U. S. Department of Justice
Information Technology Strategic Plan

Appendix F

Segment Architecture of the
Law Enforcement Booking Process^*

Preface

This document provides the Department of Justice (Department) with an example of a segment architecture analysis to illustrate how Enterprise Architecture (EA) Planning can be used to provide a blueprint for defining an organization's Baseline (As Is) and Target (To Be) architectures. EA Planning assists in defining the business processes needed to support an organization's mission; defining the data required to support those business processes; and identifying how to provide that data to those in the organization who need it. Usually EA Planning, as its name implies, encompasses an entire organization. It is essential to first have this enterprise-wide view before developing a detailed analysis of a single segment. Efforts are underway within the Department to develop the overarching framework, however, for purposes of illustration only, one segment of the Department's enterprise was chosen for this study.

The focus of this example is the Department's law enforcement booking process. The booking process was chosen as an illustration because of differences in the way that the Department's law enforcement components manage booking data. The Department developed an automated system called the Joint Automated Booking System (JABS) to facilitate the sharing of arrest and Federal offender data among the law enforcement components. Currently, the Drug Enforcement Administration (DEA) is the only Department component that interfaces with JABS, although, the United States Marshals Service (USMS), the Federal Bureau of Investigation (FBI), and the Bureau of Prisons (BOP) are working toward an interface capability. In addition, the Immigration and Naturalization Service (INS) is pursuing a modification to their booking process to include JABS.

This segment architecture example compares how the DEA and the INS manage booking data in support of the Department's mission and strategic goals. These two law enforcement components were chosen because each provides an example of a different approach to the data flow. The DEA developed an electronic process and the INS currently uses a manual process to transfer data to the Federal Bureau of Investigation's (FBI) Integrated Automated Fingerprint Identification System (IAFIS).

For purposes of this document, the baseline view of the Department's booking process is based on JABS, Version 1.3, which is the current operational version. The Target Architecture describes a combination of elements from JABS, Version 2, and INS' future interface from its Automated Biometric Identification System (IDENT) to IAFIS. The IDENT interface with IAFIS (IDENT/IAFIS, Version 1.2), would automate the INS interface with JABS.

This segment architecture analysis of the Department of Justice (Department) booking process defines a target architecture to optimize the relationships between the Department's booking process and the underlying information technology (IT) that supports that business process. It is a high-level blueprint that shows how the business activities and data should be supported by IT (applications and infrastructure). The Department's vision is for its Joint Automated Booking System (JABS) to become the conduit for access to Federal law enforcement booking data (see Figure 1).

d
Figure 1: JABS: A Conduit for Law Enforcement Data

The Department has developed JABS, a system for electronic information sharing to automate the booking processes of the entire organization. This segment architecture analysis examines how two of the Department's law enforcement components, the Drug Enforcement Administration (DEA) and the Immigration and Naturalization Service (INS), use their own internal booking processes to manage data in support of the Department's mission and goals. The analysis also examines how these two components share booking information and interface with two other important systems in the Department's booking process: JABS and the Federal Bureau of Investigation's (FBI) Integrated Automated Fingerprint Identification System (IAFIS).

This segment architecture analysis consists of three primary elements. The first is the Baseline Characterization of the Department's booking process, which describes the booking process and examines how well it supports the Department's business. The second component is the Target Architecture, which describes the four architecture views-business, data, application, and technology-that make up the booking process. The third component provides a gap analysis and a transition plan. The gap analysis identifies the gaps between the two architectures (the baseline and the target), while the transition plan outlines the migration from the baseline (As Is) to the target (To Be) architecture. This methodology is based on guidance from the Federal Enterprise Architecture Framework (FEAF) for Enterprise Architecture (EA) Planning, and includes inputs from the Department's Business and Data Architectures. Figure 2 depicts how these elements relate during the process of developing and maintaining the segment architecture for JABS.

d
Figure 2: Components of a Segment Architecture

This approach is consistent with the guidance in the Clinger-Cohen Act. This Act directs the Chief Information Officer (CIO) to ensure that information technology (IT) is acquired and information resources are managed according to the business priorities of the organization. The first step in developing a segment architecture is to define the Enterprise Statement. The Enterprise Statement defines the scope of the Department's booking process.

The Business Architecture defines a high-level view of the Department's booking process within the context of the Enterprise Statement. In addition, it examines the activities and attributes (e.g., user classes) that make up that process and the relationships between them.

The Department's booking process is actually a compilation of systems and processes. The process consists of the Department-wide system for capturing booking data, JABS; the systems and processes established by each of the Department's law enforcement components; and the FBI's IAFIS, which provides ten-print fingerprint identification and criminal history services to other law enforcement components. The law enforcement components collect much of the same arrest information through their booking processes, such as ten-print fingerprints and other biometric information, to facilitate making a positive identification of a suspect. Each of the components has the capability to query IAFIS to assist in identifying suspects by obtaining a positive fingerprint match. The roles and responsibilities of the different players are illustrated in Figure 3.

d
Figure 3: Nationwide JABS Implementation

In 1993, the Department determined that there was a need to share booking data among the Department's law enforcement components. To meet this requirement, JABS was developed to transmit fingerprint and other relevant arrest and suspect data between IAFIS and the law enforcement components. In 1999, the Department completed development of the JABS System Boundary Document and established the high-level requirements for the JABS nationwide development and implementation. The objectives of the JABS program are outlined below:

As a result of a JABS pilot program conducted in South Florida in 1999, it was decided that the following functional principles should drive the design and implementation of the nationwide deployment of JABS.

Each component will develop its own automated booking capability.

JABS will provide the critical data exchange capability among law enforcement components.

As a central transitional data repository of booking information, JABS will allow authorized users to query the database to find needed information about an offender.

JABS will be the conduit to successfully transmit digital fingerprints to IAFIS for identification and return this information to the source component.

When fully deployed, JABS will provide the following law enforcement functionality:

• Submission to FBI's IAFIS - Each designated law enforcement component will have the capability to electronically submit the booking packages that were created in its internal automated booking system to the FBI's IAFIS through JABS. As part of this service, JABS will validate and repackage (reformat to comply with IAFIS directives) the data prior to submission to IAFIS. The submission will be tracked in JABS and the data will be archived for future retrievals and queries.
• Access and Retrieval - Each designated law enforcement component will have specialized access to booking records that it submits. In addition, the capability to retrieve information that another component originated for further analysis and processing.
• Query and Search Tool - Standard query and search capabilities will be available to all authorized users. When performing investigative casework, users can search on common data fields to retrieve possible suspect matches and additional prior booking information. Data fields subject to query include file numbers, personal information, physical characteristics, vehicles, and known criminal associates.
• Reporting Capability - A tool that generates standard reports; such as component statistics, will be available to all authorized users.
• Additional Capabilities - Various technical and administrative services; including security, auditing, database management, e-mail, and interface tools; will be available.

As more components use JABS, many benefits are envisioned for the future. JABS could provide an offender/case-tracking number to be used by all Federal criminal justice agencies. This could ensure court dispositions and U.S. Attorney declination decisions are electronically transmitted to the criminal history records at the FBI's Criminal Justice Services Division.

The Department's booking process is intended to manage booking data via six business activities as follows:

• Creating a new booking record
• Updating an existing booking record
• Querying existing booking records
• Managing the component level booking station
• Managing JABS
• Providing Department-wide technical support for JABS

The DEA and the INS components are responsible for supporting the "Enforcement Operations"¹ business area of the Department. While their missions and goals vary, they perform similar business activities. Each component conducts the business function called "Arrest Suspects."¹ This function requires a booking process to gather specific information about detained or arrested individuals. Also, each component's booking process collects biometric and biographic information that is important for suspect identification.

The DEA collects booking data through an automated booking process called the Firebird Booking Service (FBS). When a suspect is arrested, ten-prints and other arrest related data elements are collected on a Form FD-249 (Arrest and Fingerprint Card) in an FBS local workstation that directly transmits the booking package electronically to a JABS server. JABS stores the booking data in a central database where it is available to be queried by the DEA. JABS repackages the booking data into a format determined by the FBI and sends it to IAFIS for a positive identification of the suspect. IAFIS returns a response to the DEA, usually within 2 hours of the original submission to JABS.

INS currently employs a mix of manual systems and automated systems to perform the booking process. It uses its Enforcement Case Tracking System Booking Module (ENFORCE) to process the majority of its apprehensions. ENFORCE is an automated system that is used extensively in the field by border patrol agents to submit electronic data forms. A related system was developed called the Automated Biometric Identification System (IDENT) as an automated, two-print identification system. These two systems, ENFORCE and IDENT, exchange information through an electronic interface. The purpose of the ENFORCE/IDENT interface is to allow the ENFORCE users to correlate the information stored via electronic forms with the biometric data stored in IDENT. The INS imports a subset of the FBI's "wants and warrants" fingerprint files into IDENT and uses this information to identify known criminals, usually within 2 minutes. The initial booking process is automated, but the submission of the ten-prints to the FBI is manual.

As soon as the INS agents determine that it is necessary to hold a suspect for more than 6 hours, they book the suspect. A set of ten-prints and other biographic data elements are collected and placed on a Form FD-249 fingerprint card. The booking information is added to a case file and mailed to the FBI, or in a few instances, transmitted via secure facsimile, for the eventual inclusion in the FBI's IAFIS. This data is not presently transmitted through JABS. The FBI examines the fingerprints and compares them with prints stored in IAFIS. Normally, the INS receives a response from the FBI within 6 to 8 weeks. The INS does not store the ten-prints in an INS database, however, it does store two index fingerprints in its Automated Biometric Identification System (IDENT) database.

Of the 128,000 employees in the Department, approximately 36 percent are classified as specializing in enforcement and investigations. Another 11 percent are detention officers. These Department employees, who represent nearly half of the total, comprise the core users of the Department's various booking processes. In addition to the core users, attorneys supporting the litigation and hearings represent another category of users who require booking data for prosecution, management, and analytical purposes. This represents an additional 10 percent of the Department's workforce. In total, over half of the Department's employees are engaged in business activities that require standardized information from the booking process.

The components have a similarly wide variety of employees who use the booking data. Approximately 4,500 of the DEA's 9,500 employees-as well as an additional 2,500 state and local employees deputized and working under DEA supervision-are responsible for conducting bookings. Within the INS, 7,000 of nearly 40,000 employees are responsible for conducting investigations and 13,000 are responsible for conducting the actual bookings. Additionally, within both components, there are many more employees, other than those who conduct the bookings, who rely upon the booking information to perform their duties.

Figure 4 lists the JABS common "user classes." A user class is a group of individuals who perform similar activities with a similar purpose. These individuals enter and use arrest information from the booking process. Figure 4 also illustrates the business requirements supported by each user class while performing the "Arrest Suspects" business function.

Figure 4: Department of Justice Booking Process User Classes

The DEA has 350 locations where bookings are conducted. Approximately 100 are electronically linked to IAFIS through JABS. The remaining booking locations are expected to receive the JABS booking stations by the end of FY03. In addition, the DEA has 25 Mobile Enforcement Teams (MET) with the capability of conducting remote bookings in the field and linking via a wireless connection to the FBS.

The INS has approximately 900 locations where bookings are performed. In addition, the INS is currently testing the technical and operational feasibility of using a "Remote IDENT" to provide the border patrol agents with the capability of using a laptop computer in a remote location with a dialup phone line to process apprehensions and book suspects.

The DEA and the INS have many booking locations within the same geographic area. Because crimes tend to be local or regional in nature, it is not uncommon for the DEA and the INS to be investigating the same crimes or to be booking the same suspects concurrently. However, because there are no automated links between their individual booking processes, there is no efficient way for these organizations to share booking information or avoid duplicate data entry.

The Data View depicts the logical relationships of specific data elements required by the individual business activities that comprise the business process-in this case the booking process. This view analyzes, and attempts to describe, the relationship between the information required (i.e., the data) and the business activities essential to the booking process.

The Department's data view is concerned with the data that supports the missions and strategic goals of all of its law enforcement components' booking processes. While the DEA and the INS have a need for data specific to their respective missions, there is also a common pool of data that all booking agents require. These data elements can be grouped together in the 12 unique categories of data listed below.

• Photos of scars, marks and tattoos
• Vehicle information
• Medical and mental history
• Administrative booking data
• Information on associates
• Information on family members
• Mugshots
• Identifying numbers and documents
• Description of the arrest
• Physical description of the suspect
• Ten-print fingerprints
• Information contained in the FBI response (e.g., arrest history, incarceration data, "rap sheet")

The DEA collects booking and arrest data through its FBS. Once a booking package has been automatically constructed in FBS, the package is sent electronically to JABS, which repackages the information and submits it electronically to IAFIS. IAFIS responds with an e-mail message to JABS, which in turn, transmits the response with the data to the DEA. Figure 5 depicts the information flow between the FBS and IAFIS.

d
Figure 5: Data Flow for the DEA Booking Process

Through JABS, the DEA can electronically create a booking package or an inquiry; transmit it to IAFIS for identification; and quickly receive an IAFIS response. By interfacing electronically to JABS, the DEA receives a response from the FBI on average within 2 hours. Prior to the development of an electronic interface, the elapsed time for the DEA to receive the IAFIS response ranged between 6 weeks to 3 months.

In addition, data submitted to JABS is stored in a central data repository where it is available for query or reports by other organizations. This supports the JABS program objective for the facilitation of data sharing among its components.

The INS uses a case tracking and booking system, ENFORCE, to capture biographical information related to INS enforcement activities and capture retrievable biometrics through the INS's IDENT. IDENT is a quick screening database that contains index fingerprint records (two-print) both for criminals and non-criminals. ENFORCE accepts electronic forms completed at the various Border Patrol locations. Together, these two systems create the ENFORCE/IDENT Booking Module, which provides data to the INS enforcement data repository and allows the INS Border Patrol to correlate the data supplied by the ENFORCE electronic forms to the biometric information captured by IDENT. For the INS, bookings are conducted on cases that are considered or accepted by the U.S. Attorneys Office for Federal prosecution. All other case types are not booked through JABS. Currently, the INS does not have the capability of electronically submitting ten-prints to IAFIS². Therefore, the submission of the booking and arrest data to IAFIS and the subsequent FBI response are manual processes. Ten-print cards are sent predominantly by mail, but occasionally by facsimile, to the FBI for identification and comparison with fingerprint data stored in IAFIS. In contrast to the DEA data flow, Figure 6 shows the information flow between INS and IAFIS.

d
Figure 6: Data Flow for the INS Booking Process

Because the INS does not receive a response from the FBI for 6-8 weeks, the INS is not able to use the real-time identification information from the FBI when a subject is first detained. To alleviate problems in this area, IDENT periodically imports "wants and warrants" data from IAFIS. However, because ENFORCE/IDENT does not interface with JABS, the information contained in this database cannot be shared with other components. Conversely, the INS is not able to query the JABS database for relevant data from other organizations.

As discussed in the business characterization (see Section 3.1.2), the Department's booking process is intended to manage data through the six phases of the booking process: create, update, query, component management, JABS management, and technical support. The Department's booking process consists of three major applications: Core JABS, which is the system for collecting and integrating data from all of the Department's component booking processes; the DEA's automated booking system (i.e., FBS); and the INS's ENFORCE/IDENT. Figure 7 depicts the JABS activities that are performed by the existing applications.

Figure 7: Department of Justice Booking Process Applications and Business Activities Supported

JABS is designed to provide for rapid identification of criminals via the FBI's IAFIS. The system provides real-time information sharing for investigations; eliminates the need for data-entry redundancies and manual, paper-intensive processes; and establishes a tracking capability for individuals held in Federal custody. Within this process, JABS sends up to three messages to the booking station submitting the package. The first message simply indicates that JABS has received the submission. The second message indicates that the package was forwarded to IAFIS. The third message provides the response returned from the FBI with an attached FBI identification record, if available. The FBI maintains information records on more than 24 million persons. For each individual for whom criminal justice information is submitted, the FBI's Criminal Justice Information Services Division compiles an identification record, or "rap sheet." A rap sheet reflects information regarding arrests, convictions and other dispositions when known, and incarcerations.

To improve maintainability, the application architecture relies mostly upon commercial off-the-shelf (COTS) products and encourages a minimal use of development software. The purpose of JABS customized software is to integrate the COTS applications.

As shown in Figure 7, the DEA application supports all of the booking process business activities. FBS workstations are directly interfaced to JABS, allowing booking data to be electronically transmitted to IAFIS through the JABS server. Data is stored on the JABS server so that the DEA booking data is available to other JABS-capable entities within the DEA, and can be queried, printed, and exported.

As stated earlier, the INS primarily uses its ENFORCE system to capture booking data (e.g., Border Patrol processes over 99 percent of their apprehensions through ENFORCE). ENFORCE is an automated system that is linked to IDENT and is used extensively in the field. Together, this is known as ENFORCE/IDENT. IDENT is used to identify an individual based on internal INS data and the FBI's "wants and warrants" fingerprint files, which are periodically imported into IDENT.

Because the INS booking process is not linked to Core JABS through an electronic interface, the INS booking data is not available to other law enforcement components and cannot be queried, printed, or exported by JABS. The INS does not store ten-print records within ENFORCE/IDENT, although it does have a means to extract the two-print index finger impressions from the ten-print file and store this information in its database.

For purposes of this document, the technology of the Department's booking system is the total of the technology of Core JABS, the DEA's FBS, and the INS's ENFORCE/IDENT.

Core JABS consists of two server-class machines on a network segment. The Local Area Network (LAN) is connected to the Department's Justice Consolidated Network (JCN) via a firewall. The Unix server is a Hewlett Packard (HP) 9000/800 N4000 series that serves as a host for the JABS database and Web server. The Microsoft (MS) NT server is a PL5500-RXN500 Compaq server that hosts the JABS e-mail application. Both servers have redundant critical subsystems including system disks, power supplies, Central Processing Units (CPU), and cooling fans.

JABS services reside on a protected subnet, which is connected to each of the components' networks and the Department's intranet via a Virtual Private Network (VPN). JABS is installed at the Justice Data Center (Rockville, Maryland). The architecture consists of a server and associated peripherals hosting the Oracle database management system that provides the data repository, security, and audit, and transactional services. JABS printers are managed by the JABS system administrator and must be registered with the administrator.

At the DEA, biometric and biographic data captured on the FBS client during the booking process is sent to the JABS Mail Server via a Simple Mail Transfer Protocol (SMTP) transaction. The JABS Mail Server sends the information to IAFIS, which processes the SMTP message when it arrives. Likewise, IAFIS responds to the FBS client with an SMTP message containing the suspect's identification information (i.e., "rap sheet") included as an attachment to the message. The DEA FBS architecture consists of a distributed client segment and a centralized server segment that are connected via a wide area network (WAN).

The INS booking data is mailed to the FBI, or on rare occasions submitted electronically to IAFIS through a facsimile transfer to an FBI secure fax machine. At the FBI, the fingerprint data is manually compared with records stored in IAFIS. As was noted earlier, this process can take up to 2 months before INS will receive a response.

INS does have a database that is centrally located at the INS Headquarters (HQ) in Washington, DC, which currently contains biometric data on individuals it detains. Each ENFORCE/IDENT client connects directly into the central site login server for all transaction requests. However, the type of network access varies by area: LAN, INS WAN, or NetBlazer to INS WAN. Once the initial connection is established, all INS clients have access to the same fingerprint database. The centralized database gives INS clients access to up?to?date biometric information.

The mission of the Department's booking process is to enable its law enforcement components to share booking data; facilitate the rapid identification of suspects through IAFIS; and track Federal offenders. While JABS has been developed to provide these capabilities, only DEA has a process in place to use the JABS' capabilities. As a result, the mission, as stated, is only partially fulfilled.

The DEA is able to take advantage of the ability of the system to provide rapid identification of suspects through IAFIS. Through JABS, IAFIS provides a response to the DEA within 2 hours of its original submission. Because the INS submission process is not automated, it can take up to 8 weeks to receive a response from IAFIS. This operational inefficiency may hinder on?going investigations or may allow offenders to be prematurely released due to the lack of reliable and timely data.

Since the DEA is the only component with an electronic interface to IAFIS, neither organization is able to share the booking data efficiently. Although they often work closely together; implement similar processes; investigate the same cases; use the same equipment and facilities; and appear before the same Federal magistrates; each law enforcement component often processes cases separately because of this inability to share data. This duplication of effort places a strain on data entry, booking procedures, and resources.

The focus in the target business segment analysis will be on the activities associated with the booking process and its related functions. After developing the target business and data models, the information will be analyzed to determine a target application structure and the supporting "To Be" technology.

The enterprise level business model for the Department³ has three business areas: Enforcement Operations, Justice Services, and Corporate Services, which are further decomposed into business functions. Figure 8 demonstrates how the major functions of the Department combine to achieve the strategic goals of the Department. The depiction is based on a widely accepted model-the Michael Porter Value Chain. The small scope of the business segment being analyzed (i.e., booking) does not allow for a true value chain analysis. However, it can be surmised from Figure 8 how an efficient booking process can contribute immensely to the overall objectives of the rapid identification of suspects; the sharing of common information among all law enforcement components; and the tracking of Federal offenders.

The upper section of the model displays the Department's support functions. These functional areas work together to achieve the Department's overall strategic goals. The lower section represents the "line" or direct business functions of the Department. The Arrest Suspects business function, which is highlighted under the Enforcement Operations business area, is the primary function that is supported by the booking process.

d
Figure 8: Department of Justice Value Chain

The Department has five law enforcement components that share responsibility for arresting suspects: Bureau of Prisons (BOP), DEA, FBI, INS, and United States Marshals Service (USMS). A judicial case is initiated for any number of reasons, such as suspicion of wrongdoing, informant tip, intelligence, regulatory compliance audit, or arrest. Once a case is initiated, agents, analysts, investigators, and other personnel may perform additional functions as the case is developed. One such function may be an arrest⁴.

The FBI, the DEA, and the INS are three of the components responsible for supporting the arrest function of the Department. While these components have different missions and goals, they perform many of the same business functions, processes, and activities. Each law enforcement component conducts a business function called Arrest Suspects and must capture and utilize certain offender information to perform their mission effectively.

An important part of the "business" of any Federal law enforcement component is the rapid and positive identification of individuals under Federal arrest or detention. This requirement is driven by the mission of the Enforcement Operations business area, as well as, many of the Department's strategic goals. As shown in Figure 9, a process subordinate to the Arrest Suspects function is the booking process. This process consists of six activities.

d
Figure 9: The Business Structure of the Department of Justice

During the booking process, the arresting agent creates a record of the offense and biographical data on the offender; produces mug shots and evidentiary photographs; and captures the fingerprints of the offender for identification purposes and transmittal to the FBI.

The first step in developing the business architecture was to decompose the booking process into its key or high-level activities. When the decomposition process was complete, all the lowest level activities were identified. They represent unique activities that manipulate the data required to perform the booking process. Figure 10 lists the final or lowest level business activities associated with the target booking process.

Figure 10: Booking Process Business Activities

The purpose of the data architecture is to identify the data required to successfully and efficiently accomplish the target business activities described above. Additionally, the creation and manipulation of the data is analyzed to determine the prevalent data flow.

Figure 11 depicts the major data entities used in the Department's booking process. The target data entities were selected for inclusion based on the activities outlined in the business model (see previous section). Data requirements are derived solely from business activities and are not related to who uses the data, where or when the data is used, or any current applications or technology solutions. Each of the data entities has at least one unique attribute that can be used to distinguish the different occurrences of that entity. For example, a Subject will have an identifying number or document; or an Arresting (Booking) Officer will have a unique badge number or employee number to distinguish different arresting officers within the Department.

Figure 11: Booking Process Data Entities

The table displayed in Figure 12 depicts the relationship between the target business activities defined in Section 4.1.4 and the target data entities listed in Section 4.2.1. The matrix identifies what actions an activity performs on the data element. For the purposes of this analysis, an activity can create (C), update or modify (U), reference or query (R), or delete (D) the target data entity. These relationships are important for determining the sequencing of the new applications, which will become an important basis for prioritizing available funds. It is necessary to design and build the applications that create the data entity prior to those applications that update or reference those same entities.

d
Figure 12: Booking Process C-R-U-D Matrix

The purpose of the application architecture is to define the major and significant applications needed to manage the data entities and support the business functions of the Department. It is not intended to provide detailed system design or a requirements analysis, but rather to provide an analysis of what applications will do to help manage the data. Figure 13 provides a list of the target applications for the Department's booking process. A brief description of the applications is included along with the supported requirements and objectives. The logical relationship of these target applications is provided in Figure 14.

Figure 13: Application Matrix for Booking Process

d
Figure 14: Logical Relationship of Target Booking Process Applications⁶

A tenet of the JABS technology architecture is that each component's booking process is independent. Each component will establish a strategy that meets its own mission and technical requirements. In order to support both the components' missions and the Department-wide mission, the components will need to establish booking stations that include:

• Pentium class workstations
  
  
• Ten-print fingerprint devices
  
  
• Digital cameras
  
  
• Scanners
  
  
• Printers

JABS provides transport and validation services for submitting fingerprints to IAFIS and passing any results back to their submitter. In order to fulfill these requirements, the JABS technology architecture will consist of the following items:

• VPN switch
  
  
• IDS analysis reduction tool
  
  
• Router
  
  
• Ethernet switch
  
  
• Firewall

JABS will also provide a searchable repository to be used by the components in pursuit of their strategic goals. The technology architecture supporting that requirement will consist of two server class machines on a network segment. In order to meet operational requirements, it will have redundant critical subsystems including:

• System disks
  
  
• Power supplies
  
  
• CPUs
  
  
• Cooling fans for high reliability operations

The diagram displayed in Figure 15 shows how these individual Components interact to form the basic "system" called JABS.

d
Figure 15: Automated Booking Workflow

The target business, data, applications, and technology architectures above will allow the Department to design and implement a booking process that will enable its law enforcement components to share booking data; facilitate the rapid identification of suspects through IAFIS; and track Federal offenders. When complete, all of the Department's law enforcement components will have an automated booking station, riding a robust infrastructure, to create the booking data repository.

The segment analysis identified three goals of the Department's booking process: to enable the Department law enforcement components to share booking data; to facilitate the rapid identification of suspects; and to develop a means to track Federal offenders. The current architecture does not support these goals primarily because the INS submission process has not been automated. The target architecture, however, would accomplish these goals and allow for an effective and efficient automated booking process. The residual effect of fully automating this process would be to allow the law enforcement components to share booking data and, as such, would be the first step toward establishing a Federal offender tracking system.

The following list outlines the major enhancements that would have to be addressed to migrate from the Current to the Target architecture.

• Fully develop the component booking stations to allow for the automated collection and submission of booking data to IAFIS through JABS
  
  
• Modify Core JABS to allow components to update existing booking data records (i.e., modify the Core JABS Booking Record Update process to allow updates to JABS booking records without always triggering a transaction to IAFIS)
  
  
• Modify Core JABS to upgrade the security infrastructure with enhanced user authentication and data encryption to the user workstation
  
  
• Modify Core JABS to provide the ability to process latent fingerprint transactions
  
  
• Modify Core JABS to contain the initial functionality to position JABS as a conduit for a Federal offender tracking system

The following are potential constraints and limitations to achieving the major enhancements.

• Changing Department and Component priorities
  
  
• Hiring a sufficient number of analysts to complete the development work
  
  
• Training a large number of employees
  
  
• Completing infrastructure upgrades to accommodate additional traffic
  
  
• Retaining the autonomy of each component's booking system
  
  
• Collecting and submitting relevant criminal history information to the JABS in a timely manner (must avoid significantly increasing the time required by the INS to process aliens)
  
  
• Recognizing that Components may have competing or contradictory technical requirements
  
  
• Having sufficient funds available

Any enhancements or modifications of JABS must meet the following list of target operational requirements:

• The system should be available continuously (i.e., 24/7/365)
  
  
• Core JABS should process a valid booking transaction within 2 minutes
  
  
• IAFIS should, on average over a 30-day period, return a response to JABS within 2 hours
  
  
• The system should be scalable to accommodate an increasing number of bookings
  
  
• All data records should be stored for 99 years (or as determined by the JABS PMO)
  
  
• The system should support the printing of Core JABS data and fingerprint cards from component printers (components will control the capability of configuring their own printers)

• The following list provides possible mitigating actions that can be considered when developing a detailed strategy for transitioning from the "As Is" to the "To Be" architecture.
  
  
• Prioritize the applications and sequence the projects to span multiple fiscal years
  
  
• Use FBS as a strawman model, to avoid costly and time-consuming research and development
  
  
• Use existing JABS Application Program Interface (API) in IDENT/IAFIS workstations
  
  
• Integrate JABS training into existing training programs
  
  
• Coordinate the deployment of JABS booking stations to coincide with component infrastructure improvements

The following are additional benefits derived from the completion of the target architecture:

• All law enforcement components will have the ability to identify individuals with "wants and warrants", criminal records, and previous INS encounters based on real-time data
  
  
• A fully deployed JABS will facilitate the collection and development of arrest metrics
  
  
• Reduce the likelihood that criminals will be unwittingly released from custody
  
  
• Provide Federal, state, and local law enforcement organizations with an integrated picture of the criminal activity known to components of the Department, including INS encounter histories of persons who have illegally crossed the border

The following elements were considered in developing the sequencing of the new applications outlined in the transition plan:

• Business Priorities - Impact on achieving the program goals of JABS
  
  
  • Facilitate the sharing of information
    
    
  • Reduce the time needed to identify suspects
    
    
  • Improve the ability to track Federal offenders
    
    
• Data Dependency - The phase of the data lifecycle that is affected (i.e., C-R-U-D)
  
  
• National Security - The likelihood that criminals will be identified and detained
  
  
• Congressional Directives - The level of political sensitivities or direction (e.g., 1999 Congressional directive to integrate the fingerprint systems of FBI and INS⁷)

These sequencing considerations are used to create a priority scheme for the design, development, and deployment of system enhancements as seen in Figure 16.

Figure 16: Sequencing Considerations for JABS Enhancements

Through analysis of the sequencing priorities as depicted in the previous table, a summary transition plan can be developed which mirrors the priority scheme. Figure 17 outlines the individual milestones that would allow the Department to transition from the current or "As Is" architecture to the target or "To Be" architecture. The project would be bounded by the constraints, limitations, and operational requirements discussed in Sections 5.2 and 5.3. However, this plan serves as an initial blueprint that can be used by those who will be tasked in the future with making funding and development decisions.

d
Figure 17: Summary Transition Plan

GLOSSARY OF GENERAL ENTERPRISE ARCHITECTURE TERMS⁸

Footnotes:

* This White Paper is based on unpublished material prepared by SAIC for the Department of Justice.

1 U.S. DOJ, Information Resources Management, U.S. Department of Justice Enterprise Business Architecture, December 17, 2001.

2 The exception to this is a pilot program located in a Brownfield border patrol station.

3 U.S. DOJ, Information Resources Management, U.S. Department of Justice Enterprise Business Architecture, December 17, 2001.

4 Taking an individual(s) into legal custody based upon observed offenses, probable cause, or prior warrants, and taking possession of all materials related to suspected criminal actions.

5 These applications are outside of the scope of this segment analysis, but are part of JABS, Version 2.0.

6 The grayed sections are outside of the scope of this segment analysis, but are part of JABS Version 2.0.

7 The FY2000 House Appropriations Report expressed the belief that Federal, state, and local law enforcement should have access to INS fingerprint information and that the INS should have the full benefit of FBI criminal history records. The House report directed that INS suspend further deployment of IDENT until DOJ submitted to the Committee a plan for integration of IDENT and IAFIS. The subsequent conference report retained the provision.

8 These definitions were derived from a variety of Federal CIO Council documents.