Law Enforcement Records
Management Systems
(RMS)
Standard Functional Specifications for
Developed by the
Law Enforcement Information Technology
Standards Council (LEITSC)
Bureau of Justice Assistance
Office of Justice Programs U.S. Department of Justice
National Institute of Justice
The Research, Development, and Evaluation Agency of the U.S. Department of Justice
NI
J
StandardFunctionalSpecicationsforLawEnforcementRecordsManagementSystems(RMS) i
Developed by the
Law Enforcement Information
Technology Standards Council
(LEITSC)
Standard Functional Specifications for
Law Enforcement Records
Management Systems
(RMS)
ii Standard Functional Specications for Law Enforcement Records Management Systems (RMS)
This document was prepared with the guidance, leadership, and funding of the Bureau of Justice Assistance, Ofce 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.
StandardFunctionalSpecicationsforLawEnforcementRecordsManagementSystems(RMS) iii
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Ofce
NationalSheriffs’Association(NSA)
Mark Marshall
ChiefofPolice
Smitheld(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Ofce
Dina Jones
CADManager
StoryCounty(IA)Sheriff’sOfce
Bruce Kelling
BaskEnterprises,LLC
ManagingPrincipal
Daniel Murray
ITManagementSectionCommander
ArlingtonCounty(VA)PoliceDepartment
Acknowledgements
iv StandardFunctionalSpecicationsforLawEnforcementRecordsManagementSystems(RMS)
Beverly Muse
TechnologyManager
CityofChattanooga(TN)
Morris Roberson
PostalInspector(Retired)
U.S.PostalService
Jim Slater
ChiefInformationOfcer
MassachusettsExecutiveOfce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Ofcials
Joe Estey
ChiefofPolice
Hartford(VT)PoliceDepartment
FormerLEITSCGovernanceMember
IACP
Joe Heaps
CommunicationsTechnologyPortfolioManager
NationalInstituteofJustice
OfceofJusticePrograms
U.S.DepartmentofJustice
Dustin Koonce
PolicyAdvisor
BureauofJusticeAssistance
OfceofJusticePrograms
U.S.DepartmentofJustice
J. Patrick McCreary
AssociateDeputyDirector
BureauofJusticeAssistance
Ofce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
www.ijis.org
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.
IJIS Institute
StandardFunctionalSpecicationsforLawEnforcementRecordsManagementSystems(RMS) v
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
vi StandardFunctionalSpecications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: Trafc 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
StandardFunctionalSpecicationsforLawEnforcementRecordsManagementSystems(RMS) vii
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Certication ........................................................................................................................... 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:GeoleMaintenance .................................................................................................................................. 61
24.6UseCase:RMSConguration .................................................................................................................................... 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SpecicationsforLawEnforcementRecordsManagementSystems(RMS) ix
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specically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)
1
System.Asecondprogram—the
LawEnforcementRegionalDataExchange(R-DEx)
2
System—hasbeendevelopedandimplementedbythe
FBI.Bothprogramsarenewlawenforcementinformation
sharingsystemsbasedupontheabovecriticalstandards.
1 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nalizedtoaidinthedesignoftheN-DEx
systemandtoensurethatstakeholdersunderstandandsharetheN-DEx
vision.
2 TheR-DExProjectseekstosecurelysharesensitivebut
unclassied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.
Executive Summary:
Records Management System
x StandardFunctionalSpecicationsforLawEnforcementRecordsManagementSystems(RMS)
Purpose
In2003,LEITSCidentiedtheneedforanationalstandard
forRecordsManagementSystems(RMS)functional
specications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
Specications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specications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specications
forlawenforcementRMS.Thespecications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
denewhatistobeaccomplishedversushowitshould
beaccomplished.Thesespecications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tthespecicneedsofeachagencyorgroupof
agencieslookingtopurchaseorupgradeanRMS.These
specicationsshouldbeusedasastartingpointtobuild
afullyfunctionalRMS,basedonagencyneedsandopen
standards,toefcientlyinterfaceandshareinformation
withothersystemsbothinternallyandexternally.
Itisexpectedthattheprocessofdeningdetailed
informationexchangesinRMSwillbeaddressedinfuture
phasesofthisproject.Inaddition,thesespecications
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les
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,eld
contacts,andotheroperations-orientedrecords.RMS
doesnotaddressthegeneralbusinessfunctionsofalaw
enforcementagency,suchasbudget,nance,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eetmaintenancerecordsareincludedwithinan
RMS.
Thisdocumentaddressesthefollowingbusinessfunctions:
Callsforservice
Incidentreporting
Investigativecasemanagement
Trafc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SpecicationsforLawEnforcementRecordsManagementSystems(RMS) 1
1
Business Function:
General Requirements
ThefollowingaregeneralrequirementsofRMS:
Singleentry(i.e.,noduplicatedataentry)
RMSshouldautomaticallysubmitdatatoexternal
sourcesasdenedbytheagency
Maximumuseofcodetables
Abilitytoenterandquerynarrative(s)/textelds
Spellcheckandformattingcapabilityonnarrative(s)/
textelds
AbilitytoaccessmultiplesystemsfromasingleRMS
workstation
Singledatabase(i.e.,virtualorphysical)
Validationondataentry(i.e.,logicaledits,editchecks
forallelds)
Somefunctionalspecicationsneedtobeaddressedat
theagencylevel,suchastheidenticationofspecic
externalagencyinterfaces.Theseuniquefunctionsare
addressedwithineachapplicablebusinessfunction.Forall
exchangesgeneratedbyRMS,conformancewithDOJ’s
GlobalJXDMisrequired.
Internal and External Databases:
Anagency’sRMSshouldprovidethecapabilitiesfor
userstogenerateinquiriestointernalandexternaldata
sources—suchasstateDepartmentofMotorVehicles
andcriminalhistoryles,aswellastheNationalCrime
InformationCenter(NCIC)—fromwithineachmodule
3
wheresuchinquiriesmakesense.
3 AmoduleisanindependentportionofanRMSsoftwareapplication
whichprovidesspecicfunctionality,e.g.,ArrestandBooking.Each
moduleperformsthoseproceduresrelatedtoaspecicprocesswithina
softwarepackage.Modulesarenormallyseparatelycompiledandlinked
togethertobuildasoftwaresystem.Singlemoduleswithintheapplication
cannormallybemodiedwithoutrequiringchangetoothermodules,
solongasrequisiteinputsandoutputsofthemodiedmoduleare
maintained.
Inaddition,RMSshouldprovidetheuserwiththeabilityto
reuseand/orimportdatareturnedfromexternalsourcesto
eliminateredundantdataentry.
RMSalsoshouldprovidethecapabilitytoelectronically
forwardRMSdatatoexternaldatasources,either
automaticallyorupontheuser’srequest(i.e.,basedon
agencyrulesembeddedwithinRMS).
Theabovecapabilitiesshouldbebasedonexistingand
emergingcriminaljusticestandards,includingDOJ’s
GlobalJXDM;theNationalInformationExchange
Model(NIEM);andtheNationalInstituteofScienceand
Technology(NIST),includingtheElectronicFingerprint
TransmissionSpecication(EFTS)andFacialRecognition
Collectionstandards.
StandardFunctionalSpecicationsforLawEnforcementRecordsManagementSystems(RMS) 3
Anagency’sRMSshouldhavebasicmasterindices
thatcorrelateandaggregateinformationinthefollowing
areas:people,locations,property,conveyances(e.g.,
vehicles),andorganizations(includingbusinessesand
gangs).Masterindiceseliminateredundantdataentryby
allowingthereuseofpreviouslystoredinformationandthe
automaticupdateofthemasterindicesupontheentryof
reportinformation.
Masterindicesinformationcanbecapturedinavariety
ofways,includingduringtheinputofinformationfrom
incident,trafcaccident,andvehiclereportsandcitation,
booking,arrest,juvenile,ngerprint,andmugshot
subsystems.Priortoacceptinganentry,RMSshould
automaticallygivetheusertheoptionofdetermining
whetherthereisamatchbasedonexistingdata.
Thesystemshouldsupportthevalidationandlinkingof
addresses,commonplacenames,andstreetintersections.
Linkagesamonganyinformationcontainedinthemaster
indices(e.g.,peopletoplacesorpersontoperson)must
beincludedinRMS.
Standard Outputs, External Data Exchanges, and
Internal Data Exchanges
Standard Outputs:
Queryandretrievalbyname,vehicle,location,
organization,and/orpropertytoproducea
comprehensiveresponsedisplayingallrelatedrecords
inthesystem
Standard External Data Exchange:
Themasterindicesserveasaninternalorexternal
portalforinformationsharing
Mobilecomputingsystem
Statedatabases
NCIC
Standard Internal Data Exchange:
ExistingRMSdata
2.1 Use Case Diagram
4
(seepage4)
2.2 Use Case: Master Name Index
TheRMSMasterNameIndex(MNI)functionlinksan
individualmasternamerecordtoeveryevent(e.g.,
incidentreport,arrestreport,eldinterview,accident
report,andlicenseandpermits)inwhichtheindividual
wasinvolvedorassociated.Everypersonidentiedwithin
theseeventsisgivenamasternamerecord.Shouldthat
personbecomeinvolvedinanotherevent,thesingle
masternamerecordislinkedtoalloftheothereventsso
thatbyqueryingthatonename,thesystemcanproducea
synopsisofalltheinvolvementsassociatedwiththatone
person.Italsofacilitatesthelinkingofadditionalnamesto
anindividualmasternamerecord(i.e.,aliasinformation
andrelationshipdata).InqueryinganindividualMNI
record,theuseralsowouldbeabletoviewallrelated
records,aswellasthoseassociatedwiththatindividual.
WhenarecordorreportisaddedtoRMSandapersonis
linked(i.e.,indexed)tothatevent,thesystemshould
4 URLIntegrationcollaboratedwithLEITSCtoassistin
thedevelopmentofthefunctionalstandards.URLIntegration
usedanalternativemethodtorequirementsanalysiswiththeir
RequirementsModelersoftware.RequirementsModelerisbasedon
UniformModelingLanguage(UML),whichisthedefactostandard
fordocumentingfunctionalrequirements.UMLwascreatedbythe
ObjectManagementGroup(OMG)in1997asastandardforvisual
object-orientedmodeling.RequirementsModeler,consistentwithUML
principles,automaticallygeneratesdiagramsandprocessow(Use
CaseandActivitydiagrams).URLIntegration’sUseCaseandActivity
diagramswerereproducedforuseinthisreport.
Master Indices
2
Business Function:
4 StandardFunctionalSpecicationsforLawEnforcementRecordsManagementSystems(RMS)
performaveryimportantmatchingfunctionusingarule-
basedprocessdenedbytheagency.Thepurposeof
thismatchingfunctionistoeitherautomaticallylinkan
existingMNIrecordortopresenttheuserwithalistof
possiblematchestothenamesothattheusercanmake
thematchingdecision.RMSshouldprovideamatching
algorithmthatwillprovidetheabilitytosearchthename
lebyavarietyofcriteria,suchassound-alikesearching;
phoneticreplacement;diminutiverstnames(e.g.,James/
Jim/Jimmy,Elizabeth/Beth/Betty,andJack/John);and
otherstaticdemographicinformation,suchasage,sex,
and race.
Oncealistofpossiblematchesisprovided,theusercan
decidewhethertheinformationshouldbelinkedtoan
existingmasternamerecordorwhetheranewmaster
nameentryshouldbeadded.Thisstepisveryimportant
inmaintainingthequalityandintegrityofthemastername
leinthesystem.Inadditiontonames,theMNIshould,at
aminimum,captureandmaintaininformationon:
Physicalcharacteristics(e.g.,currentandpast
descriptors)
Raceandethnicity
Locationhistory(e.g.,currentandpastresidences)
Employerinformation
Telephonenumbers
Knownassociates
Aliasnames/monikers
Availablemugshot(s)andphotographs
Scars,marks,andtattoos
Modusoperandi(i.e.,uniquemethodofoperationfora
specictypeofcrime)
Identication(e.g.,socialsecurity,driver’slicense,and
localandcountyidentication)
NCICngerprintclassication
Overtime,anddependingonthecircumstances,this
informationmaychange,andnewinformationwillbemade
available.Additionalinformationcanbeadded,butolder
informationshouldbemaintainedandviewable.
TheRMSMNIshouldalsoprovidemaintenancefunctions
thatwillpermitarecordorreporttobeunlinkedfromone
MNIandrelinkedtoanother.Sinceitisnotalwayspossible
toensurethatthecorrectMNIrecordislinkedtoanevent
record,itmustbepossibletocorrectit.Functionsalso
shouldbeprovidedthatwillallowtwoormoreMNIrecords
tobemergedintoonerecord.
Figure 2.1
Use Case
Diagram—
Master
Indices
Master
Name Index
Master
Vehicle Index
Master
Property Index
Master
Location Index
Master
Organization
Index
System
StandardFunctionalSpecicationsforLawEnforcementRecordsManagementSystems(RMS) 5
2.3 Use Case: Master Vehicle Index
Likeindividuals,vehiclesoftenaredirectlyorindirectly
involvedinevents.Whenavehicleislinkedtoanincident
inRMS,itshouldbeaddedtothevehiclerecordinthe
MasterVehicleIndex(MVI),whichprovidesanagencywith
adetailed,searchablestoreofinformationaboutvehicles.
RMSshouldprovidethecapabilitytosearchon:
VehicleIdenticationNumber(VIN)
Licenseplatenumber
Licenseplatestate
Licenseplateyear
Registeredowner
Description(e.g..make,model,year,color,style,and
attributes)
Whenaninquiryismadeonavehicle,thesystemshould
returnalistofalleventsinwhichthevehiclewasinvolved.
Inaddition,RMSmayrequireMVItohaveexternal
interfaces.
2.4 Use Case: Master Property Index
TheMasterPropertyIndex(MPI)isthecentralaccess
pointthatlinksallpropertyrecordsenteredintoRMS.
Eachrecordiscataloguedbyusinguniqueproperty
characteristics,suchasmake,model,brand,description,
distinguishingcharacteristics,andserialnumber.Industry
propertycodingstandards,suchasNCICpropertycodes,
shouldbeusedduringtheentryofpropertyrecordsinto
RMS.
Inaddition,anypropertyrecordsenteredthroughoutRMS
shouldautomaticallycross-referenceMPItondpotential
matchesbasedontheuniquepropertycharacteristics
outlinedabove.
2.5 Use Case: Master Location Index
TheMasterLocationIndex(MLI)providesameansto
aggregateinformationthroughoutRMSbasedonaspecic
address,arangeofaddresses,anarea(i.e.,asdened
intheagencygeole),and/orlocationsbasedonX/Y/Z
coordinates.Ageoleisthelocationinformationbase
leforemergency911computeraideddispatch(CAD)
systems.Italsoprovidesafacilitytostoreinformation
aboutaspeciclocationthatmaynotbestoredelsewhere
inRMS.MLIshouldstoreorprovideaccesstoadditional
premiseinformation,suchasoccupancy,elevation(e.g.,
oor),andpremisetype(e.g.,residenceversusbusiness).
Anassumptionismadethatalllocationinformation
beingprocessedinRMSissubjecttostringentformatting
rules.Inaddition,iftheaddressiswithintheboundaries
oftheagencygeole,theactuallocationisvalidated.
Typically,duringthegeovalidationprocess,key
identicationinformation,suchasX/Y/Zcoordinatesand
agency-denedreportingareas,isaddedtothelocation
information.
Thegeovalidationprocessshouldallowanaddressto
beaccepted,evenifitdoesnotappearinthegeole.
Unveriedaddressesshouldbeaggedforpossible
review.Optionally,alladdressesoronlyaddresseswithin
thejurisdictionareavailableinMLI.
2.6 Use Case: Master Organization
Index
Manyeventsalsoinvolveanorganization,suchasagang,
business,school,orshoppingcenter.Informationabout
thesegroupsenteredintoRMSshouldbecontainedina
MasterOrganizationIndex(MOI).MOIprovidesanagency
withadetailed,searchablestoreofinformationabout
organizations.Anagencyshouldbeabletosearchona
varietyofdataelementsandobtainalistingofallrecords
associatedwiththatorganization.Organizationsmay
changelocationandname,butthesechangesshouldbe
trackedinRMS.Inaddition,MOIalsoshouldpermitthe
linkingofaliasestoorganizations(e.g.,M&MAssociates,
doingbusinessasJoe’sPawnShop).
StandardFunctionalSpecicationsforLawEnforcementRecordsManagementSystems(RMS) 7
Calls for Service
Allcallsforservice(CFS)arerecordedinastructured
recordsenvironment,providingtheabilitytorunreportson
thesedata,whilealsomaintainingahistoricalrecordonall
calls.Thedataareeithersegmentedoridentiablebythe
agency.
Typically,datainthismodulecannotbemodiedafter
thecallisclosedbecausetheyserveasaformalaudit
trailoftheinformationthatstartedthelawenforcement
activity.IfRMSisnotintegratedwithaCADsystem,this
functionmustbeabletoserveastheinitialpointofdata
entryforaCFS.Thebasiccalldata(e.g.initialcalltime,
unitsdispatched,andcalldisposition)canbeavailable
tofacilitatethecreationofanincidentreport.Thedata
importedintotheincidentreportcanbemodied,whether
ornotthecallhasbeenclosed,toreectthelatest
informationknownregardingtheincident.Basiccalldata
maybetransferredatthetimeanincidentnumberis
assignedorattheinitialclosingofthecall,dependingon
speciedcalltypes.
IntheeventthatCFSdataaretransferredfromCADto
RMS,RMSshouldreceivethecallnumberandassociated
incidentnumberfromtheCADsystem.Ifthecalldoesnot
originatefromaCADsystem,thisCFSmoduleshould
becapableofgeneratingorallowingmanualentryof
asequentialeventnumberandanassociatedincident
numbertolinkCFSandincidentrecords.
IfthedepartmentisdispatchedbyaCADsystem,an
interfacetotheCADsystemwillberequiredtotransferthe
CFSdatatoRMS.TheCADworkload
5
reportsalsoshould
beavailablefromthecallsforservicemodule.
5 Workloadisthemetricormetricswhichaccuratelydescribethe
amountofworkperformedbyorwithinaprocessinaspecicperiod
oftime.Forexample,theCallsforService(CFS)modulecontains
informationaboutthenumberofcallsreceivedandthelengthoftime
neededtoprocessthosecalls.Thedataontimeandnumberofcalls
describesworkload.AworkloadreportinanRMSisacompilation
ofdatathatprovidesauserwithstatisticspertinenttothefunctions
performedbyorrecordedwithinamodule.
Standard Outputs, External Data Exchanges, and
Internal Data Exchanges
Standard Outputs:
Dailylogshowingallcallsreceivedfortheprior24
hoursfrompriorprintingofthedailylog
Activityanalysisbyspeciedgeographicalareaand
timeperiod
CFSsummary,byspeciedgeographicalareaand
timeperiod
Activityanalysisbydayofweek
Activityanalysisbyhourofday
Activityanalysisbydayandhour
Responsetimeanalysisbyspeciedgeographical
areaandtimeperiod(e.g.,receiptofcall,dispatch
time,on-scenetime,andtimecallcleared)
Responsetimeanalysisbycalltype
Timeconsumedbycalltypebyhourofday
Workloadactivitybyresourceassigned
Workloadactivitybygroupassigned
Timeconsumedbydayoftheweekandhourofthe
day
Timeconsumedbyspeciedgeographicalareaandby
timeperiod
Callsthatshouldresultinthecreationofanincident
report
Standard External Data Exchanges:
CAD
Standard Internal Data Exchanges:
MNI
Incidentreporting
3
Business Function:
8 StandardFunctionalSpecicationsforLawEnforcementRecordsManagementSystems(RMS)
3.1 Use Case Diagram
3.2 Use Case: Transfer CFS Data to RMS
ThecalldataaretransferredtoRMSwhenunitsare
initiallydispatchedafteranincidentnumberisassignedor
whenthecallisclosedinCAD.
Figure 3.1
Use Case
Diagram—
Calls for
Service
Transfer CFS
Data to RMS*
initiates receives
CAD
RMS
IfCFSinformationisretransferredfromCAD,themost
currentdatawillreplacetheinformationpreviously
transmitted.
StandardFunctionalSpecicationsforLawEnforcementRecordsManagementSystems(RMS) 9
Incidentreportingisthefunctionofcapturing,processing,
andstoringdetailedinformationonalllawenforcement-
relatedeventshandledbythedepartment,includingboth
criminalandnoncriminalevents.Theincidentreporting
functioncollectssufcientinformationtosatisfythe
NationalIncident-BasedReportingSystem(NIBRS)orthe
UniformCrimeReports(UCR).Incidentsoftenareinitially
documentedasCFSinaCADsystem.TheCFSrecordin
RMSshouldbelinkedtotheincidentandshouldbeeasily
accessiblefromtheincidentreport.
Certaintypesofincidentreportsmustbeavailableto
thepublic.Witnessinformation,aswellasthenamesof
juvenileswhoaresubjectsorvictims,mayneedtobe
redactedforpublicconsumption.RMSmustbeableto
recognizetheageofthemajorityinthejurisdictionbythe
date-of-birthinformationenteredintothesystemthatis
availabletothepublic.Thesystemshouldsupportthe
redactionpriortoprintingapubliccopyormakingthe
reportavailableonlinetothepublic.
Thedatacapturedinthismodulemustsupportthe
preparationandsubmissionofallrequiredfederalcrime
reportingandprovidethecapabilitytoprintacopyof
boththecompleteddepartment’sincidentreportandthe
redacted incident report.
Standard Outputs, External Data Exchanges, and
Internal Data Exchanges
Standard Outputs:
AllsummaryUCRreportsandNIBRSreports
Totalincidentreportsbasedonperiodoftime,areaor
beat,andincidenttype
Locationcode(e.g.,geocode)
Initialcalltype
Offensetype
Summaryofincidentsbyaresponsibleofcer
Standard External Data Exchanges:
Federaldatabasestosupportelectronicsubmissions
StatesubmissionfollowingNCICstandards
Prosecutor
Courts
JailManagementSystem(JMS)
RegionalInformationSharingSystems(i.e.,standards-
based,suchasGlobalJXDM,NCIC)
Standard Internal Data Exchanges:
Mobilereportingsystem
Investigativecasemanagement
Propertyandevidence
4.1 Use Case Diagram (seepage10)
4.2 Use Case: Prepare Initial Incident
Report
Theincidentreportispreparedassoonasitispractical
todosofollowingtheincidentand,dependingon
departmentprocedure,maybeupdatedthroughoutthe
initialinvestigation.Multipleofcersmayprovideinput
onceasingleincidentreportiscreatedandanincident
numberassigned.Aprimaryofcerwillbeassigned
withoverallresponsibilityforcompletingthereport.This
primaryresponsibilitymayshifttootherofcersduringthe
lifeofthereport.Theincidentreportmustcontainsufcient
informationtocomplywithnationalreportingrequirements.
Typically,anincidentreportcontainsfactualinformation
pertainingtotheincident,includingoffenseinformation,
suspectinformation,andcasestatus,aswellas
informationpertainingtoperpetrators,witnesses,victims,
andcomplainants.Reportingrequirementstypically
mandatethecollectionofcertainelementsofinformation.
Incident Reporting
4
Business Function:
10 StandardFunctionalSpecicationsforLawEnforcementRecordsManagementSystems(RMS)
Inaddition,incidentreportshavefree-textelds,which
allowthecollectionofanunlimitedamountofnarrative
information.Thesystemshouldprovidethecapabilityto
searchthenarrativesforaspecicwordorphase.
Oncecompleted,ofcerssubmittheincidentreporttotheir
supervisorforreview.
4.3 Use Case: Create Supplemental
Report
Asupplementalreportisusedtoaddnewinformationto
thecaseaftertheinitialincidentreporthasbeensubmitted
andapproved.Thecreationofasupplementalreport
mayresultfrominformationgainedduringadditional
investigationandalsomayresultinupdatingthestatusof
theinvestigation,possiblybringingittoclosure.
Investigatorsaretypicallytheindividualswithinthelaw
enforcementagencyresponsibleforfollow-upinvestigation
andforcreatingsupplementalreports.Tothatend,they
mustbeabletoqueryandretrievetheinitialincidentreport
anduseitasabaselinedocumentforthesupplemental
report.Theyalsomustbeabletoelectronicallysubmitthe
reporttoasupervisorforreviewanddissemination.
Multipleofcersmustbeabletosimultaneouslycreateand
addsupplementalreportsregardingthesameevent.
Allsupplementalreportsarelinkedtotheoriginalincident
report.Theagencyshouldbeabletolinkallofthe
associatedreportswithacommonreportnumber.This
maybedoneusingtheoriginalincidentreportnumber,
possiblywithasufxindicatingsupplementalsoracase
number.
Figure 4.1 Use
Case Diagram—
Incident
Reporting
Report
Review*
Create
Supplemental
Report*
Prepare Initial
Incident Report*
generates
receivesperforms
updates
updates
performs
conducts
receives
Supervisor
Investigator
Law
Enforcement
Ofcer
StandardFunctionalSpecicationsforLawEnforcementRecordsManagementSystems(RMS) 11
4.4 Use Case: Report Review
Theincidentreportmustbeabletobelockedfromfurther
editsatapointdeterminedbytheagency.Thisdoesnot
precludetheviewingofthedocumentbythosewithaccess
permissions,buttheabilitytoblockaccessshouldbea
capabilityofthesystem.
Supervisorsreviewincidentreportsandsupplemental
reportsforaccuracyandqualitypriortotheirpermanent,
noneditablestorageinthelocalRMSdatabaseand/
ortheirdistributiontotheagencyrecordsbureau;to
otheragencies;andtolocal,stateandfederalcriminal
informationrepositories.
RMSmustallowsupervisorstoreceive,review,and
approveincidentreportsonlineandtoelectronically
respondtosubmittingofcersandinvestigatorsregarding
reportqualityandaccuracyissues.Thedepartment’s
StandardOperatingProcedures(SOP)alsomayrequire
thattherecordsdivisioncompleteanaccuracyreviewfor
compliancetoreportingrequirementspriortoaddingthe
informationtothedatabase.Thesystemshouldsupportall
requiredreviewsandcorrectionspriortolockingdownthe
incident report.
StandardFunctionalSpecicationsforLawEnforcementRecordsManagementSystems(RMS) 13
5
Investigative Case
Management
Incidentsthatrequirefurtherinvestigationorfollow-up
maybereferredtoaninvestigatorbeforetheyareclosed
orsubmittedtotheprosecutorforachargingdecision.
Dependingonthedepartment’ssizeandpolicies,the
assignmentmaybemadetoapatrolofcer,generally
theofcerwhorespondedtotheoriginalincident,orthe
department’sinvestigativeunit.Thesystemshouldbeable
toassigncaseresponsibilityandtaskresponsibility.
Theassignedofcerreceivesthesereferralsorcases
electronicallyandrecordsallofthesubsequentcase
management-relatedactivitiesinRMS.Casemanagement
functionsinclude,butarenotlimitedto,capturingand
storinginvestigationdata,requestingawarrant,conducting
interviewsandphotolineups,andproducingsupplemental
reports.Investigatorsalsomayinitiatecriminalcharges
andobtainandexecutebothsearchandarrestwarrants.
Thedepartmentshouldbeabletodeneitsspecic
activities,includingatimeallocationforeachactivity,
sothesystemcangeneratealertstoboththeassigned
investigatorandthesupervisor.
Keyproductsoftheprocessareproducinginformationfor
theprosecutor,assistinginmanagingcasematerials(i.e.,
includingevidence),andpreparingcasesforprosecution.
Standard Outputs, External Data Exchanges, and
Internal Data Exchanges
Standard Outputs:
Casesnotassignedforinvestigationorfollow-up
Casesummary
Caseagingreport(listofcasesbyagerange,days,
weeks,month,etc.)
Assignedcases(opencasesbyinvestigatorand
currentstatus)
Casespendingassignment
Activityfollow-up
Alerts(e.g.,overdue,caseassignment,andtask
assignment)
Pendingactivity(e.g.,byinvestigator,case,and
division)
Casedisposition(bothlawenforcementdispositions
andcourtdispositions)
Prosecutorchargingdocuments
Standard External Data Exchanges:
Prosecutor(casesubmission)
Court(dispositionexchanges)
RegionalInformationSharingSystems
®
(RISS)(i.e.,
standards-based,suchasGlobalJXDM,NCIC)
JailManagementSystem(JMS)
Standard Internal Data Exchanges:
Incidentreporting
Propertyandevidence
Warrant
Other Optional External Data Exchanges:
Financialmanagementsystem
5.1 Use Case Diagram (seepage14)
5.2 Use Case: Assign Investigator
Thesupervisormustbeabletoaccessandreview
unassignedcases.Thesupervisorwillassigncase
responsibilitytoaprimaryinvestigator.Assignmentfactors
mayincludethenatureoftheactivity,typeoffollow-up
required,theworkloadofavailableinvestigators,and
casesalreadyassigned.
Business Function:
14 StandardFunctionalSpecicationsforLawEnforcementRecordsManagementSystems(RMS)
5.3 Use Case: Case Monitoring
Supervisorsmonitorcasestoensurethatprogressisbeing
made.Theinformationusedincasemonitoringincludes
casestatusandactivities,bothpendingandoverdue,and
investigatorcaseworkload.
Supervisorsmustbeabletoobtainworkloadinformation,
assessallrequestsfornewinvestigations,receive
deadlinesandreminders,andinteractwithinvestigators
electronically.Theymustbeabletoviewexisting
assignments,shiftresources,andnotifyinvestigatorsof
changes,asrequired.
5.4 Use Case: Conduct Investigation
Conductinganinvestigationinvolvesfollowingupon
leadsanddocumentingadditionalfactsaboutthecase.
Theactivitiesassociatedwiththeinvestigationtypically
includecollectingevidence,developingleads,conducting
interviewsandinterrogations,requestingwarrants,and
writingsupplementalreports.Eachoftheseactivitiesmust
bedocumentedinRMStoconrmthatproperdepartment
procedurewasfollowedandthatallpotentialleadswere
developed.Thisdocumentationmayincludecasenotes.
Eachactivityduringthisprocessmayresultinanupdateof
thestatusoftheinvestigation.
Duringthecourseoftheinvestigation,theprimary
investigatormayassigntaskstoothers.Thesystem
shouldbecapableofmonitoringandtrackingatboththe
caseandtasklevels.
Severaloftheactivitiesthatareapartofconducting
aninvestigationaredetailedinothersectionsof
thisdocument.Investigatorsmayneedtocreatea
supplementalreportasdenedintheIncidentReporting
module.Warrantsmayberequestedasdenedinthe
Warrantmodule.Evidencecollectionanddispositionis
denedinthePropertyandEvidenceandManagement
module.ThearrestprocessisdetailedintheArrest
module.
5.5 Use Case: Charging
Inthesituationwherechargesaretobeled,investigators
andsupervisorsmustassembleallrelevantcase
informationandreports,aswellastheircharging
recommendations,forsubmissiontotheprosecutor.
Thesystemshouldsupportthedevelopmentofcharging
Figure 5.1 Use
Case Diagram—
Investigative
Case
Management
Assign
Investigator
Case
Monitoring*
Conduct
Investigation*
Charging*
Case
Disposition*
reviews
receives
assigns
conducts
recommends
provides
responds
conducts
Investigator
Supervisor
Prosecutor
StandardFunctionalSpecicationsforLawEnforcementRecordsManagementSystems(RMS) 15
recommendationsandtheirelectronicapprovalprior
tothesubmissiontotheprosecutor.Insomecases,
theprosecutormayreferthecasebackforfurther
investigation.
Theprosecutormaydecidetoprosecutesome,all,ornone
ofthechargesrecommendedbythelawenforcement
agencyordecidetoprosecuteothercharges.The
prosecutor’schargingdecisionsshouldbecommunicated
tothelawenforcementagency,andthesystemshould
capturethechargingdecisions.
Inintegratedjusticesystems,muchofthecommunication
betweentheprosecutorandthelawenforcementagency
happenselectronically.Ifnointerfaceisavailable,thedata
mustbeenteredmanuallyintoRMS.
5.6 Use Case: Case Disposition
Whenthecaseiscompleted,aLawEnforcementCase
Dispositioniscaptured.Thisdispositionisinadditionto
acasestatus.Atthispoint,anypropertymaybeeligible
forreleasetotheownerasdenedinthePropertyand
EvidenceManagementmodule.
Acourtdisposition(perpersonarrestedandpercharge)
alsoshouldbeincludedintherecordasthecourtcase
iscompleted.Withanintegratedjusticesystem,the
dispositioncanbeexchangedelectronically.Thesystem
shouldsupporttheabilitytoreopenacase,ifnecessary,
basedonnewevidence.
StandardFunctionalSpecicationsforLawEnforcementRecordsManagementSystems(RMS) 17
6
Business Function:
andevidencefunction.Anystand-aloneprogramshould
includeaninterfacetoRMStominimizeduplicatedata
entry.LinkstoappropriateRMSrecordsshouldbemadeat
thetimethepropertyrecordisuploaded.
Standard Outputs, External Data Exchanges, and
Internal Data Exchanges
Standard Outputs:
Chainofcustody
Propertysummaryreport
Propertyitemdetail
Releasedpropertyreport
Propertyinventoryreport
Propertydispositionreports
Formlettertoinformthepropertyownerofthepending
dispositionofpropertywithinstructionsforlinga
claim
Vehicleimpoundforfeiturereport
Caseclosedevidencereport
Evidencelocationsummaryreport
Auditreport
Standard External Data Exchanges:
RegionalInformationSharingSystems(RISS)(i.e.,
basedonstandards,suchasGlobalJXDM,NCIC)
Stateinformationsharingsystems(i.e.,basedon
standards,suchasGlobalJXDM,NCIC)
Prosecutor
Court
Standard Internal Data Exchanges:
Incidentreporting
Fleetmanagement
Property and Evidence
Management
Propertyreferstoanytangibleitemthatcanbeowned,
consumed,orotherwiseused(e.g.,stolenorrecovered
items,currency,narcotics,vehicles,animals,and
evidenceofanyform)thatistobetrackedbytheagency.
Propertyownedforusebytheagency(e.g.,department
equipment)istypicallynotincludedinthismodule.Law
enforcementagenciescantakecustodyofpropertyduring
theinvestigationofcasesandpreserveitforpossibleuse
attrial.Agenciesalsowillreceivepropertyturnedover
bythepublicinwhichownershipisunknownorwhere
circumstancesofreceivingthepropertyareunknownor
unrelated to an event or incident.
Apropertycustodianisresponsibleforreceivingproperty
fortheagency.Informationabouttheproperty,includingits
source,iscollectedandrecordedinRMS.
Lawenforcementpersonnelcanaccesspropertydata
toviewdetailedinformationabouttheitemandhistorical
informationaboutthecustodyandcontroloftheitem,
includingthecurrentstatusorlocation.Personnelalsocan
followlinkstorelatedpropertyitemstrackedinthesystem.
Thetrackingsystemprovidestheabilitytoaccurately
trackandverifythatallpropertyitemsandtheevidentiary
chain-of-custodyrequirementsaremet.Thesystemalso
willtrackpropertythathasbeenimpoundedorstoredin
remotefacilities.Informationaboutpropertyandevidence
mustbelinkedtoeitheracaseleorareportthat
describestheproperty’sinvolvement.
Thedispositionofpropertyismanagedbythesystem,with
timedeventstonotifypropertycustodianswhenproperty
itemswillbereleased,destroyed,orsoldatauction.The
dispositionhistoryismaintainedforaspeciedtimeperiod
ormaybeindexedforfutureinvestigativepurposes.
WhilemanyRMSincludeintegratedPropertyand
EvidenceManagementmodules,manyjurisdictions
areusingstand-aloneprogramstosupporttheproperty
18 StandardFunctionalSpecicationsforLawEnforcementRecordsManagementSystems(RMS)
Other Optional External Data Exchanges:
Bar-codesystem
Third-partypropertymanagementsystems,includinga
laboratoryevidenceprocessingsystem
Pawnshops
6.1 Use Case Diagram
6.2 Use Case: Collect Property and
Evidence
Propertyandevidenceitemsarecollectedandprocessed
intoaphysicallocationwithestablishedprocessand
securitycontrols.Thisisthepointofentryintothesystem
wheredescriptorsandtrackingidentiers(e.g.,date/time
received,contributingandreceivingofcers,andlocation)
arerecordedforbothinventorycontrolandchain-of-
custodypurposes.Thepropertywillbecheckedagainst
internalandexternaldatabasesformatches.RMSwilllink
property/evidenceinformationwiththecaseandreports.
6.3 Use Case: Vehicle Impound
Thelawenforcementagencywillimpoundvehiclesin
thenormalcourseofoperations.Vehiclesmightinclude
boats,cars,motorcycles,airplanes,andotheritemsused
fortransportation.Thesystemshouldsupporttheentry
ofallidentifyinginformationforallofthesevehicletypes.
Avehiclemaybeimpoundedasevidenceinanongoing
investigationorbecausethedriverwasdrivingunderthe
inuence.Avehiclemaybeimpoundedbecauseithas
beenabandonedorbecauseitwasparkedinaprohibited
location.
Figure 6.1 Use Case
Diagram—Property
and Evidence
Management
Collect Property
and Evidence*
Property and
Evidence
Storage*
Vehicle
Impound*
Property and
Evidence
Disposition*
facilitates
transfers
requests
approves
initiates
<<extends>>
performs
performs
approves
Property/
Evidence
Ofcer
Law
Enforcement
Ofcer
External
Agency
Prosecutor
Internal/
External
Person
StandardFunctionalSpecicationsforLawEnforcementRecordsManagementSystems(RMS) 19
Theofcerwhoinitiatestheimpoundrecordsthereason
behindtheimpoundmentandinformationaboutthetowed
vehicle,includingtheVIN,description,licensenumber,
andtheconditionofthevehicle,aswellasinformation
aboutthecarowneranddriver.
ThevehicleshouldrstbecheckedagainsttheMVIin
RMSandthenautomaticallyqueriedinboththestateand
federalrepositoriesforwantsandwarrants.
Theofcerentershisestimateofwhenthevehiclewillbe
availableforreleaseandincludesthenameofthetow
companythatwillbemovingthevehicletotheimpound
lot.Amobilecomputingsystemenablestheinformationto
becapturedatthesceneandmadeavailableatthetime
thevehiclearrivesattheimpoundlot.
Attheimpoundfacility,theowneranddriverinformation,
aswellasthevehicleidenticationanddescription
information,arevalidatedorupdated,andthespecic
locationwithinthefacilityisaddedtotherecord.
Informationrelatedtothetow-and-impoundprocessalso
iscaptured.Aninitialestimateofthevehicle’svaluemay
beentered.Ageneralinventoryisconductedtodocument
itemsthatmaypotentiallyberemovedfromthevehicle,
includingpersonalitems,sparetires,gascaps,batteries,
weapons,etc.Thismoduleshouldsupportaquickand
easywaytocapturethatinformation.
Ifthevehiclehasevidentiaryvalue,itwillbesubjectto
therulesforchainofcustodyandshouldbeprotected
andtrackedbythesystemlikeothertangibleevidence.
RMScantreatthevehicleandmostofitscontentsasone
pieceofevidence.However,ifadditionalevidenceisfound
duringtheimpoundmentprocess,itcanbeprocessedasa
stand-alonepieceofevidence.
6.4 Use Case: Property and Evidence
Storage
Movementofpropertyandevidence,regardlessofhow
minor,isrecordedtoensurethatanaccuratelogofthe
activityiscapturedandallpoliciesandchain-of-custody
rulesarefollowed.Bar-codingthepropertyandusing
RMSduringthecheck-in,checkout,andmovementofthe
propertywillimprovetheaccuracyofthechain-of-custody
informationinthesystem.
6.5 Use Case: Property and Evidence
Disposition
Finaldispositionofpropertyisessentialtomaintaining
manageablestoragecapacitiesfortheagencyandmaking
certainownershavetheirpropertyreturnedinatimely
fashion.Thedispositionprocessdocumentsthedisposition
actionandincludessafeguardstoensurethatprocedures
andlawsgoverningtherelease,sale,ordestructionof
theitemarefollowed.Thesystemwillusetimedevents
byusingsystemmessagesorprovidingaccesstolists
ofeligiblepropertyitemstonotifythepropertycustodian
whenpropertycanbelawfullydisposed.
Theprosecutor’sapprovalwillberequiredbeforethe
dispositionofpropertywithevidentiaryvaluecango
forward.Thesystemshouldprovideameanstostore
imagesoftheitempriortothedisposition.Thesystem
mayincludeaninterfaceorexchangecapabilitywiththe
prosecutorthataffordsofcialsanefcientandaccurate
meansbywhichtoreviewandgrantordenyapprovalof
dispositionrequestssentbythelawenforcementagency.
Appropriateidenticationisrequiredtoverifytheidentity
oftheindividualcomingtoclaimapieceofproperty,
andasearchofinformationsourcesmaybeconducted
wherewarranted.Forexample,ifapersoncomesinto
claimaweapon,acheckofrecordsshouldbeconducted
toensureheorshecanlawfullypossessaweapon.An
additionalcheckagainstpropertydatabases(e.g.,NCIC)
shouldbeconductedtodetermineifthepropertyhasbeen
reportedasbeingstolen.RMSshouldautomatethese
queriesanddocumentthattheywerecompletedpriorto
thereleaseofproperty.
Afteraprescribedperiodoftime,propertyiseligiblefor
saleordestruction.Onlylawfulpropertycanbereturned
totheownerorsoldatpublicsale.Anypropertydeemed
illegalforanindividualtopossesswillbeproperly
destroyed.
Thesystemshouldgenerateautomaticalertswhen
propertyiseligibleforreleaseorsale.
StandardFunctionalSpecicationsforLawEnforcementRecordsManagementSystems(RMS) 21
7
Business Function:
Awarrantisanorderofacourtthatdirectsalaw
enforcementofcertotakespecicaction.Forexample,
anarrestwarrantwoulddirectalawenforcementofcerto
arrestapersonandbringthatpersonbeforethecourt.A
warrantmaybeissuedforapersonchargedwithacrime,
apersonconvictedofacrimewhofailedtoappearfor
sentencing,apersonowingane,orapersonthatthe
judgehasruledtobeincontemptofcourt.
TheWarrantmoduleisdesignedtotrackwarrantsthatthe
lawenforcementagencywillbeservingandthatinclude
thephysicallocationofthewarrant.Italsotracksand
recordsanywarrant-relatedactivityorstatuschanges.The
documentationofeachactivityincludesthetypeofactivity,
contactwiththesubject(ifany),thedateoftheactivity,
andtheresultoftheactivity.
Inmanydepartments,otherpapers(e.g.,criminal
summons)arehandledusingtheprocessidentiedinthe
Warrantmodule.
TheWarrantmoduleshouldbeabletocreateawarrant
afdavitrequestingthatthecourtissueawarrant.
Standard Outputs, External Data Exchanges, and
Internal Data Exchanges
Standard Outputs:
Warrantsissued
Warrantsservedorcancelled
Warrantsummarybasedonvaryingsearchcriteria
Attemptstoservebydateordaterange
Warrantagingreport
Warrantafdavit
Standard External Data Exchanges:
Court
Regional,state,andfederalwarrantrepositories
followingNCICstandards
JailManagementSystem(JMS)
Corrections
Standard Internal Data Exchanges:
Booking
MasterNameIndex(MNI)
MasterVehicleIndex(MVI)
MasterPropertyIndex(MPI)
7.1 Use Case Diagram (seepage22)
7.2 Use Case: Receive and Process
Warrant
Uponreceiptofawarrantfromthecourt,thewarrant
clerkenterstheinformationintotheWarrantmodule.An
interfacewiththecourtsystemwillreducedataentry.Entry
intothelocalwarrantsystemwillupdatetheappropriate
regionalorstatewarrantsystem.Thewarrantclerk
reviewsthewarrantforcompletenessandensuresthe
subjectinformationisuptodate.
7.3 Use Case: Verify Warrant
Immediatelypriortowarrantservice,theofcermustverify
thatthewarrantisstillvalidbeforetheactualservicetakes
place.Thisisespeciallyimportantinservinganarrest
warrant.Thewarrantvericationprocessisimportantin
determiningwhethertheagencyiswillingtoextraditethe
subjectifthewarrantisserved.
Warrant
22 StandardFunctionalSpecicationsforLawEnforcementRecordsManagementSystems(RMS)
Ifavailable,thevericationcanbedoneusingamobile
datacomputerthathastheappropriateinterface.Asan
alternative,theofcercancontactdispatchoranother
departmentfacilitytohavethewarrantveried.
7.4 Use Case: Warrant Service
Theprocessforwarrantservicewilldependonthetype
ofwarrant.TheWarrantmoduletracksandrecords
anywarrant-relatedactivityorstatuschanges.The
documentationofeachactivityincludesthetypeofactivity,
contactwiththesubject(ifany),thedateoftheactivity,
andtheresultoftheactivity.Oncethewarrantisserved,
themoduleisupdatedandthewarrantiscancelledin
otherappropriatewarrantsystems.
7.5 Use Case: Cancel Warrant
Thecourthastheabilitytocancelthewarrant.Thereason
forthecancellationmustberecordedintheWarrant
module.Otherappropriatewarrantsystemsalsomustbe
updatedtoreectthatthewarranthasbeencancelled.
Figure 7.1 Use
Case Diagram—
Warrant
Receive and
Process Warrant*
Verify
Warrant*
Cancel
Warrant*
performs
updates
cancels
enters
<<includes>>
noties
initiates
cancels
<<includes>>
issues
veries
Warrant
Service*
Court
Warrant
Ofcer
Warrant
Clerk
Regional or
State NCIC
Warrant
System
Law
Enforcement
Ofcer
StandardFunctionalSpecicationsforLawEnforcementRecordsManagementSystems(RMS) 23
8
Business Function:
Lawenforcementagenciesarrestsubjectssuspected
ofhavingcommittedacrime.Arrestactionsmustbe
supportedbyeitherprobablecauserulesordenitions
oracourtwarrantcommandingthearrestofasubject.It
isessentialthatthearrestingofcerfollowwell-dened
proceduresthatincludeaccuratelydocumentingand
recordingeverystepinthearrestprocess.Bothscenarios
followthesameprocedurewhenthepersonisarrested.
TheArrestmoduleprovidesaplacetodocumentallofthe
stepstakeninanarrest.Thiscompletedocumentation
maybeusedtodefendthelegalityofanarrest.
ThedatafromthisreportcanthenbeusedbytheBooking
module,theJailManagementSystem(JMS),andthe
court.
Standard Outputs, External Data Exchanges, and
Internal Data Exchanges
Standard Outputs:
Dailyarrests,bydayandtime,anddaterange
Arrestreportand/orafdavit
Arrestsbylocation
Arrestlog
Standard External Data Exchanges:
JailManagementSystem(JMS)
Court
Prosecutor
Statecriminalhistorysystem
Standard Internal Data Exchanges:
Mobileeldreporting
Incidentreporting
Booking
MasterNameIndex(MNI)
MasterVehicleIndex(MVI)
MasterPropertyIndex(MPI)
Propertyandevidence
8.1 Use Case Diagram (seepage24)
8.2 Use Case: Arrest Subject
Whenalawenforcementofcerhascontrolofasubject
suspectedofacrime,theofcerwilltakethesubjectinto
custodyifthecircumstancessupportkeepingcontrolofthe
individualtomaintainpublicsafetyandpeace.Theofcer
maybemakingaprobablecausearrest,servinganarrest
warrant,ormakingadriving-under-the-inuence(DUI)
arrest.
Aprobablecauseoron-viewarrestisbasedonimmediate
circumstancesofanincident,wheresufcientevidence
supportstheactionsofthelawenforcementofcer.
Examplesincludetrafcviolationsandincidentswhen
theofcerwitnessesthecommissionofacrime.Insome
cases,thearrestmaytriggerthedetentionprocessand
booking.
Thelawenforcementofcermustmakeeveryreasonable
efforttoconrmtheidentityofasubjectpriortothe
person’sbeingtakenintocustody.TheArrestmodulemust
allowtheofcertocapturethemethodofidenticationthat
wasused.Italsomustcapturethecompletionofother
stepssuchastheissuingoftheMirandawarning.
RMSmustprovidethecapabilitytoprintthearrestreport
afterallofthedatahavebeenenteredintothesystem.
Anarrestreportwillberequiredwhenthelawenforcement
ofcertakesthenalstepinthearrestprocessof
Arrest
24 StandardFunctionalSpecicationsforLawEnforcementRecordsManagementSystems(RMS)
transportingthepersontojail.RMSshouldfacilitateand
documenttheagency’sarrestreportreviewprocess.
Aninterfacewiththeappropriatebookingand/orJail
ManagementSystemisdesirable.
8.3 Use Case: Arrest Warrant Service
Therearetwosituationsthatmaytriggeranarrestbased
ontheservingofawarrant.Thelawenforcementofcer
maybeservinganarrestwarrantthatwasissuedasa
resultofanongoinginvestigation.Certainchargeswill
havebeenapprovedbytheprosecutorpriortothewarrant
beingissued.Thesechargesmayormaynotbeupdated
priortotheserviceofthewarrant.Thearrestnowfollows
thesameprocessasaprobablecausearrest.
Thesecondtriggerofawarrantarrestiswhenalaw
enforcementofcerconductsawarrantcheckduringa
trafcstoporsomeotheractivityandndsthatthereisan
activewarrantonleforthepersoninvolved.
Priortothewarrantservice,theofcermustverifythat
thewarrantisstillvalid.Ifthewarrantwasissuedby
anotherjurisdiction,thelawenforcementofcermustrst
conrmthattheissuingagencyiswillingtoextradite.This
warrantvericationprocesscanbedoneusingamobile
datacomputerthathastheappropriateinterface.Some
agenciesdonotrequireanarrestreporttobewrittenifthe
warrantwasissuedbyanotherjurisdiction.
Afterthewarranthasbeenserved,itisnecessaryto
removethewarrantfromalloftheappropriatewarrant
systems.
8.4 Use Case: DUI Arrest
Drivingundertheinuenceofdrugsoralcoholorwhile
impairedinsomeotherwayisconsideredoneofthemost
seriousissuesfortrafcenforcement.Additionalstepsare
requiredpriortothebeginningofaDUIarrest.
Thisprocessmaybeinitiatedaspartofatrafcstopor
inresponsetoanaccident.Ifthelawenforcementofcer
suspectsthatthedriverwasusingdrugsoralcohol,a
chemicaltestwillbeconductedeitherintheeldorunder
morestringentcontrols.Thelawenforcementofcer
willaskthesubjectifheorsheiswillingtosubmittoa
chemicaltest.TheresponseshouldbecapturedinRMS.
Whenfatalitiesareinvolved,thelawenforcementofcer
mayberequiredtoobtainchemicaltestswithoutthe
consentofthesubject.Allrelevantinformationregarding
theresultsfromtestsaregatheredandrecordedto
supplementthereportinRMS.
Basedonthetestresults,thedepartment’sSOPfor
handlingDUIarrestswillbefollowed,andeachstepwillbe
documentedinRMS.
Evidencemaybeobtainedfromthesetypesoftrafc
incidents,whichrequirepropertyhandlingandtracking.
Arrest
Warrant Service*
Arrest Subject*
conducts
Figure 8.1
Use Case
Diagram—
Arrest
<<extends>>
DUI Arrest*
<<extends>>
Law
Enforcement
Ofcer
StandardFunctionalSpecicationsforLawEnforcementRecordsManagementSystems(RMS) 25
9
BookingdatacapturedinalawenforcementRMSare
eventuallylinkedtothearrestreport.Thedatatobe
capturedincludepersonalinformationofthesubject.
Thepersonalidenticationinformationprovidedbythe
subjectwillbecheckedagainstMNItocreatealinktothis
bookingandavoidunnecessaryorredundantdataentry.
Personalinformationwillincludethesubject’snameand
anyknownaliases;aphysicaldescription,includingtattoos
andotheridentifyingmarks;addressandothercontact
information;dateofbirth;andidenticationdata,suchas
adriver’slicensenumberorsocialsecuritynumber.The
subject’sngerprintswillbetakenaspartofthebooking
process.Aphotoimagealsowillbetakenofthesubject
andmayincludeimagesofanyidentifyingattributes,such
astattoosandscars.RMSwillprovidethecapabilityto
storetheimagesinthedatabaselinkedtothebooking
record.
Standard Outputs, External Data Exchanges, and
Internal Data Exchanges
Standard Outputs:
Bookingform
Bookingsummary,basedonvaryingsearchcriteria
Dailycourtlistbycourtandtime
Propertyreceivedreceipt
Propertyreleasedreceipt
Bookingactivity(e.g.,intakes,releases,andtransfers)
Standard External Data Exchanges:
JailManagementSystem(JMS)
Arrest
Regionalandstatewarrantandcriminalhistory
repositories,followingNCICstandards
Automatedngerprintidenticationsystem
Mug-shotsystem
Booking
Standard Internal Data Exchanges:
MasterNameIndex(MNI)
MasterVehicleIndex(MVI)
MasterPropertyIndex(MPI)
Propertyandevidence
9.1 Use Case Diagram (seepage26)
9.2 Use Case: Process Subject
Thebookingprocessincludescollectingallrelevant
informationonthesubjectandhisorherarrestdetails,
verifyingthesubject’sidentity,andaddressingobvious
physicalandmentalhealthneeds.
Thisinformationmaybeobtainedfromthearrestreport
recordwithinRMS.IfthearrestreportisavailableinRMS,
alinkshouldbeestablishedbetweenthearrestreportand
thebookingrecord.
Ifthebookingrecordprecedesthearrestrecord,thedata
fromthebookingrecordshouldprepopulatethearrest
record.MNIactsastheprimarykeybetweenthearrest
recordandthebookingrecord.
Informationaboutthearrestofthesubjectwillbeentered
intotheBookingmodule.
Agencyofcialsperformanassessmentduringthe
courseofthearrestandbookingprocess.Generally,the
assessmentmayfollowachecklistofquestionsinRMS
tocapturenotedmedicalneedsandsecurityrisks.In
anintegratedenvironment,thisinformationshouldbe
forwardedtoappropriateexternalsystemsincludingthe
JailManagementSystem(JMS).
Propertyinthepossessionofthesubjectwillbe
inventoriedandstoredinasecuredareawhilethesubject
Business Function:
26 StandardFunctionalSpecicationsforLawEnforcementRecordsManagementSystems(RMS)
isincustody.Ifitisdeterminedthatthepropertywillnot
bereleasedtothesubjectatthetimeofhisorherrelease,
thenthepropertyshouldbehandledfollowingdepartment
proceduresforpropertyandevidencemanagement.Ifthe
subjectisincustody,agencyofcialsshouldperforman
assessmentofthesubjectduringthecourseofthearrest
andbookingprocess.Generally,theassessmentfollowsa
checklistofquestionsandcapturesinRMSnotingmedical
needsandsecurityrisks.Inanintegratedenvironment,this
informationshouldbeforwardedtoappropriateexternal
systems,includingJMS.
Thesubjectwillbeassignedtoanappropriatefacilityand
bed,basedongender,assessmentneeds,andspace
availability.Temporaryholdingareasmaybeusedincases
wherelong-termaccommodationsareunavailableor
wherethesubject’sassessmentwarrantstheassignment,
suchaswhenmedicalneedsexistorintoxicationisa
factor.
9.3 Use Case: Verify Subject
Personalinformationobtainedfromthesubjectwill
beusedtoobtainvericationinformationfromoneor
moresourcestoafrmordisafrmthesubject’sidentity.
Thepersonalinformationobtainedfromoraboutthe
subjectwillexistinmanyforms,includingdescriptive
text,ngerprints,DNA,andphotographicimages.In
mostinstances,thevericationprocesswillafrmor
disafrmthesubject’sidentityelectronically,butinsome
instances,avisualcomparisonwillbenecessarytomake
adetermination.FingerprintsmaybesenttoanAutomated
FingerprintIdenticationSystem(AFIS)andtheFederal
BureauofInvestigation’s(FBI)IntegratedAutomated
FingerprintIdenticationSystem(IAFIS).
ThesystemshouldcheckMNIplusstate,regional,
andfederaldatabasesforanyinformation.TheState
IdenticationNumber(SID),FBInumber,andanyother
informationreturnedfromAFIS/IAFISwillbeaddedtothe
reportastheyarereceived.
9.4 Use Case: Release
Whenasubjectisreleasedfromcustody,bondmoney
willbecollected,ifrequired,andacheckwillbemadeto
determineifthesubjecthasanyactivewarrants.Priorto
release,subjectswillhavetheirpersonalpropertyreturned
tothem.Thebookingrecordwillbeupdated,where
applicable,torecordallrelevantinformationsupportingthe
releaseofthesubjectfromcustody,includingthereason,
effectivedate,andtimeofrelease.
Verify Subject*
Process Subject*
conducts
Figure 9.1
Use Case
Diagram—
Booking
Release*
<<includes>>
performs
Booking
Ofcer
StandardFunctionalSpecicationsforLawEnforcementRecordsManagementSystems(RMS) 27
Thejuvenilejusticesystemrequiresspecialhandling
ofinformationaboutjuveniles.Paramountinthisisthe
handlingoftheirrecords,whichmustconformtolegal
requirementsthatspecicallydeneprivacyprotections.
RMSmustaccommodatetheneedtoaccessjuveniledata
distinctlyfromadultinformation.
Aswithallcases,informationaboutjuvenilesdisseminated
externallyalsorequiresinformationenteredintothe
systemtobeexpungedwhenorderedbythecourtor
statute.Accessmustberestrictedtoauthorizedlaw
enforcementpersonnelwithspecialprivileges.
Insomejurisdictions,thejuvenilecourtisactivelyinvolved
injuvenileintakeandassessmentactivities.Assuch,there
maybeaninterfacebetweencourtsandRMS.Juvenile
RMSmodulesalsomayprovidenoticationstoexternal
agencies,suchassocialservicesorganizationsand
schools,basedoncertainactivitiesinvolvingjuveniles.
RMSshouldhavetheabilitytoautomaticallyarchive
juvenileinformationafterarequisiteamountoftime(as
governedbystatelaw)haspassedsincetheentryorwhen
thesubjectreachestheageof18(whicheveroccursrst).
Standard Outputs, External Data Exchanges, and
Internal Data Exchanges
Standard Outputs:
Juvenilecustody
Juvenile contact report
Namelistingforjuvenilesseparatefromadults,based
onvaryingsearchcriteria
Standard External Data Exchanges:
Prosecutor
Juvenileassessmentcenter
Juvenile detention center
JailManagementSystem(JMS)
Standard Internal Data Exchanges:
Mobilereportingsystem
Other Optional External Data Exchanges:
Socialservices
Court
Schools
10.1 Use Case Diagram (seepage28)
10.2 Use Case: Juvenile Contact
Acontactwithajuvenileshouldbedocumentedin
RMS.Thecontactmayresultinacitation,referral,or
detention.Takingthejuvenileintocustodyallowsthelaw
enforcementofcertohavethejuvenileassessedand
ensurethejuvenileisnotindanger.Thelawenforcement
ofcerwillgatherinformationfromthejuvenileaboutthe
eventtodeterminewhetheranoffense(orstatusoffense)
occurredandwhethertosanctionthejuvenileinanyway.
Insomejurisdictions,thelawenforcementofcerwho
takesthejuvenileintocustodywilltakethesubjecttoa
juvenileintakecenterforassessment.Inothercases,
qualiedpersonnelatthelawenforcementagencywill
maketheassessment.Oncethelawenforcementofcer
hasdeterminedthatthecircumstanceswarrantmorethan
admonishment,heorshewilldeterminetheappropriate
recourseorreferral.Thisevaluationisbasedonthe
natureoftheincident,whetherweaponswereinvolvedor
narcoticswerepresent,andthenumberofpastcontacts
withthelawandvictims.Inmanyjurisdictions,referralto
juvenileintakeismandatedifthejuvenilehasapatternof
delinquencyoveraperiodoftimedenedbylaw.
Juvenile Contact
10
Business Function:
28 StandardFunctionalSpecicationsforLawEnforcementRecordsManagementSystems(RMS)
Thejuvenilemaybereleasedtoaparentorguardian,a
hospital,orothernonjudicialauthority.Informaldiversion
mightincluderequiringthejuveniletoperformspecic
communityservice.RMShasamechanismthatallows
fortimedalertnoticesiffollow-upcontactorinformationis
necessary.
RMSwillsupporttheseactivitiesbydocumentingthe
contactwiththeyouthinajuvenilecontactrecord.
Italsowillguidethelawenforcementofcertothe
appropriateremedy,sanction,orreferral,dependingonthe
circumstances.
Inhandlingajuvenilecontact,lawenforcementofcers
mustcommunicatewithboththeprofessionalsconducting
theassessmentandthejuvenile’sparentsorguardian.
RMSmustdocumentthesecommunications,aswellas
otherinformationaboutthejuvenile.Theyouth’sfullname,
age,address,contact(i.e.,family)information,physical
description,gender,andnameofschoolheorsheattends,
aswellasinformationabouttheincident,areexamplesof
informationthatwillbeenteredintoRMS.
RMSshouldhavetheabilitytoautomaticallyarchive
juvenilecontactsafterarequisiteperiodoftime(as
governedbystatelaw)haspassedsincetheentryorwhen
thesubjectturns18yearsofage(whicheveroccursrst).
10.3 Use Case: Juvenile Detention
Thejuvenileisplacedintothecareofacustodialfacility.
Thesystemmustsendappropriatenoticationtothe
court,theprosecutor,andallappropriatesocialservices
agenciesinvolved.
10.4 Use Case: Juvenile Referral
Formalchargesmaybebroughtagainstthejuvenile.
Thejuvenilemaybereleasedtoaparentorguardian,a
hospital,orothernonjudicialauthority.Informaldiversion
mayincludeassigningrequiredcommunityservices.RMS
hasamechanismthatallowsfortimedalertnoticesif
follow-upcontactorinformationisnecessary.
Juvenile
Referral*
Juvenile
Contact*
conducts
Figure 10.1
Use Case
Diagram—
Juvenile
Contact
Juvenile
Detention*
<<extends>>
<<extends>>
Law
Enforcement
Ofcer
StandardFunctionalSpecicationsforLawEnforcementRecordsManagementSystems(RMS) 29
Trafcaccidentreportinginvolvesthedocumentation
offactssurroundinganaccident.Typically,theseare
incidentsthatinvolveoneormoremotorvehiclesbut
alsomayincludepedestrians,cyclists,animals,orother
objects.Trafcaccidentreportingalsomaybereferredto
bytheterms“collision”or“crash.”
Moststatesrequirelawenforcementtoprovideuniform
documentationandreportingonalltrafcandhighway
accidents.Theinformationcompiledinaccidentreportsis
usedbythepublic,insurancecompanies,trafcanalysts,
andprosecutorstoassistinprosecutingindividualswhere
acriminaloffensealsomaybeincluded.Theaccidentdata
canalsofacilitateanalysisbyidentifyingnecessaryroad
improvementsandtheeliminationoftrafcsafetyhazards.
Typically,TrafcAccidentReportingisamodulewithinthe
agencyRMS.Theinformationistypicallycapturedatthe
locationoftheincident;transcribedintoelectronicforms
(e.g.,intheeldorofce);transferredtoandusedbyRMS
forlocalanalysis;and,inmanyjurisdictions,transmittedto
thestatetransportationdepartment.Insomejurisdictions,
trafcaccidentreportingisperformedusingaseparate
softwaresystem,whichoftenisprovidedbythestate
transportationagency.
Themodulealsoshouldallowtheofcertocollectdata
onthedemographicsofthepeopleinvolved,tocollect
statisticsforreportingonbias-basedpolicingevaluations.
Standard Outputs, External Data Exchanges, and
Internal Data Exchanges
Standard Outputs:
State accident report
Accidentsbylocation
Accidentsbytimeofdayanddayofweek
Accidentsbyviolation
Accidentsbyseverity
Accidentsbydriverdemographic
Statisticalsummarybyintersection
Statisticsbyarea(e.g.,beat,precinct),day,andtime
Standard External Data Exchanges:
Statemotorvehicledivision
Local,regional,andstatetransportationdepartments,
usingU.S.DepartmentofTransportation(DOT)
standards
TrafcengineeringusingDOTstandards
Communitydevelopment
Standard Internal Data Exchanges:
Mobilereportingsystem
Citation
MasterNameIndex(MNI)
MasterVehicleIndex(MVI)
MasterPropertyIndex(MPI)
Arrest
Citation
Propertyandevidence
Fleetmanagement
11.1 Use Case Diagram (seepage30)
11.2 Use Case: Accident Reporting
Trafcaccidentreportingrequirementsdifferfrom
generalcriminalincidentreportsinthattheyemphasize
thecauseoftheaccident;weather,visibility,androad
surfaceconditionsatthetimeoftheaccident;andlocation
information.Therefore,trafcaccidentreportingsystems
usuallyincludedrawingordiagrammingtoolstoassist
Traffic Accident Reporting
Business Function:
30 StandardFunctionalSpecicationsforLawEnforcementRecordsManagementSystems(RMS)
inaccuratelycapturingaccidentsceneandlocation
information.
Thesystemshouldsupporttheabilitytoattachaccident
diagramsandphotographstotheaccidentreport.Ifa
citationisissuedasaresultoftheaccident,thecitation
shouldbelinkedtotheaccidentreport.
Figure 11.1
Use Case
Diagram—
Traffic Accident
Reporting
Accident
Reporting*
provides
analyzes
analyzes
Law
Enforcement
Ofcer
External
Agency
Local
Trafc
Engineering
StandardFunctionalSpecicationsforLawEnforcementRecordsManagementSystems(RMS) 31
Individualsororganizationschargedwithminoroffenses
oftenareissuedacitationorticket,whichrequiresthemto
payane,postabailamount,and/orappearincourtona
specieddate.Citationsarecommonlyusedintrafcand
misdemeanorlawenforcement.
Theoffenderisgivenacopyofthecitationthatmay
containapreassignedcourtappearancedate.When
thecitationdataareenteredoruploadedintoRMS,the
appropriatelinksshouldbemadetothemasterindex
records.Thecourtclerkisnotiedofthecharges,either
byreceivingapapercopyofthecitationoranelectronic
copyofthecitationdata.Often,theoffendercanpayane
orforfeitabailamounttosatisfythene.Intheeventthat
thecourtdateisnotassignedwhenthecitationisissued,
itisassignedatalaterdate.TheCitationmoduleshould
capturethecourtdataandrecordthecourt’sdispositionof
the citation.
Inmanyjurisdictions,auniformcitationformisusedbyall
lawenforcementagencies.Theapplicationthatsupports
thecreationofthecitationmaybeamoduleofRMSora
third-partysolutiondesignedforthecreationofcitationsin
theeld.
Ifthesubjectisnotissuedacitationfromacitationbook,
theapplicationmustbeabletoprintthecitation.
Standard Outputs, External Data Exchanges, and
Internal Data Exchanges
Standard Outputs:
Citationandwarningssummarybasedonvarying
searchcriteria
Citationbylocation
Citationsandwarningsbydemographicdata
Citationaudit(e.g.,missing/voidednumbers)
Standard External Data Exchanges:
Court
JailManagementSystem(JMS)
Warrant
Prosecutor
DepartmentofMotorVehicles(DMV)
Standard Internal Data Exchanges:
Mobilereportingsystem
Trafcaccidentreporting
Incidentreporting(e.g.,misdemeanorcitations)
MasterNameIndex(MNI)
MasterVehicleIndex(MVI)
MasterPropertyIndex(MPI)
Arrest
Juvenile contact
12.1 Use Case Diagram (seepage32)
12.2 Use Case: Issue Citation
CitationinformationisstoredandtrackedinRMS.
Ofcerswillenterinformationaboutaviolationorcharge,
aswellasrelevantcourtinformation,intoRMS.The
citationinformationwillthenbesenttothecourt,either
electronically,iftheappropriateinterfaceisinplace,or
manually.
Theofcerissuingthecitationneedstoquerystate
andlocaldatabasesthatcontaininformationregarding
previouslyissuedcitationsandwarnings.Thequeryalso
shouldcheckforanyoutstandingwarrantsoralerts.
Alawenforcementofcermaydecidetoissueawarning
Citation
12
Business Function:
32 StandardFunctionalSpecicationsforLawEnforcementRecordsManagementSystems(RMS)
insteadofacitation.RMSmusttrackwarnings,aswellas
citations.Bothmustbelinkedtothesubject’smastername
record.
Figure 12.1
Use Case
Diagram—
Citation
Issue Citation*
performs
receives
receives
Law
Enforcement
Ofcer
Court
External
Agency
Themodulealsoshouldallowthelawenforcementofcer
tocollectdataonthedemographicsofthepeopleinvolved,
tocollectstatisticsforreportingonbias-basedpolicing
evaluations.
StandardFunctionalSpecicationsforLawEnforcementRecordsManagementSystems(RMS) 33
Aeldcontactrecordiscreatedbyalawenforcement
ofcerbasedonthedepartment’sSOP.Typically,
thisprocessistriggeredbyunusualorsuspicious
circumstancesoranyactivitythatisconsideredbythe
lawenforcementofcertobeofinterestbutwouldnot
otherwisebedocumentedinRMS(seetheIncident
Reportingmoduleformoredetails).ThedataintheField
Contactmoduleareavailableforanalyticalsupport(crime
analysis).Italsocanbesearchedbyinvestigatorsto
developleads.
Fieldcontactsarenotsubjecttothesamestringentreview
andapprovalprocessasincidentreports.
Themodulealsoshouldallowtheofcertocollectdataon
thedemographicsofthepeopleinvolvedinordertocollect
statisticsforreportingonbias-basedpolicingevaluations.
Standard Outputs, External Data Exchanges, and
Internal Data Exchanges
Standard Outputs:
Fieldcontactsummary,basedonvaryingsearch
criteria
Standard External Data Exchanges:
Staterepositories,NCIC
Mugshots
Fingerprints
Standard Internal Data Exchanges:
Mobilereportingsystem
MasterNameIndex(MNI)
MasterPropertyIndex(MPI)
MasterVehicleIndex(MVI)
13.1 Use Case Diagram (seepage34)
13.2 Use Case: Document Field Contact
Aeldcontactisdocumented,usuallyatthediscretion
ofthelawenforcementofcer,basedonanobservation
orinformationindicatingsuspiciousorunusualactivityor
circumstances,suchasthefollowing:
Aparkedcarinanareaandatatimenormallyvacant
ofcars
Oneormorepeopleinanareaandatatimenormally
vacantofpeople
Oneormorepeopleloiteringinavulnerablearea
Peopleandvehiclesthatappeartobeoutofplacefor
anyparticularreason
Specicareasmaybetargetedforeldcontactbasedon
departmentalpolicy.Suchtargetingmaybeforhigh-crime
areasorinpotentiallysensitiveareas,suchasareasnear
schoolsandreligiousinstitutions.
Theinformationcollectedincludes:
Locationandtime
Generalcircumstances
Namesanddescriptionsofpersons
Identifyinginformationonvehiclesorotherproperty
Fieldcontactinformationservesasakeyinputtoanalytical
support(crimeanalysis)andotherinvestigativeprocesses.
Ithelpstoestablishlinksbetweenpersons,vehicles,and
crimeevents.Becauseofthis,eldcontactinformation
shouldbeconsistentwithdatastandardsusedinthe
analyticalsupport/crimeanalysisprocess.
Fieldcontactreports,unlikeincidentreports,arenormally
notsubjecttoastringentsupervisorreviewandapproval
process.Theyare,however,reviewedtoensurethe
Field Contact
13
Business Function:
34 StandardFunctionalSpecicationsforLawEnforcementRecordsManagementSystems(RMS)
qualityandadequacyofreportingandconsistencywith
departmentalpolicyandstatute.
Figure 13.1
Use Case
Diagram—
Field Contact
Document
Field Contact*
reports
queries
queries
queries
Law
Enforcement
Ofcer
Administration
Investigator
Analyst
StandardFunctionalSpecicationsforLawEnforcementRecordsManagementSystems(RMS) 35
PawnmodulesinRMShelplawenforcement
representativesidentifyandrecoverpersonalproperty
thathasbeenreportedstolen.Manyjurisdictionsrequire
pawnshopstoregistertheitemstheyreceiveandsellto
facilitatethistrackingprocess.
SpecicfunctionalityofthePawnmoduleincludes:
Collecting,storing,andtrackingpawndata
Comparingpawndatawithlostorstolenproperty
Supportingtheinvestigativeprocessformatchesor
patterns
Runninginquiriestoexternalregional,state,and
federalsystems
Providingdatanecessarytoservetheneedsofstate
pawnsystems
Standard Outputs, External Data Exchanges, and
Internal Data Exchanges
Standard Outputs:
Pawnsummarybasedonvaryingsearchcriteria(e.g.,
date,timeofsale,andpropertytype)
Frequentpawnerlist
Standard External Data Exchanges:
StateandregionalpawnsystemsfollowingNCIC
propertystandards
LocalpawnshopcomputersystemsfollowingNCIC
propertystandards
Standard Internal Data Exchanges:
Licenseandpermits
MasterPropertyIndex
Propertyandevidence
14.1 Use Case Diagram (seepage36)
14.2 Use Case: Receive and Process
Pawn Data
Thepawnshopmustsubmitpawnticketstothelaw
enforcementagency—eitherbypaperorelectronically.
ThisinformationisthenenteredintothePawnmodule.
Intheeventthepropertyrecordhasauniqueidentier,
suchasaserialnumber,inquiriesmaybemadetolocal
andexternalsystems.Inaddition,thenameoftheperson
pawningtheitemandpersonalidentitydocumentation
information(e.g.,driver’slicensenumber)shouldbe
included.Dependingonthetypeofpropertybeing
pawned,nameinquiriesmaybemadetostateand
nationalsystems.
Asnewitemsareaddedtothestolenpropertydatabase,
thepawndatabaseshouldbeautomaticallyqueriedto
determineiftheitemwaspreviouslyreportedasbeing
pawned.
Anypositivehitsthatreturnfromtheseexternalinquiries
requirefollow-uponthepartofthepawnunit.Thisfollow-
upcouldincludeseizingpropertyorfurtherinvestigation.
14.3 Use Case: Seize Pawn Property
Whenthepawnunithasidentiedpawnedpropertythat
wasreportedstolen,thepawnrecordisupdatedtoreect
thatthearticlehadbeenreportedstolenandthenseized.
Thepawnunitwilltakeactiontoseizethepropertyfor
evidentiaryorsafekeepingpurposes.Thepropertyisthen
checkedintothePropertyandEvidenceManagement
moduleand,atthispoint,becomespartofaninvestigation.
Pawn
14
Business Function:
36 StandardFunctionalSpecicationsforLawEnforcementRecordsManagementSystems(RMS)
14.4 Use Case: Analysis of Pawn Data
ThePawnmodulewillanalyzepawndataversusstolen
datatoidentifytrendsandpatterns.Examplesofanalysis
includefrequentpawnactivitybylocation,person,type,
etc.Themodulemustcreatereportstosupportthe
analysis.
14.5 Use Case: Regional and State Pawn
Reporting
Ifanexternalrepositorymaintainspawndata,information
fromlocalPawnmodulesmaybetransmittedtothese
systemselectronically.
Analysis of
Pawn Data
Receive and
Process Pawn
Data*
analyzes
Figure 14.1
Use Case
Diagram—
Pawn
Seize Pawn
Property
<<extends>>
Regional and
State Pawn
Reporting
sends
analyzes
transmits
Pawn Unit
Pawn Shop
StandardFunctionalSpecicationsforLawEnforcementRecordsManagementSystems(RMS) 37
Civilprocessdescribesthelawenforcementagency
responsibilitytoservelegalpapersandexecutelegal
processesasrequiredtofacilitatedueprocessthroughthe
judicialsystem.Thesefunctionsarecommonlyperformed
bysheriffs’ofces,whichareentitledtopaymentbyprivate
partiesforsuchservice.RMSmodulesshouldallowthe
dataentryofpaperstobeserved,aswellasthecapability
totracktheserviceofcivilpapers.Thereoftenisadata
exchangewithabillingoraccountingsystem.
Theagencymayberequiredbystatutetoservethese
courtdocumentsasprescribedandwithinspeciedtime
limits.Thesedocumentsmayincludewrits,summons,
subpoenas,warrants,judgmentorders,andcivil
protectionorders.RMSwillprovidetheabilitytorecordthe
dispositionofallactionsrequiredbytheorder,including
court-orderedeviction,theseizureofproperty,and
collectionofcourt-orderedfees.
Standard Outputs, External Data Exchanges, and
Internal Data Exchanges
Standard Outputs:
Activecivilpapers(e.g.,byage,jurisdiction,and
server)
Served/returnedcivilpapers
Civilpaper/civilpaperjacket
Expiredcivilpapers
Noticegeneration
Lettergeneration
Generalnancial
Civilsummary(e.g.,papersummary,assignments,
andattemptstoserve)
Afdavitofservice
Standard External Data Exchanges:
Accountingsystem
Court
JailManagementSystem(JMS)
Standard Internal Data Exchanges:
MasterNameIndex
MasterVehicleIndex
MasterLocationIndex(MLI)
MasterPropertyIndex(MPI)
MasterOrganizationIndex(MOI)
Warrant
15.1 Use Case Diagram (seepage38)
15.2 Use Case: Serve Orders
Theserviceoforderstoindividuals,organizations,orother
justiceofcialsisbasedoncourtordersorsubpoenas.
Serviceofordersalsoincludesevictions.Therewillbe
agoodfaithefforttoservetheorderasmanytimesas
necessaryuptotheexpirationdate.Theserviceattempts
andcircumstanceswillbedocumented.Thesystem
generatesanafdavitofservicetothecourtonsuccessful
serviceorexpirationoftheorder.
15.3 Use Case: Seized Property
Seizedpropertydescribestheprocessandaction
ofseizingpersonalproperty,basedonacourtorder
presentedtoalawenforcementofcer.Theindividualor
organizationisservedtheordertovoluntarilyrelinquishthe
property.Onfailuretorelinquishpropertyonadesignated
date,apropertyseizurewillbescheduledandexecuted.
Allserviceattempts,aswellastheorderexecution,willbe
documentedinRMS.
Civil Process
15
Business Function:
38 StandardFunctionalSpecicationsforLawEnforcementRecordsManagementSystems(RMS)
15.4 Use Case: Billing
Anagency’sRMSshouldcollecttheinformationpertaining
toanyfeesassociatedwithanorderserviceandtransfer
billingdatatothenancialsystemforbilling,collection,
anddistributionoffunds.Billinginformationincludeswhom
andwhentoinvoice,billingamounts,andtheallocation
anddisbursementoffees.
Serve Orders*
serves
Figure 15.1
Use Case
Diagram—
Civil Process
Billing*
<<extends>>
Seized Property*
serves
performs
exchanges
<<includes>>
Records
Clerk
Financial
Management
System
Sheriff
Ofcer
Law
Enforcement
Ofcer
StandardFunctionalSpecicationsforLawEnforcementRecordsManagementSystems(RMS) 39
Lawenforcementagenciesreceivecourtordersfor
protectiondirectlyfromthecourtortheprotectedparty.
Thismoduleisusedtorecordprotectionordersand
restraints,includingantiharassmentorders,protection
orders,no-contactorders,andcivilprotectionorders.All
partiesnamedintheordersandtheirrelationshiptothe
ordermustbestoredinthesystem.Theconditionsofthe
orderarestoredaswell.Theconditionsshouldinclude
informationsuchastheissuingauthority,effectivetime
period,location,distance,restrictions,andtypeofcontact
prohibited.Thisinformationmustbereadilyavailableby
nameandlocationofthepartiesandalsomaybecross-
referencedbyvehicle.
Standard Outputs, External Data Exchanges, and
Internal Data Exchanges
Standard Outputs:
Expired/soon-to-expireorders
Activeorders
Ordersthathavebeenserved
Ordersreceived,bysource
Cancelledorders
Notrespassorder
Standard External Data Exchanges:
CAD
Court
NationalProtectionOrderRegistry(NPOR)
JailManagementSystem(JMS)
Standard Internal Data Exchanges:
MasterNameIndex(MNI)
MasterLocationIndex(MLI)
MasterVehicleIndex(MVI)
MasterOrganizationIndex(MOI)
MasterPropertyIndex(MPI)
16.1 Use Case Diagram (seepage40)
16.2 Use Case: Protection Order and
Restraint Recording
AvalidprotectionorderorrestraintisrecordedinRMS.
Protection Orders and
Restraints
16
Business Function:
40 StandardFunctionalSpecicationsforLawEnforcementRecordsManagementSystems(RMS)
provides
Figure 16.1
Use Case
Diagram—
Protection
Orders and
Restraints
Protection Order
and Restraint
Recording*
issues
receives
serves
Court
Respondent
Law
Enforcement
Ofcer
Complainant
StandardFunctionalSpecicationsforLawEnforcementRecordsManagementSystems(RMS) 41
ThePermitsandLicensemodulerecordsandtracksthe
issuanceoflicensesbyagency.Examplesofdevicesand
activitiesthatrequirealicenseinclude,butarenotlimited
to,electronicalarms,rearmownership,andoperating
massageparlors.Examplesofpermitsincludeparade,
race,ordemonstrationpermits.Licensingisgenerallyfor
anextendedperiodoftime,whilepermitsprovideauthority
forashorterandspecicperiodoftime.
Thestatusoflicensesandpermitsistracked,including
applicationgranting,denial,revocation,andexpiration.
Thechangeofstatusoranupcomingexpirationdate
generatesappropriatealertsandnotications.
ApplicantnamesarecheckedagainstthesystemMNI.
Dependingonthetypeoflicenseorpermit,theremay
becriminalhistoryorotherbackgroundinformationthat
precludestheapplicant’seligibilitytoobtainthelicense.
Oncealicenseisissued,ifthelicenseeisarrestedoris
issuedatrafcviolation,thesystemwillgenerateanalert
tonotifythepermitandlicensegrouptodeterminewhether
thelicenseshouldberevoked.
Thesystemalsomusttrackthepaymentsassociatedwith
theissuanceoflicensesandpermitsorlinkwithanancial
systemtodeterminepaymentstatus.
Standard Outputs, External Data Exchanges, and
Internal Data Exchanges
Standard Outputs:
Permitsandlicenseapplicationsgrantedbasedon
varyingsearchcriteria
Permitsandlicenseapplicationsdeniedwithreason
Falsealarmresponses,forbillingpurposes
Expirationnotice
Standard External Data Exchanges:
CAD(e.g.,calldatafromalarms)
Other Optional External Data Exchanges:
Financialmanagementsystem
17.1 Use Case Diagram (seepage42)
17.2 Use Case: Application Processing
Theapplicationprocessincludesreviewingtheapplication
toensureallrequirementsaremet.Thereviewwillresultin
eitheranapprovalordenial.Thedecisionwillberecorded
intheRMS,andanoticationwillbegeneratedbythe
systemandsenttotheapplicant.
Guidelinesforapprovalmayincludesuccessfulcompletion
ofspecictrainingand/orpassingabackgroundcheckto
verifytheabsenceofrelevantcriminalhistory.Theremay
befeesassociatedwiththeapplicationprocess.
17.3 Use Case: Collection
Thesystemwilleitherreceivenoticationofpayment
receiptfromthenancialsystemorrecordpaymentforthe
application.Thismodulemerelyassociatesthepayment
withtheapplication;itdoesnotincludecashdrawer
accounting.
17.4 Use Case: Background Investigation
Thepurposeofthebackgroundinvestigationisto
determinewhethertheindividualiseligibleforthelicense
orpermit.Thetypeofpermitorlicensemayrequire
differinginvestigativestepsandprocedures,suchas
collectingngerprintsandcriminalhistorychecks.
Permits and Licenses
17
Business Function:
42 StandardFunctionalSpecicationsforLawEnforcementRecordsManagementSystems(RMS)
17.5. Use Case: Suspension-Revocation
Oncethelicensehasbeenissued,ifalicenseeisarrested
orhastrafcviolations,thesystemwillgenerateanalertto
notifythepermitandlicensegrouptodeterminewhether
thelicenseshouldberevoked.
Theabovesituationcanresultinthegenerationofa
noticationlettertothelicensee.
Application
Processing*
applies
Figure 17.1
Use Case
Diagram—
Permits and
Licenses
Background
Investigation*
Collection
replies
receives
<<extends>>
State
Repository
Applicant
Permits and
License Clerk
Suspension-
Revocation*
<<extends>>
conducts
StandardFunctionalSpecicationsforLawEnforcementRecordsManagementSystems(RMS) 43
External Data Exchanges:
Regulatingauthority(e.g.,generalservices,facility
services)
Other Optional External Exchanges:
Financialmanagementsystem
Purchasing
18.1 Use Case Diagram (seepage44)
18.2 Use Case: Equipment Receipt
TheEquipmentandAssetManagementmodulewillallow
thecaptureofdescriptivecharacteristicsoftheequipment,
associatedidentiersontheequipment,andanyagency-
specicuniqueidentier,suchasaninventorycontrol
number.
18.3 Use Case: Equipment Issuance
Equipmentmaybeassignedtoanorganizationalelement
(e.g.,unit,division,orgroup)oftheagency,aphysical
location,oranindividual.Inaddition,equipmentmaybe
assignedonacheck-in/checkoutbasis(e.g.,dailybasis,
forpatrol).Thesystemmustmaintainalogofallactivity.
Equipmentmaybeauthorizedbutnotissued(e.g.,a
personallyownedweapon).Theauthorizationtocarrythat
equipmentmustbecaptured.
18.4 Use Case: Equipment Checkout
Whenequipmentischeckedouttoaunitorauthorized
person,informationaboutthecheckout(e.g.,individual
receivingequipment,dateandtimeofequipment
checkout,andconditionofequipment)isrecordedfor
trackingpurposes.
Equipmentmanagementdescribestheprocessesthatthe
lawenforcementagencyusesto:
Recordthereceiptofequipment
Recordthesourceoftheequipment
Issueequipmenttoanorganizationalelementor
individual
Trackequipmentcheck-inorcheckout
Managementandtrackingofequipmentmaybefacilitated
bytheintegrationofbar-codingequipment,aRadio
FrequencyIdenticationDevice(RFID),etc.Thesystem
shouldhavetheabilitytostorephotographsofthe
equipment.
TheEquipmentandAssetManagementmoduleshould
generatereportstosupportthephysicalinventoryand
audits,whichwillassistinmanagingtherepair,disposal,
andmaintenanceofagencyequipment.
Insomeagencies,inventoryandcontrolofagency
propertyareregulatedbyauthoritiesoutsidethelaw
enforcementagency.Ifthisisregulatedbyanoutside
agency,aninterfacebetweenthetwosystemsmay
minimizeduplicatedataentry.
Standard Outputs, External Data Exchanges, and
Internal Data Exchanges
Standard Outputs:
Physicalinventoryreport,basedonvaryingsearch
criteria(e.g.,category,age,unit,andlocation)
Physicalinventoryexceptionreport
Check-in/checkoutlog
Equipmenthistory
Equipment and Asset
Management
18
Business Function:
44 StandardFunctionalSpecicationsforLawEnforcementRecordsManagementSystems(RMS)
Thisprocessmaybefacilitatedbytheuseofbar-codeor
RFIDequipment.
18.5 Use Case: Equipment Check-In
Thereturnofequipmentwillincludeanevaluationof
theconditionoftheitem,performanceofmaintenance
procedures,dispositionofequipmentdeemeduntfor
service,andthereturnoffunctionalequipment.
Thesystemmustsupportthegenerationofreportsfor
overdue,lost,stolen,ordestroyedequipment.
18.6 Use Case: Physical Inventory/Audit
Thisfunctionofthesystemmustbeabletogenerate
reportsaboutthephysicalwhereaboutsofagency
equipment.Thephysicalinventorywillresultinthe
identicationofmissingequipment,aswellasequipment
recommendedforrepair,replacement,ordisposal.This
processmayidentifythatthelocationoftheequipment
haschanged.Allinformationgatheredduringthephysical
inventoryisusedtoupdatethesystem.
18.7 Use Case: Equipment Maintenance
Thesystemshallrecordinformationaboutequipment
conditionandmaintenance.Theinformationrecorded
inthismoduleincludesreasonforrepair,costofrepair,
dateofrepair,maintenancelocation,dateexpectedback
inservice,datereturnedtoservice,anddateofnext
scheduledmaintenance.
18.8 Use Case: Equipment Disposal
Thisistheprocessassociatedwithtakingapieceof
equipmentoutofserviceanddisposingofit.Thesystem
changestheequipmentstatusbutwillnotdeleteorremove
historicalrecordsassociatedwiththatitem.
Equipment
Receipt*
participates
Figure 18.1 Use
Case Diagram—
Equipment
and Asset
Management
Equipment
Checkout*
Equipment
Issuance*
issued
manages
<<includes>>
Internal/
External
Person
Inventory
Specialist
Equipment
Check-In*
manages
Physical
Inventory/Audit*
Equipment
Maintenance
Equipment
Disposal
<<includes>>
records
manages
StandardFunctionalSpecicationsforLawEnforcementRecordsManagementSystems(RMS) 45
19.1 Use Case Diagram (seepage46)
19.2 Use Case: Fleet Receipt
TheFleetmodulewillallowthecaptureof:
Descriptivecharacteristicsofthevehicle(e.g.,color,
make,andmodel)
Datethevehiclewasdeployed
Startingmileage
Identiers(e.g.,VINandlicenseplatenumber)
Anyagency-specicuniqueidentier
Thismodulealsowillestablishtheserviceschedule,such
astune-upsandoilchanges.
19.3 Use Case: Fleet Issuance
Fleetissuancereferstotrackingeventsrelatedtoeet
assetissuanceandwhereeetisassigned.Vehicles
areassignedtoaparticularorganizationalelementor
individual.Thesystemshouldallowtheabilitytotrackthe
issuancehistoryofthevehicle.
19.4 Use Case: Fuel Log
TheFleetmodulerecordsthedate,price,andamount
offuelpurchasedateachll-up,aswellasthevehicle’s
mileageatthetimeofll-up.Thisassiststheagencyin
trackingfuel-relatedcosts.
Iftheagencyusesafuelcardsystem,theremaybean
interfacebetweenitandtheFleetmoduletoimportthell-
updatadirectly.
Fleetmanagementincludesallvehicletypes(e.g.,
car,motorcycle,boat,andaircraft)andgenerally
encompasses:
Trackingandissuanceofeetassets
Trackingserviceandmaintenanceschedulesand
history
Partsinventoryandwarranties
Fuelandoilinventoryandusage
Vehicledisposal
Whenmaintenanceorrepairworkisperformedbya
contractor,theeetmanagementmodulemayinclude
functionstotrackvendorsandtheservicestheyprovide.
Equipmentassignedtovehiclesmaybeassociated
withtheidentiersissuedbytheEquipmentandAsset
Managementmodule.
Standard Outputs, External Data Exchanges, and
Internal Data Exchanges
Standard Outputs:
Fleetinventory
Maintenanceschedule
Fleetrepairlog
Fluidconsumption/cost
Vehiclerepaircost
Fleetequipmentlist
External Data Exchanges:
CAD(e.g.,formileageanduseinformation)
Other Optional External Data Exchanges:
Externaleetmanagementsystemmanagedbycity,
county,oragency
Fuelcardsystem
Fleet Management
19
Business Function:
46 StandardFunctionalSpecicationsforLawEnforcementRecordsManagementSystems(RMS)
19.5 Use Case: Fleet Maintenance
Thesystemcanbeusedtorecordinformationabout
vehiclemaintenanceandservice.Theinformation
recordedinthismoduleincludes:
Projectedandactualmaintenanceschedule
Fluidservicing
Vendorprovidingservice
Repairschedule
Repairandmaintenancecosts
Inadditiontoperiodicscheduledmaintenance,avehicle
canenterthisprocessifitisdeterminedtobeinneedof
unexpectedrepair.
19.6 Use Case: Damage Reporting
Agencypersonnelandtheeetmanagerwillperiodically
assesstheconditionofthevehicleandrecordany
damage.
Thismayormaynotleadtoarepairormaintenance
activity.Italsomayleadtoanassessmentofofcer
performance.
19.7 Use Case: Fleet Disposal
Thisprocessisassociatedwithtakingavehicleoutof
serviceanddisposingofit.Thesystemchangesthe
vehiclestatusbutwillnotdeleteorremovehistorical
recordsassociatedwiththatitem.
Fleet
Receipt*
noties
Figure 19.1
Use Case
Diagram—Fleet
Management
Fuel Log
Damage
Reporting*
assigned
manages
<<extends>>
Agency
Personnel
Fleet
Manager
Fleet Issuance
manages
Fleet
Maintenance*
Fleet Disposal
<<includes>>
schedules
records
StandardFunctionalSpecicationsforLawEnforcementRecordsManagementSystems(RMS) 47
ThePersonnelmoduleallowslawenforcementmanagers
tocaptureandmaintaininformationontheindividuals
intheirdepartment,includingvolunteers.Italsomay
includeinformationonpeopleoutsidethedepartment
whohavereceivedtrainingfromthedepartment(e.g.,
peopleattendingacitizen’sacademy).Thisinformation
typicallyincludestheperson’sbasicinformation,such
asemergencycontacts,currentandpastassignments,
education,traininghistory,andcertications.
Inmostlocations,informationabouttheemployeealso
ismaintainedinanexternalhumanresourcesystem.
Toavoidduplicatedataentry,aninterfaceshouldbe
establishedbetweenthepersonnelsystemandthelaw
enforcementRMSpersonnelmodule.
Thismoduleaddressesthosefunctionsthatareuniqueto
alawenforcementagencyand/oraretypicallynotfoundin
astand-alonehumanresourcessoftwareprogram.
TheHealthInsurancePortabilityandPrivacyAct(HIPPA)
appliestothoseagenciesthatprovidehealthcare.
Standard Outputs, External Data Exchanges, and
Internal Data Exchanges
Standard Outputs:
Personnelsummary,basedonvaryingsearchcriteria
Personneldetail
Dutyroster
Trainingandcerticationscheduling
Pendingcerticationandskillexpiration
Issuedequipmentbasedonvaryingsearchcriteria
Healthmaintenancerequirementsfordutystatus
Standard External Data Exchanges:
Humanresources
Stafngdeploymentsystem
CAD
Standard Internal Data Exchanges:
Equipmentandassetmanagement
Fleetmanagement
20.1 Use Case Diagram (seepage49)
20.2 Use Case: Operational
Management
RMSshouldbeabletodrawonRMSdatatoidentify
potentialpersonnelandorganizationalissues.The
informationincludesbiased-basedpolicing,usesofforce,
vehiclepursuits,vehiclecrashes,employeeinjuries,
citationdata,eldcontactreports,citizencomplaints,and
civilandcriminalactions.
Managementshouldbeabletoconductanalyses,aswell
asadhocreportingontheseparameters.Management
shouldhavetheabilitytodenethresholdsondata
elementsofinterestandbenotiedwhencertainvalues,
eitheraboveorbelowthethresholds,havebeenreached.
20.3 Use Case: Personnel Information
Thesystemmustallowforthegatheringandmaintenance
ofbasicinformationforallpersonnelworkingfor
thedepartment.Informationmayincludenames
andaddresses,physicalcharacteristics,assigned
equipment,emergencycontactinformation,specialskills,
classications(e.g.sworn/nonsworn),andrankhistories.
Personnel
20
Business Function:
48 StandardFunctionalSpecicationsforLawEnforcementRecordsManagementSystems(RMS)
Healthmaintenanceisimportanttoagencyproductivity,
andsomeaspectsofprotectingemployeehealthare
mandatedbylaw.ThePersonnelmodulewillsupport
trackingrequiredvaccinationsandmedicalbaselines,
suchastitertestsfortuberculosisexposure.Anagency-
specictableshouldmaintaininformationonvaccinations
requiredbylaworrecommendedbytheagencyandeach
vaccination’sdurationofefcacy.ThePersonnelmodule
willcollectinformationondate,type,andexpirationdate
ofvaccinationsemployeesreceive.Reportsgeneratedto
supervisorswillalerttheagencytoupcomingexpirations
andneededvaccinations.Similarly,themodulewillcollect
informationoncurrenthealth-relateddutyrestrictions
affectingemployees,producesupervisorreportstoensure
employeedutiesareassignedappropriatelytoprevent
injury,andpermitlongitudinaltrackingandanalysisof
medicallimitationsforriskmanagement.
20.4 Use Case: Scheduling and
Assignment
Theschedulingportionallowsforthecreationand
maintenanceofschedulepatterns(e.g.,dayson,days
off,andassignedhours).Theassignmentportionrecords
theofcerassignment,shift,andlocationandassociates
theofcerwithaparticularpattern.Asassignments
change,thepersonnelrecordisupdatedtoreectthenew
assignment.Allexceptionstotheofcerassignmentmust
berecorded.
Thesystemcreatesthedutyroster,whichisbasedonthe
assignment,schedule,andexceptionstotheschedule.To
beabletogeneratepastandfuturerosters,acomplete
historyofassignments,patterns,andexceptionsare
maintained.
Ifthedepartmentusesamanpowerdeploymentsystem,
thesystemcanbeusedfordeningandnalizingchanges
intheoverallplanforresourceutilization,andchanges
intheassignmentcanbeupdatedinthePersonnel
Informationmodule.Theseautomatedupdateswillrequire
aninterfacebetweenthetwosystems.
20.5 Use Case: Exceptions
Afterschedulesandassignmentshavebeengenerated,
itwillthenbenecessarytodocumentallconictswith
previouslycreatedworkschedules.Theexception
canincludeanyotherdutyorassignmentoutsidethe
scheduledorassignedpattern(e.g.,training;vacationor
sickleave).
20.6 Use Case: Duty Roster
Fromtheschedulingrotation,assignment,andexception
information,thesystemgeneratesthedutyrosterfora
particulartimeperiod(e.g.,past,present,orfuture)the
supervisorselects.
20.7 Use Case: Training and
Certification
ThePersonnelmoduletrackstraininghistoryandthe
certicationprocess.Thecerticationprocessincludes
ofcercerticationstatus;deadlinesformaintaining
certications,includingnecessaryhoursoftraining,etc.;
andstudentperformance.
StandardFunctionalSpecicationsforLawEnforcementRecordsManagementSystems(RMS) 49
Personnel
Information*
creates
Figure 20.1
Use Case
Diagram—
Personnel
Duty Roster
Operational
Management*
provides
compiles
Law
Enforcement
Ofcer
Human
Resources
Scheduling and
Assignment*
conducts
Exceptions*
Training and
Certication*
assigns
records
Supervisor
Training
Ofcer
participates
receives
StandardFunctionalSpecicationsforLawEnforcementRecordsManagementSystems(RMS) 51
Alawenforcementagency’sInternalAffairs(IA)Division
thoroughlyinvestigatesallegationsofmisconductonthe
partofemployeesofthedepartment.
Thereareseveralcommonadministrativerequirements
thathelpisolatetheIAinvestigationinformation.The
IAsystemmusthavemultiplelevelsofsecurityforthe
applicationitself,forindividualrecordsorgroupsof
records,andforindividualorgroupsofelds.Duetothe
sensitivityoftheinformationcollectedinIAfunctions,the
datacouldbeencrypted.
RMSwillstoreallinformationrelatedtotheIA
investigation.
21.1 Use Case Diagram
21.2 Use Case: Conduct IA Investigation
ThepurposeofanIAinvestigationistoensurethat
departmentpolicyandproceduresarefollowedandthat
agencystandardsofprofessionalismareadheredtobyall
departmentemployees.
Inmanyways,IAinvestigationsareconductedinamanner
similartocriminalinvestigations.Subjects,witnesses,and
complainantsareinterviewedandthatinformation,along
withthefactsofthecase,isrecordedintheInternalAffairs
module.
SecuritylevelswithintheInternalAffairsmodulewilllimit
theavailabilityofinformationaccessiblethroughother
RMSmodulesandindices.Anagency-designatedrecipient
willreceiveanalertwheneverapartytoaninvestigationis
thesubjectofaqueryorifanyotherRMSactivityoccurs
regardingthatparty.
Internal Affairs
21
Business Function:
Conduct IA
Investigation*
Figure 21.1
Use Case
Diagram—
Internal
Affairs
reviews
Law
Enforcement
Executive
IA
Investigator
conducts
StandardFunctionalSpecicationsforLawEnforcementRecordsManagementSystems(RMS) 53
Analyticalsupportisthesystematicprocessofcollecting,
collating,analyzing,anddisseminatingtimely,accurate,
andusefulinformationthatdescribespatterns,trends,
problems,andpotentialsuspects.RMSshouldsupportthe
toolsusedbytheanalystinthiswork.Analyticalsupport
canbesubdividedintofourmaintypes:
TacticalAnalysis:Providesinformationtoassist
operationspersonnelintheidenticationofspecic
policingproblemsandthearrestofcriminaloffenders.
StrategicAnalysis:Providesinformationconcerning
long-rangecrimeproblems.Strategiccrimeanalysis
providesinformationconcerningcrimeratevariations
andprovidesgeographic,economic,social,and/or
othertypesofgeneralinformationtoadministrators.
AdministrativeAnalysis:Providesinformationto
supportadministrativedecisionsrelatedtoresource
allocationandtosupportbudgetrequestsand
decisions.
ForecastingAnalysis:Acombinationoftactical,
strategic,andadministrativeanalysis;mergingmultiple
setsofdata.
Inadditiontobeingabletoqueryandproduceadhoc
reportsonanynumberofindicators,analyticalsupport
alsoincludesstandardizedreportingfunctionality.One
exampleofastandardizedreportiscrimestatistics.Crime
statisticsareessentiallycomparativestatisticsonthe
communitycrimerate,whichcanbedisaggregatedby
speciedtimeframes,offenses,andcomplaintsbybeator
zone.
RMSmustinterfacewithanalyticalsupporttools,suchas
crime-mappingsoftwareandlink-analysis,datamining,
spatial,andtemporaltools.Theresultsoftheseanalyses
shouldbestoredinRMSforatimedeterminedbythe
jurisdiction’sSOPandcanbeusedtoassessagency
performanceandprovidesupportforadministrative
1.
2.
3.
4.
decisions.RMSshouldhaveavarietyofreporting
functionsattachedtotheirAnalyticalSupportmodulesand
allowpresentationofinformationinavarietyofformats,
suchasbargraphs,piecharts,andlinegraphs.
RMSshouldsupporttheabilitytoaggregatedataonthe
variousindicators,suchas:
Currentperiodvs.previousperiod
Currentperiodvs.historicalaverage
Percentageoftotalcrimesforperiodby:
Reportingdistricts
Areas/beats/zones
Teams/shifts
Percentagechangefrompriorperiods(i.e.,trend)
RMSshouldcontaintheabilitytoconductcrime
distributionanalysisbasedonanumberofcriteria,
including:
Byarea/beatorreportingdistrict(i.e.,ZIPcodes)
Bytime,date,anddayofweek
Frequencyofoccurrence
Citation
Crime/incidentreportnumber
Fieldinterviewdata
Searchwarrantdata
Vehicleinformation
Typeofoffense(e.g.,residential,auto,orbusiness)
Thesystemalsoshouldincludestandardizedreports,such
asgeneraloffenseactivity,offenseactivitybydayofweek,
andoffenseactivitybybeat.Everyeldofoperational
datainRMS(i.e.,dataenteredbytheuserinanyform,
notcongurationorsystemcontroldata)shouldbe
Analytical Support
22
Business Function:
(Crime Analysis)
54 StandardFunctionalSpecicationsforLawEnforcementRecordsManagementSystems(RMS)
searchable,includingnarrative(e.g.,textormemo)elds.
Thiscanbedonebyusingqueryinterfacesthatarepart
oftheapplicationor,ataminimum,usingthird-partytools
thatcanaccesstheoperationaldatabaseviaOpenData
BaseConnectivity(ODBC).
RMSshouldincludeanalertfunctionrelatedtoanalytical
supporttoprovidefortheimmediatetransmissionof
informationtolawenforcementofcersintheeld.
RMSshouldsupportaqualitycontrolprocessonincoming
reportstoensurethatdataarecorrectlyandcompletely
entered.
RMSshouldcontaincompletedataelementsthatrelate
totime,suchastheday,timeofday,week,date,month,
andyear.Italsoshouldincludealocallydeterminedand
previouslyvalidatedgeographicreference.
RMSshouldsupportcrime/suspectcorrelationsto
showarelationshipbetweenasuspectandanoffense.
Thecorrelationsmaybemadebyusinganynumber
ofselectedcriteriainwhichuniqueanddistinguishing
characteristics,physicalidentiers,modusoperandi,and
variousothercommontraitsofoffendersareknown.These
identiersmaybecapturedasapartofmultipledifferent
businessfunctions,includingincident,eldcontact,arrest,
accident,citation,MNI,MVI,MLI,andMOI.
Standard Output:
Crimedistributionanalysisreportsusingthecriteria
listedabove
Standard External Data Exchanges:
Third-partymappingandgraphingtools
RegionalInformationSharingSystems(RISS)(i.e.,
basedonGlobalJXDM,NCICstandards)
22.1 Use Case Diagram (seepage55)
22.2 Use Case: Tactical Analysis
Tacticalanalysisprovidesinformationtoassistpersonnel
intheidenticationofspecic,immediatecrimeor
disorderproblemsandthearrestofcriminaloffenders.
Tacticalanalysisprovidesinformationtoassistpersonnel
(e.g.,patrolandinvestigativeofcers)inpreventing
anddisruptingcriminalbehavior,identifyingspecic
andimmediatecrimeproblems,andarrestingcriminal
offenders.Analyticaldataareusedtopromoteaquick
responsetoeldsituations.
22.3 Use Case: Strategic Analysis
Thepurposeofstrategicanalysisistoprovideinformation
concerninglong-rangeproblems.Strategicanalysisis
primarilyconcernedwithsolutionstoongoingproblems.
Itresultsintheabilitytoaccomplishtheagencymission
moreeffectivelyandefciently.
22.4 Use Case: Forecasting Analysis
Thepurposeofforecastinganalysisistopreventcrime
byanalyzinginformationcollectedinRMSandcorrelating
itwithexternalsources.Itcaninvolvetheapplicationof
advancedanalyticalmethodstoforecasttheoccurrenceof
speciccrimesortrends.
RMSshouldsupporttheabilityoftheanalysttogenerate
theForecastingAnalysisreport.Thereport’sformatshould
betailoredtomeettheparticularrequirementsofthe
customerswhoreceivetheinformation,whethertheyare
patrol,investigative,oradministrativepersonnel.
22.5 Use Case: Administrative Analysis
Administrativeanalysisdevelopslong-range(e.g.,
quarterly,semiannually,orannually),strategic
comparisonsandreportsthemexternally.Examplesof
administrativecrimeanalysistasksmayincludeproviding
economic,geographic,andlawenforcementinformation
tolawenforcementmanagement,neighborhood/citizen
groups,otherappropriateagencies,andthepublic.
Whererequiredbytheagency’sSOP,RMSshould
supporttheabilitytogeneratestatisticalreportsonalllaw
enforcementactivitieswithinthatagency,allocatecosts
tothoseactivities,andtrackperformancemeasuresas
denedbytheagency.
StandardFunctionalSpecicationsforLawEnforcementRecordsManagementSystems(RMS) 55
Figure 22.1 Use
Case Diagram—
Analytical
Support (Crime
Analysis)
Tactical
Analysis*
Strategic
Analysis*
<<extends>>
Analysis
Tools
Analyst
Forecasting
Analysis*
Administrative
Analysis
<<extends>>
accesses
conducts
Customer
conducts
receives
receives
conducts
receives
accesses
accesses
<<extends>>
StandardFunctionalSpecicationsforLawEnforcementRecordsManagementSystems(RMS) 57
RMSreportsdocumentofcerandagency-wideactivityor
performanceinagivenarea.Manyreportsarecreated
overthecourseofconductingpolicingbusiness(e.g.,
arrestreportandincidentreport).Aggregatedreportsare
conductedbylineandsupervisorystaffandreviewedby
lawenforcementexecutives.Role-basedsecurityshould
restrictaccesstosomereports.
Lawenforcementpersonnelmustbeabletogenerate
standardizedreportsandaggregatereports,aswellas
queryRMStoproduceadhocreportsfromtheRMS
reportsmodule.
ExamplesofstandardizedreportsfromRMSbusiness
functionsare:
Incidentreports
Accident/crashreports
Property/evidencereports
Citationreports
Fieldinterviewreports
UniformCrimeReports(UCR)/NationalIncident-Based
ReportingSystem(NIBRS)
Casemanagementreports
Billingreports
Summaryreportsforwarrants,citations,CFS,
accidents,andemployees
Typically,third-partyproductsareusedforadhocqueries
andreports.
23.1 Use Case Diagram (seepage58)
23.2 Use Case: Aggregate Reporting
Aggregate,agency-widereportingallowslawenforcement
personneltoassociateinformationinavarietyofways
andamonganumberofdifferenttablesorelds,including
CFS,warrants,incidentreports,trafcdata,propertydata,
andweaponsdata.
Managersmustbeabletoquery,retrieve,anddisplay
informationinavarietyofways.Theymustbeableto
queryonindicators,suchasdateoftheincident,case
type,andassignedofcer.Theyshouldbeabletoproduce
reportsfromalistofstandardizedreportsoronanadhoc
basis.
Thequeryanddataretrievalsystemmustbeintegrated
withtheRMSsecuritysystemsothatthedepartmentcan
designatesearchandquerytypesanddepthsbypassword
orgroupsofpasswords.
23.3 Use Case: Standardized Reporting
Eachmoduleincludesitsownsetofstandardizedreports,
whichalsoareavailablethroughtheRMSIncident
Reportingmodule.
23.4 Use Case: Ad Hoc Reporting
Theagencymayneedoperationalreportsandanalysis
thatarenotprovidedbystandardRMSreportsand
queries.Adhocreportingwillallowausertodeneand
createtheseadditionalcustomreports.Oncecreated,
thesecustomreportscanbesavedandrunasstandard
reports.
RMSshouldprovideatoolthatcanbeusedtoproduce
anynumberofadhocreports.
RMS Reports
23
Business Function:
58 StandardFunctionalSpecicationsforLawEnforcementRecordsManagementSystems(RMS)
Theseadhocreportingtoolsmaybeprovidedusinga
third-partysolution.Thissolutionmaybeimbeddedin
theapplicationorrunasastand-alone.Adhocreporting
functionsthatareimbeddedintotheRMSsolutionmay
useexistingRMSsecuritycontrols.Stand-alone,
adhocapplicationsopenthepotentialtobypasstheRMS
securitycontrols(e.g.,juveniledata,sealedrecords,and
redactedrecords).Thestand-aloneapproachmayallow
anagencytohaveabroaderselectionofadhoctools.
However,therearetrade-offs,suchasthesecurityissue
notedabove.
Anotherapproachistoextractdata,excludingsecured
information,intoseparatedatawarehouses.Thatway,
stand-alone,adhoctoolscouldbeusedtoaccessthedata
withoutcompromisingRMSsecuritycontrols.
Aggregate
Reporting*
Figure 23.1
Use Case
Diagram—
RMS Reports
Law
Enforcement
Ofcer
conducts
Ad Hoc
Reporting
Standardized
Reporting
conducts
conducts
StandardFunctionalSpecicationsforLawEnforcementRecordsManagementSystems(RMS) 59
WhilemostRMSsystemsarestandard,theyshouldbe
congurablesothattheycanbeusedtomeetspecic
agencyrequirements.TheRMSsystemsadministration
functionsaddressRMScongurableaspects.
Systemadministrationencompassesawidearrayof
generalfunctionsthatlawenforcementagenciesneed
fromtheirRMStobeabletocreateandqueryinformation
effectively;ensureappropriateaccesstoinformation
andsystemssecurity;andensureeffectivedepartmental
information,image,anddocumentmanagement.
Examplesofadministrativefunctionsinclude:
RMStablemaintenance
RMScongurations(e.g.,parameters,defaults)
Security(e.g.,userrole,jurisdiction)
Geole
Datamanagement(e.g.,datadictionary,archiveand
purge)
Standard Outputs, External Data Exchanges, and
Internal Data Exchanges
Standard Outputs:
Reportonusers,sortablebynames,accesslevel,
passwordage,andmachineused
ReportonRMSuse,sortablebyuserlog-in,frequency,
totaltimeinsystem,numberofconcurrentlog-ins,
machineused,anddurationtime-outs
Reportonfailedlog-ins,sortablebylog-inname,
numberofattempts,date/timeofattempt,andmachine
used
Reportonsubsystemsecurityviolations
Alerts;user-denablesecurityviolations,which
generateanexternalmessagetopredenedlocations
Standard Internal Data Exchanges:
Agencynetworkoperatingsystem
E-mailsystemforalerts
24.1 Use Case Diagram (seepage60)
24.2 Use Case: Security
Systemsshouldallowtieredaccesstoinformation,based
onpasswordsandotherauthenticationandnonrepudiation
practices.Role-basedauthenticationandauthorization
mustbeapartofRMS.Otheridenticationtechnologies
suchasbiometrics,identicationcards,andsecurity
tokensareemergingstandards.
Systemsshouldapplyappropriateeditstoallentereddata
toensuredataintegrityandmaintainactivitylogsandaudit
trails.
24.3 Use Case: RMS Table Maintenance
RMSshouldincludetheabilityfortheuseragencyto
deneandmaintaincodesandassociatedliterals(i.e.,
plainEnglishtranslation)forasmanydataelementsas
possible.Theliteralsshouldbestoredinthedatabase,as
appropriate.
Whereavailableandapplicable,RMSshouldusethe
authoritativecodetablesreferencedinGlobalJXDMand
NCIC.
RMS System
Administration
24
Business Function:
60 StandardFunctionalSpecicationsforLawEnforcementRecordsManagementSystems(RMS)
24.4 Use Case: Data Management
Datamanagementincludesthefollowing:
Recordexpungementandsealing
Dataredaction
Datadictionary
Thesetopicsarefurtherdescribedinthefollowing
paragraphs.
Record Disposition
RMSmustbeabletosupportexpungement,sealing,and
purgingofwholerecordsandpartialrecords.Tosupport
thisfunction,thesystemmustbeabletoagarecord,
agdataelementswithinarecord,anddeletearecord.
Theagshouldindicatewhytherecordordataelementis
restricted.
Data Redaction
Redactionistheprocessofeditingreportinformation
toltersensitiveorcondentialinformationbeforethe
reportisreleasedtothepublicorforgeneraluseoutside
thedepartment.Thetypeofinformationthatisedited
includesvictims’namesincertaintypesofcases,juvenile
information,orinformationthatisconsideredbythe
agencytobesensitivetoaninvestigation.
Inthecaseofformattedandstructureddata,reportoutput
programscanproducearedactedversionofspecicreport
data.Inthecaseofnarrativeorotherwiseunstructured
information,theredactionprocessrequiresamanualstep
toproduceapublicversionofthereport.
Generalizedreporttools,ifemployedtoproducereports
forpublicconsumption,shouldbeusedonlyondatathat
havealreadybeenredacted.
Data Dictionary
RMSmustprovideacapabilitytodisplayand/orprintthe
databasestructurestoallowtheendusertoaccessthe
databasetablesthroughthird-party,adhocinquirytools/
utilities.
Security
Figure 24.1
Use Case
Diagram—
RMS System
Administration
System
provides
RMS
Table
Maintenance
Data
Management
Geole
Maintenance
RMS
Conguration
provides
provides
provides
provides
StandardFunctionalSpecicationsforLawEnforcementRecordsManagementSystems(RMS) 61
Thedatadictionarymaycontainthefollowinginformation
foreachelddescription:
Fieldname(e.g.,externalrepresentation)
Databasecolumnname(e.g.,internalrepresentation)
Datatype(e.g.,numeric,alpha,ordate)
Fieldsize
Fieldformat(i.e.,outputformat)
Editorvalidationcriteria
Associatedcodetable
Defaultvalue
Description
24.5 Use Case: Geofile Maintenance
Thegeoleisusedtovalidateandstandardizelocation
andaddressinformation.Italsoisusedtocross-reference
addressesandlocationswithlawenforcement-dened
reportingareas,X/Y/Zcoordinates,ZIPcodes,andother
identiers.Thegeolecontainssufcientinformationto
ensurethatanaddressisvalid.Furthermore,itprovides
cross-referencestoaddressesandlocationsusing
commonplacenames(e.g.,businessnames,parks,
hospitals,andschools)andstreetaliases.Itincludes
informationsuchasdirectionoftravelonparticularstreets
andcanidentifythesideofastreetforaspecicaddress.
ItisassumedthatalladdressesinRMSarevalidated
usingthesystemgeole.
Thereportingareadenedaboveshouldbeusedto
denebeats,sectors,commandareas,neighborhoods,
communities,etc.
Thegeolecontainsthegeographicinformationthatisthe
basisformanydecisionsinacommunicationscenter.The
systemneedstoprovidetheabilityforanagencytoenter
andupdateallgeoledata,includingthephysicaladdress
andtheX/Y/Zcoordinates.
Thecreationofacomprehensivegeoleisasignicant
undertaking.Thesystemshouldsupportthecreationand
maintenanceofthegeoleusinganavailablemapping/
GeographicInformationSystem(GIS)database.Geole
informationinCADandRMSshouldbesynchronized,
basedonestablishedparameters.
24.6 Use Case: RMS Configuration
SomeparametersofRMSshouldbecongurableby
thesystemadministrator.Forexample,thesystem
administratorshouldbeabletomodifythesystem
variables,suchasagencyandchief’sname,Originating
AgencyIdentier(ORI),address,andphonenumber.
Changestoparameters,suchasjuveniledefaultage,
X/Y/Zorstateplanegeographycoordinates,andname
matchrules,shouldbeallowed.
Thesystemadministratoralsomusthavetheabilityto
denetheconditionsunderwhichanalertornoticationis
issued.
InamultijurisdictionalRMS,thesystemadministrator
shouldbeabletochangetheparametersforeach
participatingagency.
Anycongurationchangesthatcouldaffectsystem
integritymustbeproperlyaggedwithadequatewarning
topreventinadvertentdamagetothesystem.
StandardFunctionalSpecicationsforLawEnforcementRecordsManagementSystems(RMS) 63
RMSfrequentlyrequiresfunctionalitytoexchangedata
withothersystems.Theexactnatureofthoseexchanges
will,inlargepart,bedeterminedbylocalbusiness
practicesandlocalagencyworkows.Allinterfacesneed
tocomplywithnationalstandards.Eachbusinessfunction
includesexamplesofdataexchanges.
25.1 Use Case Diagram
25.2 Use Case: CAD Interfaces
InformationmaybetransferredfromCADtoRMSwhen
unitsareinitiallydispatched,anincidentnumberis
assigned,and/orthecallisclosedinCAD.
CADusersrequiretheabilitytoretrieveinformationfrom
RMSbasedonname,location,andvehicledescriptors.
25.3 Use Case: Local/Regional Interfaces
RMSusersneedtoaccessandpossiblyupdateavariety
oflocalandregionalsystems.Examplesincludecourts,
prosecutor,nancialsystems,JailManagementSystems,
humanresourcessystems,andmultijurisdictional
informationsystems.Dataexchangeswithmanyofthese
systemsareidentiedinthespecicbusinessfunctionsin
thisspecication.
Theseinterfacesshouldbebasedonnationalstandards,
suchasGlobalJXDMandNCIC.
25.4 Use Case: State/Federal Interfaces
RMSneedstoquery,add,ormodifyinformationstoredin
stateandfederalsystems.Examplesincludeupdatesfor
wantedpeople,missingpeople,stolenvehicles/property,
andstatesexoffenderregistries.
Theseinterfacesshouldbebasedonnationalstandards,
suchasGlobalJXDMandNCIC.
RMS Interfaces
25
Business Function:
CAD Interfaces
Figure 25.1
Use Case
Diagram—
RMS
Interfaces
CAD
Local/Regional
Interfaces
State/Federal
Interfaces
Local/
Regional
Systems
State/
Federal
Systems
RMS
StandardFunctionalSpecicationsforLawEnforcementRecordsManagementSystems(RMS) 65
LEITSChadamissiontocreateanationalstandardfor
lawenforcementRMSandhassucceededincarryingout
thistask.
TheRMSfunctionalstandardsaremeanttodescribe
theminimalamountoffunctionalitythatanRMSforlaw
enforcementshouldcontain.Thesestandardsshouldbe
usedasastartingpointtobuildafullyfunctionalRMS,
basedonagencyneedsandopenstandards,toefciently
interfaceandshareinformationwithothersystems,both
internallyandexternally.Theyaredesignedtoserveasa
guidingtoolforlawenforcementagenciesandshouldbe
tailoredtotthespecicneedsofeachlawenforcement
agencyorgroupofagencieslookingtoupgradeor
purchaseanewRMS.AlthoughtheRMSfunctional
standardswerenotdevelopedtosubstituteforanRFP,
theycanbeusedtosupplementanRFP.
Thefunctionalstandardsfoundinthisdocumentare
intendedtobegenericinnatureanddonotfavorone
particularsystemorapproachoveranother.Theyareat
thefunctionallevel,meaningthattheydenewhatistobe
accomplishedversushowitshouldbeaccomplished.
TheRMSfunctionalstandardsweredevelopedbythe
LEITSCFunctionalStandardsCommitteeandarenow
availabletoalllawenforcementagencies.
Conclusion
27
Acronyms: RMS
AFIS Automated Finger Print Identication System
BJA Bureau of Justice Assistance
CAD Computer Aided Dispatch
CFS Calls for Service
DMV Department of Motor Vehicles
DOJ U.S. Department of Justice
DOT U.S. Department of Transportation
DUI Driving Under the Inuence
EFTS Electronic Fingerprint Transmission Specication
FBI Federal Bureau of Investigation
GIS Geographic Information System
Global JXDM Global Justice XML Data Model
HIPPA Health Insurance Portability and Privacy Act
IA Internal Affairs
IACP International Association of Chiefs of Police
IAFIS Integrated Automated Fingerprint Identication System
IJIS Integrated Justice Information System Institute
JMS Jail Management System
LEITSC Law Enforcement Information Technology Standards Council
MDC Mobile Data Computer
MLI Master Location Index
MNI Master Name Index
MOI Master Organization Index
MPI Master Property Index
MVI Master Vehicle Index
NCIC National Crime Information Center
NIBRS National Incident-Based Reporting System
NIEM National Information Exchange Model
NIJ National Institute of Justice
NIST National Institute of Science and Technology
NOBLE National Organization of Black Law Enforcement Executives
NPOR National Protection Order Registry
NSA National Sheriffs’ Association
ODBC Open Database Connectivity
OJP Ofce of Justice Programs
ORI Originating Agency Identier
PERF Police Executive Research Forum
RFID Radio Frequency Identication Device
RFP Request for Proposal
RISS Regional Information Sharing Systems
RMS Records Management Systems
SID State Identication Number
SOP Standard Operating Procedures
UCR Uniform Crime Report
VIN Vehicle Identication Number
XML Extensible Markup Language
X/Y/Z Longitude, latitude, and altitude
Law Enforcement Records
Management Systems
(RMS)
Standard Functional Specifications for
Bureau of Justice Assistance
Office of Justice Programs U.S. Department of Justice
Developed by the
Law Enforcement Information Technology
Standards Council (LEITSC)
National Institute of Justice
The Research, Development, and Evaluation Agency of the U.S. Department of Justice
NIJ