Академический Документы
Профессиональный Документы
Культура Документы
EXECUTIVE SUMMARY
For over eight years there has been a concerted drive across the nation for criminal justice agencies to integrate their data systems, primarily for the purpose of maintaining data and eliminating or reducing redundancy of data entry. In spite of all the emphasis, all the conferences held, national organizations formed, grants awarded and monographs written on the subject, not to mention the millions of dollars provided of federal, state, and local funding, the amount of integration that has occurred is relatively modest. It could even be said that there was more true integration decades ago when justice components were integrated (or at least collocated) on large mainframe systems in most of the larger metropolitan statistical areas. Now, however, many of those agencies with the older systems are held captive by them because they cannot afford to, or dont have the will to, replace them with the far more modern and productive systems that are available today. It is the authors contention that much more progress will be made when local agencies in particular can see a clear methodology of how to proceed. Amidst all the confusing clamor and noise provided by middleware vendors and system integrators, justice agencies want to make rapid, effective progress without incurring risk to their careers or starting down a path for which they cannot see a clear outcome. It is difficult to know how to start, what platform to use, and what processes and techniques to employ, let alone find skilled persons that have the experience and can hit the front door running. The purpose of this document is to provide specific information, a case study, describing how the integration system in Contra Costa County evolved, how they organized, what technical approaches they employed, what they have accomplished to date, and what benefits they have gained. While not exactly a blueprint, there is enough technical, procedural, and political information herein that the reader should come away with a fairly clear strategy, or at least one way to accomplish a lot of integration in a short period of time. It is written in a straightforward, detailed, sometimes irreverent manner intended to be as honest and helpful as possible. While there is no one correct approach, the most correct are those that provide the most results in the shortest period of time, and Contra Costa County has done that. This is not a marketing document, nor a glossy one to talk about what they plan to do, but rather an example of what one county has done, how they did it, why they took the approaches they took, what worked well, and what could have been better. Initiated by the Sheriff, the criminal justice agencies in and near Contra Costa County, California have aggressively begun integrating multiple justice applications and have many in production and many more on the launch pad with 48 agencies providing valuable data and nearly 1,000 users accessing the system. We hope this case study is useful to those who are still trying to get started and to those who are currently in the process of integrating.
TABLE OF CONTENTS
EXECUTIVE SUMMARY ......................................................................................................................................... I DESCRIPTION OF THE COUNTY .........................................................................................................................1 PRE-EXISTING INTEGRATED JUSTICE SYSTEMS ............................................................................................2 STEP 1.0: IN THE BEGINNING ............................................................................................................................ 10 STEP 2.0: GETTING ORGANIZED ........................................................................................................................ 11 STEP 3.0: FORMING A PROJECT TEAM .......................................................................................................... 15 STEP 4.0: PRELIMINARY RESEARCH AND PLANNING ............................................................................. 17 STEP 5.0: SETTING PRIORITIES ........................................................................................................................ 31 STEP 6.0: A 3-YEAR STRATEGIC INTEGRATION PLAN.............................................................................. 35 STEP 7.0: ALTERNATIVE INTEGRATION APPROACHES ........................................................................... 36 STEP 8.0: TECHNICAL APPROACH - MIDDLEWARE .................................................................................. 38 STEP 9.0: INTERFACING TO THE MAINFRAME ........................................................................................... 41 STEP 10.0: GETTING ORGANIZED FOR INTEGRATION ............................................................................. 43 SETUP ...................................................................................................................................................................... 43 CONNECTIONS .......................................................................................................................................................... 43 METHODOLOGY ....................................................................................................................................................... 43 LOCAL COORDINATORS ........................................................................................................................................... 44 SECURITY AND DIFFERENT ROLES ........................................................................................................................... 44 DESIGNING THE SYSTEM WITH MIDDLEWARE .......................................................................................................... 45 MAKING FASTER PROGRESS .................................................................................................................................... 50 PROJECT 1.0: SHARING JAIL DATA WITH ALL AGENCIES ..................................................................... 51 THE PROBLEM:......................................................................................................................................................... 51 METHODOLOGY: ...................................................................................................................................................... 51 PROJECT 2.0: SHARING RMS DATA................................................................................................................. 52 THE PROBLEM:......................................................................................................................................................... 52 METHODOLOGY: ...................................................................................................................................................... 52 CHALLENGES: .......................................................................................................................................................... 53 PROJECT 3.0: SHARING MAINFRAME COURT & DA DATA...................................................................... 55 THE PROBLEM:......................................................................................................................................................... 55 METHODOLOGY: ...................................................................................................................................................... 56 PROJECT 4.0: CONNECTING THE DOTS ......................................................................................................... 57 THE PROBLEM:......................................................................................................................................................... 57 METHODOLOGY: ...................................................................................................................................................... 57 PROJECT 5.0: CERTIFIED ID BACKED BY PRINTS ...................................................................................... 58 THE PROBLEM:......................................................................................................................................................... 58 METHODOLOGY: ...................................................................................................................................................... 58 PROJECT 6.0: COURT PROTECTIVE ORDERS .............................................................................................. 60 THE PROBLEM:......................................................................................................................................................... 60 METHODOLOGY: ...................................................................................................................................................... 60 PROJECT 7.0: ADDING ALAMEDA COUNTY DATA ..................................................................................... 61 THE PROBLEM:......................................................................................................................................................... 61 METHODOLOGY: ...................................................................................................................................................... 61 PROJECT 8.0: AUTOPILOT SEARCH & USER NOTIFICATION ................................................................. 63 THE PROBLEM:......................................................................................................................................................... 63 METHODOLOGY: ...................................................................................................................................................... 63 PROJECT 9.0: SIX PACK LINEUPS .................................................................................................................... 64
i
THE PROBLEM:......................................................................................................................................................... 64 METHODOLOGY: ...................................................................................................................................................... 64 STEP 11.0: INSTITUTIONALIZING INTEGRATION? .................................................................................... 65 STEP 12.0: PERMANENT FUNDING? ................................................................................................................. 67 USER SURVEY ......................................................................................................................................................... 70 ARIES IMPACT ON PRODUCTIVITY ............................................................................................................................ 71 EVALUATION OF ARIES DATA SOURCES ................................................................................................................... 73 Alameda County Arrest & Booking Data .......................................................................................................... 74 CLETS/DMV Queries ........................................................................................................................................ 74 Probation Status ................................................................................................................................................. 74 California DOJ Certified ID Data ..................................................................................................................... 75 Sheriffs Jail Data .............................................................................................................................................. 76 Mugshots from 48 Agencies .............................................................................................................................. 76 Protective Orders ................................................................................................................................................ 76 Records Management Systems .......................................................................................................................... 77 Witness & Subpoena System .............................................................................................................................. 77 Six-Pack & Large Photo Lineup System ........................................................................................................... 78 AutoPilot Repeatable Searches .......................................................................................................................... 78 LIFE WITHOUT ARIES? ......................................................................................................................................... 79 OVERALL IMPACT OF ARIES ..................................................................................................................................... 79 ARIES USER COMMENTS .......................................................................................................................................... 81 CONCLUSION: ........................................................................................................................................................... 82 A MAP OF THE ARIES WEB APPLICATION .................................................................................................... 83 SUMMARY AND LESSONS LEARNED ............................................................................................................... 84
ii
The populations of Contra Costa County and the surrounding counties are as follows: Alameda County Contra Costa County Marin County Napa County San Francisco City & County San Mateo County San Joaquin County Santa Clara County Solano County Total: 1,496,200 994,900 250,400 129,800 791,600 717,000 513,500 1,729,900 412,000 7,035,300
Shown below in Figure 2.0 is a map of Contra Costa County in more detail.
PRE-EXISTING INTEGRATED JUSTICE SYSTEMS The agencies within the Contra Costa County justice community employ many systems to assist them in their respective missions. They have undertaken a significant amount of integration and sharing of data over the past several decades. The following are some examples of the current integrated systems in use in Contra Costa County. The Law and Justice Information System (LJIS) is an integrated system on the mainframe which provides services to the District Attorney, the Public Defender, the Superior Court, and Probation. It contains the following modules: 1. Traffic Cases 2. District Attorney Adult 3. District Attorney Juvenile 4. Juvenile Court 5. Municipal Court 6. Superior Court 7. Wants and Warrants 8. Bail 9. Probation Adult 10. Probation Juvenile The All County Criminal Justice Information Network (ACCJIN), in operation since 1990, is a secure wide area network and is the gateway by which county agencies and all municipal police agencies gain access to the California Law Enforcement Telecommunications System
2
(CLETS) and the federal NCIC systems. The Sheriffs Office provides contract services (including information system support) to the following cities: 1. 2. 3. 4. 5. 6. 7. Danville Lafayette Orinda San Ramon Oakley Pittsburg (RMS and CAD services only) Moraga (CAD only)
The City of Richmond provides Computer Aided Dispatch (CAD) and Records Management System (RMS) for the following cities. 1. 2. 3. 4. 5. El Cerrito Hercules Kensington Pinole San Pablo
The City of Concord provides CAD and RMS for the city of Clayton as well. Table 1.0 below identifies all the systems that are known to be operating in the county justice community.
DMV DVRS
Livescan HIDTA IMS IBIS JMS JAWS LIMS-Plus LJIS LEADS CAD RPCS CAD RMS TRAK VICAP WSIN
DNA Gupta SQL Oracle SQL Server IDMS Access DNA Jbase Archive Proprietary Proprietary Sybase
Table 2.0 below shows the population of the municipalities in the county and the number of employees where known. Since county services generally extend to the whole county it would be redundant to repeatedly enter the county population. In some cases the number of law enforcement employees of the college districts and other entities has not yet been determined.
1 2
Has an export function that can be read into Oracle or other databases The City of Richmond is replacing this with New World within the next six months.
Table 2.0: Criminal Justice Agencies EMPLOYEES DEPARTMENT OR AGENCY 1,126 Sheriff Sheriff Danville PD Sheriff Lafayette PD Sheriff Oakley PD Sheriff Orinda PD Sheriff San Ramon PD Unknown California Highway Patrol 410 County Mainframe Courts 122 County Mainframe Public Defender County Mainframe Social Services 197 County Mainframe District Attorney 457 County Mainframe Probation 151 Antioch PD 57 Brentwood PD 14 Clayton PD 220 Concord PD 30 CC Community College PD Unknown East Bay Regional Park Police 23 Hercules PD 55 Martinez PD 14 Moraga PD Office of Revenue Collection 40 Pinole PD 98 Pittsburg PD 68 Pleasant Hill PD 275 Richmond PD 43 El Cerrito PD 11 Kensington PD 59 San Pablo PD 113 Walnut Creek PD Unknown West County Schools Police Total:
3582
2003 POP. 139,100 43,200 24,400 27,000 17,850 47,050 DNA 994,900 994,900 994,900 994,900 994,900 99,300 33,000 11,000 124,900 DNA DNA 20,500 36,900 16,500 No Estimate 19,500 61,100 33,700 101,400 23,550 No Estimate 30,750 66,000 No Estimate 994,900
Table 3.0 below indicates which agencies use the various criminal justice and related systems. This illustrates how widely dispersed the data is and how valuable it would be for a variety of reasons to be able to at least browse across some of the data, if not reduce duplication of data entry in the future by pushing and pulling data from one system to another.
AGENCIES
ANTIOCH
BRENTWOOD CLAYTON
CONCORD
EL CERRITO HERCULES
PITTSBURG
SAN PABLO
WALNUT CREEK
PROBATION
SYSTEMS
g g g g g g
CAD AEGIS g g g
CAD DATA911 g g
CAD - PRC g g g g g
CAD TIBURON g g
CAD VERSATERM g g g g g g g g g
MUGS - PICTURELINK g g
MUGS IMAGIS
MUGS VERSATERM g g
MUGS - HOMEGROWN g g g g
RECORDS AEGIS g
RECORDS CABS g g
RECORDS DATA911
RECORDS TIBURON
RECORDS - VERSATERM
A database of CAD data for analysis and reporting starting in January 1999. Data is automatically swept from the CAD system on a regular basis to this Oracle database. 6
EMPLOYMENT-HEALTH
AGENCIES
ANTIOCH
BRENTWOOD CLAYTON
CONCORD
EL CERRITO HERCULES
PITTSBURG
SAN PABLO
WALNUT CREEK
PROBATION
SYSTEMS
g
RECORDS - PsNET g
RECORDS- EASYWRITER g g g g g g g g g g g g g g g g g g g
PRINTS LIVESCAN 10
PRINTS PID 1
TRAFFIC - AMORS g g g g g g g g g g g g g g g g g g g g g g
CLETS g g g g g g g g g g g g g g g
CORONERS DATABASE4
DMV
DOMESTIC VIOLENCE7
Data is maintained county-wide but is not accessible for queries by municipalities Intended to hold up-to-date county and municipal data when fully implemented but is not necessarily accessible to municipalities 6 System used by the Office of Revenue Collection the Countys collection agency for fines, fees, etc. 7 Municipal departments mail or fax DV incident reports to the Sheriffs Office where the data is re-keyed into a Domestic Violence database into the Tiburon RMS. 8 Sheriffs property room 7
EMPLOYMENT-HEALTH
AGENCIES
ANTIOCH
BRENTWOOD CLAYTON
CONCORD
EL CERRITO HERCULES
PITTSBURG
SAN PABLO
WALNUT CREEK
PROBATION
SYSTEMS
g
HIDTA10 g g g g g g
IMS - TARGET11 g
IBIS12
JAIL MGMT. g g g g g g g g g g g g
JAWS14
JUSTICETRAX15 g g g g g g g g g g g g
LJIS16
10
Crime Labs digital evidence documentation including live video and digital camera images High Intensity Drug Traffic Area Federal Investigators call a telephone number and staff does searches for them 11 Predecessor to IMS Incident and property reports that stop at 1996 12 Integrated Ballistics Info System ATF system used by the Crime Lab 13 Court Juvenile, traffic, and civil cases 14 County-wide warrants management system 15 The Crime Labs Evidence Tracking Software. The Crime Lab has submitted an application to support letting agencies electronically inquire about and retrieve reports. 16 Legacy integrated system for Court criminal cases, District Attorney, Public Defender and Probation modules 8
EMPLOYMENT-HEALTH
AGENCIES
ANTIOCH
BRENTWOOD CLAYTON
CONCORD
EL CERRITO HERCULES
PITTSBURG
SAN PABLO
WALNUT CREEK
PROBATION
SYSTEMS
g g g g g g g g g g g g g g g g g g
LEADS17 g
PITTBURG Citations g
TRAK18
VICAP19
WSIN20
17
18
Parole LEADS - a State system for active, suspended, pre-parole, revoked, and discharged parole cases Technology to Recover Abducted Kids State System 19 Violent Criminal Apprehension Project FBI 20 Western States Intelligence Network Regional system for OR, WA, AL, HI and CA from 1995 accessible through the Internet 9
EMPLOYMENT-HEALTH
21
SEARCH is a nonprofit membership organization created by and for the states that is dedicated to improving the criminal justice system through the effective application of information and identification technology. www.search.org/integration/default.asp. 10
Mission
The mission statement of the ARIES Committee is as follows: To develop and implement a dynamic information sharing system for criminal justice agencies
Scope
The Scope of the Contra Costa County Integrated Justice Information Systems Project is the timely integration of justice information systems with an emphasis on sharing accurate, complete and needed information. Participation from a variety of traditionally non-justice agencies in this project, such as Employment and Human Services, Health Services, and the Office of Revenue Collection, will ensure that related criminal justice information is shared between departments on a legal and need-to-know basis. The focus will be on the critical relationships and linkages between these departments and the justice agencies, not on their internal business and informational processes.
11
Project Goals
1. Provide more comprehensive access to information regarding individual cases, people, events, and justice system processing. 2. Improve the timeliness, accuracy, completeness, and overall quality of information by providing a single point of data entry and the ability to share information among agencies and the Court that is based on a legal and need-to-know basis. 3. Improve operational effectiveness and reduce costs by evaluation of workflow and processes by suggesting the re-engineering or sharing of data as needed. 4. Increase information exchange and analysis among departments, agencies, and the Court. 5. Provide users with the tools and system capabilities necessary to make individual case decisions and to conduct analysis, research, and ad hoc reporting.
NOTE: Hunter Research, Inc. was involved in these early formative steps and saw provincialism and resistance to cooperation and sharing melt away because of two factors. The first was the 9/11 catastrophe which alarmed all agencies of the need to work together for mutual protection and enforcement. The second was the assurance from the Sheriff that individual agencies could decide to participate or not and could determine their level of participation. Further, they would have veto power over any data from their agencies that they did not want to share.
12
CONTRA COSTA COUNTY EMPLOYMENT & HUMAN SERVICES (WELFARE FRAUD) EAST BAY REGIONAL PARK
CHP
(1)
The JAAC Committee is composed of the department heads for county justice agencies representations from three municipal police departments who represent the 25 municipal law enforcement agencies in the county. They meet once a quarter. The ARIES Committee is the workhorse group that meets every month and approves the strategic plan, budgets, project plans and makes recommendations to the JAAC Committee. The development team (not shown) develops prototypes and demo systems monthly and obtains approval for various technical issues that are raised. The County DoIT is the county IT department and primarily attends to the IBM OS390 mainframe and other mini-computers in the system. Like most County IT shops, their major skills surround the care and feeding of the mainframe. The staff is skewed toward the more senior levels in terms of seniority. As a rule, they are not developers but mostly provide maintenance and LAN/WAN services. In general, unlike the authors experience in other counties, particularly San Francisco, this department has a can do attitude and has been very cooperative.
13
(2)
(3)
(4)
The Association of Chiefs of Police meets every two months to consider issues of mutual interest. The ARIES law enforcement representatives use this group as an unofficial but critical sounding board and an informal approval entity, not wanting to do or omit any initiative that would be displeasing to them. In addition, this is another method of gaining good communication and cooperation among the many law enforcement agencies. The CopTac Committee is composed of the more technical and operational midmanagers among the law enforcement agencies. They have many members in common with the ARIES committee and meet every other month immediately following the ARIES meeting. The Finance Committee meets regularly to find methods of funding ARIES after the federal funds are no longer available. They look at annual dues, fines, and fees, hotel taxes, county portals and other non-general fund methods to support the system. After thousands of users are dependent upon the system, it could be disastrous to have to shut it down. The Security Committee is a standing committee that reviews security issues on almost a monthly basis. They look at user roles and what specific data elements each role should be able to see or not and then make recommendations to the ARIES committee. The Temporary Working Groups are subject matter experts from various agencies needed to advise and shape specific applications. For instance, investigators from the various departments are pulled together from time to time to (a) review needs and requirements for an application, (b) see prototypes of demos of early applications, and to (c) be beta testers of the early application. Other committees are family court judges for protective order applications, subpoena clerks for the witness call off system, crime analysts, etc. The Regionalization Committee Because other counties and state agencies have requested participation in ARIES, a subcommittee has been formed to address (a) how to enable telecommunication and sharing, (b) how to monitor security and user management of a regional system, (c) how to fund the added scaling, and (d) how to share costs among the providers and users of regionally-shared data.
(5)
(6)
(7)
(8)
(9)
14
3.0
Document Department Workflows and Business Processes Gather Departmental Sharing, Needs, and Requirements
4.0
Performed analysis of the data modules in the LJIS system as well as the Records Management Systems, the Crime Lab Systems, etc., and created strategies on how best to share data among authorized agencies. Created a system to read the 350,000 live records in the Jail Management System and to link the records with mug shots where available. (Added by HRI.)
6.0
15
While the initial contract did not require the development of any systems, HRI was able to talk the committee into letting them get some infrastructure in place so they could begin sharing data, rather than just creating more reports and documents. HRI had previous experience in developing integrated systems for the City and County of San Francisco and wanted to accelerate the progress by building the first system for sharing data. Accordingly, task 6.0 above was added.
16
Using the SEARCH JIEM Modeling Tool The ARIES Committee requested a training session for key members from different departments along with the project team to go through the SEARCH Justice Information Exchange Model. The JIEM Modeling Tool is a software package by Search22 created to help users map their local criminal justice system. The JIEM Modeling Tool is a web-based application, developed with the Java programming language and a Sybase relational database. It operates on a server housed at SEARCH headquarters in Sacramento, CA and is available to all authorized users over the Internet. ARIES committee members are engaged at this time in completing the JIEM templates.
A National Survey
HRI completed a survey of other county integration efforts across the country. We could only find 40 counties who were thinking about integration, actively involved in integration, or totally integrated (if you are ever really finished). We wanted to know the following: 1. 2. 3. 4. 5. 6. 7. 8. What is your governance structure? How are you funded? What is your staffing level? On a continuum from thinking about it to implementing integrated systems where do you fall? Which components (Law Enforcement, DA, Public Defender, etc.) are you integrating? Which subcomponents (CAD, RMS, Warrants, etc.,) are you actually integrating? What have been your biggest challenges? Etc.23
The largest challenges reported by the agencies that returned the surveys (21 of the 40 agencies returned the survey) were surprising. The multiple choice answers to the challenges question were the following: 1. Lack of funding
22 23
An organization funded by the U.S. Department of Justice to assist improvement of justice programs and practices The results of this survey are shown below in Table 5.0. 17
2. 3. 4. 5. 6. 7. 8. 9.
Obtaining agreement among the agencies on priorities Determining our needs Deciding which technology to use Finding skilled help with the newer skills Strong leadership Maintaining momentum Making rapid progress Cleaning our data
We expected everyone to gravitate to the easy choice of lack of funding, and half of the respondents did identify that as a challenge, but the majority of the factors selected were items 6-8 above, which are all related. If a project is not making rapid progress, then it is difficult to maintain interest and funding support over the long haul. How does one maintain momentum? We believe it can come from several places, with the first being leadership. A strong leader creates belief in the mind of the troops that the mission is very important and can be achieved. Even when it is difficult and there are many obstacles to face, the team members keep striving because they believe in the mission and believe that the leader wants success. As was mentioned earlier, that leadership was provided by the Sheriff of Contra Costa County who is celebrating his 40th year in law enforcement with the county. His commanders, captains and lieutenants as well as non-commissioned support staff were not sure how it would come out, but they were committed to making it work. That commitment bled over to the other justice agency and municipal law enforcement agencies as well. The second momentum builder is constant success. At the conclusion of each meeting of the ARIES Committee, the project team goes to the marker board and decides what great things they will demonstrate to the committee in the next monthly meeting. When the committee sees new applications and bells and whistles on a continuing basis, they know that progress is being made. When new applications are consistently being put into production, the excitement and anticipation build each month for the development team as well as for the committee. One can make rapid progress by using rapid development tools and by working very fast and very hard, while at the same time not skimping on testing and quality assurance. One can also pick shorter range, achievable targets. The first project we selected was to share the jail data, because it was one database that everyone needs. Doing that quickly so that the whole community could benefit quickly was a credibility building factor. In another county, the developers focused on a rather difficult first project of unifying the case number from police incident report, through the prosecutor, public defender, court and probation. While many counties would lust for that, it is very challenging in trying to restructure the case management systems and the naming conventions of old cases versus new cases, and often the case management software case number formats are limited. We worked on long term projects, but in the meantime kept successfully implementing the short term ones.
18
Figure 5.0: DATA SHARING PROJECTS OVERLAID ON THE CRIMINAL JUSTICE SYSTEM
19
Table 5.0: COMPARISON OF COUNTY INTEGRATION EFFORTS ACROSS THE NATION SURVEY RESULTS 2003
Mechlenburg WDC WDC 572K 93K 150K 753K 254K 114K 2.2M 570K 896K 703K WI IL CA SC NV FL TN FL CA FL 896K Kern NC 695K 3.0M AZ MariCopa Eu Claire Mc SpartanClean Ventura burg San Orange Joaquin Henry CA 614K GA 119K Contr a Costa Mc Henry IL 260K g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g Some Some Some g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g CA 950K Four Dade David Palm County24 County - Beach son
COUNTY
STATE
2000 POPULATION
1. Scope of Integration
Multi-State
State-Wide
Multi-Agency Local
Other
Police to Police
Police to DA
Police-DA-Defense-Courts-Probation
Other
Municipal Police
County Sheriffs
District Attorneys
Public Defenders
Courts
Probation Depts.
Other
4. Processes Completed
24
Mechlenburg WDC WDC 572K g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g 93K 150K 753K 254K 114K 2.2M 570K 896K 703K 896K WI IL CA SC NV FL TN FL CA FL Kern NC 695K g g g g g g g g g g g g g g 3.0M AZ CA 614K Some g
MariCopa
Eu Claire
STATE
2000 POPULATION
Developed Priorities
g g
g g g g g g g g g g g g g
Creating Requirements
Developing Priorities
Establishing a Schedule g
g g g g g g
g g g g g g g g g g g g
g g g
Adequate Funding
Strong Leadership
25
26
13 Agencies contributing browseable data including the State Department, and FBI Intelligence querying 17 databases Built from scratch in 1997 using E-Justice custom built software 21
Mechlenburg WDC WDC 572K 93K 150K 753K 254K 114K 2.2M 570K 896K 703K 896K WI IL CA SC NV FL TN FL CA FL Kern NC 695K g g g g g g g P P P g P g g P g P g g g g g g g g g g g P P g g g g g g g g g g g g g P P g g g g g P P g g ? ? g g P g P g g g g g g g g g P g g g g g g g g g g P g g g g g g g g g P g P g g P g g g g g g g g g g g g g g g g g g g g g g g g g g g g g P P g g g g g g g g g g g g g g g g 3.0M AZ CA 614K
MariCopa
Eu Claire
STATE
2000 POPULATION
g g
CAD P P g P g P P P P g P g g g P P P P g
Field Interviews
Records Management
Mug shots
Fingerprints
Property/Evidence Room
Coroner's Reports
Pawn Tickets P g
27
P means they are planning this feature, the g means they already have it. 22
Mechlenburg WDC WDC 572K g P P P P P P P P g P g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g P P P g g g g g g g g g g P P P P P P P g g g g g g g g g g g g g g g g g g g g g g P P g P P P P P P g g g g g g g g g g g g g P g g P g g g g g g P g g g g P g P g g g g g g g g P P g P g g P g g g g g P P g g g g g g g g g P g g g g g g g g g g P g g P g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g 93K 150K 753K 254K 114K 2.2M 570K 896K 703K 896K WI IL CA SC NV FL TN FL CA FL Kern NC 695K 3.0M AZ CA 614K g g g ? g g ? ?
MariCopa
Eu Claire
STATE
2000 POPULATION
Sex Registry
Jail Booking
DA Complaints
DA Warrants
DA Subpoenas
DA Dispositions
DA Case Assignments
Court Calendars
g g g g g g g g g g g g g g g g
Court Dispositions
Court Sentences P
Restraining Orders
Probation Warrants
Probation Status
Probation Compliance
Health Services
Welfare Fraud
Revenue Recovery P
23
Mechlenburg WDC WDC 572K g 93K 150K 753K 254K 114K 2.2M 570K 896K 703K 896K WI IL CA SC NV FL TN FL CA FL Kern NC 695K 3.0M AZ CA 614K g g g g g g g g g g g g g g g g g g g g g g g g
MariCopa
Eu Claire
STATE
2000 POPULATION
g g
Other g g g g g g g g g g g g g g g g g g g g g g g
g g g
g g g
Timeshare OS390 Wintel Novell/Win IDMS Oracle/SQL Btrieve g g g g g g g DB2 ? SQL Server g g SQL Server DB2 ? Oracle Oracl Sybase SQL 2000 e IDMS Oracle Oracle Unix/Win HPUX:AIX Win2000 AIX Reflections UNIX Stratus/Win Sun/UNIX OS390 g OS390 Solaris Win2000 IBM OS400 Win200 0 DataCom SQL Server Unix Intel RPG SQL
LAN/WAN Servers
LAN/WAN System
Case Tools
Crystal Enterprise
AltioLive 3.0
Attunity g g g g
Cognos Powerplay
Computer Associates
Curl Corporation g
Exadas
24
Mechlenburg WDC WDC 572K 93K 150K 753K 254K 114K 2.2M 570K 896K 703K 896K WI IL CA SC NV FL TN FL CA FL Kern NC 695K 3.0M AZ CA 614K
MariCopa
Eu Claire
STATE
2000 POPULATION
IBM MQ Series
IBM Websphere
IONA
IWAY
Openlink Software
Oracle
SAP Netweaver g
Syperlink Harvester
Systinet WASP
Websmart by BCD g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g
Law Enforcement
District Attorneys
Public Defenders
Courts
Probation
State Police
State Corrections
Health Services
Educational Institutions
Mass Transit
Other
25
Mechlenburg WDC WDC 572K 93K 150K 753K 254K 114K 2.2M 570K 896K 703K 896K WI IL CA SC NV FL TN FL CA FL Kern NC 695K 3.0M AZ CA 614K
MariCopa
Eu Claire
COUNTY CA IL 260K g g Chief Veto Yes Yes Yes N g g g g g g g g g g g g g g g N Yes Yes N N N N N N Yes Yes Yes N N N N Yes N N Yes N N Yes Yes Yes N Yes Yes N N g g g g g g g g g 950K
STATE
2000 POPULATION
Other
Yes N N
Yes Yes N
Yes Yes N
N N N
Federal
State
Local
Foundation g g TBD28
Private
Borrowing
20. Local Cost Sharing Method g g None 3.75 M None 2 None 13.0 18.0 2.0 3.0 2 12 2 6 18 10 8 Cont30 0 1.4 M None g Cities ? g
Allocation by Population
Allocation by Number of Staff g 689K Central Fund 7.0 M g Per User Varies Varies g ? ? Not Sure Central+ Agencies ? ? g g g
Other
2.7 M
1.5 M
8.029
TBD
250500K 0
28
29
To be determined Over Multi-year effort 30 Using contractors now Looking at ongoing staff requirements 26
A Catalog of Possible Data Sharing Projects This phase was completed in March 2003 with the publication of a Catalog of Possible Data Sharing Projects31 of 40+ distinct integration or sharing projects identified and prioritized by the committee plus a working prototype of the first project, the jail data sharing system, as the first application of ARIES. All 40+ projects were fleshed out in mini-strategies, (See a sample of a mini-strategy in Table 6.0 below), showing the following: 1. 2. 3. 4. 5. 6. 7. What problem the lack of integration was causing What agencies and data systems were involved What were the possible solutions What technical approach would be taken What are the specific steps and tasks to be undertaken What is a reasonable schedule What budget (and sources of revenue) will be required Figure 6.0: Catalog of Potential Data Sharing Projects
CONTRA COSTA COUNTY INTEGRATED JUSTICE INFORMATION SYSTEMS PROJECT Martinez, CA 94553 (925) 313-2425
TABLE OF CONTENTS
SUMMARY OF CANDIDATE PROJECTS INTRODUCTION
GROUP 1.0 - IDENTIFYING PERSONS OF INTEREST GROUP 2.0 - LOCATING PERSONS OF INTEREST GROUP 3.0 - DETERMINING THE STATUS OF A CASE GROUP 4.0 - MANAGING EVIDENCE AND PROPERTY GROUP 5.0 - INCREASING EFFICIENCY GROUP 6.0 - MAINTAINING EXISTING INTEGRATION GROUP 7.0 - RESEARCH & EVALUATION & PLANNING
Much of the integration literature might quarrel with many of the projects being classified as integration when they dont involve physically pushing data from System A to System B, but most of these projects involve exposing data that one agency enters and updates to all the other justice entities that need the information. They may not need it transplanted into their systems, but just need to be able to read it. For instance, the Public Defender needs to know if his client is in jail this very nanosecond. If he can query the real time jail data at will, then his need is satisfied. He does not need to have the jail status pulled from the jail system and pushed into his own information system. Table 7.0 below shows different types of integration.
31
Hunter, Dwight, Catalog of Possible Data Sharing Projects, revised March 2005.
27
Code: 005
Timing is critical in attempting to re-capture stolen vehicles and apprehend perpetrators before the vehicles are stripped, driven out of the area, or loaded on a ship. Yet reports of stolen vehicles come to individual departments and are not made visible on a county-wide or regional basis in an effective manner. Reports are received and investigated by individual agencies, and paper flyers, faxes, mailings, or face sheets are distributed. Each of the individual CAD or RMS systems have a stolen vehicle module, although some are not used. The ability to browse across the electronic systems of each law enforcement agencys stolen vehicle modules for method of theft, vehicle descriptions, VINS, license plates, etc., as soon as possible after the theft would provide a systemic, rapid solution. The Sheriff has 1.0 FTE entering stolen vehicle information into a custom module in the Tiburon RMS which is composed of 5 screens. The ability to push out electronic notices of car-jacked and stolen vehicles as soon as they happen may increase suspect apprehensions, aid in kidnap recoveries, and link common events to rings of car thieves.
F. Management of System
H. Project Rating
Provides Better Data Improves Public/Staff Safety Increases Efficiency Saves Money Inexpensive to Implement Easy To Implement Builds Needed Infrastructure [Y/N] Total (100)
(20) 33 148
32
(20) 136
(15) 109
(15) 47
(15) 66
(15) 70
(a) 5
100+ 576
32 33
These are the number of points each committee member could give a project using these weighted criteria These are the aggregate total points given by all members to this particular project. 28
There are Many Kinds of Integration The terms Sharing and Integrated Justice are thrown around fairly loosely. But many kinds of integration can be implemented such as the following: Table 7.0 Examples of Different Types of Integration Sharing data from one source to many Example The sheriffs jail data are made available through ARIES to all 25 law enforcement agencies in the county in real time which eliminates many telephone calls to the jail. Sharing data from many sources to many agencies Example - A web application in ARIES serves up the Records Management System data from 25 agencies such that all 25 can view each others data in a uniform format. Creating new applications from unexploited data Example Manual protective orders are keyed into a system which all agencies can now view including the judges who issued the orders who previously had no electronic record to query to review their own orders. In many ways ARIES is an opportunist. The system finds data that other need and serve it up for them under security privileges. Serving up data in new combinations Example One can query mugshots from the Contra Costa County Jail, from each of the 25 agencies RMS systems and from the Alameda County Jail data for a broad universe from which to make strong six pack line-ups. Pushing Data from System A to System B Example - The California sends a printed Agency Notification of the Positive Identification of a person. A copy of that print job is saved in a subdirectory for Contra Costa County ARIES system. Every 15 minutes ARIES queries that subdirectory for new records and parses the information into a SQL database which is now available for query by all 48 agencies in the two counties. In another example, in Butte County, CA the booking information from the Motorola OffenderTrack system of the jail is pulled every night and is pushed to the Constellation Damion system of the District Attorney. The listing of Contra Costa County integration projects shown below in Table 7.0 is illustrative of this. Note the two columns on the right which classify the type of integration achieved by each project.
29
BROWSE
34
PUSH
35
Meaning the user needs to know something but not necessarily have it resident in their own application. Everyone needs to know if a certain person is in jail this second. All HRI browsing applications have the ability to print out a record, to select which portions of a record they wish to print by closing or opening panels, or to cut and paste information needed in their own document. 35 Data is selected from system A, and then is pushed into selected fields in system B, thereby eliminating duplicate data entry. 30
TYPE OF PROJECT 38. Availability of Officer Schedules for Court Appearances 39. Access to DA Complaints On-Line 40. Automation of the Probable Cause Approval System PROBLEM 6.0 MAINTAINING EXISTING INTEGRATION 41. Integration with Court Case Systems 42. Integration with Juvenile & Adult Probation 43. Integration with the District Attorney 44. Integration with the Public Defender PROBLEM 7.0 RESEARCH & EVALUATION & PLANNING 45. County-Wide Crime Analysis 46. Criminal Justice System Workflow Statistics 48. Electronic Completion of 8715 Reports to DOJ
BROWSE
34
PUSH
35
While the above looks like a fairly clinical and fair method for establishing priorities among competing projects, it did not replace the political process. When the rating scores were aggregated, some persons on the committee who did not like the results would make motions to move some projects up the priority list at the expense of higher-rated ones.
31
The Committee also analyzed each project to determine which agencies would be impacted by the project. Partially this was to attempt to provide some sort of parity among the agencies to spread the benefit around so that one agency or one component of the justice system didnt receive the majority of the benefit.
32
Law Enf.
D.A.
Defense
Court
Prob.
ORC
EHS
Rating Score
g g g g g g g g g
g g g g
g g g g g
g g g g g g
g g g g g g g g g
g g g g
g g g g g
g g g g g g g g g g g
g g g g g g g g g g g g g g g g g g g g g g g g g g g g g
NR 645
g g
g g
g g
451
36 37
These projects emerged later after the initial rating had been done. The Public Defender handles LPS, Juvenile 300 W&I, OSC and other cases where the data is in the Civil database only. 33
No. 27. 28. 29. 30. 31. 32. 33. 34. 35.
Problem Areas & Projects DA Access to Defense Witness List Access to DA Dispositions Access Court Calendar Access Court Dispositions Access Court Minutes Access Probation Status Data Complete DOJ 8715 On-Line Access Court Restraining Orders Access to Child Support Information Managing Evidence/Property
Law Enf.
D.A. g
Defense
Court
Prob.
ORC
EHS
g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g g
g g g g g g g g g g g g g g g
Access to Property Records Access to Court Dispositions Access to Central Pawn Data Access to Crime Lab Reports Increasing Efficiency
Electronic Pre-Booking Data Uniform/Digital Traffic Citation Officer Training/Vacation Schedules Access DA Complaints Access to DA NCF Maintaining Integration
Interfacing to New Court System Interfacing to New Probation System Interfacing to New D.A. System Planning & Research
g g g g g g
g g g g g g
NR NR NR
460 NR g g 403
38 39
Refers to the situation after the court moves to a new state system and no longer enters or inherits data to and from LJIS Refers to the situation should Probation move to a new case management system and stop entering/receiving data from LJIS 40 Refers to the situation if the D.A. moves to a new case management system and stops entering & receiving data from LJIS 34
Because the annual budget year for the agencies starts in July, the early analysis of what has been accomplished during the past project year and what might be required from the agencies in that cycle allow them to earmark resources in their budget preparation documents early in the budget process. Figure 8.0: Strategic Integration Plan
TABLE OF COTENTS
CONTRA COSTA COUNTY INTEGRATED JUSTICE INFORMATION SYSTEMS PROJECT Martinez, CA 94553 (925) 313-2425
1. EXECUTIVE SUMMARY 2. BACKGROUND AND PURPOSE 3. DESCRIPTION OF EXISTING INTEGRATED JUSTICE SYSTEMS 4. TYPES OF INTEGRATION SYSTEMS 5. COUNTY EFFORTS IN OTHER AREAS OF THE NATION 6. DATA EXCHANGE POINTS ANALYSIS IN CRIMINAL JUSTICE 7. INTEGRATION & SHARING NEEDS 8. ALTERNATIVE INTEGRATION STRATEGIES 9. RECOMMENDED INTEGRATION STRATEGY 10. ARIES TECHNICAL INFRASTRUCTURE 11. UNDERLYING TELECOMMUNICATION INFRASTRUCTURE 12. SECURITY PLAN 13. TRAINING PLAN 14. STAFFING PLAN 15. ESTIMATED EXPENSES 16. ANNUAL PLAN REVIEW PROCESS 17. WORK PLAN FY 2003/04 18. WORK PLAN FY 2004/05 19. WORK PLAN FY 2005/06 20. PROJECT IMPLEMENTATION SCORECARD
41
The state court administration determined that they were going to convert all the local court management systems to a new (not yet developed) system which would mean the other agencies would lose integration with the courts. This meant that ARIES needed to add projects to the workplan to retain the existing integration. 35
Just dumping the data into various tables would be considered a Data Store. The differentiation generally applied to a data warehouse is that much more analysis is provided, and canned analytical reports are available (and reusable) off the shelf in the warehouse. For instance, dynamic43 crime statistics of this year over last year can be designed and put on the shelf for users to view. The flow of criminal justice workload statistics through the entire system from CAD or officer observed crimes through sentencing can be documented and analyzed. The amount of sophistication possible is only limited by the imagination, amount of funding, and the availability of skilled analysts.
In a virtual warehouse, middleware reads and configures data from the various systems into RAM, but it does not physically move the data from the files. Hence, the data is still up-to-date and is constantly refreshed in RAM. 43 Meaning that once the report is formatted, the updated statistical data is continually fed into the template for users to view and print. 36
both worlds because agencies can continue to use the systems they prefer and are able to query data from other agencies.
Not only did the project team analyze these categories of middleware, but they also explored the confusing array of brand names of middleware software. Third party reviews were obtained and exhaustive searching was done for (1) good descriptions of what they do, and (2) evaluative information from reviewers and users of the respective packages. These are the middleware packages the team reviewed44.
This resulted in a fifty page document comparing all the various products. HRI continues to try to keep up with the many mergers and acquisitions as big fish swallow smaller fish and rename them or kill them, as new players come into the market, and as vendors rename and modify products to capture attention and market share. Much of the action in this space is an elaborate marketing game where actual performance and proofs of delivery are sadly lacking. Try to find articles about SOA for instance on What we did., rather than What we plan to do. or All the things you must consider when doing SOA. 38
44
ACTIONAL ACTUATE ALTIO LIVE ARTECH BEA WEBLOGIC BRIO BUSINESS OBJECTS CANDLE PATHWAY CAPE CLEAR CLEVER PATH COGNOS COMMERCE ONE CROSS WORLDS DIGITAL HARBOR ENSEMBLE FIORANO GRAND CENTRAL HYPERION IBM WEBSPHERE IBOLT INFORMATICA INFRAVIO
INTERSYSTEMS IONA ARTIX IPLANET LAZLO M7 APPLICATION MICROSOFT BIZTALK MICROSTRATEGY NERVANA ORACLE 9iAS Q-LINK SEE BEYOND SIEBEL SYSTEMS SONIC SYPHERLINK SYSBASE SYSTINET TEMPLAR INFORMANT TIBCO VITRIA WEBMETHODS WRQ
The project team made a continuum of functionality for middleware as a means of classifying where each package starts and stops in its ability to get one from concept to working application on the web. Some of the larger companies have a cluster of related products that one assumes (but it isnt necessarily so) that purchasing all of them might provide a complete set of tools to do the job. But that would be extremely expensive and complex. The team classified the different brands and models. The Briyante System from Visiphor Corporation (formerly known as Imagis Technologies) was the only one that allowed the team to rapidly develop and deploy successful web applications. Once the team developed the look and feel of the user interface in terms of panels on the web page, font size, types, and colors, they were able to construct and launch new applications on the same template within weeks rather than months or years. To almost eliminate programming HRI developed a configurator system which is composed of tables that enable developers to add, delete, and modify factors in the Web Services application such as panels, frames, tables, header names, data elements, security tables, users, etc., and make major or minor changes even while users are on the system. This has enabled HRI to rapidly add new data sources and modules as the system evolves.
39
We attended a meeting with the probation department and County IT staff and the discussion was on costs and what would happen when the Court, a major user of the system, is taken off the county system and transferred to the state. The IT representative answered, Well, each of you remaining departments will just have to pay more. 46 We were invited by the IT director of San Francisco County to listen to a proposal from a large neighboring county. The offer was something like this. You know, we have the same mainframe and operating system as you and we have this integrated (CJIS and outgrowth of the old Atkinson system). We have about the same budget as you and our staff are about the same. At the end of next year we will only have 1 small application left on the mainframe. How about us providing our integrated justice system for you. 41
Several of the county IT shops have continued to upgrade their mainframe systems even at a time when fewer and fewer applications are running on them. This only extends the time that they will be dependent upon them and their high maintenance costs will persist. This has been the case in Contra Costa and Sacramento Counties.
DAC
DAC
IBM ES2003 Mainframe IDMS District Attorney Public Defender Court (Criminal) Probation
DAC DAC
DAC
IDMS INTERFACE
BRIYANTE
JUSTICE INTEGRATION SYSTEM REVENUE RECOVERY DATA
Internet Explorer
ASSESSORS DATA
DAC
COUNTY ARCVIEW GIS DATABASE
DAC
Explanation:
1. The user only needs a Wintel PC, and Internet Explorer 5.0 and above (or comparable), access to the secure criminal justice Intranet, a user name, and a password to participate. 2. The ARIES system requires just one fixed user name and password to access a data source. 3. The user selects the applications they want to run and the data sources they want to query. 4. After entering their search parameters such as a name, data of birth, case number, etc., their request for information goes to the Imagis (now Visaphor Corporation) Briyante middleware server, which fires off simultaneous SQL select statements and related instructions to the Data Access Components (DACs) which are connected to the network where the data source servers operate. 5. Generally the ARIES system does not move any information, but reads it in place in real time in order ensure that the data are absolutely current. There are several exceptions. 6. Briyante returns the requested data if available in Justice XML format, and the Web Services application presents the data in attractive (configurable) web pages in various panels and frames.
42
7. HRIs Configurator47 product allows the developers to make many structural modifications to the applications, even while users are logged on in terms of frames, panels, tables, backgrounds, column headings, column data elements, etc. 8. Users can save their transactions and specify how frequently and for how long they want ARIES to resubmit their query to see if there are any more hits. The system will then E-mail them if more information is found among all the data sources they specified.
Setup
The project team purchased modest servers; one for the web services application and a second for databases that might evolve, even though a design objective is to never move data unless it is absolutely necessary so that they data is always as current as the most recent keystroke in the underlying application. The team loaded Windows 2003 on the servers as the operating system and the Briyante Integration Server with Visual Studio and all the required utilities. The system operates as a Web Services cluster of applications in a .NET environment.
Connections
The servers are connected to a county Intranet called ACCJIN which has operated within the county for fifteen years and is the conduit by which all the law enforcement agencies in the county (and some state and federal agencies) gain access to the statewide criminal history system called the California Law Enforcement Telecommunications System (CLETS). The servers are connected to the Sheriffs LAN that connects the Corrlogic Jail Management System and the two mug servers with segment linkage to the ACCJIN Intranet.
Methodology
Employing the Briyante middleware, the ARIES team links jail records by the unique CCIN number with a .jpg record in one or both of the mugshots servers and returns the jail records going back to 1982 with the mugshots from 1993 to date where they exist. A Web Service was created which enables the user to specify which characteristics they want, like names, DOB, AFIS number, jurisdiction, physical characteristics, scars, marks and tattoos, etc. They Briyante utility sends a SQL request to the databases, converts the returned information to Justice XML in the master server and presents the information to the user in attractive, easy-to-read web pages. An opening web page was developed with the normal housekeeping buttons of: 1. Logons and Security mechanisms for a. Lost password b. Changing roles, etc. 2. Applications 3. Member Agency home pages 4. Library of Documentation 5. Calendar of meetings 6. Members of various committees 7. An Online User Manual
47
While developing the ARIES project we spent an inordinate amount of time coding, testing, and debugging. So we developed a tool to help us make modifications rapidly without coding. This tool is very powerful and has helped us dramatically reduce development time in bring new modules from the data to the finished application. 43
Local Coordinators
While the system is centrally administered, the maintenance of users by agency that can gain access, is decentralized. A single ARIES Coordinator per agency is assigned and given an Admin button on their opening page. They are the only ones that can add or delete users from their own agency. They can re-assign the role of coordinator when they go on vacation or to training or other activities that will take them out of the office for some time. When they assign the role to another authorized user in the agency, they immediately lose their Admin privileges. The coordinators add the names and assign specific roles to the persons they add, but they do not assign passwords nor enter the telephone and E-mail address. That is mandatory for the user to enter when they sign on for the first time via a button called Manage Your Account. All bulletins and announcements are sent to the coordinators who then distribute the information to their users.
45
Step 1.0
Step 2.0
Step 3.0
Step 4.0
46
Step 5.0
Step 6.0
Step 7.0
Step 8.0
47
Step 9.0
Step 10.0
table { font-size: 100%; fontfont-family: Verdana, Arial, Helvetica, MS Sans Serif; font-
Bookings Scene Recognition Other Modules Module One Module Two Help
input, select, textarea { font-family: Tahoma, Verdana, Arial; fontfont-size: 100%; font}
48
49
This allows the developers to form an assembly line to make rapid integration development progress from the moment user groups determine a new application is needed until they are looking at a working prototype that can moved into production very rapidly. We use the following steps. Table 10.0: Rapid Integration Development Steps
Step 1. Process Do due diligence on the nature & scope of the problem Document the current work flows of the agencies involved. Document all data systems involved Use Middleware to read the databases to be shared Use HRI Configurator to format the application Prototype the Beta application to subject matter user experts Modify, test, and QA the application Put the system into production Document the as built system Train users Explanation What is the problem? How is it manifest? Who is impacted? Why is it important? Are there any other agencies or systems 48 that can solve the problem ? You need to document how they now do business so that any new design or system will be workable and feasible for the agencies involved. Document systems, operating systems, databases, networks, tables, dictionaries, file sizes, records, etc. Briyante reads, transforms, and presents the data from the various sources in a .Net format. The Configurator formats the web pages, the panels, frames, buttons, colors, fonts, tables, user privileges, security parameters, etc. By using a real prototype with real data, the users can see the potential of the system as well as the bugs or aspects that need to be improved. This ensures the system will fit and also builds excitement among the users as they help shape the application. We cut over at 5:00 P.M. and send out bulletins to the coordinators to alert their users. Create technical documentation for the agency IT persons that may have to support the application as well as user manuals The system should be designed to be simple and intuitive, but training probably will be necessary.
2.
3. 4. 5.
6.
7. 8. 9. 9.
The specific projects that were developed and implemented into production are described below with the methodology and explanatory comments in the order they were undertaken.
48
For instance, the users wanted us to develop a system that would read the mugshots of a neighboring county, but we found out the state was developing a system to let all counties query mugshots on a state-wide basis, so the need evaporated.
50
PROJECT 1.0: Sharing Jail Data with all Agencies The Problem:
All justice agencies and departments need information from the jail on who got arrested and booked, who is still there, who is bailing out, who is being released, which facility they are being held in, are they coming to court, etc. The municipalities especially lack this information and are thus forced to call the jail with a high volume of telephone calls, e-mails, and faxes. The jail was sending a listing of who was in jail every morning at 4:00 A.M. to the other justice agencies, but most of the releases for the day are done at 6:00 A.M. so that data was out of date when they came into work at 9:00 A.M.
Methodology:
The Jail Management System is by CorrLogic and runs in a Unix environment. Corrlogic has subsequently been purchased by another company, but still runs substantially as it was installed. Mugshots are maintained in a central server for most of the agencies in the county. The Mugshot System is by PictureLink and is maintained on two servers. The primary server maintains the most recent mugshot taken of a person who is assigned a unique CCIN number for the county. A second server maintains the archived mugshots of persons booked and shows repeat offenders as they evolved through the criminal justice system as well as the fashion world with orange hair, dredlocks, clean shaven, beards, as well as weight gains and losses over the years. Five of the municipal departments have their own mugshot systems which include Data911, Visaterm, PS-Net, and a homegrown system.
51
Methodology:
A modest server was installed in the equipment room of each law enforcement agency that was going to share their data. 1. The server was cabled to the local LAN with access to the secure County-wide Intranet and the RMS system that is to be read. 2. The server has Windows 2003 and Briyante installed on it, and Remote Services has been configured so that the Master Briyante server can communicate with the local Data Access Component. Its sole job is to communicate and to select the data users request through the Web Services application. 3. Close coordination with the local government IT staff, as well as the law enforcement agency IT staff, is necessary to make sure everything is set up. If you can ping the agencies RMS server from the development server, you are ready to go.
52
4. Each RMS agency is asked to enable a single user name for the integration server and a password. 5. Further a Memorandum of Understanding, MOU, was created, and all agencies executed it. Among the provisions in the MOU were the following: a. Provision of data by the host agency was voluntary and could be discontinued at any time. b. Provider agencies could share some data, but opt out of other data they considered too sensitive. For instance, some would not want their badge numbers available since their personnel and payroll files were keyed from that number. c. Provider agencies would endeavor to keep their RMS systems as accurate49 and current as possible so that the data could be relied upon and would not incur any undue legal risks. d. Querying agencies would safeguard the data they read off of the integrated system with the same care for security and privacy as they do their own systems as well as the state CLETS system.
Challenges:
One of the major challenges is getting RMS vendors to cooperate. When they think of integration, they think it is possible that all the other RMS agencies will throw out their current system and purchase theirs. Some even claim to have regional or integration capabilities, but they sell very little regional installations. In some cases they feel that revealing the data structure of their tables will be compromising the family jewels, but the key is having the law enforcement client realize they have paid for a system, and the data contained therein is theirs. In some cases vendors were very willing to cooperate and provided the technical information readily. In other cases it was necessary to intuitively look at the files and the data within or enter test data to confirm that the data the agencies want to share can be is properly identified. Sometimes a vendor would threaten to discontinue support to the host agency if the production system was read by the ARIES system. In those cases, if reasoning did not work, or if the law enforcement agency was intimidated, we would work cooperatively with the vendor to perform simultaneous replication to another server, so that (a) we werent reading the production data, (b) there could be no degradation in response time because the queries would happen on the replicated server, and (c) the data would be very near real time. On some Oracle systems, the vendor was using older optimization schemes (Rules Based) which would frustrate our efforts to index the database for faster queries and responses. In these cases our indexes would be ignored. By getting a replicated Oracle database for us to query, we could optimize with Cost Based methods, which honor our indexes and speeded up the queries tremendously. Obviously data elements are different among systems both in terms of naming conventions, type of data, size, etc. This is illustrated in the matrix below of various systems that help ensure that we get apples and apples across the various source systems.
49
A design standard HRI follows is to show the source of each record in the far right hand column. This type of exposure can be embarrassing if the information is sloppy or has not been entered. In some cases the data entry person is not at fault at all. The RMS system may be designed poorly with no error checking, so that the operator can enter anything for an agency name or charge code, where a drop down table would ensure consistency of the entered data. 53
JAIL DATA
VENDOR C TYPE FIELD TABLE TYPE FIELD TABLE TYPE ELEMENT TABLE VENDOR D VENDOR E
Table 11.0: Example of Mismatch Among Agency RMS System Data Elements AGENCY A RMS AGENCY B RMS AGENCY C RMS AGENCY D RMS
VENDOR A
VENDOR B
JAIL FIELDS
FIELD
TABLE
TYPE
BOOKING AN30 Included Included MIDDLE_NAM ALPHA AN10 MIDDLE ID1MASTER AN14 MIDDLE_NAME FIRST_NAME ALPHA AN20 GIVENM ID1MASTER AN15 FIRST_NAME LAST_NAME ALPHA AN12 LNAME ID1MASTER AN24 LAST_NAME ALPHA ALPHA ALPHA AN40 AN30 AN30
PersonLastName
NAME1
ALMAST
PersonFirstName
Included
ALMAST
PersonMiddleName
Included
ALMAST
PersonAlias
Alias_Name1
ALMAST
AN30
NONE
NONE
NONE
AG2
ID1CHILD2
AN20
GangName AN12 AN30 AN204 AN1 AN1 DATE AN40 APT ALPHA AN4 ADDRESS1 ALPHA AN26 DOB ALPHA DATE/TIME DOB ADDRESS1 RACE ALPHA AN1 RACEcode SEX ALPHA AN1 SEXcode ID1MASTER ID1MASTER ID1MASTER ID1MASTER AN1 AN1 NAME GANG AN30 GANGID GANGPERS ? GANGNAME ID1CHILD3
Gnmast_id1
GANGMAST
N9
ID
Gangpers
Gangname
Id1child3
AN35 AN35
Gang_name
GANGMAST
Name1
GANGMAST
Remarks5
GANGMAST
PersonSex
SEX
ALMAST
PersonRace
RACE
ALMAST
BirthDate
DOB
ALMAST
DATE AN45
ALPHA ALPHA_ADDRESS
AddressStreet
ADDRESS1
ALMAST
CITY
ALMAST
AN13
ADDRESS2
ALPHA
AddressState
STATE
ALMAST
AddressZipCode
ZIP_CODE
ALMAST
PHONE_NO1
ALMAST
AN20
PHONE
ALPHA
AN12
PHONE
ID1MASTER
AN14 PHONE1 PHONE2 CASEPERS CASEPERS AN10 DATETIME OCCNO BKDATE ID1MASTER ID1MASTER AN12 DATE ARREST_NO JAIL_ARRIVE_DATE BOOKING_ARREST ALPHA_ARREST ALPHA_ADDRESS AN30 AN30 AN10 DATE
PhoneNumber
Included
ALMAST
BookingNumber
BOOKING_NO
ALMAST
BookingDateTime
BOOK_DATE
ALMAST
BOOK_TIME
ALMAST
54
The District Attorney issues a subpoena to a law enforcement witness to appear at a court matter. Very often the witness subpoenaed works the swing or night shift and has to appear in court in their off-duty hours for which they get compensated at 6 times their salary for a minimum of 2 hours. It is not unusual for the D.A. to decide at the last moment that the witness will not be needed. The DAs subpoena clerk may call, leave a message with, or fax that fact to the officers department to call them off. In addition a hotline was established that was updated every weekday at 16:00 with information on whether or not the witnesses were still needed. Still, it was not unusual that the message wasnt relayed to the officer in time to prevent them from coming to the court anyway. In fact, a rigorous analysis of all the agencies revealed over $800,000 of unnecessary overtime paid annually in these cases.
55
Methodology:
HRI hunted for some time to find adapters that would read the IDMS database in real time so that the moment the witness was to be called off, the DA subpoena clerk could input that fact into their mainframe application and ARIES could read and publish the most recent status to each and all agencies. iWAY adapters were selected to access the IDMS database on the mainframe. A modest Wintel server (Data Access Component) was installed in the County IT departments equipment room and the iWAY IDMS adapter software was installed on it. The iWAY mainframe component was installed on the OS390 mainframe. The installation did not go as advertised nor as documented in agency materials, but ultimately it was made to work, although it was very slow. iWAY technicians spent two days on site working on joins with their product to greatly improve the speed.
In the ARIES application, the user selects the Witness component and can search for subpoena activity by case, by agency, and by officer - retroactively as well as prospectively. The system reads the agency of the logged in user and provides the cases relevant to them. Behind the scenes, the iWAY adapter organizes the mainframe IDMS data into metadata in ODBC or OLEDB format which the Briyante middleware system retrieves via SQL select statements, transforms into XML formats, and presents them in the web page formats by way of the HRI Configurator.
56
S.O.
04/06/05 08:29:15 DMV Smith, Ralph R, 85 Ford Taurus, Lic. 42348799 04/06/05 08:29:15 CLETS Smith, Ralph R, Wants/Warrants
COR PUS
EB RP
Methodology:
The ARIES server in the equipment room is connected via a secure County Intranet to the network that accesses the CLETS archive server. The switch vendor, Level II, was paid to parse their archive data which was unstructured on the archive server into a SQL server database developed by HRI. When a transaction is submitted out to the state CLETS system and a new record is added to the archive, a SQL-transformed record is also added to the ARIES SQL database. ARIES adds approximately 28,000 transactions per day to this database and, unlike the archive, ARIES will not purge that data every six months. This is one of the exceptions to the ARIES design rule of not creating new databases. These data were not accessible without creating a new (but real time) database. The Briyante middleware queries the information just like the other RMS and jail databases. NOTE: ARIES is only reading the outgoing message so a user can tell who is running whom. Caution has been taken to ensure that ARIES is not reading the incoming, returned messages. While that would be extremely interesting, ARIES does not want to give the appearance of duplicating or competing with the CLETS functions. An exception is with the DMV data where the outgoing messages contain so little data that of themselves they are not very useful without the returned DMV data which ARIES reads and displays..
57
Methodology:
For years the state DOJ had been providing a tape cartridge to the Central ID bureau of the Sheriffs Office with records of all prints submitted by all agencies within the county for each month since mid 2000. These records had the AFIS number, the unique State Identification Number, names, unlimited AKAs as well as multiple Social Security Numbers, Drivers licenses, etc., and were the certified identification of the persons whose prints had been submitted. HRI dumped all of these tapes into a reader on the mainframe, extracted all of this rich data, and converted it into a SQL server database that provides another county-wide source of data to help instantly identify persons. The California DOJ sends an agency notification letter (within two hours) which is a print job to a resident laser printer in the central ID bureau. At the same time, the DOJ writes that formatted print job to a record in a subdirectory on their mainframe. ARIES polls that subdirectory every 15 minutes and pulls down any new Agency Notifications that have been sent to Contra Costa County and appends them to six years worth of notifications in the local ARIES database. This is an exception to an ARIES design principal of only reading other agencies databases rather than maintaining its own. In this cases there was no database, just a formatted print job going to a printer.
58
Now all ARIES users can see when any agency rolled a persons prints, but in addition it has new, invaluable data they can obtain such as the following: 1. 2. 3. 4. 5. 6. 7. 8. The true, verified identity of the person The AFIS, state ID, and FBI numbers if present All AKAs the person has ever used (unlimited) All fake drivers license numbers they have ever used (unlimited) All fake Social Security numbers they have ever used (unlimited) Last know addresses Whether the person is a sex, arson, gang, or drug registrant Whether the person has a valid DNA sample on file.
It was the manager of the Central ID bureau who saw the potential in this information that occupied the shelf in a closet for many years. Figure 20 Sample Certified Identification Record
59
Methodology:
The project team learned that while no electronic record was available to the courts, the information was being recorded somewhere. Every weekday afternoon after 16:00, a courier arrived at the Sheriffs Records Unit with a pouch containing, among other things, all protective orders and proofs of service of the orders. These were entered into the states CLETS system and were submitted one-way to Sacramento. With the cooperation of the Sheriffs Office and the Sheriffs RMS vendor, Tiburon, Inc., the following were accomplished: 1. The RMS system has a linkage to go to CLETS and, with a few additions to the database record, the protective orders could be entered into the RMS System (a permanent record) and could still be submitted out the back door to CLETS. This required a small payment to the vendor. 2. The Sheriffs Office had a document imaging system for scanning in its Incident or Police Reports with seven header data elements to facilitate searching and retrieval. The Sheriffs Office agreed to start scanning in the protective orders and proofs of service into a separate database on the same server. The vendor was IKON and their product is called WebQuery. 3. The vendor agreed to (a) create a new database for the documents, and (b) make a few accommodations at no cost to the ARIES team to allow us to connect to the image database. 4. ARIES was already reading the Tiburon RMS where the court docket number could be picked up. The user selects the Protective Order application in ARIES and keys in a name or a court docket number. If a name is entered, ARIES will search the Tiburon RMS for the name as either a restrained person or a protected person and retrieve the record. If there is a case number, it contains a hyperlink to the document server of IKON where the actual multi-page .TIFF file is retrieved and converted into a .PDF file for viewing. Now the Family Law judges and law enforcement agencies can find and read all court orders and proofs of service and can view the history of the principals in a case and can, in addition, link over to criminal history information where relevant.
60
Methodology:
1. Alameda County had implemented a common front-end Arrest and Booking module used by all agencies within the county called CABS which, coincidentally, was created by Imagis Technologies (Visiphor), the same vendor that developed the Briyante Middleware. Therefore, all data and mugshots in the county were consistent and obtainable. 2. At the same time, the state was creating a shared mugshot repository called CalPhoto of booking and DMV photos in which Alameda agreed to participate. 3. The Alameda County Sheriffs Office began replicating all mugshots over to a server, which was provided by the state, to be uploaded to Sacramento.
61
4. Contra Costa County already shared a T-1 line with Alameda County for a common fingerprint repository. This line was underutilized so with agreement of both agencies, ARIES started using the line for Alameda County to access ARIES and for Contra Costa county to access their arrest and booking data plus mug shots. 5. Alameda County Sheriffs Office installed a modest server, and Visiphor Corporation provided the Briyante Middleware which the ARIES staff helped the Alameda Sheriffs Office install and configure.
6. A user may select Alameda County as a data source among the sources they want to query and can key in the parameters upon which they wish to search. 7. The ARIES Briyante Middleware fires off simultaneous messages to the selected databases with SQL select statements for the data elements they seek. 8. To hold down the amount of resources and time that one user might monopolize with a huge search on Smith or Martinez, for instance, the ARIES system artificially (configurable) limits the number of hits to 200 per database and advises the user to narrow their search by adding or modifying their search parameters. 9. The selected records and mugshots are returned and displayed in the ARIES WebPages with an indicator of which database(s) they are from and contact people within the originating agencies.
62
Methodology:
1. Using the HRI Configurator to enable it, the user can do an ad hoc search on one or all of the data sources and can enter name, DOB, etc., for the search parameters they are seeking. 2. When they are satisfied with the returned data in terms of type and amount of information, ARIES will ask them if they would like to save the query. If so, the user can type in a name of the query, and ARIES will save it as a file on the master server in a subdirectory for the user. 3. ARIES will ask how frequently the user would like ARIES to run it, for example every 5 minutes for a Megans Law case, or daily, weekly, etc. 4. ARIES will also ask for how many days or months they would like ARIES to continue to search. 5. Finally ARIES will institute the searches to match the users preferences and when any new information appears among any of the data sources searched, ARIES will respond to the user with an E-mail or their log on message highlighting what the new information is.
63
Methodology:
1. The user does a query in ARIES for the suspect in their case. 2. ARIES notes the physical characteristics of the suspect in terms of approximate age, race, height, weight, hair, etc., and establishes that as the baseline. 3. ARIES then selects mugshots from the servers serving the jail and the mugshot repositories in Contra Costa and Alameda County and returns groups of ten candidates with similar physical characteristics. 4. The detective can select, shuffle, replace, and search further as well as modify the parameters and repeat the search as many times as necessary. 5. When the user is satisfied, they can save the lineup, and ARIES prints out two lineups: a. One to show the witness with the two rows of three mugshots with the numbers 1-6 under each respective picture. b. One for Records with the names and DOBs underneath each picture and a large bold message directing them not to show this second page to witnesses.
64
systems are in production. Long after each component has gone into production, we reconvene selected groups of like users to review the production application and ask for feedback on what they like about the application and what improvements they wish they had. No matter how well you design, the everyday user will soon exceed the developers in their expertise on how the system works. They also will find shortcuts and unintended uses for the system. For instance: a. A Subpoenaed Witness Management System was developed to let subpoenaed law enforcement witnesses know as soon as the prosecution had made a decision whether or not they were still needed in court. It would also let a witness see all the cases for which they are to appear in the foreseeable future. The prosecuting attorneys began to use it for an unplanned purpose of seeing what other cases their law enforcement witness is needed for. b. A citizen charged that someone had revealed that her boyfriend had a criminal record and she was sure that the husband of a friend (a sworn officer) had run the boyfriend through the state CLETS system. The department contacted CLETS to ask them to check their logs to see if that officer had run that specific name. CLETS said that forms would have to be filled out and it would be a month before they could look into it. Internal Affairs ran it in ARIES which reads the CLETS log and exonerated the officer in six seconds. 3. Focus on Higher Priority Integration Activities Much of the focus of national integration efforts have been on labor saving activities like document exchange (to cut down on redundant data entry) and the Justice Integration Exchange Model (JIEM) and Global Justice Exchange Data Model/Data Dictionary (GJXDM/JXDD). These are essentially business reasons of efficiency improvement. But we dont think employees in the Public Sector leap out of their beds each morning to run to work to find a way to save some time or money. High achievers in the private sector will be rewarded for that but not the public sector51. Most of the ARIES projects focus on helping investigators solve cases thereby preventing further death and injury in the communities and protecting officers as well. One project saves money by reducing unnecessary overtime pay to law enforcement witnesses, while another contemplates eliminating a lot of wasted effort in the booking process. The rest are focused on rapidly (a) collecting evidence, (b) identifying suspects, and (c) locating suspects. The faster a good case can be put together, the more likely it is that a dangerous person can be taken off the streets. 4. Constantly Evaluate Your Systems In addition to the reality therapy sessions with special user groups referenced above, we do the following to evaluate how we are doing: a. Check the new user log to see how many new users have changed their temporary password and are starting to use the system. b. Check the user logs to see how often and how long users are logged onto the system. c. Evaluate the level of use by each agency to see how pervasively the whole department is using the system. In the ARIES configuration, some very small departments are using the system way above their proportion of sworn officers or population in the county. Why are they doing that? What benefits drive them to do that when some of the larger departments are not using it as much? d. Do cross tabs and analyses of use by departments and distribute the findings to the
51
In a previous life, the author worked closely with a huge parcel delivery company, who would expend large amounts of time, energy, and capital on finding ways to save a couple of minutes per day per driver. It did not matter to them that those couple of minutes per driver could not be aggregated for some significant lump sum benefit. The search for efficiency and elimination of steps for the convenience of their drivers and their customers was the Holy Grail. 66
management groups from time to time to assure them that the agencies are depending on the system. e. Do a blind user survey from time to time to gain specific evaluative feedback.
Wakeup Call
Against the background of budget cuts, disbanded law enforcement units, laid off sworn officers and the temporary discontinuation of the ARIES project, the users were very aware that we might spend all this time, effort, and funds building a system that could not be maintained with general fund revenues from each agency. This would be a tragedy now that 1,850 users were on the system and many were finding it an indispensable tool. The Chairman of the ARIES Committee appointed a Finance Subcommittee whose sole function was to find on-going funding for the ARIES system after it evolved from a project to part of the institutional fabric. HRI contacted all other known county integration projects in the nation to find out what they had done to secure continuity funding. Interestingly enough, few had considered the issue and were operating on either federal funds, bond issues, or some other source of startup funding. Some acknowledged that they would have to make some contingency plans to keep their newly-formed service in operation. The counties contacted were as follows:
MARIN COUNTY, CA KERN COUNTY, CA ARJIS SAN DIEGO REGION, CA MARICOPA COUNTY, AZ SACRAMENTO COUNTY, CA KING COUNTY, WA RAIN ARROWHEAD REGION DULUTH, MN COCONINO COUNTY, AZ SAN JOAQUIN COUNTY, CA STANISLAUS COUNTY, CA MCCLEAN COUNTY, IL PALM BEACH COUNTY, FL MIAMI DADE COUNTY, FL ORANGE COUNTY, FL STATE OF NEVADA
67
A report of those findings entitled, Finding Permanent Funding for Integration Programs - After the Federal Grants is available from HRI.
68
Table 12.0: Additional Fees Collected to help Support Integration Projects Fees Amount Copies of Incident Reports $25.00 waived for victim Disturbance 2nd Response Actual Charges Proof of Citation Correction $15.00 View Own Criminal History $25.00 Background Actual costs Warrant Processing for Other Agencies Actual costs Request for Sealing Records $120.00 Latent Print Services Actual Drunk Driving Emergency Response Actual to $1,000 ROR Screening Fee $25.00 Citation Processing Fee $10.00 Booking Fee (If Convicted) Actual Costs Handling of Decedents $150.00 Incarceration Fee (Convicted Felons) Unknown State of California (Considering) Unknown Probation Fees Incarceration Fees (Housing Costs) Disciplinary Fees In Facility Pre-Sentence Report Fee CJ Enhancement on Gaming Fees Unknown Parking Ticket Surcharge Unknown Speeding through a Work Zone Fee Unknown Pistol Permit Surcharge (Retroactive) $107 Restitution Recovery Surcharge 10% of Restitution Amount Subpoenas $50.00 Summons $50.00 Court Citations $50.00 Writ of Restitution $65.00 Outside Agency Subpoena Request $94.00
69
USER SURVEY
An empirical survey of ARIES was completed in August 2006 and is the second one conducted of ARIES users and was intended to obtain their subjective assessment of the system and to obtain feedback that could not be obtained in any other way. Users have E-mailed anecdotes from time to time relating great experiences of how ARIES helped them, but this survey was a more thorough and empirical way to determine who is using the system, how they are using it, and their assessment of it. The survey was conducted on-line via the Zoomerang.com service. The Uniform Resource Location (URL) address for the survey was E-mailed to 530 users who have used ARIES heavily during the past two months. Over 183 users (35%) of those users responded online and their assessments were automatically analyzed by the Zoomerang service which Hunter Research, Inc. purchased for this purpose. The time savings for HRI of not having to enter user responses and perform statistical analyses were significant. The distribution and response rates are as follows: Survey Distribution and Response Surveys Distributed E- Mail (Im out of the office) automatic responses Error in E-mail Address52 Corrected/Resent E-mail Failed to Deliver Completed Surveys returned Number 530 11 13 20 183 Per Cent 100% 2% 2% 4% 35%
A 35% survey return is huge in survey terms and with the large number of returned surveys it was likely that the sample size while not random can be generalized to all 530 users. Using the F-test Two-Sample for Variances analysis, the F-test score of 1.348 means that one can be 95% certain that the responses of the 183 respondents are not materially different from what would be expected if all 530 persons had completed the survey. The average rating of all ARIES components as being either Very Good or Excellent was 82%, and while that is exceptionally high for any system, the users were asked to provide specific recommendations for improvements. The ARIES Committee will review these against the existing workplan in their January planning meeting to determine which if any can be worked into the current work year. The survey results and analyses are shown below.
52
These addresses were taken from the ARIES tables maintained by the ARIES Coordinator for each agency and when they are not correct, ARIES cannot notify a user of their lost password or notify them that their saved search in ARIES has found new information, nor can they receive late breaking bulletins. Therefore correct E-mail addresses are imperative. 70
ANALYSIS 69% of users are using the system from 3-5 days per week, which means it has permeated their workspace and operations as a tool they use frequently. If this were stratified for law enforcement users only, the number of days the system is used would likely be higher. Likewise if grouped by job function, the investigator group would probably be grouped at an even higher number of days per week.
ANALYSIS It appears that majority of users are using ARIES to search quickly for data, but they are not using it all day. The exception would be investigators and some records clerks who spend hours searching for information. 37% of the users use the system for one or more hours per day.
53
These responses are users subjective answers, not ones verified by time and motion studies
71
ANALYSIS 36% of the ARIES users say they are making 3 to 5 Plus fewer outbound calls, faxes or Emails (per week) in seeking information, because they are able to find what they need in ARIES. The value of that time could be estimated by taking the number of users and the cost of their labor to make the calls, faxes and E-mails. User Comments: ARIES saves at least 5 calls At least 15 fewer outbound phone calls. Fewer calls related to subpoenas Cant quantify; ARIES is invaluable ANALYSIS 35% of ARIES users are receiving fewer calls, faxes and E-mails per week, presumably because potential callers are getting information from ARIES. Users at the Jail, Records, and Central ID report fewer incoming calls and refer frequent callers to the ARIES system.
User Comments: Varies as little as one, to 5 or more Dont receive as many DA calls 10-15 calls. ANALYSIS: 67% of the respondents indicate that they save an hour or more each day with ARIES in IDENTIFYING individuals. If one were to extrapolate that to all the 530 active users of ARIES times their salary plus employee benefits, the time savings would be very significant. If one assumed that the less than 1 hour was a half hour and the more than 5 hours response was only 6.0 hours, then the accumulated savings54 for one year would be $1,446,146. This is not found money and cant be reallocated for some other purpose, but it is significant.
54
Assume a blended payroll cost of clerical staff and investigators of only $30 per hour (including benefits)
72
ANALYSIS: 65% of the respondents indicate that they save an hour or more each day with ARIES in LOCATING individuals. Again if one were to extrapolate that to the 530 heavy users of ARIES times their salary, the time savings would be very significant at approximately $1,516,106 annually in the value of the time saved.
None
<1 19%
1 18%
2 16%
3 14%
4 4%
5 2%
5+ 10%
It is not a given that every project will be successful. In fact in the initial research phase, some projects are discontinued, because (a) the underlying assumptions were not accurate, (b) another agency is already planning or providing the service, or (c) the estimated costs are way higher than the estimated benefits. The following sections present the evaluation of the users of each module within ARIES. They were given a range of alternative responses aimed at quantifying what percentage of them felt a data source was Poor, Fair, Average, Very Good or Excellent. User responses of Dont Use were deducted from the denominator for calculation since their opinions are of little value. For most of those responses, the users specific job assignment would not require them to seek that particular type of information. For instance, the court techs would not likely need to perform six pack lineups, so they marked that they Dont Use that module. In too many cases, users may not use a function because they are not aware of it or how it could assist them. This is a challenge of communication and training that the ARIES project continues to address.
73
Excellent 34%
CLETS/DMV Queries
ANALYSIS 81% of the respondents rated the CLETS/DMV query information as Very Good or Excellent. These data are limited information about which agency and officer ran an individual or license, but do not include any return information from the query. It does let an investigator in one agency call the person that queried CLETS to compare notes.
Poor Per Cent 2% Fair 4% Avg. 13% Very Good 37% Excellent 43%
Probation Status
These data are court records as opposed to data from the Probation Department. They are valuable, because they let officers query on a 7x24 basis to see (a) (b) (c) (d) (e) (f) If a person is on probation (both formal and bench), What charges they received a probation sentence for, What the terms and conditions of the probation are, such as can they be searched, Whether or not any revocation actions have been started against them When their next court date is (if any), and The date and time the current information was entered.
74
ANALYSIS 84% of the respondents rated the Courts Probation Data as Very Good or Excellent User Comments: The on-line access to probation information has been very valuable and a big time saver, especially after hours. I am able to find out probation information without having to call probation
ANALYSIS Only 69% rated this module as Very Good or Excellent. This suggests that in our training programs and bulletins we ought to reinforce the value of this resource, because it is the only certified identification source where the state DOJ has certified by AFIS number, State I.D. number, and FBI number that the persons prints are connected to a specific person.
Excellent 33%
75
Excellent 71%
Excellent 76%
Protective Orders
These orders of all types are couriered from the courthouse to the Records Division of the Sheriffs Office where they are keyed into the Sheriffs RMS system, uploaded to CLETS as required, and scanned into a document database, where ARIES can retrieve and display the actual orders on screen for the user. The user can enter a name and ARIES will retrieve it regardless of whether or not the name searched is the restrained person or the protected person.
76
ANALYSIS: The 76% Very Good or Excellent rating justifies the time and expense of the Sheriffs Office in entering the data from all protective orders and proofs of services from the court as well as their effort to scan in the protective orders which ARIES displays for the user. User Comments
Excellent 47%
The access and printable TRO's are phenomenal, and save a huge amount of time and headaches trying to obtain them!
ANALYSIS: This was the first objective of the law enforcement community which preceded ARIES by many years, when they sought a master name index. ARIES has grown from that modest objective, and the 81% Very Good or Excellent score suggests that the majority appreciate this capability, wherein ARIES reads nine (9) different records management systems in the county plus Alameda Countys arrest and booking data.
Excellent 47%
77
ANALYSIS: This information is provided to assist subpoena clerks and officers to know the current status of their subpoenas in each case, and 67% give it a favorable rating. User Comment
Excellent 35%
I like that in the subpoena activity, you can sort by different columns, which is helpful based on what you are trying to view.
ANALYSIS: This was an application that the development team was a little reluctant to build because each agency has lineup capabilities in their own RMS system as well as with CalPhoto. However a 92% rating of Good or Excellent confirms the judgment of the users who state that it is much more convenient and provides a broader universe of photos and subjects to choose from. User Comment The greatest help to me has been the ability to access photos from other agencies in order to identify persons. The photo line-up feature has been great, especially for photos from Alameda County that we never used to have access to.
ANALYSIS: 77% of users that use this module rated it as Very Good or Excellent.
Excellent 45%
ANALYSIS: The 98% response clearly indicates that users depend on the system to perform their duties and would not want to return to the days when they ARIES was not available.
79
ANALYSIS 22% get a little to a lot more done 43% say ARIES helps them be a little to a lot more effective in their work. 33% indicated it saves a lot of time
ADDITIONAL USER COMMENTS: It saves time and increases efficiency Aries saves me time and is a very effective tool Greatest asset in finding new arrests
ANALYSIS These ways in which ARIES helps the user are the ones that were in the original charter for ARIES as laid out by the founding committee that preceded ARIES. These high percentage responses (multiple choice question) suggest that ARIES is meeting these goals to a fairly high degree.
ANALYSIS: 97% say that ARIES is pretty easy to very easy to learn. That is a significant goal of every application to be effective and simple to master. This also relates to the amount of formal training required to master ARIES. (See below)
80
ANALYSIS: 86% said the training was helpful or very helpful and 14% said it was easy enough to learn by themselves. This response plus the one above on the ease of learning ARIES suggests that even though it is simple to master, the formal, hands on, classroom training is effective. The training does focus on some capabilities that may not be obvious when one teaches oneself.
Weaknesses of ARIES?
80% 70% 60% 50% 40% 30% 20% 10% 0%
None Per Cent 68% Difficult 0% Slow 16% Down 2% Poor Help 1% Poor Commu nicatio 2% Too Much Data 2% Too Little Data 9%
ANALYSIS The rating of 68% saying None is significant. Increasing the speed of the application is a continual goal of the project as is finding more and better data, especially from Alameda and other counties as ARIES continues to evolve. The project has focused on connecting to the desired databases and has not yet taken the time to optimize in the performance arena as will be possible in the future.
81
Saving time from having to call other agencies to see if they have contacted a particular person is the best. I once had a person of interest in a 459 that I was able to find had been contacted by El Cerrito PD through ARIES which I would not have been able to find in ANY other way.... I have helped officers identify several different people by looking up photos and info and giving them the description and tattoo info. I have also made photo line-ups for the officers that have led to a witness or victim being able to ID the suspect, and in some cases the suspect was arrested much faster. I was looking for a suspect whose identity I didn't know. I used ARIES by inputting the license plate of the vehicle the suspect was driving. He was not the owner, but had been arrested by Oakley PD two days prior to my inquiry. I was able to ID all involved parties (3 suspects). I investigated the case and got a felony filing on all three. Without ARIES, this case easily could have gone unsolved. I am a dedicated and firm believer in ARIES. CCSO homicide detectives came to my agency looking for records info on a victim that was found stabbed to death. When I ran him through ARIES I was able to supply them with the last time the subject was run thru CLETS, the city he was in when he was run, the people he was with, and the officer who ran him. This provided vital information to the detectives and it pointed them in the direction of the subjects known associates, who he was with the day prior to his death, and where he was the day before he was killed.
Conclusion:
This survey exceeded any expectations of the project team both in terms of the number of responses from the ARIES users and their favorable evaluation of ARIES1. Their suggestions for improvement are excellent and reflect how the application can be fine-tuned to help them save steps and to be more effective in their vital jobs.
82
83
Vendors are rightfully nervous about another system accessing their production systems for fear of slowdowns in throughput or corruption of their systems. This was generally overcome with replication of data systems to a second server, which the project could access and optimize for faster response times. 6. Maintaining Momentum - Maintaining momentum is crucial to making rapid progress. At the conclusion of each ARIES Committee meeting, the project team lays out what deliverables, demonstrations, or products they are going to present at the next monthly meeting. The intent is to assure the members that steady effective progress is being made. The team establishes specific goals plus creates a list of extra credit achievements they would have to stretch for to add to the excitement of the meetings. 7. The Tower of Babble in the Market Place - Change in technology continues at a dizzying pace, but it is not a linear process in terms of MHz and GHz increases that impact integration the most. The changes that impact integration are among the vendors of middleware and databases that continue to rename, remarket, retarget, and make up new acronyms and marketing slogans to attract new business. The mergers and acquisition of companies leaves the consumer confused over what technologies they should embrace. BEA, IBM, Sun and Microsoft have made many strategic purchases as they joust for market share and position. Who can define and distinguish the following terms when considering alternative products and vendors as a platform for integration? Table 13.0: Middleware Terms and Definitions Middleware Term Acronym Definition Application Integration Screen Scraping55 Projecting old legacy AIM Middleware data within the Web Page Database Gateways56 Connecting different databases on different platforms. Application Server Software ASS Also called an appserver. A program that handles all application operations between users and an organization's backend business applications or databases57. Business Process BPM Tools that break down the business Management processes of an enterprise to reveal wasted activities that can be re-engineered to obtain more benefits. They involve automating the flow of work between people and applications or integrating disparate systems for better data exchange. Component Oriented J2EE Using and re-using components .NET independent of the higher level applications in which they operate. Customer Relations CRM Enterprise-wide software applications that Management allow companies to manage every aspect of their relationship with a customer. The aim of these systems is to assist in building
55 Data that would have gone to the legacy terminal screen is re-directed to a web-based application and is displayed in that new environment with new functionality. 56 Database gateways have the following functions: (1) accept statements specified by a well-defined grammar (usually SQL) from a client application, (2) translate the statements to a specific database format, (3) send the statements to be executed against the database, (4) translate the results back into a welldefined format, and (5) return the data and status information to the client. 57 Application servers are typically used for complex transaction-based applications. To support high-end needs, an application server has to have built-in
redundancy, monitors for high-availability, high-performance distributed application services and support for complex database access
.
85
Middleware Term
Acronym
Definition lasting customer relationships - to turn customer satisfaction into customer loyalty58.
An enterprise-wide amalgamation of communications/messaging, XML, data transformation, brokers, process models 59 and development frameworks .
EAI
ERP
ESB
ETL
MOM
A business management system that integrates all facets of the business, including planning, manufacturing, sales, and marketing. As the ERP methodology has become more popular, software applications have emerged to help business managers implement ERP in business activities such as inventory control, order tracking, customer service, finance, and human resources. ESB is a term invented by market analyst Gartner Group to refer to a pipe that was particularly well suited to handling Web services traffic. But ESBs are more than just plumbing on which XML payloads with SOAP wrappers can run. The enterprise service bus aims to provide a standardsbased messaging busbased on JMSin conjunction with standards-based connectorsthe J2EE Connector Architecture (frequently abbreviated to JCA). First, the extract function reads data from a specified source database and extracts a desired subset of data. Next, the transform function works with the acquired data using rules or lookup tables, or creating combinations with other data - to convert it to the desired state. Finally, the load function is used to write the resulting data (either all of the subset or just the changes) to a target database, which may or may not previously exist. One application can publish information and a receiving application can subscribe to receive it. (Youve Got Mail!)60
58 Customer information acquired from sales, marketing, customer service, and support is captured and stored in a centralized database. The system may provide data-mining facilities that support an opportunity management system. It may also be integrated with other systems, such as accounting and manufacturing, for a truly enterprise-wide system with thousands of users. 59 EAI (Enterprise Application Integration) is a business computing term for the plans, methods, and tools aimed at modernizing, consolidating, and coordinating the computer applications in an enterprise. Typically, an enterprise has existing legacy applications and databases and wants to continue to use them while adding or migrating to a new set of applications that exploit the Internet, e-commerce, extranet, and other new technologies. EAI may involve developing a new total view of an enterprise's business and its applications, seeing how existing applications fit into the new view, and then devising ways to efficiently reuse what already exists while adding new applications and data. 60 IBM's MQSeries is a prime example of such a product.
86
SOA
WBW
Definition Software that extends the desktop applications out to the handheld device Descriptions of object-oriented process interactions over a network. This technology is older and is diminishing at this time. A service-oriented architecture (SOA) defines how two computing entities interact in such a way as to enable one entity to perform a unit of work on behalf of another entity61. Web-based browsers are common-place in most organizations and is the standard, if not the only, means of user interface62.
It should be clear by now that middleware might be called muddleware because the terms and acronyms thrown about loosely in the trade literature is confusing rather than enlightening and the distinctions made above are not sufficiently distinct to help agencies make good software decisions. 8. Lack of Objective, Evaluative Information on Middleware - There is a lack of good available and affordable evaluative data on the various middleware products. One can find puff pieces and Gee Whiz reviews from the trade magazines, but finding definitive and comparative information on the relative merits of each of the very expensive products is virtually impossible. Research organizations provide tempting report outlines or tables of contents on the web of documents purporting to provide valuable information, but these are usually very expensive, very shallow, and a purchaser cannot readily ascertain what each of the products can do. The Gee Whiz reviews are about the look and feel and potential of a product, and the reviews are loaded with buzzwords but little practical information that would assist a potential buyer in making a confident and intelligent decision. What system integrators, value added resellers, and large end users would benefit from are the following: a. b. c. d. Fully describe the product and all its modules Describe what type of project they are suited for Explain in detailed technical terms how they work Walk through a specific implementation project where the writer has actually used the product63 and explain how the product performed. Then the reader can relate that the project is similar to one they are contemplating and the product does in whole or in part what they need to do e. Explain the cost basis of the product (CPUs, named users, concurrent users, site licenses, etc) so the potential buyer knows if it is affordable or if the cost is the size of the national defense budget. f. Contrast the product with other products, like Websphere, or BizTalk, or Sonic, or...
61 The unit of work is referred to as a service, and the service interactions are defined using a description language. Each interaction is self-contained and loosely coupled, so that each interaction is independent of any other interaction. 62 Most are using XML which is a language that defines a syntax and document organization for data, both containing human and machine-readable tag/value pairs. Many of the application integration middleware products use XML as the data exchange protocol and, in the B2B space, XML will be the dominant method of data exchange in the future, eventually replacing electronic data interchange (EDI). Web-based middleware is quickly evolving from its emerging new technology status, into a mainstream, complete application framework.
Maybe marketers dont understand that a potential buyer is looking to solve specific problems and purchasing a very expensive tool with a steep learning curve is not a trivial decision. Careers can be retained or lost based on those decisions.
87
63
One can do a detailed search on the Internet for evaluative data and find reports in the range of $2,500 - $7,500 to much higher and a succulent table of contents, but who can afford to buy these file jobs and who is willing to purchase them with the risk of coming away hungry and unsatisfied? How focused are the reports on what you want to see? Do you just want to see an estimated market share or gross sales estimates ten years into the future? Those data are fine, but what one hungers for is detailed information about how the product works, what it does precisely, and is it the product I need and can afford and risk my career on. How difficult will it be for us to learn and master? Those are the data that would satisfy the user and close the long chronological gap between interest in a product and a purchase order. 9. Some Counties are trapped in Old Integrated, Mainframe Systems - In every integration project HRI has been involved with, the analysis of what criminal justice data needs to be shared constitutes about 10% of the substance and procedures of the criminal justice agencies. The other 90% is all about operating each department in a productive manner. In one large County the departments were all serviced by a horribly bloated IT department on a so called integrated system built in 1970. Each agency had a module on the 35-year old mainframe program. Yet newly-arrived clients came from court with a pink sentencing form granting them probation and waited while a clerk checked an old library card file to see if they were a frequent flyer. Later, at case assignment, an assignment officer checked a huge, foldout accounting ledger to see which POs had room in their caseload for a new client. Because the departments were in such need of information system support, we installed a new probation system and a new prosecution system and went out to bid for a new public defender system. The courts couldnt find a best of breed and now are mired between a halfinstalled new system and the system the state AOC is trying to roll out. It didnt make sense to integrate basically 1960 capable systems in that county. It was more prudent to bring in good case management systems for each department that are built on industry-friendly databases so that information can be pushed and pulled among systems for those few electronic data streams that need to be extracted from system A and input into systems B, C, and D. In Tuolumne County our long term integration plan called for the unusual step of replacing all the departmental case management systems with the best of breed packages so that they would have the automated support they need to run their departments effectively. Then the 10% of the information needing to be shared among the departments can be integrated in a Web Services type application that cuts across each agency. Accordingly we have installed a CAD/RMS system, a jail system, a court system, a prosecution system, a public defender systems and a probation package all based on modern, relational databases. 10. National Standards There is a tremendous amount of activity in various organizations attempting to establish standards for integration and while noteworthy in concept some of the standards can spin off into academic arenas that are not very practical. The ARIES XML formats were loosely patterned after the first version of Justice XML which have continued to evolve, and with a system in production, we cannot retrofit backwards to stay current with each subsequent version. Further the name of the data elements are so verbose because they are being named in a convention that tries to incorporate the data, and the time and place in which it was captured. So in ARIES, HRI uses the configurator with a cross reference table where we can use a much shorter field name which is cross referenced to the verbose name given by the standards setting groups. To achieve penetration in the operational systems, these standards need to be grounded in the practical world by folks who must build and maintain systems for satisfied customers rather than the academics who dont have to.
88
Recently one of our clients wanted some data extracted from a Motorola jail system and dumped daily to the District Attorneys Constellation system and insisted that in their short nanosecond ride from one system to the other, the data elements had to be in the Global Justice XML format. Why? So the client could say that they were in conformance with the version 2.0 of that emerging exercise. We watch the evolution of the standards and try to adhere to the spirit of them since they are evolving but in the meantime we have to develop error free production systems. At a later date when the standards are stable, perhaps we can revisit compatibility issue and adjust. 11. Listen Closely to the Users Before you begin to design and build systems, make sure you have documented and know how the current system works and why it is designed that way. It may not be profound, but it is the devil the users know. It may have evolved over time by a series of actors that are no longer on the stage64, but it is how they currently operate. There are usually a lot of procedures and workarounds they have built up to get the job done. After learning how they now function, you need to tease out of them what functions they wish they had. And you cant ask them directly because your questions are from a completely different perspective than that of their daily operations. You have to probe and suggest and relate what other agencies are doing to see if you can begin to shape some requirements that the users think they would like. Then you need to prototype systems and demonstrations to show them in reality what they related to you in theory. Once they see the real world, then their comments and suggestions will flow because you have listened well enough to understand what they are trying to do in their jobs. You may have to do this several times before you are ready for production. In the process they will become excited because they helped shape an application that does what they need, rather than one thrown over the transom. 12. Just Do It Nike didnt have a bad slogan. Nothing will create more excitement and participation than rapidly building useful applications that greatly help the intended client. On the web site of a consultant who tries to peddle project management processes rather than building anything is the remarkable concept that one must go through a convoluted set of steps and procedures in implementing an integration project to guard against impetuously implementing the wrong things. This is a consulting firm that has pontificated on methods and mission statements for over three years in a notable city by the bay and has implemented nothing to date. Somewhere between the two opposing approaches of (a) theoretical autopsies of the perfect processes of centralized planning and (b) the art of muddling through lies the ground in which strong foundations are laid, leadership is applied, and momentum is achieved. This describes the processes achieved to date in Contra Costa County which began three years ago with the modest objectives of identifying commonalities of criminal justice data desired by the justice agencies. Today it is a growing, robust system with over 1,850 users with many more cases being solved, and citizens and officers being better protected.
64
In doing one workflow the procedures called for dropping a greenbar report into a cardboard box on the floor by Madges desk. Both Madge and the box were long since gone when we updated the workflow. 89