STATE OF MINNESOTA DEPARTMENT OF PUBLIC SAFETY

Transcription

1 STATE OF MINNESOTA DEPARTMENT OF PUBLIC SAFETY BUREAU OF CRIMINAL APPREHENSION Out-of-State Driver s License, Driver s History, and Vehicle Registration Information Service Driver s License Query (DQ) Information Service Driver s History Query (KQ) Information Service Vehicle Registration Query (RQ) Information Service Published On: September 21, 2010 Service Release Version#: 1.0 Prepared By: Bureau of Criminal Apprehension Criminal Justice Information Systems 1430 Maryland Avenue East St. Paul, Minnesota Service Visibility Service Description Accessibility Service Inputs Service Outputs DQ SERVICE SUMMARY Public Restricted Private See Glossary for definitions This service provides users with the capability of retrieving out-of-state driver s license information with a license photograph. BCA Criminal Justice Partners Up to five Destination State (or Region) Codes (DST) Driver s License Number (OLN); or Name (NAM), Date of Birth (DOB), and Sex (SEX) Option to query Driver s License Image (IMQ) Out-of-state driver s license information

2 Service Visibility Service Description Accessibility Service Inputs Service Outputs KQ SERVICE SUMMARY Public Restricted Private See Glossary for definitions This service provides users with the capability of retrieving an out-of-state driver s history including a license photograph from U.S. States. BCA Criminal Justice Partners Destination State (or Region) Code (DST) Query by Operators License Number (OLN); or Name (NAM), Date of Birth (DOB), and Gender (SEX) Optional: Purpose Code (PUR), Drivers License Image (IMQ), and Attention (ATN). Out-of-state driver s histories. Service Visibility Service Description Accessibility Service Inputs Service Outputs RQ SERVICE SUMMARY Public Restricted Private See Glossary for definitions This service provides users out-of-state vehicle registration information from all U.S. States and Territories. BCA Criminal Justice Partners Up to five Destination State (or Region) Codes (DST) Vehicle License Plate Number (LIC) with License Plate Year (LIY) and License Plate Type (LIT); or Vehicle Identification Number (VIN) with optional Vehicle Make (VMA) and Vehicle Manufacturing Year (VYR) Out-of-state vehicle registration information MNJIS and NCIC Vehicle and Person Hot Files 11/24/ :24:21 PM Page 2

3 Document Revision History Date Version Description Author 09/21/ Initial Document BCA MNJIS 11/24/ :24:21 PM Page 3

4 Table of Contents DQ SERVICE SUMMARY... 1 KQ SERVICE SUMMARY... 2 RQ SERVICE SUMMARY... 2 BUSINESS SERVICE DEFINITIONS... 6 DRIVER S LICENSE QUERY (DQ) BUSINESS SERVICE DEFINITION... 6 SERVICE OVERVIEW... 6 REAL WORLD EFFECTS... 6 SUMMARY... 7 BUSINESS SCENARIOS... 7 INPUT DETAIL AND BUSINESS VALIDATION RULES... 7 DRIVER HISTORY QUERY (KQ) BUSINESS SERVICE DEFINITION... 8 SERVICE OVERVIEW... 8 REAL WORLD EFFECTS... 8 SUMMARY... 8 BUSINESS SCENARIOS... 9 INPUT DETAIL AND BUSINESS VALIDATION RULES... 9 VEHICLE REGISTRATION QUERY (RQ) INFORMATION SERVICE SERVICE OVERVIEW REAL WORLD EFFECTS SUMMARY BUSINESS SCENARIOS INPUT DETAIL AND BUSINESS VALIDATION RULES SERVICE CONSUMERS AND ACCESS RIGHTS SERVICE-LEVEL EXPECTATIONS SERVICE LOGGING AND AUDITING REQUIREMENTS TRAINING AND CERTIFICATION POLICIES STATUTES AND RULES RULES STATUTES BUSINESS USE-CASE TECHNICAL SERVICE DEFINITION ACCESSING THE SERVICE /24/ :24:21 PM Page 4

5 PRE-CONDITIONS (TECHNICAL) POST-CONDITIONS (TECHNICAL) SERVICE INTERFACE MESSAGE FORMAT EXCEPTION CONDITIONS AND ERROR HANDLING SECURITY PROFILE APPENDIX A: GLOSSARY /24/ :24:21 PM Page 5

6 Business Service Definitions Driver s License Query (DQ) Business Service Definition Service Overview The Driver s License Query (DQ) Query is a service in the National Law Enforcement Telecommunications System (NLETS) system that provides users with the capability of retrieving out-of-state driver s (operator s) license information from the U.S., Canada, and Mexico with an optional query for a photograph from U.S. States and Territories. DQ queries are submitted from user software through the ESB, to the LEMS and then to NLETS. Service Inputs: Up to five State codes or Region Codes Driver s License Number (OLN); or Name (NAM), Date of Birth (DOB), and Sex (SEX) Option to query Driver s License Image (IMQ) Consumer of Service: BCA Criminal Justice Partner Providers of Service: MNJIS Systems, NLETS Data Sources Service Outputs: Driver s license information with an optional photograph (conditional) Mexican commercial licenses will receive a confirmation of validity. Real World Effects The following is a list of effects of using this service: DQ retrieves personal descriptors and operator s registration data with an optional photograph for an individual. This enables law enforcement personnel to confirm the identity of an individual or confirm whether or not an individual is a registered motor vehicle operator. 11/24/ :24:21 PM Page 6

7 Summary A User s application hub submits a DQ 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 an out-of-state U.S. State, U.S. Territory, Canadian, or Mexican database via the National Law Enforcement Telecommunications System (NLETS) system. A successful query returns an operator s license information with personal descriptors (height, weight, hair color, etc.) with an optional operator s license photograph or a NO HIT response. An unsuccessful entry returns an error message. The response is 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 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, or other cause; often in conjunction with a traffic offense, an incident response, an investigation, et cetera. Input Detail and Business Validation Rules Mandatory DQ entry criteria must include: Up to five State Codes or Region Codes, CN for Canadian queries, or MX for Mexican queries Either a Operator s License Number (OLN) or Name (NAM), Date of Birth (DOB), and Gender (SEX) Optional input includes: Driver s License Image (IMQ) for U.S. queries The following validation rules apply to DQ service calls: Multiple responses may be received when querying by NAM/DOB/SEX. DQ queries to Canada are directed to CPIC, which maintains a national database for provincial records. Formats or data returned in responses may vary by Province. Arizona supplies previous OLNs with the current OLN. A region code can be submitted with a NAM/DOB/SEX search only. Only English alphanumeric characters are accepted. Characters and punctuations unique to Spanish are not accepted. See Appendix A or the NCIC 2000 Code Manual for further details. 11/24/ :24:21 PM Page 7

8 Driver s History Query (KQ) Business Service Definition Service Overview The Driver s Record History Query (KQ) is a service in the National Law Enforcement Telecommunications System (NLETS) that provides users with the capability of retrieving out-ofstate driver s history information including a photograph. KQ may be used to retrieve information from any state. KQ queries are submitted from user software through the ESB, to the LEMS and then to NLETS. Service Inputs: Destination State Code (DST) Query by Operators License Number (OLN); or Name (NAM), Date of Birth (DOB), and Gender (SEX) Optional: Purpose Code (PUR), Drivers License Image (IMQ), and Attention (ATN). Consumer of Service: BCA Criminal Justice Partner Providers of Service: BCA systems, NLETS system, out-ofstate database Service Outputs: Out-of-state driver s history Real World Effects The service s benefit to the user includes the ability to obtain and use an out-of-state driver s history. Summary A User s application hub submits a KQ 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 an out-of-state U.S. State and Territory database via the National Law Enforcement Telecommunications System (NLETS) system. A successful query returns an operator s driving record or a NO HIT response. An unsuccessful entry returns an error message. The response is returned to the BCA via the LEMS, 11/24/ :24:21 PM Page 8

9 is validated, and stored in the SQL Server database until the User Application Hub requests the response. The BCA ESB sends the 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, or other cause; often in conjunction with a traffic offense, an incident response, an investigation, et cetera. Input Detail and Business Validation Rules Mandatory KQ criteria must include: Destination State Code (DST) Operators License Number (OLN); or Name (NAM), Date of Birth (DOB), and Gender (SEX) Optional data inputs include: Purpose Code (PUR) Drivers License Image (IMQ) Attention (ATN) The following validation rules apply to KQ service calls: Rhode Island only accepts Operator s License Number (OLN) as search criteria. Both Purpose Code (PUR) and Attention (ATN) are mandatory for KQ calls to the state of Missouri. Driver s License Image (IMQ) is currently available from Delaware, Indiana, Massachusetts, Minnesota, Mississippi, New Mexico, North Carolina, Ohio, Oregon, Tennessee, Virginia, and Wisconsin. See Appendix A or the NCIC 2000 Code Manual for further details. 11/24/ :24:21 PM Page 9

10 Vehicle Registration Query (RQ) Information Service Service Overview The Vehicle Registration Query (RQ) service is a service in the National Law Enforcement Telecommunications System (NLETS) system that provides users with the capability of retrieving out-of-state vehicle registration information from U.S. State and Territory databases, with MNJIS and NCIC Vehicle and Person Hot Files. RQ queries are submitted from user software through the ESB, to the LEMS and then to NLETS. Service Inputs: Up to five State Codes or Region Codes Vehicle License Plate Number (LIC) with License Plate Type (LIT) and License Plate Year (LIY); or Vehicle Identification Number (VIN) with optional Vehicle Make (VMA) and Vehicle Manufacturing Year (VYR) Consumer of Service: BCA Criminal Justice Partner Providers of Service: MNJIS Systems, NLETS System, out-ofstate databases Service Outputs: Out-of-state vehicle registration information MNJIS and NCIC Vehicle and Person Hot Files. Real World Effects The service s benefit to the user is the ability to retrieve and use an individual s out-of-state vehicle registration and any hot file information related to the vehicle or the vehicle s owner. Summary A User s application hub submits a RQ 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 an out-of-state U.S. State or U.S. Territory database via the National Law Enforcement Telecommunications System (NLETS) system, and to MNJIS and NCIC Hot Files. A successful query returns a vehicle s registration information or a NO HIT response, and hot files if any exist. An unsuccessful entry returns an error message. The response is returned to the BCA via the LEMS, is validated, and stored in the 11/24/ :24:21 PM Page 10

11 SQL Server database until the User Application Hub requests the response. The BCA ESB sends the 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 a vehicle s legal status in connection with an actual or alleged crime, confirmation of identity, discovery of outstanding warrants, or other cause; often in conjunction with a traffic offense, an incident response, an investigation, et cetera. Input Detail and Business Validation Rules Mandatory RQ criteria includes: Up to five State Codes or Region Codes Vehicle License Plate Number (LIC) with License Plate Type (LIT) and License Plate Year (LIY); or Vehicle Identification Number (VIN) Optional criteria includes: Vehicle Make (VMA) Vehicle Manufacturing Year (VYR) when querying by VIN. The following validation rules apply to RQ service calls: Searches using Region Codes can only be done with Vehicle Identification Number (VIN) searches. Missouri requires Vehicle Make (VMA) and Vehicle Year (VYR). Data inputs must be submitted in upper case alphanumeric characters with special characters as required or permitted for each input field. See Appendix A or the NCIC 2000 Code Manual for further details. 11/24/ :24:21 PM Page 11

12 Service Consumers and Access Rights The authorized users of the DQ, KQ, and RQ message key services are select BCA personnel and BCA criminal justice partners including but not limited to law enforcement officials, courts, probation officers, and parole officers. 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 For DQ only; the Canadian Police Information Centre (CPIC) disseminates Canadian driver s license information to Minnesota via NLETS. If CPIC is not available, the call will be repeated until CPIC is available. For DQ only; the Licencia Federal Information System (LIFIS) of Mexico disseminates commercial operator s licenses for those Mexican citizens that have clearance to drive commercial vehicles in and out of the Unites States and Mexico. This information is made accessible from LIFIS to Minnesota via NLETS. The LIFIS system supports direct electronic connections between a central office and Mexico s field licensing offices. Some records at some offices are known to require manual retrieval and therefore may require several days to produce a response. If LIFIS is not available, the call will be repeated until LIFIS is available. 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. The National Law Enforcement Telecommunications System (NLETS): an international justice and public safety information sharing network that facilitates information sharing between all U.S. territories and states, U.S. federal agencies with a law enforcement mission, and certain international agencies including the Canadian Police Information Centre, Mexico s Licencia Federal Information System (LIFIS), and INTERPOL. NLETS is maintained by Nlets Corporation and operates 27/7/365 with about 99.99% uptime. NLETS does not house data, but connects databases. Law enforcement databases connected to NLETS include local, state, and national databases from over 30,000 government agencies. These databases operate independently of NLETS. NLETS operates over a private T1 network. If NLETS is not available, the call will be repeated until NLETS is available. 11/24/ :24:21 PM Page 12

13 For RQ only; Minnesota Person Hot Files, including Impounded Vehicle File, Gang File, Protection Order File, Wanted Person File, Predatory Offender 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. For RQ only; NCIC Person and Vehicle Hot Files data are provided by the FBI and includes the License Plate File, Vehicle File, Vehicle/Boat Part File, 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. 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. NLETS depends on other databases at over 30,000 agencies. These databases differ greatly in age and sophistication, therefore one number cannot be provided to rate the speed of NLETS or its responses. Responses are usually obtained within a few seconds. Also note some NLETS responses are not automated. Therefore responses may be delayed over non-business days, or may require multiple business days to process. LEMS uses messaging queues and asynchronous communications, with reliable persistent delivery. Typically the requestor systems set their own timeout parameters. Canada s CPIC system typically responds within several seconds. Mexico s LIFIS system can respond within several seconds, but may require as many as 15 days to deliver a response. 11/24/ :24:21 PM Page 13

14 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/ :24:21 PM Page 14

15 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/ :24:21 PM Page 15

16 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/ :24:21 PM Page 16

17 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/ :24:21 PM Page 17

18 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. 11/24/ :24:21 PM Page 18

19 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 needed inputs are known. Post-Conditions Success End-Conditions The following have occurred as a result of the successful completion of the main flow: 1. Information related to a vehicle and/or its owner is retrieved and made available to law enforcement personnel. 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/ :24:21 PM Page 19

20 OUT-OF-STATE DRIVER S LICENSE, DRIVER S HISTORY, AND VEHICLE REGISTRATION 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 DQ, KQ, or RQ service call. 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 11/24/ :24:21 PM Page 20

21 The ESB sends an error message to the user, indicating either a failure to authenticate, pass authorization, or validate the schema. 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 service request 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 Sources DQ, KQ, and RQ queries access U.S. State and Territory databases via NLETS to obtain vehicle operator driving records and registration, or vehicle registration. DQ queries may also access Canada s CPIC and Mexico s LIFIS via NLETS to retrieve operator registration information. RQ queries MNJIS Hot Files. The inquiry is received by Minnesota Hot Files data source. This data source returns information on the vehicle and its owner(s) per its databases. A hit generates a hit response with information. A no-hit generates a NO HIT response. MNJIS Hot Files queried include the Impounded Vehicle File, Gang File, Protection Order File, Predatory Offender File, Wanted Person File, and Keep Our Police Safe (KOPS) File. RQ queries NCIC Hot Files. The inquiry is received by National Crime Information Center (NCIC) Hot Files data source. Its databases return information on the vehicle and its owner(s). A hit generates a hit response with information. A no-hit generates a NO RECORD response. NCIC Hot Files queried include the License Plate File, Vehicle File, Vehicle/Boat Part File, Foreign Fugitive File, Gang File, Immigration Violators File, Known or Appropriately Suspected Terrorist File, Missing Person File, Protection Order 11/24/ :24:21 PM Page 21

22 File, Sexual Offender File, Supervised Release File, U.S. Secret Service Protective Order File, and Wanted Person File. 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. 2. The ESB security or archive service returns an error message to the consumer application hub reporting an error with authentication, authorization, or validation. 11/24/ :24:21 PM Page 22

23 OUT-OF-STATE DRIVER S LICENSE, DRIVER S HISTORY, AND VEHICLE REGISTRATION 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. M15. Create Response The various responses from the SQL database are formatted into a Response Message instance document. 11/24/ :24:21 PM Page 23

24 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/ :24:21 PM Page 24

25 Technical Service Definition Accessing the Service Accessing the Out-of-State Driver s License, Driver s History, and Vehicle Registration Information services are restricted to systems on the CJDN network that have access to the BCA s ESB. The Out-of-State Services interface is not discoverable. Once an agency is approved for access to these NLETS services, 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 these services is secured. The agency must have a valid MNJIS System user ID and password Post-Conditions (Technical) The following services are read only services; therefore these services will not change the state or data: o o o Driver s License Query (DQ) Driver History Query (KQ) Vehicle Registration Query (RQ) All requests to and responses from these services will be archived Service Interface Provide Justice Partners the ability to submit requests to NLETS. Responses from these services are retrieved using the BCA Asynchronous Messaging pattern as follows: 1. Upon submitting a NLETS 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 response from NLETS is available, an MCJE compliant ResponseMessage will be returned. If the response from NLETS is 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 these services, BCA will provide a document that includes the WSDL. Message Format Communication to and from these services are 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. 11/24/ :24:21 PM Page 25

26 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 these services. Once an agency is approved for access to these services, BCA will provide a document that includes the schemas and sample messages. Submission Request/Response Messages The following is a list of the supported NLETS request operations (refer to the request message schemas): o QueryOutOfStateDriverLicenseRequest o QueryOutOfStateDriverHistoryRequest o QueryOutOfStateVehicleRegistrationRequest 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 NLETS 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 QueryOutOfStateDriverLicenseResponse o QueryOutOfStateDriverHistoryResponse o QueryOutOfStateVehicleRegistrationResponse Exception Conditions and Error Handling These services 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 these services 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. These services operate over HTTPS on TCP/IP port 443. An SSL certificate is required to be installed on any workstation or server consuming these services. SSL certificates can be obtained from the BCA. 11/24/ :24:21 PM Page 26

27 When configuring the endpoint in a consuming client or service, make sure that https is specified. 11/24/ :24:21 PM Page 27

28 Appendix A: Glossary ATN (Attention) identity of the person making the request. FORMAT: alphanumeric, A-Z and 0-9, 30 maximum of characters. BUSINESS RULE: ATN is optional in most KQ transactions, but mandatory for Missouri. See NAM below for other business rules. APPLICABLE TO: KQ, RQ, and DQ DOB (Date of Birth) The subject s date of birth composed of year, month, and day. FORMAT: numeric, 0-9; two hyphens, sequenced as YYYY-MM-DD, 10 characters. BUSINESS RULES: Mandatory for KQ and DQ transactions using NAM Prohibited for KQ and DQ transactions using OLN APPLICABLE TO: KQ and DQ DST (Destination State) the state(s) to be queried for Driver s License information. FORMAT: alphanumeric, two characters. BUSINESS RULES: State codes are alphabetic only Region codes are alphanumeric. Region codes are only applicable for DQ, and RQ with VIN as query criteria. One to five DST(s) are mandatory for DQ and RQ One DST in mandatory for KQ. DQ calls to Canada use code CN. DQ calls to Mexico use code MX. Complete lists of state codes and region codes for DQ, RQ, and KQ appear below. Code Definition Code Definition AK AL AM AR AZ BK CA CG CO Alaska Alabama American Samoa Arkansas Arizona Baker Island California Carolina Island Colorado MN MO MS MT MW NB NC ND NH Minnesota Missouri Mississippi Montana Midway Islands Nebraska North Carolina North Dakota New Hampshire 11/24/ :24:21 PM Page 28

29 CT CZ DC DE FL GA GM HI HO IA ID IL IN JI JR KI KS KY LA MA MD ME MH MI MK Connecticut Canal Zone District of Columbia Delaware Florida Georgia Guam Hawaii Howland Island Iowa Idaho Illinois Indiana Johnston Atoll Jarvis Island Kingman Reef Kansas Kentucky Louisiana Massachusetts Maryland Maine Marshall Islands Michigan Northern Mariana Islands NJ NM NV NY OH OK OR PA PL PR RI SC SD TN TX UT VA VI VL VT WA WI WK WV WY New Jersey New Mexico Nevada New York Ohio Oklahoma Oregon Pennsylvania Palmyra Atoll Puerto Rico Rhode Island South Carolina South Dakota Tennessee Texas Utah Virginia Virgin Islands Navassa Island Vermont Washington State Wisconsin Wake Island West Virginia Wyoming Region A Code: A1 Region B Code: B1 Region C Code: C1 Connecticut Maine Massachusetts New Hampshire Rhode Island Vermont Air Force OSI Department of State FBI Naval Investigative Service Postal Service Delaware District of Columbia PD Maryland New Jersey New York Pennsylvania FBI/NCIC National Center for Missing & Exploited Children Postal Service U.S. Secret Service Kentucky North Carolina South Carolina Tennessee Virginia West Virginia Department of Justice FBI Nat l Sheriff s Association Postal Inspection Service Postal Service Region D Code: D1 Region E Code: E1 Region F Code: F1 Alabama Illinois Iowa American Samoa Arkansas Florida Georgia Louisiana Mississippi Indiana Michigan Missouri Ohio Wisconsin FBI Minnesota Montana Nebraska North Dakota South Dakota Wyoming 11/24/ :24:21 PM Page 29

30 Puerto Rico INTERPOL FBI Postal Service N.I.C.B. TECS Postal Service Department of the Army FBI Postal Service Region G Code: G1 Region H Code: H1 Arizona Colorado Kansas Alaska California Hawaii New Mexico Oklahoma Texas Utah Department of the Interior FBI Postal Service Idaho Nevada Oregon Washington ICE FBI Postal Service APPLICABLE TO: KQ, DQ, and RQ IMQ (Image Request) used to request a photographic image of the subject of the inquiry. FORMAT: Format: alphabetic, one character, either Y for yes, or blank or N for no. BUSINESS RULES: Optional in all KQ and DQ transactions. Currently available from Delaware, Indiana, Massachusetts, Minnesota, Mississippi, New Mexico, North Carolina, Ohio, Oregon, Tennessee, Virginia, and Wisconsin. APPLICABLE TO: KQ and DQ LIC (License Plate Number) license plate number of vehicle that is the subject of the query. FORMAT: Format: alphanumeric, maximum 10 characters. BUSINESS RULES: Prohibited for RQ transactions using VIN. The values "UNK", "UNKN", "UNKNOWN" may be used in inquiry transactions. For entry of a record with those values, contact the FBI CJIS staff. If the license plate number exceeds ten characters, only the first ten characters should be entered in the LIC Field. RQ queries only searches by the first 8 characters of LIC when searching files created by License Plate Readers (LPR s) maintained by the United States Custom and Border Protection (CBP) via the National Intelligence Collection Board (NICB). APPLICABLE TO: RQ LIT (License Plate Type) License type of the license plate that is the subject of the query. 11/24/ :24:21 PM Page 30