STATE OF MINNESOTA DEPARTMENT OF PUBLIC SAFETY

Transcription

1 STATE OF MINNESOTA DEPARTMENT OF PUBLIC SAFETY BUREAU OF CRIMINAL APPREHENSION Query Person Gun Check (QPGC) Published On: August 26, 2010 Service Release Version#: 1.4 Prepared By: Bureau of Criminal Apprehension Criminal Justice Information Systems 1430 Maryland Avenue East St. Paul, Minnesota SERVICE SUMMARY Service Visibility Public Restricted Private See Glossary for definitions Service Description Accessibility Service Inputs Service Outputs This service provides information necessary to determine whether or not an individual may lawfully engage in the commercial exchange of firearms, and whether or not an individual was engaged in criminal; activity involving firearms. BCA Criminal Justice Partners Purpose Code (PUR) Attention (ATN) Name (NAM) Date of Birth (DOB) Gender (SEX) Race (RAC) MNJIS and NCIC Person Hot File data, NICS Index record, and state and federal criminal histories.

2 Document Revision History Date Version Description Author 06/02/ Initial Document BCA MNJIS 07/09/ Added NICS and LEMS error Scott Winkels message appendices, updated glossary, added language regarding exceeding maximum characters in NAM field. 08/12/ Removed references to Exception Scott Winkels Flows. 08/26/ Added references to the MN Gang Scott Winkels File and Predatory Offender File 10/22/ Updated the Technical Service Definition Alex Gohar 11/24/ :20:59 PM Page 2

3 Table of Contents SERVICE SUMMARY... 1 BUSINESS SERVICE DEFINITION... 4 QUERY PERSON GUN CHECK SERVICE... 4 SERVICE OVERVIEW... 4 REAL WORLD EFFECTS... 4 SUMMARY... 5 BUSINESS SCENARIOS... 5 INPUT DETAIL AND BUSINESS VALIDATION RULES... 5 SERVICE CONSUMERS AND ACCESS RIGHTS... 6 SERVICE-LEVEL EXPECTATIONS... 6 SERVICE LOGGING AND AUDITING REQUIREMENTS... 8 TRAINING AND CERTIFICATION... 8 POLICIES... 9 STATUTES AND RULES RULES STATUTES LAWS BUSINESS USE-CASE TECHNICAL SERVICE DEFINITION ACCESSING THE SERVICE PRE-CONDITIONS (TECHNICAL) POST-CONDITIONS (TECHNICAL) SERVICE INTERFACE MESSAGE FORMAT EXCEPTION CONDITIONS AND ERROR HANDLING SECURITY PROFILE APPENDIX A: GLOSSARY /24/ :20:59 PM Page 3

4 Business Service Definition Query Person Gun Check Service Service Overview The Query Person Gun Check (QPGC) information service is a message key in the Law Enforcement Message Switch (LEMS) system used to query Minnesota and out-of-state criminal histories, NICS Index records, and MNJIS and NCIC person hot files to determine an individual s legal status related to commerce of firearms. The QPGC service will return any record from the MNJIS and NCIC Person Hot Files into which matching information has been entered. Service Inputs: Purpose Code (PUR) Attention (ATN) Name (NAM) Date of Birth (DOB) Gender (SEX) Race (RAC) Consumer of Service: BCA Criminal Justice Partner Providers of Service: MNJIS Hot Files and NCIC Hot Files, NICS Index, BCA LEMS and CCH, and FBI III. Service Outputs: MNJIS and NCIC person hot file data, NICS Index record, and criminal history both for Minnesota and out-of-state. Real World Effects The following is a list of effects of using this service: The service s benefit to the user includes the ability to conduct a gun check by retrieving local and non-local information on an individual within seconds to facilitate effective law enforcement. The business outcome is the capability to retrieve MN and FBI person hot file information, and MN and out-of-state criminal histories to determine whether or not an individual may buy or sell firearms, or whether or not an individual has engaged in criminal activity involving a firearm. By this means, law enforcement agencies may identify, or prevent acquisition of firearms by any subject who is: 11/24/ :20:59 PM Page 4

5 (1) under indictment for or has been convicted in any court of a crime punishable by imprisonment for a term exceeding one year, (2) a fugitive from justice, (3) an unlawful user of or addicted to any controlled substance, (4) adjudicated as a mental defective or has been committed to a mental institution, (5) an alien who is illegally or unlawfully in the United States, (6) discharged from the Armed Forces under a dishonorable condition, (7) renouncing United States citizenship, (8) subject to a court order that was issued after a hearing of which he/she received actual notice and that restrains him/her from committing domestic violence, and/or (9) admitted to the United States under a nonimmigrant visa. Summary A User s application hub submits a service call to the BCA Enterprise Service Bus (ESB), which authorizes, authenticates, and validates the request. A valid request is then routed through the Law Enforcement Message Switch (LEMS) as a query to the required data sources: MNJIS Hot Files, and NCIC Hot Files. Either hot files or No Hit responses are returned to the BCA via the LEMS, is validated, and stored in the SQL Server database until the User Application Hub requests the response. The BCA ESB sends the vehicle registration and hot file responses (if any) or No Hit response to the User Application Hub. Business Scenarios This service s resulting information will be used by agency officials and peace officers in investigations on individuals in line with officially assigned duties. Such a query could be used in conjunction with, but not limited to, an investigation of an individual s legal status in connection with an actual or alleged crime, confirmation of identity, discovery of outstanding warrants, whether an individual is a registered sex offender, a missing person, or other cause; often in conjunction with a traffic offense, an incident response, an investigation, and whether or not an individual may lawfully engage in the sale or purchase of firearms, et cetera. Input Detail and Business Validation Rules QPGC query criteria must include: Purpose Code (PUR) Attention (ATN) Name (NAM) Date of Birth (DOB) Gender (SEX) Race (RAC) The following validation rules apply to QPGC service calls: Data inputs must be submitted in upper case alphanumeric characters with special characters as required or permitted for each input field. See Appendix A: Glossary for definitions and business rules. 11/24/ :20:59 PM Page 5

6 Service Consumers and Access Rights The authorized users of the QPGC service are select BCA personnel and BCA criminal justice partners including but not limited to law enforcement officials, courts, probation officers, and parole officers. The QPGC service is query-only. No updates occur with this service. Service-Level Expectations Support Availability On call support for this service is available Monday through Friday, 8:00 a.m. to 4:30 p.m., except state holidays, through the BCA Service desk at telephone number: or Service Availability This service is designed to operate 24 hours a day, 7 days a week, 365 days a year. Though this service is intended to operate 24/7/365, the BCA s technical support of this service is limited to what has been identified in the Support section above. External Service Dependencies The Law Enforcement Message Switch (LEMS) must be available in order for the service to complete successfully. If LEMS is not available for more than 30 minutes an exception will be returned indicating that the LEMS service was not available for 30 minutes. Minnesota Computerized Criminal History database (CCH) is provided by BCA MNJIS. This file consists of information pertaining to the arrest, conviction and custody or supervision of offenders processed by criminal justice agencies of this state. Criminal history records on individuals who have committed crimes in Minnesota are available through the CCH File. CCH is available 24 hours per day, 7 days per week except for scheduled downtimes. If CCH is not available, the call will be repeated until CCH is available. Minnesota Person Hot Files, including the Gang File, Predatory Offender File, Protection Order File, Wanted Person File, and Keep Our Police Safe (KOPS) File must be available to the BCA ESB via LEMS in order for the service to complete successfully. If MN Hot File services are not available, the call will be repeated to MN Hot Files until the service is available. NCIC Person Hot Files data are provided by the FBI and includes the Foreign Fugitive File, Gang File, Immigration Violators File, Known or Appropriately Suspected Terrorist File, Missing Person File, Protection Order File, Sexual Offender File, Supervised Release File, U.S. Secret Service Protective Order File, and Wanted Person File. NCIC Hot Files must be available to the BCA ESB via LEMS in order for the service to complete successfully. If NCIC Hot File services are not available, the BCA ESB will continue to attempt to access the NCIC Hot Files until the service is available. The National Crime Information Center (NCIC), a computerized index of criminal justice information is available to Federal, state, and local law enforcement and other 11/24/ :20:59 PM Page 6

7 criminal justice agencies 24 hours a day, 365 days a year. If NCIC is not available, the call will be repeated until NCIC is available. The National Instant Criminal Background Check System (NICS) is customarily available for telephone access 17 hours a day, seven days a week, including holidays (except for Christmas), but can be accessed via the NICS E-Check system 24 hours per day, 7 days per week. If NICS is not available, the call will be repeated until NICS is available. Interstate Identification Index (III System) is a cooperative Federal-State system for the exchange of criminal history records; and includes the National Identification Index, the National Fingerprint File and, to the extent of their participation in the system, the criminal history record repositories of the States and the FBI. The objective of the III System is to provide a pointer to states which maintain criminal records on a subject. A III System record contains an individual's name, aliases, physical descriptors, identifying numbers, fingerprint classification, and it also provides a listing of the III participating states that maintain a criminal record on the individual. Persons born before 1956 may not be part of III records. The III System is available 24 hours per day, 365 days per year. If III is not available, the call will be repeated until III is available. Service Maintenance Window The LEMS and the ESB are designed to function 24 hour per day, seven days per week. When LEMS is down, it is for patches or upgrades, usually occurring on Tuesdays or Wednesdays at 11:00 AM and lasting five to ten minutes or longer, depending on the activity. These downtimes are announced and occur on an as-needed basis. Service Downtime Notification The message returned during system downtime and/or unavailability will depend on the source system and the destination system. Messages returned will either indicate the host system is unavailable or the request timed out. Expected Response Times Responses from each system queried are delivered separately to ensure the return of information as it becomes available. Average response times vary depending on the responding system as described below. MNJIS Hot Files Responses: NCIC Hot File Responses: CCH responses: within two seconds within thirty seconds within a few seconds. NICS and III are designed to return responses in less than 30 seconds. NICS references records indexed by III, which incorporates databases maintained by every U.S. State and Territory. These databases differ in age and sophistication, therefore one number cannot be provided to rate the speed of all III responses. Automated responses are usually obtained within a few seconds. Manual responses may take several business days. 11/24/ :20:59 PM Page 7

8 Service Logging and Auditing Requirements Service consuming agencies are responsible for complying with FBI security policies in Criminal Justice Information Services (CJIS) Security Policy, Version 5.0, (CJISD-ITS-DOC ), including but not limited to logging and auditing requirements in section 5.4 Policy Area 4: Auditing and Accountability. Log files should be maintained for six years to meet State legislature auditor requirements. If a six year retention program is not feasible for the consuming entity, the consuming entity may submit to the BCA a written request for an exemption to the sixyear retention policy. The written request must include a detailed explanation describing the reason why the six year retention policy is not feasible and specify an alternative retention period. BCA management will consider each such request on a case by case basis. Note: Responses from the BCA contain confidential data. Agency staff, including employees and contractors, that can access logs containing confidential data provided by BCA services must be fingerprinted and have a criminal background check performed. An individual must pass the background check before access to service logs is allowed. Training and Certification The BCA shall ensure that security awareness training is provided at least once every three years to all personnel who manage or have access to FBI CJIS systems. All new employees who have access to FBI CJIS systems and all appropriate IT personnel shall receive security awareness training within six (6) months of their appointment or assignment. Documentation pertaining to the materials used and those employees which receive security awareness training shall be maintained in a current status. The BCA s responsibilities: 1. Within 6 months of employment or assignment train, functionally test, and affirm the proficiency of terminal (equipment) operators in order to assure compliance with FBI CJIS policy and regulations; 2. Biennially, provide functional retesting and reaffirm the proficiency of terminal (equipment) operators in order to assure compliance with FBI CJIS policy; 3. Maintain records of all training, testing, and proficiency affirmation; 4. Initially (within 12 months of employment or assignment) provide all sworn law enforcement personnel with basic training in NCIC 2000 matters to ensure effective use of the System and compliance with FBI CJIS policy regulation; 5. Make available appropriate training on NCIC 2000 System use for criminal justice practitioners other than sworn personnel; 11/24/ :20:59 PM Page 8

9 Policies 6. Provide all sworn law enforcement personnel and other practitioners with continuing access to information concerning NCIC 2000/state Systems using methods such as roll call and in-service training; 7. Provide peer-level training on NCIC 2000 System use, regulations, policy, audits, sanctions, and related civil liability for criminal justice administrators and upperlevel managers; 8. Annually review all curricula for relevancy and effectiveness; 9. Instituted appropriate and reasonable quality assurance procedures for all federal and state System users; and 10. Ensure reasonably sufficient record management, for electronic and/or hardcopy case management systems, by ensuring that there are security standards, audit standards, and personnel training standards which allow accurate and up-todate records and proper/secure dissemination of the same. The BCA s Criminal Justice Partners responsibilities: 1. The primary responsibility for the entry and maintenance of accurate, timely, upto-date and complete records lies with the entering agency. 2. Each agency is required to develop system security training that covers appropriate use, dissemination, and security requirements for their agency. BCA policy ADMINISTRATIVE POLICY NO for the BCA s general handling of public, private, and confidential data states the following: Data accessible to BCA personnel is often Private or Confidential Data; therefore, it is important to ensure the integrity of that data. BCA Personnel may only access those data sources, systems and storage devices they have authority to access strictly for the purpose of fulfilling their assigned job duties. Accessing a data source, data system or storage device for any other purpose is a violation of this policy and may also be a violation of the data practices act and/or federal law. To clarify this policy further, one may not access data on individuals known to the employee (e.g. family members, friends, daughter s boyfriend, etc.). If during the course of your duties you encounter information or a need to access information on any such individual, you should immediately report it to your supervisor so the task may be reassigned. Violation of this policy will result in discipline, which may include dismissal from employment, and may result in criminal prosecution. Please see the BCA s General Policies for complete text. The following statements are drawn from the Data Practices Assessment Checklist and provide additional details regarding how to execute the following rules and statutes. 11/24/ :20:59 PM Page 9

10 A clearly defined and stated purpose for a service is necessary to help a government entity decide what data it needs to collect. It can also help it determine if providing the data is mandatory or voluntary by data subjects. Copies of data on individuals taken for backup and recovery purposes, as well as those used for development, testing, training and certification, should be protected electronically (via encryption) and physically. Consider opportunities for loss, theft, or disclosure of data on individuals through premeditated, opportunistic and accidental means. A data subject can challenge data wherever it is maintained, even if the data did not originate in that agency. While not required, coordinating data challenges with the originating agency would be the most effective way for an entity to reach a determination as to data that didn t originate with their agency. Additionally, providing assistance to a data subject in locating inaccurate/incomplete wherever it is maintained would be a valuable customer service and best practice. Training and certification activities, while necessary for administration and management of programs, can be accomplished without the aid of private or confidential data on individuals. As a responsible business practice, private/confidential data on individuals should not be used by or disseminated to employees or contractors if their work assignments could be completed using surrogate data that is not private or confidential data on individuals. Development and testing activities, while necessary for administration and management of programs, can be accomplished without the aid of private or confidential data on individuals. If data elements or records are removed, hidden or altered to prevent the identification of individuals, it must be evident that: 1) the resulting data set does not contain private or confidential data on individuals, and 2) one could not easily reverse these alterations to reveal the original data. If a data subject successfully challenges the accuracy and/or completeness of data, the responsible authority must make every reasonable effort to notify those who accessed the challenged data. Knowing the classification of data determines who has access and for what purpose(s). Security measures are also based on the sensitivity / classification of the data. Therefore, anyone can have access to public data and can t be required to explain how it will be used. Statutes and Rules Rules Access to Public Data: procedures regarding data collection must be easily accessible to the public with free copies available Access to Private Data, subp. 2: only individuals within an entity whose work assignments reasonably require it can have access to private/confidential data. Individuals can include employees in an entity as well as contractors. Subp. 3: 11/24/ :20:59 PM Page 10

11 safeguards are in place to ensure individuals given access to data are the correct individuals Access to Private Data Concerning Data Subjects Who are Minors; a government entity must have a plan for reviewing the administration of their data collection and storage. Subpart 5, provides direction for the treatment of any unnecessary data. Subp. 3: procedures must be in place for parents to access information about their minor children Access to Confidential Data, subd. 2(A): only individuals within an entity whose work assignments reasonably require it can have access to private/confidential data. Individuals can include employees in an entity as well as contractors Duties of the Responsible Authority in Administering Private and Confidential Data, subp. 5: state and federal law may require certification or baseline training of users for a particular data system before data may be accessed Duties of Responsible Authority in Administering All Entity Data: the responsible authority is required to establish procedures to ensure that data are accurate, complete and current. Statutes MSS Access to Government Data, subd. 1, all government data is public unless it is otherwise classified by state or federal law. Subd. 2(b): procedures regarding data collection must be easily accessible to the public with free copies available. Subd. 4: data classification travels from one government entity to another. Unlike the general rule, criminal justice data often remains public at a local level and changes to private/confidential classification at the state level. Ex: arrest data is private at BCA, public at local law enforcement agency. MSS Rights of Subjects of Data, subd. 2: a data subject is entitled to a warning before private or confidential data are collected from them. Subd. 3: the responsible authority must prepare data subject access procedures. Subd. 4: procedures must be in place to allow data subjects to challenge the accuracy and/or completeness of data about him or her, to flag any data being challenged, and to post the subject s statement of disagreement. MSS Duties of Responsible Authority, subd. 3, a government entity can only collect private or confidential data on individuals that are necessary for the administration and management of programs specifically authorized by legislature or local governing body or mandated by the federal government. Subd. 4: Private or confidential data on an individual shall not be collected, stored, used, or disseminated by government entities for any purposes other than those stated to the individual at the time of collection, therefore, private or confidential data on an individual can only be collected from that individual if the individual is given a Tennessen warning. Subd. 2, provides an exception when an individual is asked to supply investigative data pursuant to 13.82, subd. 7, to a law enforcement officer. Subd. 5(2): the responsible authority is required to establish appropriate security safeguards for data on individuals. Subd. The BCA must maintain a contract with Dakota County requiring compliance to data practices. Subd. 8: the responsible authority must prepare data subject access 11/24/ :20:59 PM Page 11

12 procedures. Subd. 13: the names of the responsible authority/designees/data practices official for an agency must be publicized. When private or confidential data on an individual is collected from a third party, a Tennessen warning is not given to the individual. If a Tennessen warning was required but was not given, the statute provides that the government agency cannot use the data at all. Subd. 5(1): the responsible authority is required to establish procedures to ensure that data are accurate, complete and current. Subd. 9: not public data can only be shared with another government entity if a state or federal law requires it. MSS Comprehensive Law Enforcement Data, subd. 2; Private/confidential data are not available to the public. Data related to arrest/deprivation of liberty are public at the originating law enforcement agency but become private as part of criminal history data at the BCA. MSS Criminal Justice Data, subd. 1; Private/confidential data are not available to the public. Data related to arrest/deprivation of liberty are public at the originating law enforcement agency but become private as part of criminal history data at the BCA. MSS Government Records Administration: Data must be maintained according to an approved retention schedule. A specific individual is assigned the task of assuring compliance to records management laws and procedures. MSS , subdivision 1A establishes access to driver photo information from Driver and Vehicle Services. MSS , subdivision 7(d) establishes access to driver license address data. MSS 260B.171 Records, subd. 5; peace officer records on juvenile offenders must be kept separately from records on individuals 18 yrs and over. MSS 299C.095, 299C.10, 299C.11, 299C.13, 299C.14: a government entity can only collect private or confidential data on individuals that are necessary for the administration and management of programs specifically authorized by legislature or local governing body or mandated by the federal government (See MN Stat , subd. 3). MSS 299C.15 Cooperation; Criminal Identification Organizations: provides access to required data. MSS 299C.46 Criminal Justice Data Communications Network: provides access to required data. Laws The Brady Handgun Violence Prevention Act, Public Law , 107 Statute 1536 U.S. Code: Title 18, Part 1, Chapter 44, 922, in its entirety, with emphasis on the following sections. U.S. Code: Title 18, Part 1, Chapter 44, 922, Section (g) notably reads: It shall be unlawful for any person (1) who has been convicted in any court of, a crime punishable by imprisonment for a term exceeding one year; (2) who is a fugitive from justice; (3) who is an unlawful user of or addicted to any controlled substance (as defined in section 102 of the Controlled Substances Act (21 U.S.C. 802)); (4) who has been adjudicated as a 11/24/ :20:59 PM Page 12

13 mental defective or who has been committed to a mental institution; (5) who, being an alien (A) is illegally or unlawfully in the United States; or (B) except as provided in subsection (y)(2), has been admitted to the United States under a nonimmigrant visa (as that term is defined in section 101(a)(26) of the Immigration and Nationality Act (8 U.S.C (a)(26))); (6) who has been discharged from the Armed Forces under dishonorable conditions; (7) who, having been a citizen of the United States, has renounced his citizenship; (8) who is subject to a court order that (A) was issued after a hearing of which such person received actual notice, and at which such person had an opportunity to participate; (B) restrains such person from harassing, stalking, or threatening an intimate partner of such person or child of such intimate partner or person, or engaging in other conduct that would place an intimate partner in reasonable fear of bodily injury to the partner or child; and (C) (i) includes a finding that such person represents a credible threat to the physical safety of such intimate partner or child; or (ii) by its terms explicitly prohibits the use, attempted use, or threatened use of physical force against such intimate partner or child that would reasonably be expected to cause bodily injury; or (9) who has been convicted in any court of a misdemeanor crime of domestic violence, to ship or transport in interstate or foreign commerce, or possess in or affecting commerce, any firearm or ammunition; or to receive any firearm or ammunition which has been shipped or transported in interstate or foreign commerce. U.S. Code: Title 18, Part 1, Chapter 44, 922, Section (n) reads, It shall be unlawful for any person who is under indictment for a crime punishable by imprisonment for a term exceeding one year to ship or transport in interstate or foreign commerce any firearm or ammunition or receive any firearm or ammunition which has been shipped or transported in interstate or foreign commerce. 11/24/ :20:59 PM Page 13

14 Business Use-Case Main Flow Query The Main Flow for this use case is described below. Pre-Conditions The following must occur before the flow begins: 1. The following inputs are known and provided: Purpose Code (PUR) Attention (ATN) Name (NAM) Date of Birth (DOB) Gender (SEX) Race (RAC) Post-Conditions Success End-Conditions The following have occurred as a result of the successful completion of the main flow: 1. The query results in a hit or NO HIT for MN hot files, and a hit or NO RECORD for NCIC hot files. 2. Hits collectively reveal the individual s Minnesotan and out-of-state criminal history(s) and hot files with information specifically related to misuse of firearms (if any). 3. Non-hits reveal that the data sources queried have no information on the vehicle in question. Failed End-Conditions The following have occurred as a result of the main flow failing: 1. One or more of the databases queried return an error message indicating information submitted was in some way erroneous. This may be due to a syntax error, missing data, a system failure, or a system being down. 2. The ESB security or archive service returns an error message to the agency hub reporting an error with authentication, authorization, or validation. 11/24/ :20:59 PM Page 14

15 QUERY PERSON GUN CHECK (QPGC) REQUEST INSTANCE Consumer Application HUB ESB LEMS Request Service LEMS, Data Source Data Server M1. Submit Request M2. Authorize, Authenticate, Validate M2.A. Receive Error Message N Pass? Y M3. Translate M4. Place hold in data store M6. Receive Message Receipt M5. Archive Req. Msg. Receipt M7. LEMS Queue M8. Query Data Sources M11. Hold in data store M10. Translate M9. LEMS Queue Request Response M1. Submit Request A law enforcement agent (user) initiates a query from the Consumer Application Hub, or hub. His or her system puts the request in XML format encased in a SOAP envelope, which is sent to the BCA. M2. Authorize, Authenticate, Validate The security service performs an authentication and authorization of the hub s ID and password to confirm whether the consumer application hub may request a QPGC query. The message SOAP format is validated against the schema. Pass? If the authentication, authorization, and validation are successful, then the flow continues to M3. Translate. If the authentication, authorization, or validation is unsuccessful, then the flow continues to M2.A. Receive Error Message. M2.A. Receive Error Message The ESB sends an error message to the user, indicating either a failure to authenticate, pass authorization, or validate the schema. 11/24/ :20:59 PM Page 15

16 The user s hub receives the response message including the correlation ID. M3. Translate The XML message is translated to SIF format. M4. Place hold in data store A placeholder is placed in the data store. In this way, the data store is prepared to receive responses. M5. Archive Request Message Receipt The archive service archives the response message with correlation ID being sent to the hub. The full response to the client is archived, including the correlation ID for the request. M6. Receive Message Receipt The Consumer Application Hub receives a message confirming the query has been received, which includes a correlation ID. M7. LEMS Queue The query is placed in the LEMS Queue, where it waits until LEMS is able to process it. LEMS removes the query from its queue and directs it the required data sources. M8. Query Data Source MNJIS Hot Files. The inquiry is received by Minnesota Hot Files data source. This data source returns information on the individual. A hit generates a hit response with information. A no-hit generates a NO HIT response. MNJIS Hot Files queried include Gang File, Predatory Offender File, Protection Order File, Wanted Person File, and Keep Our Police Safe (KOPS) File. NCIC Hot Files. The inquiry is received by National Crime Information Center (NCIC) Hot Files data source. Its databases return information on the individual. A hit generates a hit response with information. A no-hit generates a NO RECORD response. NCIC Hot Files queried include the Foreign Fugitive File, Gang File, Immigration Violators File, Known or Appropriately Suspected Terrorist File, Missing Person File, Protection Order File, Sexual Offender File, Supervised Release File, U.S. Secret Service Protective Order File, and Wanted Person File. NICS Index. The inquiry is received by the National Instant Criminal Background Check System via the NCIC. Its database returns information on whether a person has a criminal history and if that individual is prohibited from purchasing firearms or explosives per the requirements of the Brady Handgun Law. III. The inquiry is sent to the Interstate Identification Index (III) to determine if another state has a criminal history for the individual. If so, III sends a 11/24/ :20:59 PM Page 16

17 query to the state of record through NCIC. The state of record sends a reply directly to LEMS via NLETS. Only 38 states participate in III. FBI via NCIC. Federal criminal histories and state criminal histories for those states not participating in III are returned from the FBI via NCIC. CCH. The MNJIS Computerized Criminal History database returns Minnesota criminal histories in three separate responses: adult, suspense, and juvenile. Each response contains either criminal history data or the message -- NO MATCHES WERE FOUND FOR THIS SEARCH. M9. LEMS Queue The query is placed in the LEMS Queue, where it waits until LEMS is able to process it. ESB removes the query result from its queue and directs them to SQL Database. M10. Translate The SIF message is translated into XML. M11. Hold in data store The separate responses received through LEMS from the data sources are held separately, until the user hub retrieves them by correlation ID. Main Flow Request Response The Main Flow for this use case is described below. Pre-Conditions The following must occur before the flow begins: 1. The response from the data source is received, translated to XML, validated, and stored in the data store. Post-Conditions Success End-Conditions The following have occurred as a result of the successful completion of the main flow: 1. Parsed XML is returned to the client. 2. The consumer of the service has a drivers license image for the person in question. Failed End-Conditions The following have occurred as a result of the main flow failing: 1. The database queried returns an error message indicating information submitted was in some way erroneous. This may be due to a syntax error, missing data, a system failure, or a system being down. 11/24/ :20:59 PM Page 17

18 2. The ESB security or archive service returns an error message to the consumer application hub reporting an error with authentication, authorization, or validation. QUERY PERSON GUN CHECK (QPGC) RESPONSE INSTANCE Consumer Application HUB ESB LEMS Request Service Data Server Query Request M12. Request Response M13. Authorize, Authenticate, Validate M13.A. Receive Error Message N Pass? Y M14. Retrieve from data store M16. Validate M15. Create Response Y N All anticipated responses in? M18. Receive Response Message M17. Archive Request and Response M12. Request Response The consumer application hub requests responses for the query, sending the correlation ID as the transaction identifier. M13. Authorize, Authenticate, Validate The ESB authenticates the hub s identity and whether the hub is authorized to request the query results. Pass? If the authentication and authorization is successful, then the flow continues to M14. Retrieve from data store. If the authentication and authorization are not successful, then the results of the inquiry are withheld and an error message is sent to the hub; the flow continues to M13.A. Receive Error Message. M13.A. Receive Error Message The hub receives an error message indicating the ESB rejected the request due to a problem with authorization, authentication, or validation. M14. Retrieve from data store The query results are identified by correlation ID, copied from the data store, and brought into the ESB. 11/24/ :20:59 PM Page 18

19 M15. Create Response The various responses from the SQL database are formatted into a Response Message instance document. M16. Validate The Response Message instance is validated. Pass? If the response message is valid, then the flow continues to M17. Archive Request and Response. If the message is invalid, the results of the inquiry are withheld and an error response message is generated; the flow continues to M17. Archive Request and Response. M17. Archive Request and Response The valid response or error message response is sent to Archive Services. Either response is sent to the hub. M18. Receive Response Message The consumer application hub receives the response from the ESB in XML, in a SOAP envelope. All anticipated responses in? If one or more responses have not been received, the hub will repeat its request. This will continue until each of the message keys and their three data sources have given a valid response. The following fault conditions could exist: 1. One or more systems involved in this service is unavailable. 2. The service query request is unauthorized, fails to authenticate, or is invalid. 3. The data source returns an invalid response. 4. The service results request is unauthorized, fails to authenticate, or is invalid. Alternative Flows No alternative flows exist for this service. 11/24/ :20:59 PM Page 19

20 Technical Service Definition Accessing the Service Accessing the Query Person Gun Check service is restricted to systems on the CJDN network that have access to the BCA s ESB. The Query Person Gun Check Service interface is not discoverable. Once an agency is approved for access to this service, BCA will provide a document that includes access details. Pre-Conditions (Technical) MCJE compliant request Request is valid Request contains a valid instance of the BCA Header Access to this service is secured. The agency must have a valid MNJIS System user ID and password Post-Conditions (Technical) This is a read only service; therefore this service will not change the state or data All requests to and responses from this service will be archived Service Interface Provide Justice Partners the ability to submit Query Person Gun Check requests. Responses from this service are retrieved using the BCA Asynchronous Messaging pattern as follows: 1. Upon submitting a Query Person Gun Check request operation, the service returns a MessageReceipt that contains a unique correlation ID synchronously. 2. The service consumer will then make a RequestMessage request operation passing in the correlation ID obtained from the initial request. If the responses are available, an MCJE compliant ResponseMessage will be returned. If the responses are not available, an empty response will be returned by the service and the service consumer needs to make another RequestMessage request at a later time. Once an agency is approved for access to this service, BCA will provide a document that includes the WSDL. Message Format Communication to and from this service is handled using Simple Object Access protocol (SOAP). Request and Response messages are XML instances that are embedded in the header and body of the SOAP envelope. Both the Request and Response XML messages conform to the BCA s Schema standards. There are multiple Schema files that define the request and response formats. The sample exchanges are meant to demonstrate several but not all possible query/response scenarios and can be used as a basis for understanding how to use this service. 11/24/ :20:59 PM Page 20

21 Once an agency is approved for access to this service, BCA will provide a document that includes the schemas and sample messages. Submission Request/Response Messages The following is a list of the supported request operations (refer to the request message schemas): o QueryPersonGunCheckRequest The response to the above requests is a MessageReceipt (refer to the MessageReceipt schema) that contains a unique correlation ID Retrieve Request/Response Messages The request for retrieving the responses is a RequestMessage (refer to the RequestMessage schema) The following is a list of the responses (refer to the response message schemas) that are wrapped in a ResponseMessage (refer to the ResponseMessage schema): o QueryPersonGunCheckResponse Exception Conditions and Error Handling This service will return a SOAP Fault if there is an error with the Service Consumer initiated calls If the consumer s request contains improper data in the BCA Header or service request, the XML response will contain a FailureReason that describes the error During processing unhandled exceptions happen for unknown and unpredicted reasons. When an unhandled exception occurs, a Fault is returned to the consumer of this service. The Fault 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 services 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 services 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 this 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. 11/24/ :20:59 PM Page 21

22 Appendix A: Glossary ATN (Attention) To the Attention of: ; the identity of the person making the request. FORMAT: alphanumeric, A-Z and 0-9 BUSINESS RULE: 30 maximum of characters. Periods (.) are not permitted within this data field. Use of periods will cause an error. Periods may be substituted with additional spaces or an alternate punctuation mark. DOB (Date of Birth) The subject s date of birth composed of year, month, and day. FORMAT: numeric, 0-9; two hyphens BUSINESS RULES: Sequenced as YYYY-MM-DD, 10 characters NAM (Name) - the name by which a person is known or designated. The NAM must include a minimum of last and first name. Middle name or initial and cadence are optional. FORMAT: alphabetic, A-Z, maximum of 30 characters, typed SURNAME, FIRST MIDDLE CADENCE. Special characters hyphen, comma, and space are accepted. BUSINESS RULES: For QPGC the NAM field input may equal a maximum of 30 characters total: the SURNAME is 28 characters maximum, the FIRST (name) is at least one character minimum, the MIDDLE (name) is 26 characters maximum, and the CADENCE is 4 characters maximum. The NAM field as an output may equal 138 characters: the SURNAME is 50 characters maximum, the FIRST (name) is 30 characters maximum, the MIDDLE (name) is 50 characters maximum, and the CADENCE is 4 characters maximum. First position must not be a blank, comma, or hyphen; must contain at least one, and only one, comma, which must not be preceded by a blank or hyphen. Two or more consecutive blanks or hyphens between characters are invalid. A hyphen must be preceded and followed by alpha characters. Hyphenated surnames are fully typed. First names may also be hyphenated. Compound surnames using a space are typed with the space. Hispanic names using the Spanish letter Y as a separator are typed with the Y. CADENCE has the following permissible values: JR, SR, II, III, IV, V, VI, VII, VIII, IX, and X; and must not exceed four characters. CADENCE may also be called a Suffix or a Title, depending on common usage. Complete names are to be used if available. No name or alias should be abbreviated unless the name exceeds the maximum field length. Should a name exceed the maximum field length, the initial(s) of the middle 11/24/ :20:59 PM Page 22

23 name(s) should be used rather than the full middle name(s). For first and last names, characters may be dropped from the end of the name to keep it within the maximum number of characters. Names must not be truncated (i.e. changing Jackson to Jack). All text after the space following a first name is recognized as a middle name. Accepted values for Cadence appearing after a space following a middle name are automatically recognized as a Cadence. When entering records for persons with only one name, the surname and an alphabetic X for other name(s) should be used. Abbreviations such as FNU, IO, LNU, MNU, NMI, and NMN should not be used. Periods (.) are not permitted within this data field. Use of periods will cause an error. Periods may be substituted with additional spaces or an alternate punctuation mark. See NCIC Code Manual for further details. NAM Examples NAM as Recognized by BCA Systems SMITH, X Last: SMITH, First: X (unknown) SMITH, X X X Last: SMITH, First: X, Middle: X, Cadence: X SMITH, JACK JR II Last: SMITH, First: JACK, Middle: JR, Cadence: II SMITH, JOHN HENRY Last: SMITH, First: JOHN, Middle: HENRY SMITH, JOHN HENRY JR Last: SMITH, First: JOHN, Middle: HENRY, Cadence: JR SMITH, JOHN H Q Last: SMITH, First: JOHN, Middle: H Q SMITH, JOHN HENRY LEWIS SR Last: SMITH, First: JOHN, Middle: HENRY LEWIS, Cadence: SR SMITH-JONES, JANE ELLE Last: SMITH-JONES, First: JANE, Middle: ELLE VON WRIGHT, JOHANNES HENRY Last: VON WRIGHT, First: JOHANNES, Middle: HENRY CRUZ Y ROMERO, JUAN HENRIQUE Last: CRUZ Y ROMERO, First: JUAN, Middle: HENRIQUE Private Service - A service that is only available internal to the BCA. That is, can only be consumed by other BCA services. PUR (Purpose) states the purpose of the inquiry. FORMAT: alphabetic, one character. BUSINESS RULE: Mandatory for KQ service calls sent to Alaska, Arizona, Colorado, Connecticut, Georgia, Hawaii, Maryland, Mississippi, Missouri, Montana, New Mexico, North Carolina, North Dakota, Pennsylvania, Virginia, Washington, and Wyoming. Optional for KQ service calls sent to Arkansas, California, Delaware, District of Columbia, Florida, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Massachusetts, Michigan, Minnesota, Nebraska, New Hampshire, New 11/24/ :20:59 PM Page 23

24 Jersey, Nevada, Ohio, Oklahoma, Oregon, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Vermont, Wisconsin, or West Virginia. Code A K C E J F D X H S L I S E Definition Administrative Query (for BCA use only) Child Placement (Minnesota only) Criminal Justice Purposes. Must be used when the IQ, FQ, or AQ is for official duties in connection with the administration of criminal justice. Employment and Licensing Purposes. Must be used for employment and licensing Criminal Justice Employment. Used when involving employment with a criminal justice agency or the screening of employees of other agencies over which the criminal justice agency is required to have management control. Criminal justice employment has been separated from other justice purposes due to the requirement of some state agencies. Weapons Related Background Check, or Firearm Permit. Must be used by criminal justice agencies in all states for screening applications for firearms and related permits. This includes firearms dealers, firearms purchases, carriers of concealed weapons, explosive dealers and users, and lethal weapons dealers and users, but only when a Federal, state or local law/ordinance exists making the criminal justice agency responsible for the issuance of the licenses/permits. Domestic Violence and Stalking. Must be used by courts when hearing civil domestic violence or stalking cases. This purpose code shall not allow access to State sealed records. Exigent Circumstance (NCIC only) Housing Authority/Administration Check Defensive Investigative Services or SCIA Purposes. Must be used by Defense Investigative Service and any other SCIA agencies authorized specifically by NLETS to access CHRI through the network using IQ, FQ, and AQ. Human Services Licensure (Minnesota only) Informed Consent National Security Non-Criminal Justice Employment/Licensure (Minnesota only) 11/24/ :20:59 PM Page 24

25 R Y W M Personal Review (Minnesota only) Public Defender Client (Minnesota only) Public Defender Witness (Minnesota only) State Mandated Public Service - A service that it is available for anyone to consume. This includes anyone with access to a computer and the World Wide Web. Restricted Service - A service that can only be consumed after authorization and configuration by the BCA. RAC (Race) the race of the subject. FORMAT: one alphabetic character. BUSINESS RULES: In an inquiry, search criteria A searches records with A,B, I, U, and W not withstanding other search criteria. Likewise, search criteria I searches A,B, I, U, and W; search criteria B searches A,B, I, and U; search criteria W searches A, I, U, and W; and search criteria U searches A, B, I, U, and W. The RAC codes are as follows: Code A B I U W Definition Asian or Pacific Islander- a person having origins in any of the original 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. American Indian or Alaska Native - a person having origins in any of the original peoples of the Americas and who maintains cultural identification through tribal affiliations or community recognition. Unknown White - a person having origins in any of the original peoples of Europe, North Africa, or the Middle East. SEX (Gender) the sex of the subject. FORMAT: one alphabetic character. BUSINESS RULE: SEX codes are as follows: 11/24/ :20:59 PM Page 25