Volume 5 No. 11 November 1978
NEXT MEETING December 7, 1978
Speaker Introduction ...................
Mario F. Martini is currently the Assistant Director of the Management Services Division for the Office of Financial Management. He performs in a consultative role to top and senior management personnel of operating agencies statewide and, through the development and implementation of administrative and supporting processes necessary for the orderly and efficient handling of their respective agencies' operations, assists directors and/or their immediate staff in meeting their statutory and programmatic responsibilities.
Marlo's education includes a Bachelor of Arts in Business Administration at the University of Washington; a Master of Science in Business Administration at Eastern Washington University; and a Master of Business Administration also at Eastern Washington University.
Agency News .........................
Office of the Administrator For The Courts
The requirement for improvements in the information flow within the Judicial System has long been recognized. As stated by Chief Justice Burger "In terms of methods, machinery and equipment, the flow of papers--and we know the business of the court depends on the flow of papers--most courts have changed very little fundamentally in 100 years or more.
During the last 100 years there has been little change in procedures used to administer the courts in the State of Washington. Only recently have officials within the court system become concerned and aware that utilization of modern management techniques is required if the courts of the State are to meet their obligations to the people. Most have come to recognize that the single, most important problem facing a judicial administrator today continues to be the general lack of reliable management data on which decisions can be based. It is the storage, retrieval and analysis of judicial data that remains one of the major stumbling blocks to the establishment of proper management control in the court system. The ability to better manage information will enable the judiciary to more efficiently and effectively utilize its limited resources.
An analysis of projected future case filings demonstrates a critical need for remedy to the associated paper work explosion. These projections indicate the growth rate of case filings will be (1) 12% in the courts of limited jurisdiction, (2) 8% in superior courts, (3) 10% in appellate courts and (4) 15% in juvenile courts. When considering that the judicial workload is very labor intensive (paper handling), that the number of papers and transactions per case is expanding and that the general population is becoming more inclined to go to court, one can visualize the exponential growth of judicial resource requirements, necessitating not only the increase of judicial, but also non-judicial personnel.
In 1974, the Office of the Administrator for the Courts (AFC) under the direction of the Supreme Court, established the Information Systems Division (1SD) to develop the Judicial Information System (JIS). The purpose of JIS is to provide each court with an effective administrative tool to assist in the management of their increasingly complex and voluminous operational duties and to reduce future costs. The effort is not centered on the development of a statewide statistical system. Conversely, it is focused on the implementation of local court operational systems which address the problems created by the masses of paperwork. It is through this approach that the tremendous volume of paperwork in each court may be effectively managed in the future. Statistical information becomes a by-product.
Within JIS there are four major projects. These include: 1) the Appellate Courts Records and Data System (ACORDS), 2) the Superior Courts Management Information System (SCOMIS), 3) the Juvenile Courts Information System (JUVIS) and, 4) the District/Municipal Courts Information System (DISCIS).
To date, two ACORDS sites, four SCOMIS sites and eighteen DISCIS sites have implemented systems. Generally, JIS supports or will support the following clerical functions: 1) indexing, 2) docketing, 3) case status tracking, 4) calendaring or scheduling, 5) accounting and, 6) statistical/management reporting.
Technically, ISD uses a five step developmental process, which includes:
Further, all development efforts use top-down design, structured programming and walk-throughs. The standard development/documentation tool is the Wariner/Orr diagram.
Currently, AFC is using the WSU service center. However, plans call for the installation of a JIS computer in January, 1979 and the addition of a distributive network during the next biennium.
To date, the JIS effort has been very successful, as evidenced by the interest expressed by:
In analyzing the requirements of the judiciary in the State of Washington, the need for improved court resource utilization was obvious. Through the efforts of the Supreme Court, the Judicial Information System Committee (JISC) and other members of the Washington judiciary, the realization of an improved State's courts is coming to fruition. However, the key word is "continuation". There is so much remaining to be accomplished, and many new and innovative ways to complete the job. The role of data processing in the courts is new and exciting. Much has been done, but there still remains much more to do.
Administrator for the Courts
The legislative Evaluation and Accountability Program became the LEAP agency on July 1, 1977. The agency reports to a bi-partisan committee of four senators and four representatives. The agency was chartered to provide general consulting and data processing capability to the legislature and its committees. The primary legislative users are the "money" committees: Senate Ways and Means, House Appropriations, and House Revenue.
The "data processing capability" provided to date by the LEAP staff has mainly revolved around the "LEAP" system. This system is actually Boeing's Executive Information System (EIS) which is now installed at Service Center One. The ElS system is an interactive modeling language which is excellent for budgetary and other fiscal analysis. The system has report writer and graphic options as well as standard statistical and financial packages available.
The LEAP staff train the legislative committee staffs in the use of ElS and assist them in the development of specific applications. Applications have included a higher education tuition and fee model, and a timber tax distribution model. The development of an application generally consists of the collection of good base data from a reliable source, e.g., school enrollment data from SPI, structuring the data into an ElS data base, building the desired algorithms using the ElS language, and documenting the application so the user can execute the model effectively. The model might start by asking the user to input some variable assumptions, then prompting the user to execute the algorithms with tabular or graphic reports as the results. The user can execute several assumptions very rapidly, giving him several alternatives to evaluate, which should result in better decisions.
The LEAP staff also maintains data bases for budget development and for monitoring agency expenditures against the level appropriated by the legislature. OFM passes budget and accounting data tapes to the LEAP staff on a regular basis, which are used to update the LEAP budgeting and monitoring data bases. The mere visibility of this data to the legislature has contributed significantly to the quality of the data. Most agencies would rather not explain an erratic spending pattern at a legislative budget hearing, so they make sure that the data they report to OFM is accurate. The 1ES system has received some national publicity, which has brought contingents from several states to look at our system. Most of these states do not have the good accounting and budgeting data on a statewide basis, however, so they cannot reap the full benefits of a LEAP capability in their state.
The LEAP agency is involved in several projects outside of the EIS system. Summary and exception reports are run from the OFM data tapes. An actuarial projection system has been developed for the Office of the State Actuary. A budget projection system was developed for several state agencies. This system inputs the Department of Personnel payroll/personnel files and projects salary increments and fringe benefits over a five-year period, with allotment or budget reports from the projected data. This system will soon be made available to all agencies through Service Center One.
The LEAP agency is made up of a staff of six; LEAP administrator, deputy administrator, data processing coordinator, office manager, and two LEAP applications consultants. We expect to be busy getting ready for the 1979 legislative session, then responding first to House, then Senate, then Joint Committee budget development during the session.
Bob Vaughn LEAP
This space was reserved for Mike Van Noy, Office of Secretary of State.
'TWAS THE NIGHT BEFORE CHRISTMAS . . .
T'was the night before Christmas and all through the shop,
The computers were whirring; they never do stop.
The power was on and the temperature right,
In hopes that the output would feed back that night.
The system was ready, the program was coded,
And memory drums had been carefully loaded;
While adding a Christmasy glow to the scene,
The lights on the console, flashed red, white and green.
When out in the hall there arose such a clatter,
The programmer ran to see what was the matter.
Away to the hallway he flew like a flash,
Forgetting his key in his curious dash.
He stood in the hallway and looked all about,
When the door slammed behind him, and he was locked out.
Then, in the computer room what should appear,
But a miniature sleigh and eight tiny reindeer;
And a little old man, who with scarcely a pause,
Chuckled: "My name is Santa...the last is Clause."
The computer was startled, confused by the name,
Then it buzzed as it heard the old fellow exclaim:
"This is Dasher and Dancer and Prancer and Vixen,
And Comet and Cupid and Donner and Blitzen."
With all these odd names, it was puzzled anew;
It hummed and it clanked, and a main circuit blew.
It searched in its memory core, trying to "think";
Then the multi-line printer went out on the blink.
Unable to do its electronic job,
It said in a voice that was almost a sob:
"Your eyes--how they twinkle--your dimples so merry,
Your cheeks so like roses, your nose like a cherry,
Your smile--all these things, I've been programmed to know,
And at data-recall, I am more than so-so;
But your name and your address (computers can't lie),
Are things that I just cannot identify.
You've a jolly old face and a little round belly,
That shakes when you laugh like a bowlful of jelly;
My scanners can see you, but still I insist,
Since you're not in my program, you cannot exist"
Old Santa just chuckled a merry "ho, ho,"
And sat down to type out a quick word or so.
The keyboard clack-clattered, its sound sharp and clean,
As Santa fed this "data" to the machine:
"Kids everywhere know me; I come every year;
The presents I bring add to everyone's cheer;
But you won't get anything--that's plain to see;
Too bad your programmers forgot about me."
Then he faced the machine and said with a shrug,
"Happy Christmas to all," as he pulled out its plug.
Offsite (Remote) Storage ...................
At the request of Service Center 3 and the Department of Licensing, the Department of General Administration has established a contract for offsite storage services for the Olympia area. Upon request the service may be extended to the Seattle area. The service provided under the contract is designed to satisfy the requirements discussed below. Contact Guy E. McFadden, Contract Administration at General Administration (753-6471) or Bob Payne at the Data Processing Authority (753-5465) for additional information or to establish service outside the Olympia area.
Protection of vital records and material is an essential part of a well-balanced ADP security program. Sensitive information must be protected from unauthorized access, use, and disclosure. Data and material vital to the functioning of the agency must be available for use as needed.
A variety of security measures will be used to satisfy these requirements for protection of vital assets; for example, facility access control measures, operational controls, and software "locks" or "passwords". Another effective measure is the use of offsite or remote storage for vital records and material. This technique provides a cost-effective safeguard having a high degree of protection.
Offsite storage may be provided within the agency structure, by reciprocal agreement, or by contract with a commercial vendor. The site may be within the same building complex or many miles distant from the primary site. When selecting a location, consider the potential risk resulting when the offsite location is in close proximity to the primary site versus the costs and delays in access associated with a site that is a great distance away. A compromise should be made that provides a location a sufficient distance from the primary site to preclude loss or damage at the remote site in the event of a disaster occurring at the primary site.
Another important consideration deals with the aspect of organizational identity or responsibility. The advantages of obtaining the remote site services from a separate organization should be carefully weighed. When the remote storage is provided within the agency, it may be difficult to control access. There may be a tendency toward laxness in enforcing procedures. In addition, separation of responsibility and restricting knowledge of procedures may be difficult to achieve and maintain.
Any offsite storage service should provide:
1. Site physical security.
2. Protection from fire and water damage.
3. Environmental controls for temperature and humidity.
4. Proper storage and handling techniques.
5. Secure pick-up and delivery services.
6. Control procedures at both the primary and remote site for; pickup and delivery, and storage.
7. Employee selection criteria and bonding.
8. Organizational integrity and reputation.
9. Flexibility to meet emergency situations in a controlled manner.
Thorough control procedures must be documented and followed when using any offsite storage services. These controls should include:
1. Identification of individuals having authority and responsibility for access.
2. Access authorization documents providing an audit trail.
3. Strict inventory controls, including inventory lists stored at both the primary and remote sites.
The policies and criteria for use of the offsite storage and actual usage should be periodically evaluated. The review should assess the appropriateness of the storage criteria, the adequacy of the control procedures, and the security of the remote site. Occasional surprise audits should confirm that the material listed on the inventory is actually present at the remote site.
When establishing and using offsite storage, remember that the remote storage is only part of a balanced security program. The records and material stored at the offsite location will not provide protection if other aspects of ADP security are neglected. Periodically evaluate the organization's total security requirement and security readiness.
Data Processing Authority
Resource Sharing .......................
CMC-5 8-station Key-To-Disk system with 800 BPI tape drive. Available April thru July 1979 @ $1,278.00 per month on a 2-year lease or purchase. List price is $56,303.00; but--agency will pass on the accrued purchase option so the system may be purchased for only $28,522.00. Contact John Long DOP (3-4766).
Personality Corner ......................
This month the Personality Corner features Dick Applestone (Appy as most people know him). He is the Data Processing Manager for the Department of Employment Security.
Dick was born and raised in the Mt. Baker area of Seattle. He attended grade school there and graduated from Franklin High School in 1948. Appy then attended the University of Puget Sound in Tacoma for a year and the University of Washington for two quarters. While Dick was at the UW he joined the Naval Reserve -- to avoid starting late in the ROTC Program. He quit the UW and went to work for Boeing. About a year later, the Navy had other plans for Appy as he was called to active duty during the Korean conflict. He served on the USS Yorktown, as aircraft carrier. Dick enjoyed the two years he spent in the Navy and remained in the reserves for a total of 12 years.
When Dick's tour of active duty was completed in 1954, he went back to the University of Washington. There he went to classes four quarters per year until he graduated in 1957. He received a BA degree in Business Administration, with a major in accounting. After graduating, Dick went to work for Continental Casualty Company as an accounting supervisor. About a year later, one of Appy's buddies suggested that he should investigate this new field of data processing at Boeing. Since his pay was low and data processing looked like an interesting profession, Dick went to work for Boeing. There he started as a computing coordinator. This involved staging jobs, decollating, etc. He then became an operator on the IBM 705. He was very enthusiastic and "---gung ho". He would often work 2 shifts -- his regular shift and then the next to finish work or to try out some new program. Dick worked his way up to supervision within two years. He later moved up two more levels of supervision. Most of this time was spent in operations, with one year in systems.
Dick moved around a lot within Boeing, as opportunities for advancement became available -- somewhat like the State. He moved from the Aerospace Division to the Transport Commercial Airplane Division in Renton to the 737 group and then back to Renton. Appy enjoyed working for Boeing. Working there offered many opportunities for growth related to data processing. Boeing was the largest commercial customer of IBM and was always in the forefront of the latest developments. They had many of the first 360 computers, including the first, seventh and eleventh 360/40, and many pre-releases of software. It was an exciting and interesting time.
In 1971, Boeing was at a low point -- data processing employees had been reduced by 75% and Appy could not advance further. Thus he joined the State as Operations Manager for the Department of Highways where he worked for Gene Barnard. Appy spent 3 years there and "--contributed to the progress of that center." He was also acting chief for 4 months when Gene went to the Service Center. Appy then went to the Service Center as the Customer Services Manager. He has always been "---interested in customer services and support for user. Appy stayed at the Service Center for three years, until 1977.
In September 1977, a little over a year ago, Appy became Data Processing Manager for the Department of Employment Security. This department had been in turmoil for the previous two years with four commissioners and six data processing managers. Appy is enthusiastic about what has been accomplished so far and for what can be accomplished. He is also enthusiastic about the current management under Commissioner Wiegman. They are defining tile agency mission and goals. They are also developing an overall agency plan for information systems. Data Processing is an integral part of the plan, but only a part.
Appy has several goals which he would like to see accomplished for the Department. These include; 1) make data processing more professional by improving the way of doing things, training current staff and adding new staff where necessary, 2) improve user relations and services, 3) standardize computer usage, 4) improve the communication and image of Employment Security with the Service Center and with other agencies such as the DPA and the Federal Government, 5) do a better job at less cost -- have already taken steps to reduce outside processing, and 6) move into the latest technology -- the Department is just completing its conversion from Autocoder.
A high priority activity for Appy is to move all the Department's computer operations to the Service Center and to get rid of their IBM 360/30. The most important activity of this unit is support the mission and goals of Employment Security to best serve the citizens of the State.
Appy's long range goal is to continue to work where there is a challenge and opportunity. When asked about his most memorable experience, Appy replied that each job had memorable experiences and it was difficult to choose a particular one. However, he did mention his movie role as a special moment. He walked through the DOH computer room as a part of the film for the State of Washington's pavilion at the 1974 Expo in Spokane. Many of you may have seen him.
Appy has served as the Association Secretary/Treasurer and as the Job Matrix Chairman for the Association of Data Processing Managers. He has been interested in the job matrix since he came to the State. He says that the progress has been slow but that we are getting there. Appy is also a member of the Centralization/Decentralization Committee and is chairman of the Service Center User Group.
Appy has also served as chairman of the Boeing Fishing Derby. It was the largest derby in the world at that time with 12,000 members. Appy has been a Little League coach for 20 years and has also coached several sports for the Bellevue Boys Club. He was president of Bellevue Little League and Secretary/Treasurer of the Bellevue Boys Club Board.
He has a 26 foot boat and is currently looking for a larger one. Appy spends much of his spare time salmon fishing and boating. Within the next year or two he plans to take the Inside Passage to Alaska. Appy and his wife Nell, have three boys -- 13, 23 and 24. Appy still lives in Bellevue and commutes. He likes the area and the family has many activities and friends there.
Serial Part 1 .......................
"The defendant is charged with transgression of Section Number 94-3708 of the law of the realm, converting another's property to his own use, and Section 94-5253, assault on a public servant with intent to destroy." The amplified voice of the Judge filled the courtroom. "how does tile defendant plead?" Slowly, and with great respect, the defense attorney rose. "Not guilty, Your Honor, and not guilty due to mitigating circumstances." "Let the plea be thus entered," the Judge's voice directed. Michael Burns, the brilliant young defense attorney, resumed his seat, smiling a confident, reassuring look at his client, Arthur Romano. "Don't worry, Art," the lawyer whispered, "We've got all the facts on our side. We'll get you out of this mess.
"This mess," as Burns referred to it -- violations of Sections 94-3708 and 94-5253 -- consisted of charges against Arthur Romano of embezzlement and mayhem. Romano, a man of about forty whose southern Italian face hid behind thick, horn-rimmed glasses, looked somehow capable of the first charge. Besides that, he was an accountant and in a perfect position to steal funds entrusted to his care. But one had to stretch his imagination to believe that the short, slightly built, fastidiously garbed accountant had engaged in violence. And if the charge were true, one wondered what could have driven this fifteen-year veteran of the Department of Public Benefit to the acts of which he was charged.
The electronically-boosted voice of the Prosecutor concluded its opening remarks with a demand for conviction which left the Jury murmuring. The Prosecutor was most eloquent and persuasive, and he became even more so with each new trial. While comforting Romano, Burns knew he had a formidable adversary to defeat if Romano were to be absolved. "You may proceed with your opening remarks, Mr. Burns," the Judge invited. The trim, tastefully-dressed young lawyer rose in the same respectful, almost obsequious way as before, trod to a point about equidistant from the Judge in front and the Jury to the right, and began his opening summary and arguments. "Your Honor, Jury," regardfully nodding his head toward each in turn, "My client Arthur Romano is neither a dishonest nor a brutal man. He is rather a peaceful man, a man of integrity, a man who raises orchids and loves his family. But, more importantly, he is a person who protects his trust, a steward so faithful that he would jeopardize his own wellbeing for the sake of his duty. The Prosecution says, "the somewhat tall, brown haired, suntanned defense attorney pointed to the left of the room and raised his voice dramatically, "that this man betrayed his trust, stealing the funds of the Department of Public Benefit by means most devious, and then attempted to silence tile public servant that discovered the theft. Oh," with a touch of irony in the delicate featured but yet not effeminate barrister's voice, "But oh, don't you see, it was the other way around. It was Arthur Romano who had discovered the discrepancy in the books; it was the other who was responsible for the shortage. That we will prove unequivocally."
While the words sank into the Jury, lawyer Burns walked over to the Defendant's Table, poured a glass of water, smiled at the intimidated looking Romano, sipped a few mouthfuls of liquid, and returned to his previous station. "And even if I cannot convince you, despite the weight of evidence, that Arthur Romano was not the culprit, then what exactly would he be guilty of? A bookkeeping error, that's ail, a mistake in updating the ledgers. Such inaccuracies can occur at any time where men are involved. If Mr. Romano had meant to embezzle, do you really think he would only have stolen 218.17 units of credit? A hundred or a thousand times that much could have been stolen by that means. You see, it doesn't make sense to call that 218.17 an intentional pilferage." Burns paused, his pale green eyes looking in rotating order at the Judge, Jury, and Prosecutor for reactions. "And, as for the other charge; what if you don't believe Art Romano acted out of commendable motives? tie wounded a public servant, an action to be condemned, of course, but one for which restitution could certainly be made."
Burns' summary clearly recalled the events of three days earlier to Arthur Romano's mind. It was Monday morning and he had been crosschecking the results of the weekend computer runs. In so doing, he uncovered a 218.17 unit discrepancy between the journal entries and these in the general ledger. At the time it seemed like nothing more than a routine error, caused by an overlooked voucher, he determined. Arthur made up a correction notice and resubmitted the voucher for processing. That should have been the end of it, but when the new computer runs came back at ten o'clock, the journal and ledger still failed to balance--by an amount of 218.17.
"The Prosecution may call its first witness," the Judge's voice hummed warmly from the speakers, after Michael Burns had concluded,, his preliminary arguments. "The Prosecution calls Hattie Peters, the Prosecutor's voice reverberated. One of the twelve television screens on the wall opposite the Jury hummed into life. The face of Hattie Peters, Art Romano's workmate for fifteen years, appeared on the one-by-two meter display. "You-swear-to-tell-the-truth-the-whole-truth-and-nothing-but-the-truth-in-the-name-of-the-state-" invocated the video recording. Hattie pledged her oath. "State your name."
"Harriet M. Peters." The prerecorded voice of the Prosecutor questioned the woman. "Can you tell us, Mrs. Peters, what you observed at about ten o'clock in the morning on this last Monday past?" "Yes, I saw Art--I mean Mr. Romano--stand up and throw his pencil down on his desk." The Jury rustled. "And then he stormed out of the Office." A muffled gasp went up from the Jury. "I object to the word 'stormed', Your lionor," Burns interjected. The videotape suspended its operation while Burns argued his point. "Very well," the Judge ruled, "Jury will disregard the characterization 'stormed'." "Did he say anything when he left, Mrs. Peters?" the Prosecutor continued. "Yes, he said he was going down to the Information Systems Section to... to..." Hattie choked with emotion, "To straighten out that damn computer." The Jury murmured in indignation; the Judge commanded order. Damning, damning testimony.
Association Minutes - November 2, 1978 ............
Chairperson Paul Newman called the meeting to order at 12:15 P.M. There were 27 members in attendance. Following the introduction of guests, Patti Palmer introduced the November Speaker--Mr. Jack Curry, Director of Corporate Security for Rainier National Bank.
Mr. Curry described the extent of the problem of computer abuse, citing several recent examples of computer fraud, he said that the two biggest areas of abuse are funds transfers and credit cards. The perpetrated by a wide range of individuals from "computer-people" to clerks, managers, and customers.
He indicated that in order for agency, institution or company to protect itself to any degree, system security must be an integral part of overall planning. To a large degree successful security planning depends on two factors: (1) designating one individual as having responsibility for security and (2) having an organizational security policy that outlines the importance of security planning. Many of the speaker's detailed security proposals were distributed to the membership in two handouts.
Following Mr. Curry's talk, Paul Newman opened the business meeting. The Treasurer's report shows a balance of $369.30 as of November 2, 1978.
Jim Michaels gave the DPA report. Highlights of the lengthy meeting were:
1. A status report on the study of the utilization of data processing resources in the state.
2. A presentation by DOT of a plan for utilizing a separate sub-account within the data processing revolving fund.
3. Review and discussion of the proposed acquisition of a system by the Administrator For the Courts. The Authority ultimately decided to postpone a decision until December while several related issues were reviewed. It is unclear whether the acquisition will actually be delayed.
4. The Authority approved an interim acquisition of a third IBM 370/158 for WDPSC while a long range plan is developed.
5. The Authority approved an acquisition of additional capacity through RFP for Service Center 3.
Paul Newman turned over the gavel to the Secretary/Treasurer and the meeting continued with a report by Patti Palmer on the Newsletter. She indicated that the action at last month's meeting appears to be encouraging more articles. For January's newsletter, the lucky members are:
*Frankie Schlender (OTCC)
*Twila Perry (G.A.)
*Paul Newman (DSHS)
Dick Applestone reported for the Job Matrix committee. He described ongoing work on the systems and programming job classes and indicated that there would be a meeting on November 13th. The management specifications are expected to be available for agency review following one more meeting. A effort is beginning to identify a possible new classification for customer services specialists within service centers. John Aikin indicated that there are similar classifications already within higher education.
Cliff Cotey reported for Don Smith concerning the Training Committee. He said that DHRD was considering a computer fair and that the committee had studied this idea and supports it.
Galen Schmidtke reported that the draft report of the Centralization/Decentralization Committee is out and that comments are expected back by the 15th. Thus far there have been few if any responses·
There followed some discussion of the May seminar. There was consensus that Distributed Processing might make an appropriate topic for the focus of the seminar· Patti Palmer will investigate the availability of speakers.
There was no further business. A letter from Bob Payne has been received expressing the Authority's thanks for participation of the Association in The Security Standards project·
John Aikin adjourned the meeting at 1:30.
Association of Data Processing Managers
December 7, 1978
Marlo Martini will be speaking on Management Services and State Government.
REMINDER: Please send your notification of attendance to John Aikin, Mail Stop TA-00.