoting justice, substantive
as well as formal. First, members should have case management tools,
consisting of online case tracking (via case administration systems),
online access to case files (via electronic case filing systems), project
management tools for case planning (for example, timetabling), and case
load management tools, such as direct listing and diarying by members.
[237] Next, members should have basic office tools, which improve
personal productivity, including word processing, [238] complete
with a suite of "macros" to impose uniform format on tribunal
documents, with some standard reusable text to save time, and with a
collection of standard documents or precedents. [239] As mentioned
above, tribunals should also begin to make use of automated document
assembly, for the production, for example, of standard orders. Also
necessary in this context are Internet e-mail facilities, and, where
appropriate, industry standard presentation and spreadsheet software
as well as "remote access" to central systems through laptops.
[240]
10.10 We also
recommend the development of a Tribunals Service Intranet. Largely for
tribunal members, this would provide a shared online space, akin to
an internal website, filled with useful information, and creating online
"virtual" communities or interest groups, akin to the highly
successful judicial service, known as Felix. This Intranet should be
a fundamental tool in enhancing and unifying the community of tribunal
members. Although it would hold facilities relevant for tribunals generally,
it should also have parts devoted specifically to particular tribunals.
It should hold shared bodies of members’ know-how and experience,
such as bench books, and should support Internet-based e-mail, operating
within and beyond tribunals. The Intranet should also provide a suite
of "bookmarks" to guide adjudicators directly to invaluable
sources on the Internet; and offer knowledge management and searching
tools to help capture and share information across the Tribunals Service.
In the longer term, it should be possible to offer, via the Intranet,
distance learning and training for members, and decision support tools,
like the Scottish sentencing system. [241]
10.11 Tribunals
should have access to a range of external information systems, including,
where appropriate, non-subscription systems (such as World Wide Web
sites), online subscription services accessible via the Web, online
subscription services that are not Web-based, CD-based subscription
services, and the Statute Law Database or equivalent. Important for
furthering consistency will be the online availability of the leading
decisions of tribunals on the Tribunals Service Intranet and the Internet
as well. [242] As in the courts, there will be a need here for
the use of medium-neutral citation of cases and paragraph marking in
case reports. Other technologies to be considered by each tribunal in
the coming years are the technologies which enhance the hearing of cases,
including laptop or desktop facilities for the taking of notes, document
and exhibit display technology, digital audio recording, computer-assisted
real-time transcription, and video-linking for vulnerable or distant
witnesses.
Public understanding
10.12 Public
understanding of the tribunal system generally and of the work of individual
tribunals seems to be much lower than is desirable. There is a variety
of systems and services that might be used to promote far great public
appreciation. First and foremost, web sites should be used to provide
punchy, practical explanations about the Tribunals System generally
(its organisation, management, operations, procedures, performance and
reputation); about the work and scope of particular tribunals; and about
the procedures of particular tribunals. In addition, web sites should
provide substantive guidance to help parties to understand the law,
practice and procedure that apply to their circumstances. This should
be especially useful in helping parties determine whether it is worth
proceeding. Interactive web-based systems should also become available,
to help parties prepare their cases; and web-based tracking services
should enable them to follow the progress of their actions. [243]
A list of some of the more important websites is at Annex
B.
10.13 Two further
points deserve mention. First, we contemplate that the ready availability
of online guidance will help with dispute avoidance as well as
with dispute resolution. We would expect access to online legal
information and guidance to help potential appellants to see at an early
stage how best to proceed with their cases, and in particular it might
discourage those with cases with no realistic prospect of success.
10.14 Secondly,
we have identified an urgent need for some kind of facility which helps
citizens and organisations identify the most appropriate forums for
the resolution of their difficulties or grievances. An online expert
diagnostic system should be considered by the Lord Chancellor’s
Department (LCD) — this would invite users to answer questions
about their grievances and then identify the court, tribunal, ombudsman
or other means of recourse best suited to their problems. Such a facility
might best be situated on the Community Legal Service website. [244]
Greater accessibility
10.15 Even if tribunals become better
understood, it is vital that they are not only easily accessible but
are also available in a contemporary setting or format. A fundamental
question arises here, analogous to one that arose in the course of the
civil.justice initiative, namely whether a tribunal is a service
or a place. The physical congregation of parties is usually assumed
to be necessary. If, however, a grievance within the jurisdiction of
a tribunal can be resolved more cheaply, quickly and easily by some
method that does not require the gathering together of people in one
place, then it can be argued forcefully that, when the day dawns that
all parties are comfortable with this (some clearly prefer to avoid
formal hearings in a tribunal room)39,
such alternatives should be put in place.
10.16 Of course,
some tribunals already allow the conduct of some business by post. But
some higher-tech possibilities should now be considered systematically.
The conduct of directions hearings by video or telephone conference
is already a reality in Australia. It may be assumed that these technologies
will become increasingly popular here. In turn, tribunals should, in
due course, encourage new ways of interacting with their users. Before
long, it will be entirely feasible to conduct some business through
televisions in the home. It is also possible to envisage the conduct
of tribunals, in real-time (that is, "live") by electronic
hearings akin to online "chat-rooms", which are becoming a
pervasive means of communicating; and also the conduct of tribunal business
by e-mail or other more modest online, Internet-based services (not
in "real-time"). One way to support such tribunal work on
the Internet might be to use Internet Application Service Providers
who already provide on-line meeting, presentation or conference room
facilities, complete with built-in authentication, verification and
identification processes to ensure that only authorised people can turn
up to a meeting. In addition, telephone and video conferencing can be
combined with such facilities. [245] Parties might argue their
cases and provide evidence via some web service devoted to particular
classes of tribunal business. This is indeed no more than a high-tech
version of postal application and disposal. But we recognise that this
represents a vision of the future. Today there still are many who neither
possess nor have convenient access to the Internet. Further, there is
evidence to suggest in some tribunals that today’s users still
enjoy greater success when they appear in person, though it is difficult
to tell whether that is because their cases are given a more careful
hearing, or because it is those who turn up that tend to have better
cases.
Management information
10.17 Today,
it is frequently not easy to assess the performance (including throughput
and costs) of individual tribunals. And it seems well nigh impossible
either to obtain information about the performance of the entire system
of tribunals taken as a whole, or about the relative or comparative
performance of tribunals. Linked closely to, indeed part of, the proposed
common administrative systems that we recommend, there should
therefore be common management information systems used within and across
all tribunals. These would provide much-needed statistics and reports
relating to the work of tribunals, individually and collectively. [246]
Public confidence
10.18 Superior public confidence
will surely flow naturally from the use of modern systems across the
Tribunals Service. If there is greater public understanding of the Tribunals
System and of its performance, if tribunals become more accessible and
more efficient, and if they come to be perceived as delivering a higher
quality of service, then it is likely that public confidence will increase
and the entire system of tribunals will enjoy a much improved reputation
within and beyond the United Kingdom.
The future
10.19 Ideally,
one Tribunals Service should be supported by one system, or set of systems,
failing which, as few duplicating or overlapping systems should be put
in place as possible. [247] A core system should be created to
support the new core service (the first phase of the development of
the Tribunals Service recommended in this report) that is envisaged.
[248] On the face of it, given its power and flexibility, this core
system should be an extended version of the Appeals Service’s GAPS
system. A new Tribunals Service Intranet and web site would also form
the basis of many of the other applications we have outlined. If possible,
those developing the next generation of GAPS should extend their specification
of requirements to accommodate any different needs of other tribunals
joining the core service; and it should be stressed that considerable
economies of scale should be achieved by unifying the systems of the
many tribunals, because there would be less duplication of expense and
effort.
Practicalities
10.20 It is important to understand
the likely obstacles. Challenges may be expected, both cultural and
organisational, for example, from staff not wishing to deploy IT or
not wishing to use systems developed by other tribunals. There will
be technical challenges, because some of the systems involved are either
complex or undertake high volume processing. There will also be commercial
challenges, to ensure that the funding is made available; project management
challenges, to ensure that the people and resources are in place and
managed so that systems are delivered on time, to specification and
within budget; and crucially, given likely constraints on public sector
spending, the challenge to prioritise the various services and systems.
10.21 Experience from ongoing efforts
to implement Lord Woolf’s recommendations for IT, in his Access
to Justice inquiry, very strongly suggests that the LCD and the
Tribunals Service must not underestimate the very considerable investment
and effort that will be needed to develop the systems recommended in
this report. The expectations of users of tribunals and those who work
within the system must be managed sensibly, and realistic time scales
for the various systems should be publicised only once sufficient analysis
and specification have been undertaken.
10.22 We are conscious that there
may be overlaps between our recommendations on IT and (a) the current
proposals from the Court Service to modernise the civil courts and (b)
the likely recommendations from Lord Justice Auld on improved and greater
use of IT in the criminal justice system. It is important that the LCD
identifies the interrelationships between the systems that will come
to underpin the civil, criminal and tribunal systems and, where necessary,
ensures sufficient interoperability. Further, while the actual data
and information being processed within the tribunal system may not need
to be shared to any great extent with the civil and criminal systems,
there are strong economic and policy arguments for the various systems
running on a common technology infrastructure (telecommunications, data
management, file servers and technical support, for example).
A legal information
database
10.23 We refer in the note of our
visit to Australia in Part II, to a sophisticated legal information
system, developed by the Australasian Legal Information Institute (AustLII).
This online service, containing the consolidated text of Commonwealth
and State legislation, the decisions of all federal and State courts,
decisions of nearly all Commonwealth tribunals and a selection of State
tribunals, and holding much secondary material as well, is a powerful
tool for enabling tribunals and users to undertake basic legal research
quickly and conveniently. Such a comprehensive and accessible facility
would be enormously beneficial to the Tribunals System. We are aware
that there have been difficulties in establishing an equivalent system
for this jurisdiction, the British and Irish Legal Information Institute
(BAILII). But we do strongly encourage the continuation of the project,
and support the commitment to the further development of BAILII or a
similar such service. [249]
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