Law Enforcement Records Management Systems (RMS)


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Bureau of Justice Assistance
Office of Justice Programs  U.S. Department of Justice

NIJ

National Institute of Justice
The Research, Development, and Evaluation Agency of the U.S. Department of Justice

Standard Functional Specifications for
Law Enforcement Records Management Systems (RMS)

Developed by the
Law Enforcement Information Technology Standards Council (LEITSC)

Standard Functional Specifications for
Law Enforcement Records Management Systems (RMS)

Developed by the Law Enforcement Information Technology Standards Council (LEITSC)

Standard Functional Specifications for Law Enforcement Records Management Systems (RMS)



This document was prepared with the guidance, leadership, and funding of the Bureau of Justice Assistance, Office of Justice Programs, U.S. Department of Justice, in collaboration with the Law Enforcement Information Technology Standards Council. This project was supported by Grant No. 2003-MU-BX-0068, awarded by the Bureau of Justice Assistance.

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Standard Functional Specifications for Law Enforcement Records Management Systems (RMS)

Acknowledgements

LEITSC Governance
Larry Boyd, Chairman Chief of Police Irving (TX) Police Department Police Executive Research Forum (PERF)
Joe Akers LEITSC Staff Liaison National Organization of Black Law Enforcement
Executives (NOBLE)
Terry Chowanec LEITSC Staff Liaison PERF
Ted Kamatchus, Vice Chair Sheriff Marshall County (IA) Sheriff’s Office National Sheriffs’ Association (NSA)
Mark Marshall Chief of Police Smithfield (VA) Police Department International Association of Chiefs of Police (IACP)
Morris Roberson U.S. Postal Service (Retired) NOBLE
Heather Ruzbasan LEITSC Project Manager
G. Matthew Snyder LEITSC Staff Liaison IACP
Fred Wilson LEITSC Staff Liaison NSA

LEITSC Functional Standards Committee
Joe Cassa Bureau Commander Wheat Ridge (CO) Police Department
Mitchell Ray Davis, III Chief of Police Dixmoor (IL) Police Department
Debbie Fox Information Technology Administrator Louisville (KY) Metro Police Department
Michael Haslip Chief of Police City of Blaine (WA) Police Department
Linda Hill Consultant IJIS Institute
J. B. Hopkins Division Commander/Jail Administrator Story County (IA) Sheriff’s Office
Dina Jones CAD Manager Story County (IA) Sheriff’s Office
Bruce Kelling Bask Enterprises, LLC Managing Principal
Daniel Murray IT Management Section Commander Arlington County (VA) Police Department

Standard Functional Specifications for Law Enforcement Records Management Systems (RMS)

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Beverly Muse Technology Manager City of Chattanooga (TN)
Morris Roberson Postal Inspector (Retired) U.S. Postal Service
Jim Slater Chief Information Officer Massachusetts Executive Office of Public Safety
Mark Steigemeier Vice President Motorola
Darrell True IT Administrator Wrentham (MA) Police Department
Gary Vest Chief of Police Powell (OH) Police Department
Paul Wormeli Executive Director IJIS Institute
Advisors and Other Program Contacts
William Cade, Jr. Director, 911 Services and Communications Operations
Center Association of Public Safety Communications Officials
Joe Estey Chief of Police Hartford (VT) Police Department Former LEITSC Governance Member IACP
Joe Heaps Communications Technology Portfolio Manager National Institute of Justice Office of Justice Programs U.S. Department of Justice
Dustin Koonce Policy Advisor Bureau of Justice Assistance Office of Justice Programs U.S. Department of Justice

J. Patrick McCreary Associate Deputy Director Bureau of Justice Assistance Office of Justice Programs U.S. Department of Justice
Harlin McEwen Chief of Police (Retired) Ithaca (NY) Police Department
David Mulholland Lieutenant U.S. Park Police IACP
Jennifer Zeunik Former LEITSC Project Manager (2002–2005) IACP
Project Manager
Heather Ruzbasan LEITSC International Association of Chiefs of Police 515 North Washington Street Alexandria, VA 22314 (703) 836-6767, ext. 275 [email protected] www.leitsc.org
Special Thanks to Our Partners
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This document is the result of an extraordinary collaboration between many justice practitioners and industry experts. Thank you all for your commitment, time, energy, and patience.

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Standard Functional Specifications for Law Enforcement Records Management Systems (RMS)

Table of Contents

Acknowledgements............................................................................................................................................................ iii
Table of Contents................................................................................................................................................................. v
Executive Summary: Records Management System....................................................................................................... ix
Business Function: General Requirements..................................................................................................................... 1
Business Function: Master Indices................................................................................................................................... 3 2.1 Use Case Diagram........................................................................................................................................................... 3 2.2 Use Case: Master Name Index........................................................................................................................................ 3 2.3 Use Case: Master Vehicle Index...................................................................................................................................... 5 2.4 Use Case: Master Property Index.................................................................................................................................... 5 2.5 Use Case: Master Location Index.................................................................................................................................... 5 2.6 Use Case: Master Organization Index............................................................................................................................. 5
Business Function: Calls for Service................................................................................................................................ 7 3.1 Use Case Diagram........................................................................................................................................................... 8 3.2 Use Case: Transfer CFS Data to RMS............................................................................................................................ 8
Business Function: Incident Reporting............................................................................................................................ 9 4.1 Use Case Diagram........................................................................................................................................................... 9 4.2 Use Case: Prepare Initial Incident Report........................................................................................................................ 9 4.3 Use Case: Create Supplemental Report........................................................................................................................ 10 4.4 Use Case: Report Review.............................................................................................................................................. 11
Business Function: Investigative Case Management................................................................................................... 13 5.1 Use Case Diagram......................................................................................................................................................... 13 5.2 Use Case: Assign Investigator....................................................................................................................................... 13 5.3 Use Case: Case Monitoring........................................................................................................................................... 14 5.4 Use Case: Conduct Investigation................................................................................................................................... 14 5.5 Use Case: Charging....................................................................................................................................................... 14 5.6 Use Case: Case Disposition.......................................................................................................................................... 15
Business Function: Property and Evidence Management............................................................................................ 17 6.1 Use Case Diagram......................................................................................................................................................... 18 6.2 Use Case: Collect Property and Evidence..................................................................................................................... 18 6.3 Use Case: Vehicle Impound........................................................................................................................................... 18 6.4 Use Case: Property and Evidence Storage................................................................................................................... 19 6.5 Use Case: Property and Evidence Disposition.............................................................................................................. 19

Standard Functional Specifications for Law Enforcement Records Management Systems (RMS)



Business Function: Warrant............................................................................................................................................ 21 7.1 Use Case Diagram......................................................................................................................................................... 21 7.2 Use Case: Receive and Process Warrant...................................................................................................................... 21 7.3 Use Case: Verify Warrant............................................................................................................................................... 21 7.4 Use Case: Warrant Service............................................................................................................................................ 22 7.5 Use Case: Cancel Warrant............................................................................................................................................ 22
Business Function: Arrest............................................................................................................................................... 23 8.1 Use Case Diagram......................................................................................................................................................... 23 8.2 Use Case: Arrest Subject............................................................................................................................................... 23 8.3 Use Case: Arrest Warrant Service................................................................................................................................. 24 8.4 Use Case: DUI Arrest..................................................................................................................................................... 24
Business Function: Booking........................................................................................................................................... 25 9.1 Use Case Diagram......................................................................................................................................................... 25 9.2 Use Case: Process Subject........................................................................................................................................... 25 9.3 Use Case: Verify Subject............................................................................................................................................... 26 9.4 Use Case: Release........................................................................................................................................................ 26
Business Function: Juvenile Contact............................................................................................................................. 27 10.1 Use Case Diagram....................................................................................................................................................... 27 10.2 Use Case: Juvenile Contact......................................................................................................................................... 27 10.3 Use Case: Juvenile Detention...................................................................................................................................... 28 10.4 Use Case: Juvenile Referral........................................................................................................................................ 28
Business Function: Traffic Accident Reporting............................................................................................................. 29 11.1 Use Case Diagram....................................................................................................................................................... 29 11.2 Use Case: Accident Reporting..................................................................................................................................... 29
Business Function: Citation............................................................................................................................................ 31 12.1 Use Case Diagram....................................................................................................................................................... 31 12.2 Use Case: Issue Citation.............................................................................................................................................. 31
Business Function: Field Contact................................................................................................................................... 33 13.1 Use Case Diagram....................................................................................................................................................... 33 13.2 Use Case: Document Field Contact............................................................................................................................. 33
Business Function: Pawn................................................................................................................................................ 35 14.1 Use Case Diagram....................................................................................................................................................... 35 14.2 Use Case: Receive and Process Pawn Data............................................................................................................... 35 14.3 Use Case: Seize Pawn Property.................................................................................................................................. 35 14.4 Use Case: Analysis of Pawn Data................................................................................................................................ 36 14.5 Use Case: Regional and State Pawn Reporting.......................................................................................................... 36
Business Function: Civil Process................................................................................................................................... 37 15.1 Use Case Diagram....................................................................................................................................................... 37 15.2 Use Case: Serve Orders.............................................................................................................................................. 37 15.3 Use Case: Seized Property.......................................................................................................................................... 37 15.4 Use Case: Billing.......................................................................................................................................................... 38
Business Function: Protection Orders and Restraints................................................................................................. 39 16.1 Use Case Diagram....................................................................................................................................................... 39 16.2 Use Case: Protection Order and Restraint Recording................................................................................................. 39
Business Function: Permits and Licenses..................................................................................................................... 41 17.1 Use Case Diagram....................................................................................................................................................... 41 17.2 Use Case: Application Processing............................................................................................................................... 41 17.3 Use Case: Collection.................................................................................................................................................... 41 17.4 Use Case: Background Investigation........................................................................................................................... 41 17.5 Use Case: Suspension-Revocation............................................................................................................................. 42

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Standard Functional Specifications for Law Enforcement Records Management Systems (RMS)

Business Function: Equipment and Asset Management.............................................................................................. 43 18.1 Use Case Diagram....................................................................................................................................................... 43 18.2 Use Case: Equipment Receipt..................................................................................................................................... 43 18.3 Use Case: Equipment Issuance................................................................................................................................... 43 18.4 Use Case: Equipment Checkout.................................................................................................................................. 43 18.5 Use Case: Equipment Check-In................................................................................................................................... 44 18.6 Use Case: Physical Inventory/Audit............................................................................................................................. 44 18.7 Use Case: Equipment Maintenance............................................................................................................................. 44 18.8 Use Case: Equipment Disposal................................................................................................................................... 44
Business Function: Fleet Management.......................................................................................................................... 45 19.1 Use Case Diagram ...................................................................................................................................................... 45 19.2 Use Case: Fleet Receipt.............................................................................................................................................. 45 19.3 Use Case: Fleet Issuance............................................................................................................................................ 45 19.4 Use Case: Fuel Log..................................................................................................................................................... 45 19.5 Use Case: Fleet Maintenance...................................................................................................................................... 46 19.6 Use Case: Damage Reporting..................................................................................................................................... 46 19.7 Use Case: Fleet Disposal............................................................................................................................................. 46
Business Function: Personnel........................................................................................................................................ 47 20.1 Use Case Diagram....................................................................................................................................................... 47 20.2 Use Case: Operational Management........................................................................................................................... 47 20.3 Use Case: Personnel Information................................................................................................................................ 47 20.4 Use Case: Scheduling and Assignment....................................................................................................................... 48 20.5 Use Case: Exceptions.................................................................................................................................................. 48 20.6 Use Case: Duty Roster................................................................................................................................................ 48 20.7 Use Case: Training and Certification............................................................................................................................ 48
Business Function: Internal Affairs................................................................................................................................ 51 21.1 Use Case Diagram....................................................................................................................................................... 51 21.2 Use Case: Conduct IA Investigation............................................................................................................................. 51
Business Function: Analytical Support (Crime Analysis)............................................................................................. 53 22.1 Use Case Diagram....................................................................................................................................................... 54 22.2 Use Case: Tactical Analysis......................................................................................................................................... 54 22.3 Use Case: Strategic Analysis....................................................................................................................................... 54 22.4 Use Case: Forecasting Analysis.................................................................................................................................. 54 22.5 Use Case: Administrative Analysis............................................................................................................................... 54
Business Function: RMS Reports................................................................................................................................... 57 23.1 Use Case Diagram....................................................................................................................................................... 57 23.2 Use Case: Aggregate Reporting.................................................................................................................................. 57 23.3 Use Case: Standardized Reporting.............................................................................................................................. 57 23.4 Use Case: Ad Hoc Reporting....................................................................................................................................... 57
Business Function: RMS System Administration.......................................................................................................... 59 24.1 Use Case Diagram ...................................................................................................................................................... 59 24.2 Use Case: Security...................................................................................................................................................... 59 24.3 Use Case: RMS Table Maintenance............................................................................................................................ 59 24.4 Use Case: Data Management...................................................................................................................................... 60 24.5 Use Case: Geofile Maintenance.................................................................................................................................. 61 24.6 Use Case: RMS Configuration..................................................................................................................................... 61
Business Function: RMS Interfaces................................................................................................................................ 63 25.1 Use Case Diagram ...................................................................................................................................................... 63 25.2 Use Case: CAD Interfaces........................................................................................................................................... 63 25.3 Use Case: Local/Regional Interfaces........................................................................................................................... 63 25.4 Use Case: State/Federal Interfaces............................................................................................................................. 63
Conclusion.......................................................................................................................................................................... 65

Standard Functional Specifications for Law Enforcement Records Management Systems (RMS)

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Executive Summary:
Records Management System

History
The Law Enforcement Information Technology Standards Council (LEITSC) was created in 2002 with funding (Grant Number 2002-LD-BX-0002) from the U.S. Department of Justice, Bureau of Justice Assistance, and continued in 2003 with funding (Grant Number 2003-MU-BX-0068) through a collaborative effort between the Bureau of Justice Assistance and the National Institute of Justice. LEITSC is currently funded under the Bureau of Justice Assistance (Grant Number 2003-MU-BX-0068) and continues to work in cooperation with the National Institute of Justice. LEITSC brings together representatives from the International Association of Chiefs of Police (IACP), National Sheriffs’ Association (NSA), National Organization of Black Law Enforcement Executives (NOBLE), and Police Executive Research Forum (PERF) to address law enforcement information technology standards issues.
The mission of the group is to foster the growth of strategic planning and implementation of integrated justice systems through the development and implementation of information technology standards. With guidance and leadership from BJA, LEITSC involves law enforcement partners to speak with a clear and consistent voice in shaping the course of crucial developments in information sharing.
The national initiatives include the Law Enforcement Information Sharing Program (LEISP), Law Enforcement National Data Exchange (N-DEx), and Law Enforcement Regional Data Exchange (R-DEx).
As law enforcement agencies move toward the procurement of computer aided dispatch (CAD) and law enforcement Records Management Systems (RMS), it is vital to recognize and consider the Law Enforcement Information Sharing Program (LEISP) developed by the U.S. Department of Justice (DOJ). The LEISP is designed

to promote information sharing among all levels of the law enforcement community and to guide the investment of resources in information systems that will further this goal. The goals of LEISP are supported through the proliferation of the Global Justice Information Sharing Initiative (Global) Extensible Markup Language (XML) Data Model (Global JXDM). For additional information on the Global JXDM, visit www.it.ojp.gov. The Global JXDM is an XML standard designed specifically for justice information exchanges. It provides law enforcement, public safety agencies, prosecutors, public defenders, and the judicial branch with a tool to effectively share data and information in a timely manner. There are several ongoing DOJ initiatives incorporated into the LEISP.
One program currently being developed jointly between the Federal Bureau of Investigation (FBI) and state and local law enforcement is the Law Enforcement National Data Exchange (N-DEx) System. A second program—the Law Enforcement Regional Data Exchange (R-DEx) System—has been developed and implemented by the FBI. Both programs are new law enforcement information sharing systems based upon the above critical standards.
 The N-DEx Program is an incident- and case-based information sharing system (e.g., RMS) for local, state, tribal, and federal law enforcement agencies that securely collects and processes crime data in support of the investigative and analytical process and will provide law enforcement agencies with strategic and tactical capabilities that do not currently exist on a national scale. An N-DEx concept of operations (ConOps) document is being finalized to aid in the design of the N-DEx system and to ensure that stakeholders understand and share the N-DEx vision.
 The R-DEx Project seeks to securely share sensitive but unclassified crime information between federal agencies, while allowing for connection with several existing regionally based local and state information sharing systems to impede criminal and terrorist activities. R-DEx is now operational in several metropolitan areas.

Standard Functional Specifications for Law Enforcement Records Management Systems (RMS)

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Purpose
In 2003, LEITSC identified the need for a national standard for Records Management Systems (RMS) functional specifications with the following goals:
 Provide a starting point for law enforcement agencies to use when developing RMS requests for proposals (RFP).
 Streamline the process and lower the cost of implementing and maintaining an RMS.
 Promote information sharing.
With these goals in mind, the LEITSC Functional Standards Committee, composed of law enforcement practitioners and industry experts from around the country, was appointed to develop the Standard Functional Specifications for Law Enforcement Records Management Systems. The baseline document was developed from common elements found in the RFPs, technical documentation, and other RMS-related research. The document was then validated by the LEITSC Functional Standards Committee using a computerized modeling tool. Once developed and validated, the specifications were vetted through the law enforcement community via each of the participating associations, as well as through other stakeholder communities, in an effort to gain input from a number of different perspectives.
Document Scope
This document presents standard functional specifications for law enforcement RMS. The specifications found in this document are intended to be generic in nature rather than favoring one particular system or approach over another. They are at the functional level in that they define what is to be accomplished versus how it should be accomplished. These specifications were developed to depict the minimal amount of functionality that a new law enforcement RMS should contain. They are not intended simply to be substituted for an RFP but should be tailored to fit the specific needs of each agency or group of agencies looking to purchase or upgrade an RMS. These specifications should be used as a starting point to build a fully functional RMS, based on agency needs and open standards, to efficiently interface and share information with other systems both internally and externally.
It is expected that the process of defining detailed information exchanges in RMS will be addressed in future phases of this project. In addition, these specifications are intended to be used in conjunction with technical standards such as the U.S. Department of Justice’s (DOJ) Global Justice Extensible Markup Language (XML) Data Model (Global JXDM) to streamline the process of sharing information.

It is intended that these standards will be updated and augmented on a regular basis.
Introduction
RMS is an agency-wide system that provides for the storage, retrieval, retention, manipulation, archiving, and viewing of information, records, documents, or files pertaining to law enforcement operations.
RMS covers the entire life span of records development— from the initial generation to its completion. An effective RMS allows single entry of data, while supporting multiple reporting mechanisms.
For the purposes of this document, RMS is limited to records directly related to law enforcement operations. Such records include incident and accident reports, arrests, citations, warrants, case management, field contacts, and other operations-oriented records. RMS does not address the general business functions of a law enforcement agency, such as budget, finance, payroll, purchasing, and human resources functions. However, because of operational needs, such as the maintenance of a duty roster, law enforcement personnel records and vehicle fleet maintenance records are included within an RMS.
This document addresses the following business functions:
 Calls for service  Incident reporting  Investigative case management  Traffic accident reporting  Citations  Field contact  Pawns  Civil process  Orders and restraints  Permits and licenses  Equipment and asset management  Fleet management  Personnel  Internal affairs  Analytical support (crime analysis)
In addition, the following support functions are addressed:
 Master indices  Interfaces  RMS administration  RMS reports (general)



Standard Functional Specifications for Law Enforcement Records Management Systems (RMS)

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Law Enforcement Records Management Systems (RMS)