Rwanda Development Board

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IECMS Application Solution Architecture

Rwanda Development Board

IECMS Application Solution Architecture

Definition Document (SADD)

Version 1.0

EA

Deliverab

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1

Document History

Ver. Date Author/s Reviewed

by Date Validated by Date

1.0 07/05/2014 P Erasmus M Snel 07/05/2014 T Vermaak 07/05/2014

Version Control

Date Version Object of revisions

07 May 2014 1.0 Final release

Approval

The signatories hereof, being duly authorised thereto, by their signatures hereto authorise the execution of the work detailed herein, or confirm their acceptance of the contents hereof and authorise the implementation/adoption thereof, as the case may be, for and on behalf of the parties represented by them.

Knotion: Director

Mr Marius SNEL Date

Rwanda Development Board: Project Owner

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1. Application Architecture

The Integrated Electronic Case Management System (IECMS) is an envisioned integrated system to manage the primary processes in the JRLOS sector, specifically the Rwanda National Police, National Public Prosecution Authority (NPPA), Judiciary, Rwanda Bar Association (RBA), MINIJUST and Rwanda Correctional Services (RCS).

The high-level objectives of the IECMS system are:  Integration of the JRLOS entities and associated data

 Enter data once: The integrated nature of the IECMS system and data means that data will be captured once (at the applicable source point) and then re-used downstream of the value chain by other users. Data will be enhanced and certain additional data will be added to previously captured data, but the scenario where duplicate data is captured, will not be necessary and should be avoided at all cost

 Configurable automated workflow/business processes  Event scheduling

 Remote access to information  Public access to information/portal  Paperless processing of cases

1.1. Application Architecture Metamodel

The ArchiMate notation is used to show the Application Architecture structure representation as well as interaction with Business Architecture and Data Objects.

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Figure 1: Application Structure Metamodel

1.2. IECMS Overview

The IECMS consists of the following Application Modules: 1. Crime Investigation Module

2. Criminal Prosecution Module 3. Public Civil Litigation Module

4. Private Litigation and CItizen Services Module 5. Case Adjudication Module

6. Detention and Rehabilitation Module

Figure 1: IECMS Overview

Business Event

Business Process Business Role Business Actor

Application Service

Application Interface

Application Function Application Component Data Object

Integrated Electronic Case Management System (IECMS)

Core Application Services Crime Investigation Module Criminal Prosecution Module Public Civil Litigation Module Private Litigation and Citizen Services Module Case Adjudication Module Detention and Rehabilitation Module

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1.3. Core Application Services

Figure 2: Core Application Services

Core Application Services

Document and Enterprise Content Management Information and Electronic Records Management

Business Process Management and Workflow Manage Information

and Electronic Records

Document and Enterprise Content Management BPM (Workflow) Manage Incoming Documents Manage Outgoing Documents and Notifications Manage Other Documents and Electronic Content

Manage Physical Case File Query Case and Person

of Interest Information

Case Reporting Record and Manage

Case Status, Events and Information

Identify, Record and Manage Person of

Interest Personal Details

Process Workflow Track Status of Documents Track Physical Case

File Alerting and

Notification

Compliance Monitoring, Business Activity Monitoring and

Auditing

Manage and Track Evidence and Property

Items Information and Electronic Records Management Common Functions

Backup and Restore Record Convert Record Records Reporting File Management Records Rules Management Role-Based Access Control Retention Scheduling

Manage Audit Trail Record Indexing

Retrieve Record Search Records

Classify Record Capture and Create

Record

Manage and Maintain Record

Document and Enterprise Content Management Common Functions Document

Management

Full Text Search

Knowledge Management Document Centric

Collaboration

Extract / Capture Meta-Data Document Scanning

and Electronic Information Capture

Business Process Management and Workflow Common Functions

Business Activity Monitor Workflow Process

Control Manage Event and

Schedule-based Triggers

View Schedule of Work Tasks Change Work Task

Status Generate Notification

of Assignment Schedule work tasks

Assign Work Tasks Manage Work Tasks

Payment Module Payment

Management

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This diagram shows the relationships between Core Application Functions and Data Entities.

Figure 3: Core Application Services - Data Mapping

Core Application Services

Document and Enterprise Content Management Information and Electronic Records

Management

Business Process Management and Workflow Manage Information

and Electronic Records

Document and Enterprise Content Management BPM (Workflow) Manage Incoming Documents Manage Outgoing Documents and Notifications Manage Other Documents and Electronic Content

Manage Physical Case File Query Case and Person

of Interest Information

Case Reporting Record and Manage Case Status, Events and Information

Identify, Record and Manage Person of Interest Personal Details Process Workflow Track Status of Documents Track Physical Case

File Alerting and Notification

Compliance Monitoring, Business Activity Monitoring and

Auditing

Manage and Track Evidence and Property

Items

Payment Module

Payment

Management Record Payments

JDE001 PERSON JDE030 CASE JDE034_CASE_EVIDENCE JDE159 DOCUMENT JDE056 IMAGE JDE095 NOTIFICATION JDE176 INVENTORY JDE081 AUDIO/VIDEO_RECORD JDE156 FORM JDE040 PROOF_OF_PAYMENT JDE157 TEMPLATE

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The following Enterprise Content Management (ECM) services provide the core functionality of the IECMS:

 Information and Electronic Records Management  Document and Content Management

 Business Process Management (workflow)

In addition, a payment module is required to process receipt of fines and payment for services.

1.3.2.1.1. Information and Electronic Records Management (ApplicationComponent)

Information and Electronic Records management supports the long-term retention of

content through automation and policies, ensuring legal and regulatory compliance.

1.3.2.1.1.1 Record and Manage Case Status, Events and Information

(ApplicationFunction)

This application function provides the following functionality:

 Capability to record, manage and update information related to a case

 Capability to permit, with proper authorisation (e.g. role-based privileges or supervisor approval), recording and updating specific case information and all related data

 Capability to keep a history of the changes to case information as well as the official making the changes

 Capability to copy information from one case to another for consolidation and transfer of cases

 Capability to geo-tag certain case information, i.e. add geographical information / coordinates to case information and/or events

1.3.2.1.1.2 Identify, Record and Manage Person-of-Interest Personal Details

 Capability to identify a person of interest (e.g. suspect, accused, detainee, inmate, deceased victim, etc.) based on fingerprint / biometric information from an Automatic Fingerprint Identification System (AFIS) database

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 Capability to permit, with proper authorisation (e.g. role-based privileges or supervisor approval), recording and updating information regarding a person of interest

 Capability to store (enrol) fingerprint and other biometric information in an AFIS to assist with identifying individuals based on this information

 Capability to interface with NIDA for validating a person of interest’s identity (Identity document verification and/or fingerprint verification)

 Capability to record, manage and update information regarding a person to a case

 Capability to keep a history of the changes to information

1.3.2.1.1.3 Query Case and Person of Interest Information (ApplicationFunction)

 Capability to query and display case information associated with a case

 Capability to query and retrieve case information using wildcard search criteria  Capability to filter certain events, documents, orders etc. to a specific case

 Capability to display total number of matches found which match the search selection criteria

 Capability to query and display other information from the IECMS system based on proper authorisation (e.g. role-based privileges or supervisor approval), e.g. Criminal Records information

 Capability to search against a variety of parameters, and view the details of a case  Capability for internal parties to securely search for cases, documents and/or files  Capability to view summarised case status

 Capability to apply sort and filter (search) functions to assist with case management  Capability to search and identify inactive cases and groups of cases (e.g. no activity

for 6 months)

 Capability to track conformance to time standards (norms) and compliance (rules) - refer to Compliance Monitoring and Auditing as part of BPM / Workflow

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1.3.2.1.1.4 Case Reporting (ApplicationFunction)

 Capability to generate and save ad-hoc reports based on one or a combination of case attributes

 Capability to generate reports for Internal and External Stakeholders

 Capability to view standard pre-defined reports and to generate user-defined reports based on proper authorisation (e.g. role-based privileges or supervisor approval)

 Capability to export reports in different formats, e.g. Excel, Word and PDF for

additional analysis

 Capability to support dashboard views for JRLOS personnel

 Capability to select standard or predefined reports from a list of values e.g. the

ability to produce reports that can be based on Case Types, and where certain events have or have not occurred

 Capability to produce reports based on a number of user-specified parameters such as

dates or activities

 Capability to produce reports in a specific format, i.e. for display via the Internet or

for publication

 Capability for reports to be previewed, printed and saved  Capability to build, test, run and save ad hoc reports

 Capability to support the electronic dissemination of reports, e.g. PDF, email

 Capability to run each report at predefined frequency, e.g. to run monthly, overnight or on request

 Capability to restrict access to reports according to pre-defined access levels and at

certain times

 Capability to consolidate reports by case type

 Capability to run standard housekeeping reports e.g. daily operational reports

 Capability to produce end-of-period statistics and ad-hoc management reports. Access

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 Capability to perform trend analysis, comparison of data and comparison with different time periods e.g. percentage change from last year or last quarter, statistical information and graphics

 Capability to generate fine reports, e.g. fines payment reports for paid, being enforced, successfully enforced, etc. fines issued; warrants issued for fines, etc.  Capability to generate Complaints Reports

 Capability to present geo-tagged information in a geographic report, e.g. using a map overlay or Google Earth

1.3.2.1.1.5 Information and Electronic Records Management Common Functions

1.3.2.1.1.5.1. Capture and Create Record (ApplicationFunction)

This application function provides the capability to capture and create a record in a database (CREATE)

1.3.2.1.1.5.2. Manage and Maintain Record (ApplicationFunction)

This application function provides the capability to modify, update and remove a record in a database (UPDATE AND DESTROY).

1.3.2.1.1.5.3. Classify Record (ApplicationFunction)

This application function provides the capability to classify a record in a database, i.e. manage metadata.

1.3.2.1.1.5.4. Search Records (ApplicationFunction)

This application function provides the capability to query records in a database.

1.3.2.1.1.5.5. Retrieve Record (ApplicationFunction)

This application function provides the capability to read a record in a database (READ).

1.3.2.1.1.5.6. Record Indexing (ApplicationFunction)

This application function provides the capability to index records in a database.

1.3.2.1.1.5.7. Manage Audit Trail (ApplicationFunction)

This application function provides the capability to manage an audit trail (creation, use and retention) of records in a database, i.e. access to records, changes made to records, metadata, etc.

1.3.2.1.1.5.8. Retention Scheduling (ApplicationFunction)

This application function provides the capability to manage the retention scheduling of a record in a database.

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1.3.2.1.1.5.9. Records Rules Management (ApplicationFunction)

This application function provides the capability to manage rules regarding records in a database, e.g. retention, disposition, access control, etc.

1.3.2.1.1.5.10. Role-Based Access Control (ApplicationFunction)

This application function provides the capability to control which person (role) has what privileges to access a record in a database (CRUD).

1.3.2.1.1.5.11. File Management (ApplicationFunction)

This application function provides the capability to manage files that store electronic content (documents, audio recordings, etc.)

1.3.2.1.1.5.12. Records Reporting (ApplicationFunction)

This application function provides the capability to report on records stored in a database.

1.3.2.1.1.5.13. Convert Record (ApplicationFunction)

This application function provides the capability to convert records from one format to another.

1.3.2.1.1.5.14. Backup and Restore Record (ApplicationFunction)

This application function provides the capability to back-up and restore records in a database.

1.3.2.1.2. Document and Enterprise Content Management (ApplicationComponent)

Document and Content Management is the management of business documents,

capturing, transforming and managing images of paper documents and support for multi-media such as voice, photographs, audio, etc. Document and Content Management include Document, Image-processing and Content Management for business documents, capturing, transforming and managing images of paper documents and support for multi-media such as voice, photographs, audio, etc.

This module groups application functions that manage electronic documents and content and transformation of scanned paper documents into electronic documents.

Objectives of the module are to support:

 Capability to support physical, hybrid and digital records

 Capability to capture metadata (unique ID no., date of creation and capture, record type, user ID of creator)

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 Capability to automatically populate specific data fields and file details of documents once the template and the paragraphs have been selected, e.g. title, names and addresses

1.3.2.1.2.1 Manage Incoming Documents (ApplicationFunction)

 Capability to receive and accept paper documents / files “over the counter” and electronic documents from an external entity or person, scan (if required), attach the documents to a case, record the receipt and update a case log

 Capability to issue a receipt to the document / file lodger

 Capability to record specific storage / case / file identifiers for each document lodged on a file

 Capability to record the appropriate details for each paper document type so that the processing rules may be performed for that document type

 Capability to set up and maintain rules on who can lodge/receive each incoming document

 Capability to specify who should receive a copy or notification of document  Capability to identify whether a submitted document is a response to prior

correspondence, and relate this to the original correspondence

 Capability to identify what documents may be accepted at what stage of the case (rules)

 Capability to identify / search by type and originator for all documents lodged or produced

 Capability to control access to sensitive documents

1.3.2.1.2.2 Manage Outgoing Documents and Notifications (ApplicationFunction)

 Capability to select and generate official / standard documents from a list / template related to either / or the case type / event

 Capability to provide JRLOS departments (e.g. RNP, NPPA, RCS, RBA, MINIJUST) access to templates to complete documents (e.g. pleadings, warrants, orders)

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 Capability to include default information, e.g. case number when producing documents

 Capability to capture additional information specific to an outgoing document  Capability to select recipients of the document to be dispatched to

 Capability to set / modify the access rights for the sent document

 Capability to send the document to external parties via their preferred communication means, e.g. e-mail, mail, SMS, IECMS notification / IECMS sharing

 Capability to record the production of a document as an event (audit logging)  Capability to modify document text using word processor functionality

 Capability to preview each document produced before printing and filing  Capability to store, or not store, each document produced

1.3.2.1.2.3 Manage Other Documents and Electronic Content (ApplicationFunction)

 Capability to manage other internal documents, e.g. notes of meetings, photographs, video recordings or audio recording of a hearing

 Capability to select an application form or supporting document form by its number or by its text descriptor

 Capability to uniquely identify documents across all organisations

 Capability to easily update any information when recording document details, especially addresses and description characteristics

 Capability to support both system date and filing date for lodgement

1.3.2.1.2.4 Manage Physical Case File (ApplicationFunction)

 Capability to generate and print labels (number and barcode) for physical case files  Capability to scan a barcode on a physical case file

 Capability to link IECMS Case Information to the scanned barcode and file

 Capability to ensure that the scanned version of a case file and the physical case file are identical (pages are in-sync)

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 Capability to generate a case file index

 Capability to record movement details of the case file

1.3.2.1.2.5 Document and Enterprise Content Management Common Functions

1.3.2.1.2.5.1. Document Management (ApplicationFunction)

 Capability to create, capture, index, store, find, view, share, edit, version and retain a wide variety of document types

 Capability to create, capture, manage, deliver and archive heavy volumes of data  Capability to index, process and search document metadata

 Capability to store and retrieve documents, images and multi-media files  Capability to manage document lifecycles

 Capability to export documents

 Capability for document check-in / check-out control  Capability for document versioning

 Capability for document electronic stamping and signing, e.g. PDF watermarks and digital signatures based on Public Key Infrastructure (PKI)

1.3.2.1.2.5.2. Document Scanning and Electronic Information Capture

This application function provides the following functionality:  Capability for content / document capture and scanning  Capability to add additional pages to an electronic document

 Capability for image enhancement (de-speckling, de-skewing, unwanted border removal)

 Capability to capture various inbound content objects into a Case Folder (paper, electronic document, image, e-mail, voice mail, etc.)

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1.3.2.1.2.5.3. Extract / Capture Metadata (ApplicationFunction)

 Capability to extract data using optical and intelligent character-recognition, e.g. OCR, ICR, MICR and Barcode

 Capability to extract data (document meta-data) from images to enable full text search

1.3.2.1.2.5.4. Knowledge Management (ApplicationFunction)

This application function provides the following functionality:  Capability to publish content

 Capability for collaboration and knowledge sharing using multiple mechanisms such as discussion forums, Q&A’s, chat, message boards, as well as facilitating user

subscription for specific content access and notifications  Capability to provide information using a web portal

1.3.2.1.2.5.5. Document-Centric Collaboration (ApplicationFunction)

 Capability for user-to-user document routing and tracking of documents

 Capability to schedule meetings, events, and sharing of travel plans and calendar

1.3.2.1.2.5.6. Full Text Search (ApplicationFunction)

This application function provides capability to full-text search of scanned documents

1.3.2.1.3. Business Process Management and Workflow (ApplicationComponent)

The business processes and workflows will be unique for the JRLOS entities. That is why it is essential to have an integrated tool for business process automation. A workflow tool expedites the process by helping to clearly define stages, roles, and permissions. The workflow tool can send email and other notifications and alerts, and will help to put control of business processes in the hands of JRLOS.

This module groups application functions that enable and manage workflow. This includes the workflow routing, alerting, notification and physical case file tracking. It also supports business process monitoring and auditing to ensure that processes adhere to standards (legislation) and organisational norms (best practise targets).

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1.3.2.1.3.1 Process Workflow (ApplicationFunction)

This application function provides the following functionality:  Capability to automate and control a business process flow  Capability to customise / modify the process workflow

 Capability to set triggers and reminders, and assign actions to users (business roles)  Capability to identify events coming due or overdue, periods about to expire or

expired

 Capability to support sequential, parallel and ad-hoc routing of work

 Capability for housekeeping functions (monitoring and escalating stalled processes, etc.)

 Capability to design and deploy electronic forms

 Capability to support work tasks, e.g. the production of a document, the assignment of a hearing, or a support task like returning items

1.3.2.1.3.2 Alerting and Notification (ApplicationFunction)

This application function provides the capability to send and receive alerts and notifications to actors within the organisation. It is an important service associated with workflow task management, handover and automation of business processes

1.3.2.1.3.3 Compliance Monitoring, Business Activity Monitoring and Auditing

 Capability to monitor compliance, i.e. time sensitive activities according to rules (compliance) and norms (performance standards)

 Capability to track critical dates

1.3.2.1.3.4 Track Physical Case File (ApplicationFunction)

 Capability to record movement (tracking) details of the file. A file must never be unallocated. File movement details include: date and time file due/checked

out/returned; file number; present location of file; borrower; reason file needed; and destination

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 Capability to select either a file location or an individual from a list of values  Capability to request a confirmation of possession to the recorded holder of a file  Capability to request a re-confirmation of possession of the file (on an individual file

basis) if no activity occurs within “X” days and the file is not in a storage location  Capability to flag for a missing file when there is any denial by the person it was last

allocated to, during re-confirmation of possession

 Capability to flag cases that have their file misplaced. When a case has its file “missing”, a flag will display whenever the case is accessed for inquiry or update  Capability to view requested file movements details. The view can be ordered by date,

reason, current location, destination or flagged as missing

1.3.2.1.3.5 Track Status of Documents (ApplicationFunction)

 Capability to track the status of documents such as expert reports (e.g. blood tests,

urine samples), warrants and fines, etc.

1.3.2.1.3.6 Manage and Track Evidence and Property Items (ApplicationFunction)

 Capability to record receipt details of items. This includes the party submitting the item, item description and status such as submitted into evidence

 Capability to generate a receipt for the item upon receipt of it

 Capability to generate evidence and/or property numbers or other tags related to a specific case

 Capability to track location of evidence items

 Capability to record the evidence item status e.g. accepted/marked, identified, returned or disposed

 Capability to assign, print or display lists of evidence items and other property according to case or party

 Capability to set the date for the return / disposal of items  Capability to record the disposal method of the evidence

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 Capability to generate notices to reclaim evidence when the usage is completed. This includes the ability to inform the owner(s) that evidence has been destroyed

1.3.2.1.3.7 Business Process Management and Workflow Common Functions

1.3.2.1.3.7.1. Manage Work Tasks (ApplicationFunction)

 Capability to maintain various workflow work task related information, e.g. who, task type, resource details, action date, task status, case details, task details, task type, date completed, etc.

 Capability to create / modify manually or automatically work task lists

1.3.2.1.3.7.2. Assign Work Tasks (ApplicationFunction)

 Capability to assign tasks to the workflow work task list using various rules, e.g. Pooled, i.e. done at earliest convenience, no action date set; a specific date; “not before” time delay, etc.

 Capability to select a group of tasks from the work task List appropriate to a particular action officer type and action date period

 Capability to support the assignment of further work tasks including rescheduling a task and repeating the task at a later date

1.3.2.1.3.7.3. Schedule work tasks (ApplicationFunction)

This application function provides the capability to schedule or trigger a single or multiple Work Task(s), e.g. by a case outcome, another workflow Work Task, document filing or other event.

1.3.2.1.3.7.4. Generate Notification of Assignment (ApplicationFunction)

This application function provides the capability to generate a notification of assignment / directive to a person concerned, e.g. a notification about the assignment of a task, the status of a task, the flow history of a task, reminder flags of a task, the delay in completion of a task, and the actual completion of a task

1.3.2.1.3.7.5. Change Work Task Status (ApplicationFunction)

This application function provides the capability to change the status of workflow work tasks, e.g. “outstanding” to “completed” once the task has been performed

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1.3.2.1.3.7.6. View Schedule of Work Tasks (ApplicationFunction)

This application function provides the capability to view the full schedule of workflow work tasks pending by case, date or person.

1.3.2.1.3.7.7. Manage Event and Schedule-based Triggers (ApplicationFunction)

 Capability to schedule the generation of documents to specific party(s) based on events happening or not happening

 Capability to automatically generate documents as required by elapsed time triggers or other activity triggers

 Capability to generate a document as a result of the scheduling of an initiating event  Capability to initiate schedule of future events based on user input or occurrence of

prior events

 Capability to allow some trigger functions to be over-ridden by authorised users

1.3.2.1.3.7.8. Workflow Process Control (ApplicationFunction)

This application function provides the capability to automate processes using work tasks.

1.3.2.1.3.7.9. Business Activity Monitor (ApplicationFunction)

This application function provides the following functionality:  Capability to monitor workflow status and progress

 Capability to report on process performance

 Capability for alerting and notification based on rules

1.3.2.1.4. Payment Module (ApplicationComponent)

This module enables receiving payment for fines and services.

1.3.2.1.4.1 Record Payments (ApplicationFunction)

This application function provides the following functionality:  Capability to produce request for payments

 Capability to support a range of transaction types from a select list, e.g. fine, service, report or e-Filing

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 Capability to support the separation of duty between the issue of the receipt and the recording of the application/document details

 Capability to enable a number of options to cover the possibilities of payment

allowable where a fine is applicable, e.g.the fine was paid, the fine was reduced, the

fine was waived by an officer, the fine was not paid because the applicant was exempt

from paying for some other reason

Information and Electronic Records management (primarily for case information) for

long-term retention of content through automation and policies, ensuring legal and regulatory compliance.

Document and Enterprise Content Management is the management of business

documents, capturing, transforming and managing images of paper documents and support for multi-media such as photographs, audio, video, etc.

Business Process Management (workflow) for supporting business processes, routing

content, assigning work tasks and states, and creating audit trails.

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1.4. Application and Infrastructure Support Services

Figure 4: Application and Infrastructure Support Services

The following is a list of application and infrastructure support services required by the IECMS functions discussed above:

 Notification services, e.g. e-mail, SMS

 Track and trace of physical files through barcodes and scanning  Tag, track and trace of evidence

 Scanning (2D barcode, OCR, document scanning, etc.)  IECMS Portal

 Printing services

 Scheduling and calendaring  User administration

 User/person identification and authentication  Role-based access control

 Application administration (user management)  Audio / visual recording

Application and Infrastructure Support Services

User Administration and Role-Based Access Control System Administration and Security

User Administration and Identification

Role-Based Access Control Records Archiving,

Backup and Restore System Administration

Operational Monitoring Audit Logging

User Administration System Administration

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 Remote courtroom / teleconference  Support for mobile devices

Most of these are addressed in the Technology Architecture domain or Core Application Services discussed above. The following two application modules address user administration, user identification and authentication, role-based access control and application administration:

1.4.1.1.1. System Administration and Security (ApplicationComponent)

This application module supports the ability to manage the system.

1.4.1.1.1.1 System Administration (ApplicationFunction)

This application function provides the capability to use configuration facilities to allow system administrators to manage and maintain the metadata (list of values and tables) used to control the system, e.g. add new document types, locations and user rights.

1.4.1.1.1.2 Records Archiving, Backup and Restore (ApplicationFunction)

This application function provides the following functionality:  Capability to accommodate archiving of the case records

 Capability to provide a means of easy retrieval of archived case records

 Capability for case records to be locked so that no further updates can be made unless the full record is retrieved and reactivated

 Provide procedures and automated support for the regular backup of the IECMS system as well as system restore

 Capability to maintain logs of back-up and restore activities such that activities can be reapplied from the last backup should a disaster recovery be needed

1.4.1.1.1.3 Audit Logging (ApplicationFunction)

 Capability to provide system log records to assist in reviewing case management practices and activities

 Capability to perform an audit trail of changes with before and after image, and who performed change and through what function

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1.4.1.1.1.4 Operational Monitoring (ApplicationFunction)

This application function provides the capability to provide the system administrator monitoring facilities to gauge the level of performance of the system, for example, database usage, log usage and performance monitoring facilities.

1.4.1.1.2. User Administration and Role-Based Access Control

(ApplicationComponent)

This application module supports the ability to manage the system’s users and their privileges (access rights).

1.4.1.1.2.1 User Administration and Identification (ApplicationFunction)

 Capability to manage user accounts, i.e. add, update and delete system users, define and assign application and security roles, and report on user security

 Capability to allow “location managers” to self-manage user logons within their respective area

 Capability for logon, authentication and session management: Secure sign-on with password validation and session time-out after a specified period of inactivity  Capability to manage user groups: Hierarchical grouping of users (e.g. supervisor or

chief can access work/documents for those within his/her ‘group’)

 Capability to manage user roles: Multiple roles for individual user (e.g. user for some functions and supervisor for others)

 Capability to have proper password and session control according to industry standards and policy

1.4.1.1.2.2 Role-Based Access Control (ApplicationFunction)

 Capability for role-based, folder-based and document level security. ‘Lock-down’ documents deemed confidential so that document can only be viewed (and not downloaded) by those authorised to see such document

 Capability to assign users to roles and roles to functions / folders / documents / information / folders

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 Capability to set access rights to view information on the system (e.g. some orders are access-restricted to certain persons)

 Capability to restrict roles to certain functions  Capability to assign one or many roles to a person  Capability to restrict jurisdictional access to individuals  Capability to restrict access to certain locations by individual  Capability to secure specific information fields from certain roles

This service supports application administration (user management and privilege management).

This service supports management the IECMS system’s users and their privileges (access rights).

1.5. Crime Investigation Module

The Crime Investigation Module is decomposed as a number of sub-components each with a number of Application Functions that are exposed to users as Application Services. Application Functions are described by application features (requirements).

The Application Components associated with Information and Electronic Records Management are:

 Police Case Information Management

 Police Case Report and Evidence Management

 Police Case Witness and Victim Information Management  Police Case Searching and Reporting

The Application Component associated with Document and Enterprise Content Management is: Police Case Document and Content Management

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The Application Components associated with Business Process Management and Workflow are:

 Police Case Management

 Police Arrest and Detention Management  Police Case Evidence and Exhibits Management

In addition, the Crime Investigation uses / relies on Call Center and Payment Receiving functionality.

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Figure 5: Crime Investigation Module

Crime Investigation Module Police Case Witness and Victim

Information Management Call Centre System

Police Case Document and Content Management

Police Case Evidence Management Police Case Information

Management

Police Case Expert Report and Evidence Information

Management

Police Case Query and Reporting

Police Case Reporting

Police Case Management

Business Process Management and Workflow Information and Electronic

Records Management Manage Information and

Electronic Records

Document and Enterprise Content

Management

BPM (Workflow)

Document and Enterprise Content Management Police Case Reporting Manage Police Outgoing Documents and Notification

Police Alert and Notification Manage Police Incoming Documents Manage Police Case File Manage Police Case Workflow

Track Police Case File

Incident logging

Police Fine Management Police Case

Information Query

Query Police Case Information Record and Manage

Police Case Information Identify, Record and

Manage Police Suspect Personal Details

Record Evidence and Information Related to

a Case Record Police Expert

Report Information

Police: Identify, Record and Manage Victim

Information Police: Identify, Record

and Manage Witness Information Police: Manage Victim

and Witness Event Information Manage Police Incoming Documents Manage Police Outgoing Documents and Notifications Manage Police Other

Documents and Electronic Content

Manage Physical Police Case File

Police Case Workflow

Track Police Documents and Expert

Reports Track Physical Police

Case File

Police Case Alerting and Notification Police Compliance

Monitoring and Auditing

Manage and Track Police Case Evidence

Items Record Police Fines

Payments Record and Maintain Police Case Information Record Police Evidence Information Record Police Expert Report Information Police: Manage Victim Information Police: Manage Witness Details Police: Manage Victim and Witness Event Information Manage Police Case Evidence Items Manage Police Fines NIDA Identity Validation Service Automatic Fingerprint Identification System (AFIS)

Fingerprint and Biometric Validation Crime Investigation

Module Interface

Arrest and Detention Workflow

Manage Arrest and Detention Record Incident

Payment Module Payment Management

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This diagram shows the relationships between the Application Functions of the Crime Investigation Module and applicable Data Entities.

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Figure 6: Crime Investigation Module - Data Mapping

Crime Investigation Module

Police Case Witness and Victim Information Management

Police Case Document and Content Management Police Case Evidence

Management Police Case Information

Management

Police Case Expert Report and Evidence Information

Management

Police Case Query and Reporting

Police Case Reporting

Police Case Management Police Case Reporting Manage Police Outgoing Documents and Notification Police Alert and

Notification Manage Police Incoming Documents Manage Police Case File Manage Police Case Workflow

Track Police Case File

Police Fine Management Police Case

Information Query

Query Police Case Information Record and Manage

Police Case Information Identify, Record and

Manage Police Suspect Personal

Details

Record Evidence and Information Related to

a Case Record Police Expert

Report Information Police: Identify, Record

and Manage Victim Information Police: Identify, Record

and Manage Witness Information Police: Manage Victim

and Witness Event Information Manage Police Incoming Documents Manage Police Outgoing Documents and Notifications Manage Police Other

Documents and Electronic Content

Manage Physical Police Case File

Police Case Workflow

Track Police Documents and Expert

Reports Track Physical Police

Case File

Police Case Alerting and Notification Police Compliance

Monitoring and Auditing

Manage and Track Police Case Evidence

Items

Record Police Fines Payments Record and Maintain Police Case Information Record Police Evidence Information Record Police Expert Report Information Police: Manage Victim Information Police: Manage Witness Details Police: Manage Victim and Witness Event Information Manage Police Case Evidence Items Manage Police Fines

Arrest and Detention Workflow Manage Arrest and

Detention JDE001 PERSON JDE030 CASE JDE040 PROOF_OF_PAYMENT JDE081 AUDIO/VIDEO_RECORD JDE156 FORM JDE157 TEMPLATE JDE159 DOCUMENT JDE031 COMPLAINT JDE032 CRIME_CASE JDE034_CASE_EVIDENCE JDE056 IMAGE JDE095 NOTIFICATION JDE176 INVENTORY JDE146 PERSON_ROLE JDE063 WARRANT JDE056 CASE_FILE 0..1 Play 1..* «flow»

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1.5.1.2.1. Crime Investigation Module Interface (ApplicationInterface)

This is a web browser user interface to the Crime Investigation Module used by the different users with business roles to access the system’s functionality.

1.5.1.2.2. Crime Investigation Module (ApplicationComponent)

The custodian and primary user of this component is the RNP.

The Crime Investigation Module provides workflow, information / records management and electronic document / content management services to automate criminal investigation processes (“Process incident / Complaint” and “Investigate Crime”) and its associated data. The information primarily relates to the Police Case. Users from the RNP will use the Crime Investigation Module Interface (wen Intranet). A notification service is used to send outgoing documents, notifications and alters by e-mail, SMS or other means. Interfaces will be required with the Police’s AFIS system and NIDA’s Identity validation service.

1.5.1.2.3. Record Incident (ApplicationService)

Recording of an incident and associated information when it is logged by using the Police’s Call Centre.

1.5.1.2.4. Record and Maintain Police Case Information (ApplicationService)

This service enables the ability to capture, record, maintain and update data associated with Police cases, including data related to events and the status of a police case.

1.5.1.2.5. Record Police Evidence Information (ApplicationService)

This service enables the ability to capture, record, maintain and update data associated with evidence relating to Police cases.

1.5.1.2.6. Record Police Expert Report Information (ApplicationService)

This service enables the ability to capture, record, maintain and update data associated with Police cases Expert reports, e.g. ballistic reports and blood tests.

1.5.1.2.7. Police: Manage Victim Information (ApplicationService)

This service enables the ability to capture, record, maintain and update data associated with victims of a crime to which a Police case relates.

1.5.1.2.8. Police: Manage Witness Details (ApplicationService)

This service enables the ability to capture, record, maintain and update data associated with witnesses relating to Police cases.

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1.5.1.2.9. Police: Manage Victim and Witness Event Information

(ApplicationService)

This service enables the ability to capture, record, maintain and update data associated with events associated with victims and witnesses associated with Police cases.

1.5.1.2.10. Police Case Information Query (ApplicationService)

This service enables the ability to query and display information associated with Police cases (case, suspect, witness, victim, etc. information).

1.5.1.2.11. Police Case Reporting (ApplicationService)

This service enables the ability to display reports relating to Police criminal cases.

1.5.1.2.12. Manage Police Incoming Documents (ApplicationService)

This service enables the ability to receive documents relating to Police criminal cases from external entities.

1.5.1.2.13. Manage Police Case File (ApplicationService)

This service enables the ability to manage the lifecycle of a case file (hybrid, i.e. electronic and paper file) associated with a Police criminal case ensuring that the electronic information and paper remains in-sync where applicable.

1.5.1.2.14. Manage Police Outgoing Documents and Notification (ApplicationService)

This service enables the ability to generate and send documents and notifications relating to Police criminal cases to external parties.

1.5.1.2.15. Police Alert and Notification (ApplicationService)

This service enables the ability to send and receive alerts and notifications to actors with the RNP relating to Police criminal cases. It is an important service associated with workflow and automation of business processes.

1.5.1.2.16. Manage Police Case Workflow (ApplicationService)

This service enables the workflow automation of processes associated with Police criminal cases.

1.5.1.2.17. Track Police Case File (ApplicationService)

This service enables the ability to track and control the flow of the physical copy of the Police case file.

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1.5.1.2.18. Manage Arrest and Detention (ApplicationService)

This service enables the workflow automation to manage the arrest and detention of a suspect in a Police case.

1.5.1.2.19. Manage Police Case Evidence Items (ApplicationService)

This service enables the workflow automation of processes associated with evidence handling of Police criminal cases.

1.5.1.2.20. Manage Police Fines (ApplicationService)

This service enables the ability to manage payments for Police fines, e.g. traffic fines.

1.5.1.2.21. NIDA Identity Validation Service (ApplicationService)

This service enables the ability to interface with the NIDA for validating a suspect’s identity.

1.5.2.1.1. Automatic Fingerprint Identification System (AFIS)

(ApplicationComponent)

1.5.2.1.1.1 Fingerprint and Biometric Validation (ApplicationFunction)

The AFIS System will provide the following functionality:

 Capability to store (enrol) fingerprint and other biometric information in an Automatic Fingerprint Identification System (AFIS) to assist with identifying individuals based on this information

 Capability to provide appropriate biometric identification mechanisms in order to uniquely identify a person

 Capability to support other biometric mechanisms, such as face-recognition in the future

1.5.2.1.2. Call Centre System (ApplicationComponent)

Incidents and complaints may originate from a Call Centre. It is assumed that this facility already exists or will be provided external to the IECMS. A functional description of the call centre is outside the scope of the IECMS architecture.

1.5.2.1.2.1 Call Centre Interface (ApplicationInterface)

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1.5.2.1.2.2 Incident logging (ApplicationFunction)

The Call Centre System will provide the following functionality:

 Capabilityto receive, track, report, escalate and manage the status and lifecycle of an incident (from start to closed)

 Capabilityto receive / log an incident by telephone (e.g. 112)  Capabilityto receive / log an incident by e-mail or SMS

 Capabilityto notify the originator of the status of the incident by e-mail or SMS  Capabilityto record / log basic information related to the incident

 Capabilityto record audio of a telephone call

Figure 7: Police Case Information Management

1.5.3.1.1. Police Case Information Management (ApplicationComponent)

This module groups application functions that manage data and records associated with police (criminal) cases. A “Record and Maintain Police Case Information” application service provides access to the function/s and data.

The functions in this module rely on Information and Electronic Records Management core application services.

Crime Investigation Module

Police Case Information Management

Record and Manage Police Case Information

Identify, Record and Manage Police Suspect Personal Details Record and Maintain Police Case Information

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