STATE OF MINNESOTA DEPARTMENT OF PUBLIC SAFETY

Transcription

1 STATE OF MINNESOTA DEPARTMENT OF PUBLIC SAFETY BUREAU OF CRIMINAL APPREHENSION Integrated Search Query Service Published On: 10/20/2009 Service Release Version#: 1.4 Prepared By: Bureau of Criminal Apprehension Criminal Justice Information Systems 1430 Maryland Avenue East St. Paul, Minnesota Service Description Consumer of Services Service Inputs Service Outputs SERVICE SUMMARY Provides a wide range of criminal justice information queries into various criminal justice repositories based on the end user s access priviledges. Restricted to corrections / probations, courts, human services, law enforcement, prosecutors and public defenders. Based on an authorized user s criminal justice role their access to criminal justice repositoriesand information within is restricted. Required Inputs: User ID User Password Selected Source Systems Sufficient query criteria will be required to perform queries from the following source systems: o Statewide Supervision System (S3) o Predatory Offender Registry (POR) o Minnesota Repository of Arrest Photos (MRAP) o Court Web Access (CWS - public TCIS/MNCIS) o Minnesota Hotfiles queries: QDP, QMW, QDLI o Minnesota Criminal History (CCH) queries QHM and QRM Outputs: Success or Failure messages as provided by the associated source systems Record ID Correlation ID Success or Failure messages as provided by the ISS Web Service

2 Table of Contents SERVICE SUMMARY... 1 BUSINESS OUTCOME... 3 STATEMENT... 3 DRIVERS... 3 POLICIES... 3 STATUTES... 3 OBJECTIVES... 3 SCENARIOS... 4 SERVICE OVERVIEW... 5 INPUT DETAIL AND BUSINESS VALIDATION RULES... 6 SERVICE CONSUMERS AND ACCESS RIGHTS... 6 SERVICE-SPECIFIC INFORMATION... 7 CONTACT INFORMATION... 7 TECHNICAL SERVICE DEFINITION... 8 ACCESSING THE SERVICE... 8 SERVICE INTERACTION PATTERN... 8 PRE-CONDITIONS (TECHNICAL)... 8 POST-CONDITIONS (TECHNICAL)... 9 SERVICE INTERFACE... 9 MESSAGE FORMAT... 9 EXCEPTION CONDITIONS AND ERROR HANDLING SECURITY PROFILE APPENDIX A: GLOSSARY APPENDIX B: QUERY CRITERIA BUSINESS RULES APPENDIX C: EXAMPLE XML INSTANCES APPENDIX D: ACCESS MATRIX APPENDIX E: SAMPLE SOAP FAULTS APPENDIX F: DOCUMENT REVISION HISTORY Page 2 of 28

3 Business Outcome Statement The business outcome for this service is information about one or more individuals from multiple source systems without having to individually query each system. This will ensure prompt delivery of criminal justice information. This service also provides the ability to perform a query on a data subject that will return a list of source systems that hold records on the data subject and contact information for the source systems. Drivers The need for this service initiated with requests from criminal justice users throughout the state for a service that would allow them to access multiple source systems with one user name and password. The ISS data subject access was created in response to MS Policies Information provided by this service is confidential and may only be shared with other criminal justice agencies/personnel as needed for valid criminal justice purposes. Statutes 299C.46 Criminal Justice Data Communications Network Integrated Search Service Data Subject Access Records of Person Receiving State-Operated Services Access to Government Data Objectives Allow criminal justice agencies/personnel to access multiple criminal justice repositories from one sevice/application. Allow criminal justice agencies/personnel to retrieve criminal justice information in an asynchronous fashion (query results will be returned to user as soon as a source system has responded without waiting for all queried source systems to respond before returning query results to user). Provide query results from the selected source systems that meet user s search criteria. Provide the ability to perform a query on behalf of a data subject that will provide the subject with a list of source systems that currently hold records on them and to provide contact information for the individual source systems. Page 3 of 28

4 Scenarios Following is an example of potential ways that the service provided as a result of this Business Outcome could be used: A Law Enforcement Officer in the field is responding to an incident and needs to check the suspect s criminal history, any FBI s NCIC Hotfiles information on the subject, Predatory Offendor Registration information on the subject, prior arrest information and arrest photo of the subject from the MN Repository of Arrest Photos. The officer can access Integrated Search Query Service through a query service and perform a query on the subject and select the Computerized Criminal History (CCH), Hotfiles, POR & MRAP systems. The end user provides at least the minimum search criteria for the intended source system(s). After providing the search criteria, the user submits the search criteria without selecting any source system(s). System notifies user of error and requests user to select at least one source system on which to perform the Search. The end user provides the source system(s) on which he/she wants to perform the query and submits the search. System validates user s search criteria and determines that user has not specified any search criteria prior to submitting the query. The system notifies user of the error. This time, user provides at least the minimum search criteria for the intended source system(s). User submits the search criteria. System validates user s search criteria. A Law Enforcement agency has a request from a data subject to know what ISS source systems hold data on them. The agency could initiate a Data Subject Query through a search application and retrieve the associated list of source systems that hold records along with the contact information for each of the source systems. If a Law Enforcement agency performing a data subject query for an individual omits a mandatory search criteria, the system displays an error message and user may re-enter criteria and submit the query again. If a Law Enforcement agency performing a data subject query for an individual enters an invalid query criteria, the system displays an error message and user may re-enter criteria and submit the query again. If a data subject has records in Confidential databases those records will not be included in the query results when a Law Enforcement agency performs the Data Subject Query through a search application. If a Data Subject query is done on a common name, the results should be an exact match of all criteria entered. The Law Enforcement Agency should not get any Soundex or other names/dates of birth, etc returned. A Law Enforcement user without access to all source systemswithin ISS, should be able to successfully perform the data subject query through a search application and get the same results as a user with access to all source systems. (Query should still be sent to DVS, S3, CWS, MRAP, POR, and CCH. Page 4 of 28

5 Service Overview This service is a companion in a set of four services: Integrated Search Query Service provides a wide range of criminal justice information queries into various criminal justice repositories. Integrated Search Results Service provides the capability to retrieve results from an Integrated Search Query Service in XML format. Integrated Search User Service provides log in, log out, and account management functionality for the Integrated Search: Query, Results and Source System Services. Integrated Search Source Service provides source data to the Integrated Search Query Service. Organizations who wish to consume Integrated Search Services must plan to consume all four services. This service provides the ability for authorized criminal justice personnel to search and retrieve criminal justice information from various criminal justice repositories the user is authorized to access. This will allow users to retrieve information from multiple source systems at once without having to query each individual system separately. This will ensure prompt delivery of criminal justice information. This service also provides the ability for a law enforcement agency to perform a query on a data subject that will return a list of source systems that hold records on the data subject and contact information for the source systems. SearchRequest: Allows the user to provide criteria to be used to query one or more specified source systems that the user is authorized to access. SearchResponse: Provides the user with record level resultsbased upon the criteria provided via the SearchReqeust. This record level result contains basic demographic information for the matching record. The detailed record information can be retrieved by utilizing the getresultsrequest and getresultsresponse. If there was an error during the search process, appropriate error messages are returned. getresultsrequest: Allows the user to request the detail for a record by providing the appropriate record identifier. getresultsresponse: Provides the user with the complete detail associated with a criminal justice record. The inputs and outputs of the summary request and the detail request are shown below. Page 5 of 28

6 ISS Web Service Diagram: Input Detail and Business Validation Rules See Appendix B. Service Consumers and Access Rights This is a query-only service that is offered to criminal justice practitioners in the execution of their official duties. The following criminal justice roles are authorized: Corrections-Probations Courts Page 6 of 28

7 Human Services (specific criminal justice roles only) Law Enforcement Prosecutors Public Defenders BCA staff See Appendix D for Access Matrix. Service-Specific Information Service-Level Expectations This is a restricted service. The service is a high level service, meaning that an outage would have a high impact on public safety, would be highly visible to users, and would impact multiple users, systems or applications. Support The BCA intends that the service is available 24 X 7. Should a problem arise, BCA support for the service is available 8:00 AM to 4:30 PM Central time, Monday through Friday, excluding state holidays. Training The consuming agency is responsible for training their individual users on appropriate use, dissemination, and security requirements of this service. Access to certain source systems require training and certification: Minnesota Criminal History and LEMS source systems require users to be trained and certified to access data. Client agencies and their ISS Agency Administrators are responsible for ensuring users have taken the required training,have passed certification tests if appropriate, and are current in their certification. Auditing Requirements Access to and proper use of data from ISS source systems may be subject to audit by the source system owners. The BCA MNJIS Training and Auditing team is required to manually audit for proper access and use of data from LEMS and MN CCH. Statewide Supervision staff manually audits for proper access and use of data from the Statewide Supervision System. Contact Information For more information on this service, please contact BCA Service Desk at Page 7 of 28

8 Technical Service Definition Accessing the Service This service is accessed by connecting to an HTTP endpoint using SOAP over HTTPS. The following table contains the endpoint for each environment: Environment TEST PRODUCTION Endpoint Endpoint) Contact us for details Endpoint) Contact us for details. *Please note that during the tech refresh project, the endpoints may change Service Interaction Pattern This service behaves as an asynchronous service. The following sequence interaction diagram provides a graphical overview of how the interaction occurs with the web service: Pre-Conditions (Technical) This service is protected by security and the user must have a valid Integrated Search Service user id and password to access the service. The user id and password will be provided to the user following the completion of the New User paperwork required by the BCA Service Desk. If the user is accessing Integrated Search Service from a hub, the user id and password of the hub are provided along with the user id of the end user on whose behalf the hub is doing the search. This service operates over HTTPS on TCP/IP port 443. Page 8 of 28

9 When configuring the endpoint in a consuming client or service, make sure that https is specified. Post-Conditions (Technical) Upon receiving and validating the search criteria, the service returns a correlation id. This correlation id is then used to obtain the actual query results provided by each source system. By returning the correlation id, the Integrated Search Service is acting as an asynchronous web service. To obtain the actual query results, the client must call the getresults operation. Upon submitting the getresults operation, the service returns summary level (e.g. demographic information) of the results matching the query criteria. In addition, the service also returns information related to the query status in each of the source system repositories (all data returned, query pending, etc.) The user may make multiple calls to the getresults operation to obtain all the query results. Service Interface The WSDL for the service provides the service interface specifications. The following table contains the URL to retrieve the WSDL for each environment. Environment TEST PRODUCTION Endpoint Endpoint)WSDL Contact us for details Endpoint)WSDL Contact us for details. *Please note that during the tech refresh project, the endpoints may change Message Format Communication to and from the service is handled using Simple Object Access protocol (SOAP). Request and Response messages are XML instances hat are embedded in the body of the SOAP envelope. The SOAP envelope is described in the WSDL documents described in the previous section. Both the Request and Response XML messages conform to NIEM standards. There are multiple schema files that are linked together to define the request and response formats. The schemas are NIEM compliant and are object oriented. For schema detail please refer to the Criminal Justice Infromation Repository (CJIR) Request Message There are two formats for a request message: a search request and getresults request. Please refer to the schemas for details on these message formats. Refer to Appendix C: Example XML Instances for sample messages. Response Message There are two formats for the response message: a search response and getresults response. Please refer to the schemas for details on these message formats. Page 9 of 28

10 Refer to Appendix C: Example XML Instances for sample messages. SOAP Fault In the event of an unrecoverable error, a SOAP fault is returned to the client. The SOAP Fault detail element contains error messages and potential causes of the error, if the service intercepted the error. Refer to Appendix E: Example XML Instances for sample messages. Exception Conditions and Error Handling Unhandled exceptions happen for unknown and unpredicted reasons. When an unhandled exception occurs, a SOAP Fault is returned to the client/consumer of the service. The SOAP Fault <faultstring> element will contain any known information about the unhandled exception. Security Profile Access to this service is limited to criminal justice agencies that are connected to the State of Minnesota Criminal Justice Data Network (CJDN). Workstations and servers that access the service must be granted access by IP address through the BCA s firewall in order to reach the servers where the service is running. The IP addresses of all computers directly accessing the service must be provided to the BCA so that firewall rules can be created. This service operates over HTTPS on TCP/IP port 443. An SSL certificate is required to be installed on any workstation or server consuming the service. SSL certificates can be obtained from the BCA. When configuring the endpoint in a consuming client or service, make sure that https is specified. Page 10 of 28

11 Appendix A: Glossary The following terms may be used in this document. Term Public Service Private Service Restricted Service LEMS Definition A classification for a service to indicate that it is available for anyone to consume. This includes anyone with access to a computer and the world wide web. A classification for a service to indicate that it is available to be consumed only internally by the BCA. A classification for a service to indicate that it is available for a limited group of people to consume. This includes anyone with access to a computer and the State of Minnesota Criminal Justice Data Network (CJDN). Law Enforcement Message Switch. Page 11 of 28

12 Appendix B: Query Criteria Business Rules Data Subject Query - Source Systems The following source systems are available for the Data Subject Query: 1. DVS 2. MN Criminal History (CCH) 3. Predatory Offender Registry (POR) 4. MN Repository of Arrest Photos (MRAP) 5. TCIS 6. MNCIS 7. Statewide Supervision System (S3) Must be Law Enforcement Agency to perform Data Subject Query Agency originating the Data Subject query must be a Law Enforcement agency (Police, Sheriff, BCA) All Users Within LE Agency Allowed Access Any ISS user within the agency, regardless of individual source system access, will have access to the Data Subject query Must Verify Data Subject ID Agency must verify Data Subject identity with a Minnesota Drivers License or Identification card Data Subject Must Query Without Regard to Individual Access Data Subject query must query all ISS source systems, regardless of individual users individual access rights Mandatory Criteria for the Data Subject Query Mandatory criteria fields for the Data Subject query are: o Last Name o First Name o Requestor ORI (to default to the ORI of the User logged in) o CCH Purpose Code o Requestor Name o CCH Reason Text o Date of Birth o Gender o Race Page 12 of 28

13 Note: Mandatory fields will determine which queries are performed. Will need to include DL fields as Mandatory if we want to include DVS as a Source System. See Appendix A and B for mandatory criteria, source systems to be queried and queries to be performed. Optional Criteria for Data Subject Query Optional Criteria fields for the Data Subject query are: o Middle Name o SSN o Drver License Number See Appendix A and B for mandatory criteria, source systems to be queried and queries to be performed. Data Subject Query Returns Only Exact Match of Criteria Submitted The Data Subject query response will report only those hits which are an exact match of First Name, Last Name, DOB and other criteria entered Data Subject Response Information The response will include a header containing the following: o Criteria searched o Time of search o Source Systems searched o Any Source Systems not responding The body of the report will contain the following information for each system holding records on the individual: o o o o o Number of records or hits, Name of Source System, Description of source system information, Name of the Responsible Authority for the Source System, Contact information for the Responsible Authority: Phone number, mailing address, The final section of the report contains instructions on how to challenge data in a source system If no hits are returned, response will contain the message No Records Found If Data Subject has records in Confidential databases those records will not be included in the query results. (confidential databases Warrant Files, Orders for Protection) Page 13 of 28

14 ISS Search Criteria The following Search Criteria may be utilized: 1 Last Name 2 First Name 3 Middle Name 4 Name Search Type 4.1 Exact 4.2 Partial 4.3 Soundex 5 Requestor ORI 6 Birth Date (Formatted as MMDDYYYYY or YYYYMMDD if client is an ISS application user, for XML webservice clients the xsd:date syntax is required) 7 Gender 7.1 Male 7.2 Female 7.3 Unknown 8 Driver s License # 9 Driver s License State 10 CCH Purpose Code 10.1 C - Criminal Justice 11 CCH Requestor Name 12 CCH Reason Text 13 SID 14 FBI 15 OID 16 SSN 17 Race 17.1 Asian 17.2 Black 17.3 Native American 17.4 White 17.5 Other 18 Hispanic 18.1 Not Specified Page 14 of 28

15 18.2 Yes 18.3 No 19 License Plate State 20 License Plate # Search Criteria Details The following are the descriptions & details of the search criteria: 1. Last Name - Person's Last Name 2. First Name - Person's First Name 3. Middle Name - Person's Middle Name 4. Name Search Type 4.1. Exact - Exact name search will return results that exactly match the spelling of the criteria entered. This is used when the exact spelling of the person's name is known or when searching for a common name Partial - Partial name search will return results that include the original criteria and results that start with the original criteria entered. For example, SMI will return SMIDT, SMIT and SMITH Soundex - Soundex search will return names that sound like the criteria entered, but are spelled differently, like SMITH & SMYTH. Use Soundex when the exact spelling of the name is not known. TCIS, MNCIS, LEMS & S3 support Soundex searches.in order for the Soundex feature to work, the names must start with the same letter. For example, the Soundex feature will not work with names like CARL and KARL or JEAN and GENE. The Soundex feature requires that more than one letter be entered in the name field. It will not return results when only the first letter of the name is known (in these cases, the Partial Name Search Type should be used). 5. Requester ORI - Mandatory search field when criteria are entered to search LEMS CCH or Hotfiles. The default ORI is that of the logged-in user's and the system allows the user to change it to the ORI of the individual that requested the search. Not applicable for all user profiles. 6. CCH Purpose Code - Mandatory search field when criteria are entered to search LEMS CCH. Not applicable for all user profiles. 7. CCH Requester Name - Mandatory search field when criteria are entered to search LEMS CCH. Enter the name of the recipient of the report or data. Not applicable for all user profiles. 8. CCH Reason Text - Mandatory search field when criteria are entered to search LEMS CCH. Used to designate the case number or the literal reason for the search (limited to 14 characters). Not applicable for all user profiles. 9. *Birth Date - Birth Date is an optional search field. If an ISS application client the Birth Date can be formatted MM/DD/YYYY (the slashes must also be typed) or YYYYMMDD (without any slashes). Either format is acceptable. For XML webservice clients the xsd:date syntax is required. 10. Gender - Gender is an optional search field. Male, Female or Unknown maybe selected from the list. 11. Race - Race is an optional search field. Options are based on NCIC (federal system) standards: Page 15 of 28

16 11.1. Asian - A person having origins in any of the peoples of the Far East, Southeast Asia, the Indian sub-continent or the Pacific Islands Black - A person having origins in any of the black racial groups of Africa.Native American - A person having origins in any of the original peoples of the Americas and maintaining cultural identification through tribal affiliations or community recognition including Alaskan Natives White - A person having origins in any of the original peoples of Europe, North Africa or the Middle East Other - A person of mixed race, blended race, multiracial, multinational, biracial, multiethnic, unknown race, undetermined race, unspecified race or anything other than the listed race categories. 12. Hispanic Ethnicity** - Select Yes if the person is known to be of Hispanic ethnicity or No if the person is known not to be of Hispanic ethnicity. If unsure, select Not Specified (default). 2. States Issuing Driver s License and Plates The following states will be acceptable: 1. Drivers License (DL) values: 1.1. AL 1.2. AK 1.3. AZ 1.4. AR 1.5. CA 1.6. CO 1.7. CT 1.8. DE 1.9. DC FL GA GU HI ID IL IN IA KS KY LA ME MD MA MI MN MS MO MT NE NV NH NJ Page 16 of 28

17 1.33. NM NY NC ND OH OK OR PA PR RI SC SD TN TX UT VT VI VA WA WV WI WY 2. License Plate State values: 2.1. Alabama 2.2. Alaska 2.3. American Samoa 2.4. Arizona 2.5. Arkansas 2.6. California 2.7. Colorado 2.8. Connecticut 2.9. Delaware District Of Columbia Fed. States of Micronesia Florida Georgia Guam Hawaii Idaho Illinois Indiana Iowa Kansas Kentucky Louisiana Maine Marshall Islands Maryland Massachusetts Michigan Minnesota Page 17 of 28

18 2.29. Mississippi Missouri Montana Nebraska Nevada New Hampshire New Jersey New Mexico New York North Carolina North Dakota Northern Mariana Islands Ohio Oklahoma Oregon Palau Pennsylvania Puerto Rico Rhode Island South Carolina South Dakota Tennessee Texas Utah Vermont Virgin Islands Virginia Washington West Virginia Wisconsin Wyoming Armed Forces Africa A.F. Americas (Except Canada) Armed Forces Canada Armed Forces Europe Armed Forces Middle East Armed Forces Pacific Note: " POR allows a search by only Last Name, or First Name, or Birth Date, or Driver's License Number or Social Security Number. " S3 allows a search by only Last Name, or State Identifier (SID), or Prison Identification Number (OID), or Driver's License Number (DL) or Social Security Number (SSN). " For Prison data search results CrimNet Integrated Search returns alias names that match the search criteria, and the public Offender Locator does not. The user must have the name of record to receive results for searches executed on the public Offender Locator. Page 18 of 28

19 Mandatory Search Criteria by Source System The following search criteria are mandatory for the listed Source Systems: 1. TCIS 1.1. Last Name 2. MNCIS 2.1. Last Name 3. LEMS-CCH 3.1. See below for LEMS QUERY TYPES SUPPORTED 3.2. See below for MANDATORY SEARCH CRITERIA FOR LEMS QUERY TYPES 4. LEMS-Hotfiles 4.1. See below for LEMS QUERY TYPES SUPPORTED 4.2. See below for MANDATORY SEARCH CRITERIA FOR LEMS QUERY TYPES 5. MRAP 5.1. Last Name 6. POR 6.1. Last Name OR First Name 6.2. Name OR Date of Birth (Certain User Profiles require Last Name AND First Name) 7. S Last Name or 7.2. Exact match on one of the following: SSN, SID, FBI, OID, Driver s License # LEMS Query Types Supported The following query types are supported for LEMS Queries: 1. LEMS-CCH 1.1. QHM - MN CCH identification data on multiple possible matches 1.2. QRM - MN CCH full criminal history record on the subject of the query 2. LEMS-Hotfiles 2.1. QMW - MN Motor Vehicle Registration, MN DL Status, MN Person Hotfiles, MN Impound Vehicle, NCIC Stolen/Felony Vehicle, NCIC Person Hotfiles 2.2. QDP - MN DL Record,MN DL Photo, MN Person Hotfiles, NCIC Person Hotfiles 2.3. QDLI - MN DL Photo Page 19 of 28

20 Mandatory Search Criteria For LEMS Query Types The following search Criteria are Mandatory for the listed LEMS Query Types: 1. LEMS-CCH 1.1. QHM Requester ORI, CCH Purpose Code, CCH Requester Name, CCH Reason Text, SID Requester ORI, CCH Purpose Code, CCH Requester Name, CCH Reason Text, SID, Last Name, First Name Requester ORI, CCH Purpose Code, CCH Requester Name, CCH Reason Text, Last Name, First Name, SSN Requester ORI, CCH Purpose Code, CCH Requester Name, CCH Reason Text, Last Name, First Name, DOB, SSN Sex, Race 1.2. QRM Requester ORI, CCH Purpose Code, CCH Requester Name, CCH Reason Text, SID Requester ORI, CCH Purpose Code, CCH Requester Name, CCH Reason Text, SID, Last Name, First Name 2. LEMS-Hotfiles 2.1. QMW Requester ORI, Vehicle Plate Number 2.2. QDP Requester ORI, Last Name, First Name, Date of Birth, Sex (optional) 2.3. QDLI & QDP Requester ORI, Driver's License Number 3. LEMS-CCH & Hotfiles 3.1. QHM & QDP Requester ORI, CCH Purpose Code, CCH Requester Name, CCH Reason Text, Last Name, First Name, DOB, Sex, Race Page 20 of 28

21 Search is Not Case Sensitive 1. Search criteria can be entered in either upper case, or lower case or both Source System Access by Profile 1. User's access to source systems is limited by the permission sets assigned to the various user profiles. See Appendix D for ISS Source System Access by Profile Matrix Page 21 of 28

22 Appendix C: Example XML Instances Operation Request Response Search <soapenv:envelope xmlns:soapenv=" p/envelope/" xmlns:ser=" <soapenv:header/> <soapenv:body> <ser:searchrequest> <FirstName>Marvin</FirstName> <MiddleName></MiddleName> <LastName>Smith</LastName> <SourceSystem>MNCIS</SourceSystem> <CrimnetID>iss.issuser</CrimnetID> <ser:searchresponse xmlns:ser=" <CorrelationId> correlationid1234 </CorrelationId> </ser:searchresponse> <NameSearchType>PARTIAL</NameSearchType> </ser:searchrequest> </soapenv:body> </soapenv:envelope> getresults <ser:getresultsrequest xmlns:ser=" <CorrelationId> correlationid1234</correlationid > </ser:getresultsrequest> <soapenv:envelope xmlns:soapenv=" <soapenv:header/> <soapenv:body> <results:getresultsresponse xmlns:results=" <hits:sourcesystem xmlns:c=" xmlns:u=" Page 22 of 28

23 xmlns:mnj=" xmlns:hits=" xmlns:intel=" xmlns:nc=" <hits:personhit> <u:personbirthdate> :00</u:personbirthdate> <u:personsextext>male</u:personsextext> <u:personmiddlename>elliot</u:personmiddlename> <u:persongivenname>marcus</u:persongivenname> <u:personsurname>smith</u:personsurname>... <hits:personhit> </hits:personhit>... <intel:systemidentifier>mncis</intel:systemidentifier> <intel:systemname>minnesota Court Information System</intel:SystemName> <nc:statustext>ok</nc:statustext> </hits:sourcesystem> </results:getresultsresponse> </soapenv:body> </soapenv:envelope> Page 23 of 28

24 Appendix D: Access Matrix ISS Source System Access by Profile matrix Matrix Legend: X - ACCESS TO SYSTEM CriMNet Integrated Search Services LEMS Web Services Adapter Shaded -NO ACCESS Search Profile (original: November, 2005, updated: 9/2007) Purpose Code CWA MRAP POR S - 3 CCH NCIC DVS MN Hot Files Adult Juvenile QHM QRM QDP QMW QDLI QDP QMW QDP QMW Data type -> Public Private-CJ Private Private-CJ Private-CJ Private-CJ Private-CJ Private-CJ Private-CJ Private Private Private Private-CJ Private-CJ Joint Powers -> UserAgreemt -> Reqd w/mrap Unit Reqd w/por Unit No No CHRI CHRI Agency Agency Agency Agency Agency Agency Agency YES YES YES YES YES YES YES YES YES Search interacts directly w/source db -> no profile restrictions NO NO YES YES Source system applies its "business rules" no restrictions YES YES YES YES Training Required -> YES YES YES YES YES YES YES YES YES Certification Required -> YES YES YES YES YES YES YES YES YES Purpose Code: C (Criminal Justice) PROFILE ONLY governs access on these searches (no Purpose Code filter required) PROFILE ONLY governs access on these searches (no Purpose Code filter required) Corrections-Probations C X X X X X X X X X X X X X X Courts ( criminal 5 ) C X X X X X X X X X X X X X Human Services 6 X X X X Law Enforcement C X X X X X 2 X X X X X X X X X Prosecutors C X X X X X X X X X X X X Public Defenders C X X X 2 X 4 X 4 CriMNet Staff C X X X X X X X X X X X X X X Page 24 of 28

25 Abbreviations/Notations Used: * - Minnesota Purpose Code only 1 - Proposed to enable checks under provisions of Personal Protection Act (incudes Law Enforcement access) 2 - Profile can view only active data (individuals currently incarcerated or under supervision) 4 - Public Defenders can view data related only to their cases - compliance is an Audit Function 5 - Access by Purpose Code currently not restricted to only Criminal or Civil Courts use 6 - Limited Access authorized by MN legislation, , subd 2, enacted into law effective July 1, (End of Confinement Review Committee, only with Designee letter from Director of Human Services) - Indicates access available ordinarily for criminal justice purposes (included as reference only) X - ACCESS TO SYSTEM Shaded - NO ACCESS - Access available via other codes LEMS Web Services Adapter - Message Keys QHM returns CCH identification data - Multiple possible matches. QRM returns CCH Full criminal history record on subject of query. QDP returns - MN DL record - MN person hot file records - NCIC person hot file records QDLI returns Page 25 of 28

26 - MN DL Photos from DVS QMW returns - MN Motor Vehicle Registration - MN DL status - MN person hot file records - MN Impound Vehicle hot file record (if on file) - NCIC Stolen/Felony Vehicle records - NCIC person hot file records Note: Document does NOT include BCA/CJIS-conducted Background Checks Page 26 of 28

27 Appendix E: Sample SOAP Faults Example 1: Request message failed schema validation. This message is generated by the BCA service bus. <detail> <con:fault xmlns:con=" <con:errorcode>bea </con:errorcode> <con:reason>alsb Validate action failed validation</con:reason> <con:details> <con1:validationfailuredetail xmlns:con1=" <con1:message>expected element instead of here</con1:message> <con1:xmllocation> <j:organizationoriid xmlns:j=" <u:id xmlns:u=" </j:organizationoriid> </con1:xmllocation> </con1:validationfailuredetail> </con:details> <con:location> <con:node>main Pipeline Pair</con:node> <con:pipeline>main Pipeline Pair_request</con:pipeline> <con:stage>validate Request</con:stage> <con:path>request-pipeline</con:path> </con:location> </con:fault> </detail> Example 2: Element validation failed. This message is produced by the Warrant Service. <detail> <ErrorType>Input Parameter Validation Error</ErrorType> <ErrorDescription>At least one parameter did not pass validation</errordescription> <Actor>GetWarrantsSummaryList</Actor> <ProblemElement> <ElementName>Zip Codes</ElementName> <ElementValue> ,56609, ,56609, </ElementValue> <ErrorDescription>Invalid Zip Code(s): </ErrorDescription> </ProblemElement> </detail> Page 27 of 28

28 Appendix F: Document Revision History Rev. Num. Rev. Date Reason Prepared by /05/2008 Initial Dave Everson Suzanne Cellette Debsy Mukherjee /10/2008 Added missing information Dave Everson Suzanne Cellette Debsy Mukherjee /11/2008 Updated with edits from team Suzanne Cellette 1.3 7/13/2009 Split into individual services and incorporated feedback from Dave 1.4 8/31/2009 Incorporated feedback from GPoindexter, MGirard, and DEverson Suzanne Cellette Suzanne Cellette Page 28 of 28