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The State of New Hampshire Criminal Justice Information System

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The State of New Hampshire Criminal Justice Information System

    USER REQUIREMENTSPUBLIC SERVICES

    The State of New Hampshire

    Criminal Justice Information System

    User Requirements Document

    Prepared By:

    KPMG Consulting, Inc.

    99 High Street

    Boston, MA 02110

    VersionDescription

    Initial ReleaseVersion 1.1- 1/30/2002

    Edit ChangesVersion 1.2- 2/14/02

    Final ReleaseVersion 1.3- 2/28/2002

    This project was supported by Grant No. 2000-DB-MU-0033 and Grant No. 2001-DB-BX-0033 awarded by the Bureau of Justice Assistance, Office of Justice Programs, U.S. Department of Justice. Points of view in this document are those of the author and do not necessarily represent the official position or policies of the U.S. Department of Justice.

    Public ServicesState of New HampshireFebruary 28, 2002

    Table of Contents

     Preface............................................................................................................................................ii

    1. Introduction..................................................................................................................................1

    1.1 Purpose...................................................................................................................................1

    1.2 Background............................................................................................................................1

    1.3 Document Conventions..........................................................................................................3

    1.4 Referenced Documents..........................................................................................................5

    1.5 Terms and Abbreviations.......................................................................................................6

    2. User Requirements.......................................................................................................................8

    2.1 Introduction............................................................................................................................8

    2.2 General User Requirements List............................................................................................92.3 Actor Definitions.................................................................................................................11

    2.4 Secondary Actors.................................................................................................................14

    2.5 Context Diagram..................................................................................................................17

    2.6 High-Level System Flow Diagrams.....................................................................................182.7 Use Case Model Overview..................................................................................................232.8 Publish Information.............................................................................................................25

    2.9 Maintain Subscription Information.....................................................................................282.10 Query CJIS Information....................................................................................................31

    2.11 Respond To CJIS Information Query...............................................................................332.12 Send/Receive Notifications................................................................................................35

    2.13 Maintain Notification Profiles...........................................................................................38

    2.14 Maintain Data Set Information..........................................................................................402.15 Maintain Document Information......................................................................................432.16 Maintain Document to Document Associations................................................................482.17 Maintain Element Information..........................................................................................532.18 Maintain Event Information...............................................................................................56

    2.19 Maintain Event Document Association.............................................................................582.20 1s........................................................................................................................................60

    2.21 Maintain Role and Task Information.................................................................................632.22 Handle Event......................................................................................................................65

    2.23 Maintain Audit Trail.........................................................................................................67

....................................................................................................................................................68

    2.24 Re-Map Information.........................................................................................................69

    2.25 Handle Errors.....................................................................................................................70

    2.26 Retention of information not currently being retained in a CJIS repository......................723. Future Considerations and Peripheral Issues...............................................................................1

     Appendix A- CJIS Master Stakeholder List...................................................................................1

     Appendix B- Exchange Point Workshop Documentation..............................................................1

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     Appendix C- User Wish List Requirements...................................................................................1

     Appendix D- Catalog of Documents...............................................................................................1

    Preface

    How to Read this Document

    This document provides the User Requirements for the State of New Hampshire Criminal Justice Information System. To develop these requirements, a wide spectrum of users was consulted. The views and needs of these users are expressed in this documentation. While the intended audience for this document includes the user community, an equally important audience is the system designers.

    To facilitate the review of this document by the CJIS user community, the following suggestions are made as to how the document should be read and the areas that deserve the greatest attention:1.Read Section 1 to gain an understanding of the document purpose and conventions. Pay

    specific attention to Section 1.3, which provides an overview of use cases and the Exchange

    Point model.

    2.Read Sections 2.1 through 2.6.

    a)Review Section 2.2 to make sure your general ‘wish list’ requirements are stated. Look

    for general functionality, not specific, low-level functionality first. For example, is the

    general requirement of information query supported and is it sufficient to handle the

    specific types of queries important to you? The General User Requirements list presented

    in Exhibit 2-1 is cross referenced to use cases and the user ‘wish list’ gathered from the

    workshops and documented in Appendix C.

    b)Review the system flow diagrams presented in Section 2.6. Make sure these system

    flows cover the primary areas of system functionality. At a high-level, do they

    adequately provide the functionality required to support your specific requirements?

    c)Review the following key user use cases:

    ;Section 2.8- Publish Information

    ;Section 2.9- Maintain Subscription Information

    ;Section 2.10- Query CJIS Information

    ;Section 2.11- Respond to CJIS Information Query

    ;Section 2.12- Send/Receive Notifications

    ;Section 2.13- Maintain Notification Profiles

    Finally, the interplay between the Exchange Point model documentation gathered during the workshops and the use case model is important to understand. The individual use cases that deal with information exchange will utilize the Exchange Point model for establishing the governing exchange requirements. Each use case has a reference to the Exchange Point model documentation presented in Appendix B, when applicable.

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    To help reinforce the interplay between the use cases and the Exchange Point model, two examples are provided. We encourage you to apply the same thought process to the Exchange Point events that are relevant to you. The use case model is valid if the documented use cases are sufficient to handle all of the event requirements articulated from the workshop sessions.Example 1

    In this example, we start with Event D.16 from the Prosecution and Case Scheduling- Exchange Point Model Workshop (see Appendix B).

    IdEventSenderConditionDocumentReceiver

    Parties, DOC, HOC, LLE, Prob and Parole, Service

    D.16ArraignmentDistrict Courtguilty pleaAbstractProviders, CJIS, DMV, CHRI

    1.An arraignment event occurs in court, where the defendant enters a guilty plea.2.The District Court publishes an Abstract document using the Publish Information (see

    Section 2.8) use case.

    3.The Handle Event (see Section 2.22) use case uses the Re-Map Information (see Section

    2.24 ) use case to convert the input information to the common CJIS format.4.The Handle Event use case uses the Maintain Event Document Association (see Section

    2.19), Maintain Document Information (See section 2.15) and Maintain Document to

    Document Associations (See section 2.16) use cases to determine if all conditions for

    document publication have been met.

    5.If all document publication conditions have been met, the Handle Events uses case uses the

    Maintain Event Document Association use case to determine if any events are to be

    initiated as a result of the Abstract document being published.

    6.The Publish Information use case uses the Maintain Document Information use case to

    update the status of the document.

    7.The Handle Events use case uses the Maintain Subscription Information use case (See

    section 2.9) to determine if anyone has subscribed to Arraignment or the individual who is

    the subject of the arraignment.

    8.The Maintain Subscription Information use case uses the Send/Receive Notification use

    case (See section 2.12) to notify Users subscribing to the arraignment event, Abstract

    document or information pertaining to the individual who is the subject of the arraignment.9.The Publish Information use case uses the Notification use case to notify subscribing CJIS

    systems of the change in status of the individual arraigned using the Notification use case.

    [Note: The CJIS systems may initiate events or publish documents as a result of receiving the

    notification of the change in individual or document status.]

    10.The Handle Events use case uses the Maintain Event Document Association use case to

    determine if other documents need to be published. If yes, the Publish Information use case is

    notified and the publish function begins for the new document.

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    Example 2

    In the example, we start with Event A.4 from the Incidents and Warrants- Exchange Point Model

    Workshop (see Appendix B).

    IdEventSenderConditionDocumentReceiver

    A.4Traffic Law Criminal Criminal District Court

    stop/call for Enforcementarrestcomplaint

    service

    1.A local law enforcement system publishes an arrest document using the Publish

    Information use case (See section 2.8). This document is currently on the front of the

    complaint paper form.

    2.The arrest document contains the personal identification data set and one or more charge data

    sets.

    3.The Handle Event (See section 2.22) use case uses the Remap (See section 2.24) use case to

    convert the input data to the common CJIS format.

    4.The Handle Events use case uses the Maintain Event Document Association (See section

    2.19), Maintain Document Information (See section 2.15) and Maintain Document to

    Document Associations (See section 2.16) use cases to determine if all conditions for

    document publication have been met.

    5.If all document publication conditions have been met, the Handle Events uses case uses the

    Maintain Event Document Association use case to determine if any events are to be

    initiated as a result of the arrest document being published.6.The Publish Information use case uses the Maintain Document Information use case to

    update the status of the document.

    7.The Handle Events use case uses the Maintain Subscription Information use case (See

    section 2.9) to determine if anyone has subscribed to either the arrest event, arrest document

    or the individual who is the subject of the arrest.

    8.The Maintain Subscription Information use case uses the Send/Receive Notification use

    case (See section 2.12) to notify Users subscribing to the arrest event, arrest document or

    information pertaining to the individual who is the subject of the arrest.9.The Publish Information use case uses the Notification use case to notify subscribing CJIS

    systems of the change in status of the individual arrested using the Notification use case.

    [Note: The CJIS systems may initiate events or publish documents as a result of receiving the

    notification of the change in individual or document status.]10.The Handle Events use case uses the Maintain Event Document Association use case to

    determine if other documents need to be published. If yes, the Publish Information use case

    is notified and the publish function begins for the new document.

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    1.Introduction

    1.1Purpose

    The purpose of this document is to present the User Requirements for the State of New Hampshire (NH) Criminal Justice Information System (CJIS), which for the purposes of this document include adult criminals only. This document details the features and functions required by all CJIS users and will be used as input the subsequent physical design. This document is tightly integrated with the logical design and may be refined throughout the logical design tasks. This document will also serve as a reference point for test script development during the construction phase of the project.

     The intended audience for this document is the CJIS user community and the logical design team.

    1.2Background

    The State of New Hampshire has recognized the importance of sharing criminal justice information among a community of authorized users from a variety of justice agencies, government branches, and interested parties-- including law enforcement, the courts, and local and state jail and prison systems, attorneys, and, in some cases, the public. In 1995, the Criminal Justice Information System Master Plan for the State of New Hampshire was developed. This report articulated a vision and approach for achieving the CJIS. Subsequent to that report, additional information related to the CJIS was developed by Justiceworks and is outlined in their Benchmarks and Blueprints report.

    In the fall of 2001, the State of New Hampshire issued a Request for Proposal (RFP) for CJIS Logical Design Services. KPMG Consulting was awarded this competitive bid and the CJIS Logical Design project was initiated late November 2001.

    Compilation of user requirements related to a complex system, such as CJIS, that involves inter-agency information exchange, is a formidable task. To collect the necessary information for the development of these requirements, several steps were taken, including:

    1.The Development of the Master Project Plan—at the outset of the project, a master

    project plan was created that defined all pertinent and relevant tasks associated with the

    project and completion of the logical design. Time estimates and resource requirements

    for each task were included.

    2.The Validation of Project Goals and Objective— this step involved several actions,

    including the creation of the CJIS stakeholder list, the review of the 1995 CJIS Master

    Plan, the review of the Benchmarks and Blueprints Report from JusticeWorks,

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    stakeholder interviews, and initial information technology (IT) interviews. Finally, a Goals and Objectives Summary report was produced.

    3.Exchange Point Model Workshops— A series of stakeholder workshops were held to

    document current and future information flow requirements for CJIS. To accomplish this, the SEARCH Exchange Point Methodology was followed to document all information flows among relevant CJIS users and systems. The CJIS environment was broken down into five (5) functional areas and two (2) workshops were conducted for each functional area. The second workshop for each functional area was held to confirm and update the information collected in the first workshop. Additionally, during the second workshop, participants were asked to provide their ‘wish list’ of CJIS functionality assuming there were no budget, technology, time, or resource constraints. Appendix B contains a summary of information collected for each workshop focal area. Appendix C contains a compilation of user ‘wish list’ requirements as articulated in these workshops. Exhibit 1-1 provides a summary of all workshops and the breakdown by functional area.

    Exhibit 1-1

    CJIS Exchange Point Workshop Schedule

    Functional AreaDescriptionDates Held

    Arrests and IncidentsThis workshop focus includes January 2, 2002

    arrest information from arresting January 10, 2002 (special agencies; information on criminal workshop for Chiefs of Police)incidents and arrests for federal January 14, 2002reporting; arrest and charging

    information to be used by the

    prosecutors; criminal intelligence

    information; and complaint and

    indictment data exchanges.

    This workshop focus includes Bench Warrants and January 2, 2002information on bench warrants and Restraining OrdersJanuary 14, 2002restraining orders from the District and Superior Courts.

    Dispositions and SentencingThis workshop focus includes January 3, 2002

    disposition and sentencing January 15, 2002information from the Courts for

    access by local law enforcement

    agencies, the Department of

    Corrections, county jails, etc.;

    information on sentences and

    appeals to be used by

    prosecutors and public defenders;

    and information on indigent

    offenders and sexual offenders.

    This workshop includes case Prosecution and Case January 3, 2002information from the prosecutors for SchedulingJanuary 15, 2002access by the Courts; case scheduling and case management; and information on court hearings and prisoner transportation to be

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    Functional AreaDescriptionDates Held

    used by law enforcement agencies.

    This workshop includes Pre-Pre-sentence and InvestigationsJanuary 4, 2002Sentence Investigation (PSI) January 16, 2002requests from the Courts; and PSI reports and documentation. This section will also cover data exchanges with probation and parole and field offices.

    The output from the Exchange Point Workshops was compared to the National SEARCH Exchange Point Model to confirm that all documents, events, conditions, senders, and receivers were consistent with results derived from other CJIS environment exchange point analysis.1.3Document Conventions

    1.3.1The UML and Use Cases

    The document incorporates aspects of the Unified Modeling Language (UML) to articulate user requirements. The UML is the de facto standard visual modeling notation for the analysis and design of software systems. UML enables business analysts, software architects, and designers to speak the same language and communicate effectively ensuring that the software systems really meet business needs. UML will be used not only to logically and visually separate and categorize requirements, but also to prioritize these requirements based on complexity (i.e. reduce risk by understanding the most complex issues first) and/or importance (e.g. increase user acceptance by initially providing highest value). The prioritization process will enable CJIS to sequence design and development efforts with the goal of frequently soliciting real feedback from actual end users, and to design a system that meets the real business needs.

    A key component of the UML is the use case. A use case defines an interaction between a user (actor) and a computer system. A use case model incorporates all the use cases required to define the entire system and is represented within use case diagrams. The most important role of a use case model is one of communication. Use cases provide a valuable way of exchanging user requirement information among stakeholders, business analysts, and system designers. Exhibit 1-2 provides a summary of the main elements in a use case diagram.

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    Exhibit 1-2

    Use Case Elements

    Use Case ElementElement TypeFunctions

    ActorRepresents anything that interacts

    with the system.

    Actors are not part of the system

    under development.

    Actors can be human, machines,

    or other systems.

    -CJIS Community

    -Attorney

    -SPOTS System

    System Interaction or Use A sequence of transactions Caseperformed by the system that

    yields a measurable resultPublish Information- Includes steps performed by

    actors.

    Models a dialogue between actors

    and the system.

    A complete and meaningful flow of

    events with a discrete goal.

    Represents the functionality

    provided by the system.

    The collection of all use cases

    constitutes all the ways the system

    can be used.

    Exhibit 1-3 illustrates specific notations used to define associations within a use case diagram.

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    Exhibit 1-3

    Use Case Diagram Association Notations

    Uni-directional use

    case relationship

    Actor

    Bi-directional

    use case<>

    relationship.Use Case

    Uses use case

    relationship.

    Use CaseUse Case

    Unidirectional Association - Association that shows the initiator of the communication.Bi-directional Association - Association that shows a 2 way communication.Uses - Depicts the relationship between use cases when one use case uses another use case. 1.3.2The Exchange Point Model

    This document applies the Exchange Point Model, as defined by SEARCH- The National Consortium for Justice Information and Statistics, to document many aspects of information exchange within CJIS. The Exchange Point Model has at least five principal dimensions associated with information flow:

    1.The Event that triggers the information exchange, for example, arrest, issuance of a

    warrant, sentencing, correctional discharge.

    2.The Sender involved in the information exchange, for example, local police department,

    the courts.

    3.The Receiver involved in the information exchange, for example, the Department of

    Safety, the Department of Corrections (DOC), law enforcement.

    4.The Document (information) that is actually exchanged between the sender and the

    receiver.

    5.The Exchange Conditions which are factors that determine when the exchange can

    occur, such as whether the case is a felony or misdemeanor or whether the defendant is in

    custody or has been released.

    1.4Referenced Documents

    Documents which were referenced to develop this report, include:

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