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North Carolina Criminal Justice Data Integration Pilot Program Quarterly Report April 2009 North Carolina Office of the State Controller David McCoy, State Controller April 1, 2009 Table of Contents I. Background .............................................................................................................. 2 II. Criminal Justice Pilot Program for Wake County ...................................................... 3 II (A). Objective ....................................................................................................... 3 II (B). Summary ...................................................................................................... 4 II (C). Approach ...................................................................................................... 5 II (D). Accomplishments ......................................................................................... 5 II (E). Challenges .................................................................................................. 10 II (G). Next Steps .................................................................................................. 12 II (H). Funds – Criminal Justice Data Integration Pilot Program ............................ 13 Appendix A. SESSION LAW 2007-323, HOUSE BILL 1473 ................................................ 14 B. SESSION LAW 2008-107, HOUSE BILL 2436 ................................................ 16 SESSION LAW 2008-118, HOUSE BILL 2438 ................................................ 18 C. Criminal Justice Pilot Program Committee Membership .................................. 19 D. Criminal Justice Advisory Committee Report – September 24, 2008 .............. 22 ~i~ I. Background The Office of the State Controller (OSC) was charged with the responsibility of the development of a statewide collaborative effort to modernize and standardize key business processes. The BEACON Data Integration Program was created by Session Law 2007-323, House Bill 1473 (Appendix A), and consequentially the development of a Strategic Plan for Statewide Data Integration. (See also Session Law 2008-107, House Bill 2436 - Appendix B). A goal of the BEACON Data Integration Program is to provide a statewide framework that equips agencies with enterprise analytical capabilities for improved decision making. The “Plan” calls upon senior leadership to champion a cultural shift promoting data sharing and encouraging business leaders to become stewards rather than owners of the State’s data assets. Data integration’s foundation is based on merging and reconciling dispersed data for analytical purposes through the use of standardized tools to support quick, agile, eventdriven analysis for business. In short, its mission is to transform data into meaningful information for business decisions. In 2008 the number of disparate data sources and lack of integration across the criminal justice continuum was brought to the public’s attention. In response, and in alignment with the BEACON Data Integration Strategic Plan, the General Assembly directed the Office of the State Controller, in cooperation with the State Chief Information Officer, and the BEACON Program Steering Committee, to develop and implement a Criminal Justice Data Integration Pilot Program in Wake County. The pilot program’s goal is to provide criminal justice professionals with access to timely, complete, and accurate information for enhanced decision making. The pilot application has been named Criminal Justice Data Integration Law Enforcement Automated Data Services (CJLEADS). The CJLEADS State project team is managed by the OSC. Subject matter expertise and guidance on industry best practice are being provided with the assistance of George Ake of the National Institute of Justice, Fletcher Clay, former Colonel of the North Carolina State Highway Patrol, and Ike Avery of the NC State University Public Safety Leadership Initiative. This report summarizes the Wake County Criminal Justice Data Integration Pilot Program activities since January 1, 2009 quarterly report. 2 II. Criminal Justice Pilot Program for Wake County Session Law 2008-107, House Bill 2436 recognized the urgent need for state-of-the-art integrated criminal justice information and mandated: The development and implementation of a framework for sharing of critical information as soon as possible. The Criminal Justice Advisory Committee, the Department of Justice, the Administrative Office of the Courts, the Department of Juvenile Justice and Delinquency Prevention, the Department of Correction, the Department of Crime Control and Public Safety, the Department of Transportation, and local law enforcement agencies shall fully cooperate with the Office of the State Controller and the State Chief Information Officer, to identify the informational needs, develop a plan of action, provide access to data, and implement secure integrated applications for information sharing of criminal justice and corrections data. The development and implementation of a Criminal Justice Data Integration Pilot Program in Wake County on May 1, 2009. The pilot shall: o integrate and provide up-to-date criminal information in a centralized location via a secure connection; o comply with all necessary security measures and restrictions to ensure that access to any specific information held confidential under Federal and State law shall be limited to authorized persons II (A). Objective The objective of the data integration criminal justice pilot program for Wake County is to identify the criminal justice informational needs and develop an integrated solution that is scalable for use by State and local criminal justice professionals. 3 II (B). Summary The criminal justice continuum is complex with multiple rules and decisions points. The following process map developed by US Department of Justice reflects the sequence of events. This map demonstrates the number of decision points within the criminal justice workflow. Each decision point represents a scenario where valid, up-to-date information is critical to ensuring public safety. North Carolina uses multiple systems and applications, resulting in varied layers of disparate data. The Criminal Justice Pilot Program’s goal is to integrate disparate criminal justice data into meaningful information which can be used by law enforcement and others involved in the administration of justice to make better informed decisions. 4 II (C). Approach The following are collaborating in the development of the Criminal Justice Pilot Program: the BEACON Program Steering Committee, the Criminal Justice Advisory Committee, and the Criminal Justice Pilot Program Project Team. A complete listing of the team members can be found in Appendix C. Session Law 2008-107, House Bill 2436, Section 6.8.(c) 4, states “To conduct integration activities as approved by the BEACON Program Steering Committee. The State Chief Information Officer shall utilize current enterprise licensing to implement these integration activities.” In accordance with this directive, the State CIO with support from other state agencies reviewed the existing enterprise licensing with SAS Institute Inc., (SAS) and negotiated an expansion of the software license to include the Judicial Branch. Included, at no additional charge, within this enterprise license agreement was the application development of the Wake County Criminal Justice Pilot Program. To support the development of the pilot, SAS agreed to analyze the State’s business needs, identify the data sources, integrate the offender data, and build a criminal justice pilot application for Wake County. The State project team will identify the legal, regulatory and technical requirements, along with the business rules and data sources, associated with sharing and integration of criminal justice information. In addition, the State project team will complete quality assurance and test activities. Upon approval, the pilot application will be deployed to selected Wake County users for user review and feedback. II (D). Accomplishments The State Project team has evaluated the required data and business rules to map and integrate data from agency source systems to the pilot user interface. The complexity and sensitivity of the criminal justice information has required an iterative approach to the design of the application and the display of the integrated information. The State project team has identified the need for a period of quality assurance testing to ensure the accuracy of the data and the functionality of the application. The pilot will be delivered to the State project team on May 1, 2009 to complete these quality assurance activities. When the Pilot has met the defined criteria, it will be made available to Wake County users for a period of user acceptance testing. 5 First quarter 2009 focused on the identification and examination of Federal, State and local data available for use within the CJLEADS application. The following application programs were examined to identify the data available and to develop the business rules related to usage and security. Administrative Office of the Courts Information System (ACIS) Administrative Office of the Courts On-line Warrants System (NCAWARE) Department of Correction Offender Management System (OPUS) Governors’ Crime Control and Public Safety Statewide Automated Victim Assistance and Notification Information System (SAVAN) Department of Transportation Division of Motor Vehicles Information Systems Wake County Sheriff Jail Management System Wake County Sheriff Records Management System State Bureau of Investigation DCI Network and Message Switch a. Business Rule Definition Each agency reviewed the data that exists within their source applications and identified the information to be integrated to support the CJLEADS business objective. Early analysis found that each source system stores data differently and maintains different key identifiers for an individual. As agency specific rules are developed, they will be incorporated to develop the integrated view of an individual. Administrative Office of the Courts Administrative Office of the Courts (AOC) resources examined the AOC case system data and developed detailed business rules associated with the transformation of that data found within their case systems. Matching algorithms were developed to match offender information, data and images, across the cases records within the State’s 100 counties. AOC reviewed administrative rules and statutes to develop the business rules associated with the security and accessibility of offender information. Department of Correction The Department of Correction resources reviewed information related to an offender’s prison, probation and parole records to identify the key data needed to support criminal justice professionals. Detailed rules were developed to provide the matching of records found within OPUS and data associated with AOC courts records. Governor’s Crime Commission The Governor’s Crime Commission (GCC) Statewide Automated Victim Assistance and Notification Information System (SAVAN) system currently collects jail data from 96 Sheriffs’ county jail management systems. This information, maintained in a third party vendor database, supports the victim notification program. The CJLEADS project team identified the local jail data 6 and associated photo images as an important source of information for criminal justice professionals. The State must develop and execute a contract with Appriss to develop and maintain a data extract and transmission process to incorporate the local jail information in the CJLEADS application. Department of Transportation Division of Motor Vehicles The Division of Motor Vehicles (DMV) currently maintains North Carolina driver license records and vehicle registrations. The CJLEADS project team has identified this detailed data as critical information to support law enforcement officers. DMV is presently reviewing statute and administrative rules to develop the appropriate business rules for sharing this information. Wake County Sheriff Wake County Sheriff has offered to support the CJLEADS application with information from their records management and jail management systems. When the integration of State information is completed, the data provided by the Wake County Sheriff will be evaluated for incorporation into the CJLEADS application. State Bureau of Investigation The NC State Bureau of Investigation (SBI) maintains the DCI network. This system provides critical information from State and National databases. The system supports the delivery of information via messaging switch by routing inquiries to and responses from multiple data sources. The SBI and the Department of Crime Control and Public Safety (CC&PS) are working together to provide access to existing application code to interface with the message switch for access to other states’ and federal data. SBI has been active in communicating the CJLEADS plans to the FBI to ensure the application aligns with Federal Criminal Justice Information System (CJIS) rules and guidelines. CJIS guidelines ensure the protection of criminal history records and require adherence to specific security guidelines during the development of applications and with dissemination of federal information. The SBI and the Department of Justice have received written approval from the Federal Bureau of Investigation to use the FBI number. This decision supports the matching of records within the CJLEADS application. The State’s Sex Offender Registry and Concealed Handgun Permit databases are currently under review. This information will be assessed for incorporation into CJLEADS after the initial pilot delivery on May 1, 2009. 7 North Carolina Wildlife Resources Commission The NC Wildlife Resource Commission has provided information regarding wildlife licenses and vessel registrations. This information will be reviewed for incorporation after the initial pilot delivery on May 1, 2009. b. Application Design and Development SAS has established a technical environment for the design and development of the pilot application. SAS will host this environment through September 29, 2009. This technical environment will support the iterative development process and user acceptance testing capacity for 100 users. The SAS project team is following an iterative design, development and test approach in the build of the CJLEADS application. The development incorporates the business requirements and rules defined by the State into a web based user interface (UI). The UI is a series of screens or reports which depict a profile of an individual’s criminal justice information. Initially the UI was developed with test data to assist with the development of the screens. At the end of this quarter actual data from AOC and DOC application programs was populated within the SAS technical environment and displayed in the UI for continued development. The complexity of merging two disparate data sources has been a challenge and refinement of the matching algorithms is ongoing. The project team continues to analyze additional data sources as they become available. As these data sources surface, matching rules will be developed and data will be mapped to the UI. The data to be included within the May 1, 2009 delivery of the pilot application will include: AOC – Court case records, warrants and orders for arrest DOC – Incarceration and probation information Data that has been delivered and that is being analyzed for integration within the pilot application after May 1, 2009 includes: AOC – Juvenile Court Records (J-WISE) SBI – Sex Offender Registry Information SBI – Concealed Handgun Permits Data that has been identified but is not yet available for integration within the pilot includes: GCC – Local jail booking information (SAVAN) Wildlife license and vessel registration information SBI – DCI Message Switch 8 c. Project and Data Governance The implementation of integrated data creates a paradigm shift where single focused data becomes enterprise information. Recognizing the challenges that accompany this shift and the need to develop a new model of shared governance to support the integrated delivery of criminal justice information, senior leadership and the project team has developed a framework of governance to guide and direct the efforts of the pilot application. Senior leadership from the Executive and Judicial branches of government as well as various Federal and local law enforcement agencies have established an Interagency Leadership Council. The first meeting of the Interagency Leadership Council was held on February 13, 2009. The Interagency Leadership Council will provide leadership, set direction and policy, adopt uniform standards and implement appropriate business strategies for support of Criminal Justice enterprise information exchange. Meeting Minutes from the February 13, 2009 Interagency Leadership Council Meeting can be found in Appendix D. d. User Security and Accessibility The security of offender information is imperative. Within agency applications, some information is considered public information while other information is tightly secured and cannot be shared unless the law enforcement professional accessing the information meets the required certification. Each agency has identified the specific security and confidentiality requirements associated with the data found in their applications. Based upon these requirements, data access, storage and delivery rules will be developed. The CJLEADS pilot application will implement application and data security through several different mechanisms. While the CJLEADS is a web based user interface, access to the application will be limited to specified Internet Protocol (IP) ranges identified by the State. The ranges will ensure that criminal justice professionals can access the system only from valid State facilities or mobile network devices. Access to the application from public IP ranges will be prohibited. The technical architecture developed for the pilot application incorporates standard application security components including data transmission through secure file transfer processes, firewalls, and data encryption capabilities. Role based and data element security is incorporated in the CJLEADS application to ensure only those with the proper authorization have been granted access to the information. 9 Criminal Justice Information Service (CJIS) security will be defined and enforced where applicable. II (E). Challenges The integration of data across disparate applications brings with it many challenges. The following issues have been identified: a. Project Timeline The project timeline is very aggressive. Issues associated with data accessibility, including contractual and grant funding issues as well as security, regulatory and technical considerations, have inhibited the ability to include all identified data in the delivery of the pilot application within the time constraints identified in the legislation. As a result, data from various State applications is being incorporated and displayed as it becomes available. As noted earlier, the May 1, 2009 pilot will only include data available through AOC and DOC. Any delay in the project work plan could negatively impact the pilot delivery. The project is being closely monitored to identify any issues. Project risk management process is being employed to assess the potential impact and develop project alternatives and mitigation approaches. b. Data Accessibility While each agency has identified its data sources, many specifics must be defined to ensure successful integration. i. Unique Offender Identifiers The State project team continues to refine the matching algorithms associated with integrating the data from that various source systems. As each source system identifies information about an offender through a different set of unique data elements, comprehensive testing and validation will be required to ensure that the application accurately represents an offender’s information in the integration environment. ii. Data Security Security requirements for the State data included in the CJLEADS have been defined and are being implemented within the application. Federal and other states’ data requires additional security measures. SBI follows CJIS (FBI) security policy guidelines in the dissemination of Federal and other states’ information available through the DCI network. The integration 10 and deployment of this information under a new framework requires a revision of business processes, training and security roles. The SBI will work with the SAS development team to identify the requirements associated with CJIS Security Policy and the implementation of that policy to assist in the incorporation of DCI data in the CJLEADS application. iii. Architectural Design The DCI network architecture is based on a message switch that results in interactive communication between the criminal justice professional and the network. The DCI network accepts a query from the user and replies with a series of message responses. Based on those responses, the user initiates additional queries for further information. The SAS project team is working with DOJ /SBI to determine the best method for accommodating the interactive nature of the DCI network and consolidating messages for presentation within the integrated pilot application. iv. Contracts and Grant Funding The use of local jail booking information from Statewide Automated Victim Assistance and Notification Information System (SAVAN) is subject to current contractual and funding constraints. SAVAN is managed by a third party vendor and is partially funded with federal dollars. The Governor’s Crime Commission (GCC) has reviewed the contracts and memorandums of agreements (MOUs) that exist between Appriss, the third party vendor and the GCC, the GCC and their federal grant funding source, and the GCC and the local sheriffs. To enable the integration of location jail booking information into the CJLEADS application, the State must initiate a contract with Appriss to develop and maintain a data extract and transmission process to provide historical jail booking information as well as an on-going data feeds of updated information on a regularly scheduled basis. c. Production Implementation Planning SAS has established the technical environment needed for the design, development and testing of the pilot program. This technical environment will support the iterative development process and a capacity for 100 users, 30 of which can concurrently access information during the user acceptance testing period from May 1, 2009 through September 29, 2009. A project sub-team will work with the SAS and State project team to evaluate the production infrastructure to assess migration plans, technical infrastructure, resource 11 requirements, business operations, and training. The implementation plan will outline alternatives for the migration of the pilot application to a State hosted environment. A decision by the State, on the appropriate hosted environment, will be required well in advance of September 29th, as the migration to the production environment will require time to properly size the environment, procure and implement the platform, ensure the availability of technical support staff, provide training and establish business operations. A dedicated team of technical and business resources must be identified to support the installation and configuration of the State hosted technical environment, the migration of the pilot application to the production environment and the establishment of on-going training and business operations to support CJLEADS in the production environment. d. Juvenile Justice Information Sharing Juvenile justice information is tightly secured. The integration of any juvenile information must comply with all State and Federal guidelines. JWISE juvenile information, existing within an AOC application, will be integrated into the pilot application. Access to this data will be controlled with role based security defined by the AOC. The juvenile justice data that resides within the DJJDP application will not be integrated into the pilot as the use of this data requires additional analysis and possible legislation. II (G). Next Steps The following activities will be undertaken during the second quarter of 2009: 1. On May 1, 2009, the SAS project team will finalize and deliver the pilot application to the State project team for testing and validation. When the State project team has confirmed that the pilot application meets the defined quality assurance criteria, the pilot will be made available to Wake County users for a period of user acceptance testing. 2. State project team members and selected criminal justice professionals will be engaged to participate in the SAS Usability Lab to evaluate the pilot application for ease of use and understanding by application end users. 3. The State project team will develop and implement business operations processes and procedures to provide secure access to the pilot application and to ensure the adequate verification of CJLEADS data and testing of the application functionality. 4. The SAS project team will evaluate the production infrastructure to assess migration plans, technical infrastructure, resource requirements, business operations, and training to develop the implementation plan for establishing a State production project team to migrate the pilot application to a State production environment. 12 5. The Interagency Leadership Council will provide guidance and support for the CJLEADS pilot application during the User Acceptance Testing period. The council will address future governance structure and procedures to support the migration and operations and maintenance of CJLEADS in a production environment. 6. The State project team will document areas for continuous improvement and future enhancements for the CJLEADS application. II (H). Funds – Criminal Justice Data Integration Pilot Program FY 2008 – 2009 As of February 28, 2009 Actual Appropriated Reserves Funds FY 2008-2009 $5,000,000 Enterprise License for Judicial Branch $2,000,000 State Project Team Expenditures Total Expended Balance Available for the Criminal Justice Pilot Implementation 47,135 $5,000,000 $2,047,135 $2,952,865 13 Appendix A. SESSION LAW 2007-323, HOUSE BILL 1473 AN ACT TO MAKE BASE BUDGET APPROPRIATIONS FOR CURRENT OPERATIONS OF STATE DEPARTMENTS, INSTITUTIONS, AND AGENCIES, AND FOR OTHER PURPOSES. BEACON DATA INTEGRATION SECTION 6.8.(a) The Office of the State Controller, in cooperation with the State Chief Information Officer, shall develop a Strategic Implementation Plan for the integration of databases and the sharing of information among State agencies and programs. This plan shall be developed and implemented under the governance of the BEACON Project Steering Committee and in conjunction with leadership in State agencies and with the support and cooperation of the Office of State Budget and Management. This plan shall include the following: (1) Definition of requirements for achieving statewide data integration. (2) An implementation schedule to be reviewed and adjusted by the General Assembly annually based on funding availability. (3) Priorities for database integration, commencing with the integration of databases that the BEACON Project Steering Committee identifies as most beneficial in terms of maximizing fund availability and realizing early benefits. (4) Identification of current statewide and agency data integration efforts and a long-term strategy for integrating those projects into this effort. (5) Detailed cost information for development and implementation, as well as five years of operations and maintenance costs. While it is the intent that this initiative provide broad access to information across State government, the plan shall comply with all necessary security measures and restrictions to ensure that access to any specific information held confidential under federal and State law shall be limited to appropriate and authorized persons. SECTION 6.8.(b) The State Controller shall serve as Chairman of the BEACON Project Steering Committee (Committee). The other members of the Committee shall include the State Chief Information Officer, the State Personnel Director, the Deputy State Budget Director, and the Department of Transportation's Chief Financial Officer. SECTION 6.8.(c) Of the funds appropriated from the General Fund to the North Carolina Information Technology Fund, the sum of five million dollars ($5,000,000) for the 2007-2008 fiscal year shall be used for BEACON data integration as provided by subsection (a) of this section. The Office of the State Controller, in coordination with State agencies and with the support of the Office of State Budget and Management, shall identify and make all efforts to secure any federal matching funds or other resources to assist in funding this initiative. Funds authorized in this section may be used for the following purposes: (1) To support the cost of a project manager to conduct the activities outlined herein reportable to the Office of the State Controller. (2) To support two business analysts to provide support to the program manager and agencies in identifying requirements under this program. (3) To engage a vendor to develop the Strategic Implementation Plan as required herein. (4) To conduct integration activities as approved by the BEACON Project Steering Committee. The State Chief Information Officer shall utilize current enterprise licensing to implement these integration activities. 14 Appendix SECTION 6.8.(d) The Office of the State Controller, with the assistance of the State Chief Information Officer, shall present the Strategic Implementation Plan outlined by this section to the 2007 Regular Session of the General Assembly when it convenes in 2008 for action as deemed appropriate. This plan shall be completed not later than April 30, 2008. Prior to the reconvening of the 2007 Regular Session of the General Assembly in 2008, the Office of the State Controller shall provide semiannual reports to the Joint Legislative Oversight Committee for Information Technology. Written reports shall be submitted not later than October 1, 2007, and April 1, 2008, with presentations of the reports at the first session of the Joint Legislative Oversight Committee on Information Technology following the written report submission date. The Joint Legislative Oversight Committee on Information Technology shall then report to the Joint Legislative Commission on Governmental Operations. SECTION 6.8.(e) Neither the development of the Strategic Information Plan nor the provisions of this section shall place any new or additional requirements upon The University of North Carolina or the North Carolina Community College System. Ratified July 31, 2007 15 Appendix B. SESSION LAW 2008-107, HOUSE BILL 2436 AN ACT TO MODIFY THE CURRENT OPERATIONS AND CAPITAL APPROPRIATIONS ACT OF 2007, TO AUTHORIZE INDEBTEDNESS FOR CAPITAL PROJECTS, AND TO MAKE VARIOUS TAX LAW AND FEE CHANGES. CRIMINAL JUSTICE DATA INTEGRATION PILOT PROGRAM SECTION 6.15.(a) The General Assembly finds that the State's Uniform Crime Reporting technology is based on procedures developed in the 1930s and a design plan developed in the late 1980s. Based on recent unfortunate events, it is abundantly clear that the State must establish a framework for sharing critical information, and the framework must be implemented as soon as possible. With improved access to timely, complete, and accurate information, the members of the General Assembly, leadership in State and local law enforcement agencies, law enforcement officers, and everyone working in the criminal justice system can enhance their ability to make decisions on behalf of the people of the State, with fewer decisions based on instinct or guesswork. The General Assembly further finds that the April 2008 Beacon Report on a Strategic Plan for Data Integration recommends the development and implementation of a Crime Reporting Re-Design Project, a statewide crime analysis system designed to save time, save money, and save lives. SECTION 6.15.(b) The Office of the State Controller, in cooperation with the State Chief Information Officer, and under the governance of the BEACON Project Steering Committee, shall by May 1, 2009, develop and implement a Criminal Justice Data Integration Pilot Program in Wake County in cooperation and communication with the advisory committee established pursuant to subsection (c) of this section and the leadership of State and local agencies. This pilot program shall integrate and provide up-to-date criminal information in a centralized location via a secure connection for use by State and local government. The pilot program vendor shall be selected by October 1, 2008. While it is the intent that this initiative provide a broad new access to information across State government, the plan shall comply with all necessary security measures and restrictions to ensure that access to any specific information held confidential under federal and State law shall be limited to authorized persons. SECTION 6.15.(c) The Advisory Committee to the Criminal Justice Data Integration Pilot program is hereby established. The Advisory Committee shall consist of the following members: (1) The District Attorney for Prosecutorial District 10, who shall serve as chair. (2) The senior resident superior court judge for Superior Court Districts 10A through 10D. (3) A Wake County magistrate designated by the senior resident superior court judge. (4) The Clerk of Superior Court of Wake County. (5) The sheriff of Wake County. (6) The judicial district manager for District 10 of the Division of Community Corrections. (7) The chief court counselor for District Court District 10. (8) The president of Duke University and the chancellor of The University of North Carolina, or their designees. 16 Appendix SECTION 6.15.(d) The Advisory Committee, the Department of Justice, the Administrative Office of the Courts, the Department of Juvenile Justice and Delinquency Prevention, the Department of Correction, the Department of Crime Control and Public Safety, the Department of Transportation, and local law enforcement agencies shall fully cooperate with the Office of the State Controller and the State Chief Information Officer, under the guidance of the BEACON Steering Committee, to identify the informational needs, develop a plan of action, provide access to data, and implement secure integrated applications for information sharing of criminal justice and corrections data. SECTION 6.15.(e) Of the funds appropriated in this act, the sum of five million dollars ($5,000,000) may be used to support the Criminal Justice Data Integration Pilot Program. Other funds available to BEACON may also be used for this purpose. The Office of the State Controller, with the support of the Office of State Budget and Management, shall identify and make all efforts to secure any matching funds or other resources to assist in funding this initiative. SECTION 6.15.(f) The Office of the State Controller, with the support of the Advisory Committee and the State Chief Information Officer, shall provide a written report of the plan's implementation progress to the House of Representatives and Senate Appropriations Committees, to the Joint Legislative Oversight Committee on Information Technology, and to the Fiscal Research Division on a quarterly basis beginning October 1, 2008. BEACON DATA INTEGRATION SECTION 6.16.(a) The Office of the State Controller, in cooperation with the State Chief Information Officer, shall begin implementation of the Beacon Strategic Plan for Data Integration, issued in April 2008. This plan shall be implemented under the governance of the BEACON Project Steering Committee and in conjunction with leadership in appropriate State agencies and with the support and cooperation of the Office of State Budget and Management. While it is the intent that this initiative provide broad access to information across State government, the plan shall comply with all necessary security measures and restrictions to ensure that access to any specific information held confidential under federal and State law shall be limited to appropriate and authorized persons. SECTION 6.16.(b) The State Controller shall serve as the Chairman of the BEACON Project Steering Committee. The other members of the committee shall be the State Chief Information Officer, the State Treasurer, the Attorney General, the Secretary of Correction, the Administrative Officer of the Courts, the State Budget Officer, and the Chief Financial Officer of the Department of Transportation. SECTION 6.16.(c) Of the funds appropriated from the General Fund to the North Carolina Information Technology Fund, the sum of five million dollars ($5,000,000) for the 2008-2009 fiscal year shall be used for BEACON data integration as provided by subsection (a) of this section. Funds to support this activity shall also be the unexpended balance from the funds appropriated for BEACON/Data Integration Funds in Section 5.3(b) of S.L. 2007-323. The Office of the State Controller, with the support of the Office of State Budget and Management, shall identify and make all efforts to secure any matching funds or other resources to assist in funding this initiative. SECTION 6.16.(d) Funds authorized in this section may be used for the following purposes: (1) To support the cost of a project manager to conduct the activities outlined herein reportable to the Office of the State Controller. (2) To support two business analysts to provide support to the program manager and agencies in identifying requirements under this program. 17 Appendix (3) To establish a Business Intelligence Competency Center (BICC), a collaborative organization comprised of both technical and business stakeholders, to support and manage the business need for analytics through the development of standards and best practices. (4) To engage a vendor to implement the Strategic Implementation Plan as required herein. (5) To conduct integration activities as approved by the BEACON Project Steering Committee. The State Chief Information Officer shall use current enterprise licensing to implement these integration activities. SECTION 6.16.(e) Prior to the convening of the 2009 General Assembly, the Office of the State Controller shall provide semiannual reports to the Joint Legislative Oversight Committee for Information Technology. Written reports shall be submitted not later than October 1, 2008, and April 1, 2009, with presentations of the reports at the first session of the Joint Legislative Oversight Committee on Information Technology following the written report submission date. The Joint Legislative Oversight Committee on Information Technology shall then report to the Joint Legislative Commission on Governmental Operations. SECTION 6.16.(f) Neither the implementation of the Strategic Information Plan nor the provisions of this section shall place any new or additional requirements upon The University of North Carolina or the North Carolina Community College System. Ratified July 16, 2008 SESSION LAW 2008-118, HOUSE BILL 2438 AN ACT TO MAKE TECHNICAL, CLARIFYING, AND OTHER MODIFICATIONS TO THE STATE BUDGET. SECTION 2.3. Section 6.16(b) of S.L. 2008-107 reads as rewritten: "SECTION 6.16.(b) The State Controller shall serve as the Chairman of the BEACON Project Steering Committee. The other members of the committee shall be the State Chief Information Officer, the State Treasurer, the Attorney General, the Secretary of Correction, the Administrative Officer of the Courts, the State Budget Officer, the Secretary of Administration, and the Chief Financial Officer of the Department of Transportation." Ratified July 18, 2008 18 Appendix C. Criminal Justice Pilot Program Committee Membership BEACON Program Data Integration Steering Committee Agency Representatives Office of the State Controller Office of Information Technology Services Secretary of Corrections Department of Administration Department of Transportation Department of the State Treasurer North Carolina Department of Justice Office of State Budget and Management Administrative Office of the Courts David McCoy, State Controller – Committee Chair George Bakolia, State Chief Information Officer Alvin Keller, Secretary of Correction Britt Cobb, Secretary of Administration Mark Foster, Chief Financial Officer Janet Cowell, State Treasurer Robin Pendergraft, Director, State Bureau of Investigations Charlie Perusse, State Budget Director Judge John Smith, Director, Administrative Office of the Courts Advisory Committee Representatives Colon Willoughby, Wake County District Attorney - Committee Chair th Maggie Brewer, 10 Judicial District Manager, Division of Community Corrections Howard Cummings, Wake County Assistant District Attorney Lorrin Freeman, Clerk of Superior Court, Wake County Barker French, appointee representing President of Duke University Sheriff Donnie Harrison, Wake County Sheriff’s Office th Diane Isaacs, Acting 10 Judicial District Manager, Division of Community Corrections th Tim Montgomery, Chief Juvenile Court Counselor, 10 Judicial District th Judge Robert Rader, Chief District Court Judge, 10 Judicial District th Judge Donald Stephens, Senior Resident Superior Court Judge, 10 Judicial District th Magistrate Judge Gary Wills, Chief Magistrate Judge, 10 Judicial District Chris Creech, Information Technology Manager for the Wake Co., Sheriff's Office Professor Joe Kennedy, University of North Carolina 19 Appendix Collaborative Agencies Representation Department of Justice Administrative Office of the Courts Department of Juvenile Justice and Delinquency Prevention Department of Correction Department of Crime Control and Public Safety Department of Transportation Local Law Enforcement Agencies Working Project Team Representation George Ake, NIJ Representative Debbie Allen, GCC, NC SAVAN Coordinator Ike Avery, OSC, Subject matter Expert Doug Banich, ITS Roger Banner, AOC, Applications Analyst Programmer Jennifer Barbour, AOC, NCAWARE/Magistrate - Systems Analyst Jordan Beltz, AOC, Applications Analyst Programmer Specialist Ronnie Blake, DOJ, IT Project Director Maggie Brewer, DOC, 10th Judicial District Manager Bob Brinson, DOC, Chief Information Officer Leah Bryant, AOC, Administrator for Application Development Carol Burroughs, OSC, Project Manager – Criminal Justice Pilot Program Paul Cash, AOC Application Analyst Jessica Chen, AOC, Data Base Administrator Fletcher Clay, OSC, Subject Matter Expert Cindy Cousins, DOC, Application Systems Manager Chris Creech, Wake County Sheriff’s Office, Information Technology Manager for Wake Co. Brenda Freeman, DOT – DMV, Adjudication & Support Services, Asst. Director of Adjudication, DMV Bob Drichel, AOC, Tech Support Operations Manager LaVonda Fowler, CJIN, Subject matter Expert Criminal Justice Information Network Lorrin Freeman, Wake County Courts, Clerk of Superior Court Barker French, Appointee Representing Duke University Sam Ghosh, AOC, Applications Analyst Programmer Bob Giannuzzi, EPMO, Project Management Advisor (PMA) Janet Greene, AOC, Asst. Administrator for Application Development Shannon Hanes, DJJDP, Business Analyst Tom Havener, AOC, Database Administrator Rena Henry , DOT – IT, State Automated Drivers License System, Development Supervisor, DOT-IT Bill Hudson, AOC, Application Analyst Diane Isaacs, DOC, Acting 10th Judicial District Manager David Jones, GCC, NC SAVAN Executive Director 20 Appendix Working Project Team (continued) Representation Gary Kearney, DJJDP, Chief Information Officer Ethel Keen, DOT-DMV, Assistant Director Traffic Records Branch David Keys, DOC, IT Director Nancy Kiesenhofer, AOC, Systems Analyst Stephen Lamm, DOT – DMV, Inspector/Fraud Special Operations, DMV Mark Lang, DOJ, Security Manager Cliff Layman, AOC, Chief Information Officer Nancy Lowe, DOJ – IT, Chief Information Officer Basil McVey, AOC, Court Services Officer Kay Meyer, OSC, Project Director BEACON Data Integration Tom Newsome, OSC, Chief Deputy Controller Lorri Olszanowski, DOC, Database Administrator Jerry Page, AOC, ACIS Programmer Troy Page, AOC, Assistant Legal Counsel Abraham Palmer, AOC, Application Analyst Randy Barnes, DOT, Chief Information Officer Wyatt Pettingill, DOJ-SBI, Assistant Special Agent in Charge Tim Pursell, Information Technology Services David Prince, DOJ, IT Project Director Lucyna Schroeder, AOC, Application Analyst Michael Singletary, DOC, Chief Information Officer Archie Smith, AOC, Security, DASD Administrator Kandimalla Srinivasarao, DOT-IT Gregg Stahl, AOC, Deputy Director Jimmy Tew, DOJ, Systems Programmer Wanda Thomas, AOC, TSD- Application Development Manager Carla Thorpe, DOT – IT, State Automated Drivers License System, Application Development Manager, George Tkach, DJJDP, Database Administrator Gene Vardaman, CJIN, Executive Director James Walston, DOT Barbara Webb, DOT – DMV, Adjudication & Support Services, Manager - Technical Services Branch Cynthia M. Williams, DOC – DCC, Chief of Support Services Bill Willis, ITS, Deputy SCIO- Enterprise Lik Yam, AOC, Application Analyst 21 Appendix D. Interagency Leadership Council Meeting Minutes – February 13, 2009 NC Criminal Justice Data Integration Interagency Executive Leadership Committee February 13, 2009 Office of the State Controller – Administrative Conference Room Interagency Executive Leadership Members Present: Eddie Caldwell, Executive Vice President, North Carolina Sheriffs’ Association Linda Hayes, Secretary, Department of Juvenile Justice and Delinquency Prevention John Hodges, President, North Carolina Association of Chiefs of Police Joseph John, Commissioner, Division of Motor Vehicles Alvin Keller, Secretary, Department of Correction David McCoy, State Controller Robin Pendergraft, Director, State Bureau of Investigation Judge John Smith, Director, Administrative Office of the Courts Reuben Young, Secretary, Crime Control and Public Safety Attendees: George Ake, National Institute of Justice Fletcher Clay, Retired Colonel, State Highway Patrol Bob Brinson, DOC Tom Newsome, Chief Deputy State Controller Claire Ennis, OSC Carol Burroughs, OSC Sheriff Dane Mastin, Executive Committee, NC Sheriffs’ Association Tony Queen, Director of Special Projects, NC Sheriffs’ Association Debbie Allen, GCC Sherri Johnson, OSC Kay Meyer, OSC Anjali Hemphill, WPTF Radio The NC Criminal Justice Data Integration Interagency Executive Leadership Committee met on Friday, February 13, 2009, in the Office of the State Controller Administrative Conference Room, State Controller, David McCoy presiding. The meeting was called to order at 10:30 a.m. Mr. McCoy welcomed all in attendance and thanked them for their participation with the Committee. The first order of business was the reading of the North Carolina State Government Conflict of Interest Statement. State Controller, David McCoy provided a brief overview of the challenges associated with the integration of criminal justice information and recognized George Ake of the 22 Appendix National Institute of Justice who is assisting North Carolina with these efforts. Mr. McCoy recognized Robin Pendergraft, John Smith, and Alvin Keller as members of the Data Integration/Criminal Justice Steering Committee. George Ake presented the challenges of Criminal Justice data sharing and the many stops and starts of integration efforts throughout the country. The critical factor to success is involving executive management and key stakeholders in the process of making decisions on how to best serve law enforcement needs. For North Carolina to be successful, executive management must remain actively involved, be open to change, and allow the business need to drive the technology solution. Mr. McCoy noted the ten week timeline until the delivery of the criminal justice pilot application. The pilot application has been named CJLEADS – Criminal Justice Law Enforcement Automated Data Services. Mr. McCoy indicated that the successful delivery of CJLEADS is dependent on the collaboration of all agencies and asked that this Committee help develop and promote this effort. The Committee will assist in setting policy, procedures, prioritization, communications and financial requirements for sharing criminal justice data, the data that will be shared and the parties that will be able to access that data. It will be important to balance the legal challenges of privacy and confidentially with public safety. Mr. McCoy further emphasized that Executive leadership must establish the business plan and use information technology to meet that plan. This Committee will establish working groups that focus on specifics such as Technology, Operations and Security, and Funding. Mr. McCoy introduced Kay Meyer, Project Director for Data Integration. Ms. Meyer provided an overview of the legislative background, objectives and accomplishments to date for the CJLEADS project. Ms. Meyer highlighted San Diego, California’s ARJIS system and the experiences and best practices shared by Pam Scanlon, Executive Director of ARJIS. Carol Burroughs, Project Manager of CJLEADS, provided a demonstration of the pilot application’s web interface, highlighting the search capability, summary level data and the ability to view detailed information. Ms. Burroughs emphasized that the user interface was progressing through iterative design and development and would be refined as the project team provided feedback on the application design. Ms. Meyer shared the challenges facing the project team, including the constraints associated with the project timeline, issues with data accessibility, the need to determine the production implementation location, and project governance. Ms. Meyer highlighted the Statement of Work, timeline for remaining project activities and measures of success for the pilot application. 23 Appendix The CJLEADS initiative will initially include the integration of data from AOC, DOC and jail bookings (SAVAN). It is designed to accommodate a comprehensive view of an offender and will offer the capability to integrate additional State information such as sex offender, immigration status, DMV records, gang information, protective orders and criminal history. The project team is working with the SBI, DMV and GCC to identify data and to determine the requirements associated with the integration of their data. During the review of the data sources, it was suggested that GangNet information be considered for future integration. Bob Brinson shared that the Department of Corrections (DOC) has integrated within their case management application the data received from Administrative Office of the Courts (AOC). This integration effort has provided probation officers information on court events directly into their case records. Mr. Brinson highlighted the importance that the CJLEADS application be developed to support web services which allows for integration of data within existing applications or case management systems. Mr. McCoy noted that the CJLEADS project has made significant progress to date. The vendor contract was signed on October 1, 2008. The Office of Information Technology Services (ITS) expanded the State’s Enterprise License Agreement to include AOC, and Dr. Jim Goodnight and SAS Institute provided the services to develop the pilot application at no cost. With ten weeks until the delivery date, there is no room for slippage on project activities and deliverables. Mr. McCoy will be acting as the facilitator for this Committee and will look to the members of the Committee to provide recommendations for guidance and direction for statewide issues. This Committee will assist in the determination of the hosting location for the production application. Secretary Linda Hayes indicated that juvenile justice information security and confidentiality is paramount, however, she understands the importance and need to share certain juvenile information in order to ensure the public safety. All in attendance agreed that in some circumstances juvenile information could be a critical component for law enforcement decision making. It was also noted that the project team has indicated that adult information would be valuable in the treatment of a juvenile as information on the family unit can assist case workers in determining the proper program offerings. As DJJDP assesses the feasibility of sharing certain data, it is particularly important to ensure criminal justice stakeholders have clear understanding of the technical support and security of the integration application. Ms. Hayes indicated that knowing that the CJLeads is hosted within a criminal justice technical environment would be particularly important in meeting the security requirements for juvenile justice information. Robin Pendergraft noted that the Division of Criminal Information (DCI) must abide by federal rules and guidelines and that legal counsel advising on matters related to DCI are cautious and conservative. Based on George Ake’s suggestion, the SBI will engage 24 Appendix their FBI counterparts to determine the resolution to the issues related to DCI data. Ms. Pendergraft shared that NLETS and NCIC must be administered through a law enforcement agency, and this must be considered when determining the hosting decision. Ms. Pendergraft suggested that the ability to notify the State’s crime lab when a case is dismissed or dropped should be considered for future application functionality. Eddie Caldwell noted the importance of providing training not only on the functionality of the system, but also by criminal justice professionals on how to use the data to meet their business needs. Further discussion surrounded the legal and regulatory training issues associated with how data can be used. Joseph John noted DMV’s concern with sharing data for individuals who are not involved in criminal activity. The DMV would also have concerns with the data not being stored within a State facility. George Ake will share a national Driver’s License Privacy Policy related to sharing of driver’s license photos. Mr. McCoy thanked Robin Pendergraft for taking the lead on contacting the FBI to involve them in the CJLEADS project and asked staff to prepare a briefing paper on the hosting alternatives for the production application. Mr. McCoy concluded the meeting by reiterating OSC’s commitment to this initiative. The meeting was adjourned at 12:00 p.m. 25 Appendix E. Criminal Justice Advisory Committee Report – September 24, 2008 Criminal Justice Data Integration Project Initial Report of the Advisory Committee Section 16.5 of S.L. 2008-107 established the Criminal Justice Data Integration Pilot Program for the purpose of delivering timely, complete and accurate information to law enforcement and those working within the criminal justice system in order to improve their ability to make decisions that impact public safety. Pursuant to this legislation, an advisory committee was established for the purpose of identifying the informational needs of criminal justice professionals. The Advisory Committee of the Criminal Justice Data Integration Pilot program consists of the Wake County District Attorney, the Senior Resident Superior Court Judge for the 10th Judicial District, the Chief District Court Judge for the 10th Judicial District, the Wake County Clerk of Superior Court, a Wake County magistrate, the Wake County Sheriff, the 10th Judicial District Manager for the Department of Community Corrections, the 10th Judicial District Chief Court Counselor and the designees of the President of Duke and the Chancellor of the University of North Carolina at Chapel Hill. The Advisory Committee members, in consultation with other individuals working within the criminal justice system, have conducted a preliminary evaluation of their informational needs and submit the following report. Executive Summary Through an analysis of information needs by each agency within the criminal justice system, the Advisory Committee found that all participating agencies would benefit from access to the following information: Positive Offender ID Comprehensive, easy to read Criminal History Outstanding warrants and orders for arrest Probation status Juvenile offense history Domestic Violence Protective Order status Sex offender status Immigration status There was additional information that one or more of the entities would find useful in making decisions. This is outlined in Appendix A of this report. Advisory Committee members determined that access to information through two different methods was necessary. Criminal Justice professionals need access to 26 Appendix information by looking up individual offenders (Offender Search). Criminal justice professionals who are responsible for a caseload need automatic notification when the status of an offender on their caseload changes (Offender Watch). For the purpose of this report, criminal justice professional shall include criminal justice and correction professionals. Introduction Professionals within the criminal justice system make decisions daily that impact public safety. These decisions include, but are not limited to, whether to charge and/or arrest an offender, whether to release an offender on bail, how to prosecute a case, and what sentence to impose. In order to successfully manage the high volume of cases within the system, criminal justice professionals often have to make decisions quickly relying on readily available information. The purpose of this project is to increase access to reliable information about offenders. The project can meet this goal by both making existing information easier to utilize and by broadening the scope of information available to each criminal justice professional. The type of information needed varies based on the responsibilities of individual entities within the criminal justice system. After receiving input from each entity, the Advisory Committee has analyzed the identified information deficiencies and determined common needs. Because there is significant overlap in information that is required to make informed decisions, the Committee recommends that the project initially focus on providing that information which is set forth below. The Committee further recommends that the project be developed and implemented in a manner that permits future expansion and customization. The Advisory Committee’s recommendation would make criminal justice information available in two different components: Offender Search, access to information by offender, and Offender Watch, notification of change in offender status for criminal justice professionals carrying a caseload. 27 Appendix Offender Search: Advisory Committee members identified a need to be able to easily access specific information about an offender in order to make informed decisions. Members suggested that this information be provided in summary form on an easy to read screen that would allow the criminal justice professional to access more detailed information by clicking on various field alternatives. Positive ID o Problem Identified: Law Enforcement, prosecutors and judges all indicated that it is vitally important to be able to confirm that the person in their presence is in fact the person of interest. It is also necessary to be able to determine whether additional pending cases with the defendant’s name belong to the defendant. Identifying defendants based on their name has become increasingly problematic as the number of immigrants and the use of aliases has increased. Currently there is no unique identifier that is constant in all criminal justice databases. o Information Delivery Proposal: A picture of the offender derived from DMV, jail or Department of Correction records and an indicator of positive ID based on matching available identifiers across databases should be part of the offender search screen. Pending cases and/or warrants should appear on the summary screen and could be categorized as positive, reliable or possible matches with the offender. Complete, Easy to Read Criminal History o Problem Identified: All members indicated a need for comprehensive criminal history information on an offender that was easy to read and understand. Each member expressed some level of dissatisfaction with the current court system database as a means to gather this information. Currently criminal justice professionals have to search multiple sources (ACIS state and local, and DCI) to gather criminal history information. The information is formatted in a manner that is difficult to understand. o Use of Information: The extent and seriousness of an offender’s prior record sheds light on the threat the offender poses to public safety and the likelihood of the offender to recidivate. A defendant’s prior record is considered in setting conditions of release, in determining what, if any, plea offer to negotiate, and in determining a defendant’s sentence. o Information Delivery Proposal: The District Attorney’s office requested automatic calculation of an offender’s prior record level. To address this requirement, an offender’s prior record level could appear on the offender search screen while a more detailed criminal record could be accessed by 28 Appendix clicking on the Prior Record Level. It was suggested that criminal history information be made available to be reviewed in either chronological order or by offense category (i.e., motor vehicle offense, offense involving weapon, property offense, drug offense). In addition to past convictions, information concerning cases for which a defendant has been called and failed or cases that are in dismissal with voluntary leave status should also be made available. Outstanding Warrants and Orders for Arrest o Problem Identified: Law Enforcement Officers (LEO) do not have easy access to a database in which all outstanding warrants and/or orders for arrest are entered. Consequently they may inadvertently let an offender go who should be apprehended. Additionally, magistrates do not have easy access to outstanding orders for arrest/warrants that could be served on a defendant who has been brought before them. As a result, defendants who have active warrants or orders for arrest in other cases are released from custody. o Use of Information: Reliable, current information on existing warrants and orders for arrest would allow for offenders to be more readily apprehended. If outstanding warrants and pending orders for arrest could be readily identified and obtained, they could be served on the defendant which would allow for unresolved cases to be disposed of in a more efficient manner. o Information Delivery Proposal: An offender search screen could indicate the existence of outstanding warrants and pending orders for arrest. It is recommended that the offender search screen be developed to interface with the Administrative Office of the Court’s technology application NCAWARE, which is currently being piloted in Johnston County, which, when fully operational, will provide an electronic repository containing all outstanding warrants and pending orders for arrest and will allow for a stored document to be printed for service on an offender. Probation Status o Problem Identified: Criminal justice professionals who are not in the corrections field do not have a means to easily determine if an offender is on probation or to assess an offender’s performance while under supervision in the community. Without access to probation information, Law Enforcement Officers may come in contact with a person of interest who has absconded from probation without knowing the person’s status; prosecutors may recommend a probationary status for an offender who has not been compliant while on probation; or, judges may sentence an 29 Appendix offender to a supervision level that has been ineffective in managing a defendant. o Use of Information: Information about an offender’s performance on probation provides insight into whether community supervision is an effective way to manage the offender. Prosecutors would consider a defendant’s performance on probation in determining what type of plea to negotiate, if any. Judges would rely on information about a defendant’s past performance on probation in determining what sentence to impose in a case. o Information Delivery Proposal: Probation status could be indicated as active, inactive or N/A on the offender search screen. Additional probation information such as level of supervision (unsupervised, supervised, intensive), number and basis of probation violations, past and/or current compliance with supervision, identity of supervising officer, the county where the defendant is being supervised and frequency of contacts with probation officer c