> **Global Justice\
> Information Network**
>
> **Annual Report**
>
> **2002**
>
> **Global Justice Information Network**
>
> **Annual Report2002**
>
> **Preface**
>
> American democracy is rooted in the precepts of federalism---a system
> of government in which our state governments share power with federal
> institutions. **Our structure of overlapping federal, state, and local
> governance...provides unique opportunity and challenges for our
> homeland security efforts**. The opportunity comes from the expertise
> and commitment of local agencies and organizations involved in
> homeland security. The challenge is to develop interconnected and
> complementary systems that are reinforcing rather than duplicative and
> that ensure essential requirements are met. **A national strategy
> requires a national effort.**
>
> --- [National Strategy for Homeland Security]{.underline}, July
> 2002.[^1]

**Introduction**

Never before has America's need for justice information sharing been
more compelling. The absence of this capability, however, has plagued
practitioners for decades. While broad-scale exchange has yet to be
achieved, claims that the problem has gone unaddressed are unwarranted.
The **Global Justice Information Network (Global) Advisory Committee**
(GAC or "Committee") has concentrated its diverse expertise on just such
challenges to and opportunities for justice and public safety
information sharing. Since 1998, members of this Federal Advisory
Committee---representing justice and public safety communities at all
levels of government---have actively pursued information sharing while
safeguarding citizens' constitutional rights. Global is truly a
"national effort."

During 2002, GAC successes have positively impacted information sharing
for the entire justice and public safety communities. This group has:

-   Facilitated a Web-based standards registry program, promoting
    national systems interoperability;

-   Facilitated an ongoing Justice Extensible Markup Language (XML) Data
    Project, yielding:

    -   Reconciliation between disparate XML specifications, enhancing
        justice information sharing among the courts, local police, the
        transportation community, and federal law enforcement;

    -   Production of a Justice XML Data Dictionary containing hundreds
        of common data elements;

    -   Evolution of the Justice XML Data Dictionary effort toward more
        universal applicability by using the latest information sharing
        protocols;

    -   Collaboration with the XML.GOV project, to determine how Global
        XML efforts can serve as a model for XML registries.

-   Explored ways in which Global can interface with and support the
    Office of Homeland Security (OHS) information sharing mission;

-   Formed a new working group to examine intelligence information[^2]
    sharing;

-   Supported the drafting of *Global Guidelines for Securely Sharing
    Justice and Law Enforcement Information*;

-   Expanded the GAC membership, to represent the changing face of
    justice-involved agencies; and

-   Developed a unique commodity: **trust**. This is, perhaps, the
    Committee's most important accomplishment. Through time and effort,
    the GAC has engendered an *esprit de corps* among members from
    disparate constituencies and levels of government, resulting in a
    willingness to reconcile proprietary issues in pursuit of the common
    goal of sharing information.

Building on these achievements, important next steps include vigorously
promoting the coordination of related standards via population and use
of the Justice Standards Registry for Information Sharing, exploring the
applicability of Enterprise Architecture to facilitate broad-scale
information sharing, confirming safeguards against misuse of personal
information and improving criminal records reliability, promoting
acceptable integrated justice system security measures, and---as the
landscape of justice-interested agencies broadens to meet new challenges
to our nation---informing and collaborating with all parts of the
justice and public safety communities involved in information sharing
activities.

**Background**

# 

**[Mission and Guiding Principles]{.underline}**

The GAC mission is to improve the administration of justice and protect
the nation's public by promoting practices and technologies for the
secure sharing of justice-related information.

The GAC operates under the auspices of the Bureau of Justice Assistance
(BJA), Office of Justice Programs (OJP), U.S. Department of Justice, and
advises the federal government---specifically through the Assistant
Attorney General, OJP, and the U.S. Attorney General---in facilitating
standards-based electronic information exchange throughout the justice
and public safety communities. The broad scope of the effort is
fundamental, because public and practitioner safety is best secured when
all players---from patrol officers to prosecutors, from courts officials
to corrections personnel---have access to timely and accurate
information.

The guiding principles of the GAC are to:

-   Bring together representatives from the entire justice community and
    related entities---including private industry---to overcome the
    barriers to justice information sharing across agencies,
    disciplines, and levels of government.

-   Promote the development and implementation of standards that
    facilitate seamless exchange of information among justice and
    related systems.

-   Provide information that supports sound business decisions for the
    planning, design, and procurement of cost-effective, interoperable
    information systems.

-   Promote constitutional values and individual rights by ensuring the
    accuracy and security of justice information, and the implementation
    of appropriate privacy safeguards.

-   Recommend concepts that leverage existing infrastructure,
    capabilities, and functionality.

The GAC operates in accordance with Federal Advisory Committee Act
(FACA) provisions and convenes twice a year in Washington, DC. Meetings
are announced in the *Federal Register,* and the public are welcome as
observers.

In fall 2002, per FACA term guidelines, the U.S. Attorney General
reviewed and reauthorized the Global Initiative for a succeeding
two-year term. As part of this reauthorization process, the project will
undergo a name change, from the "Global Justice Information
***Network***" to the "Global Justice Information ***Sharing
Initiative***" (emphasis added). This is to more adequately represent
the project's goal, and to dispel any connotation mistakenly associating
Global with the development of a physical "super network."

**[\
]{.underline}**

**[GAC Structure: Membership, Leadership, and Working
Groups]{.underline}**

The GAC is comprised of key personnel from local, state, tribal,
federal, and international justice and public safety entities, and
includes agency executives and policy makers; automation planners and
managers; information practitioners; and, most importantly, end users.
This last group distinguishes the GAC as a committee whose members
remain actively dedicated to information sharing, precisely because they
continue to be producers, consumers, and administrators of crucial
justice-related data.

***[Membership]{.underline}***

Committee membership reflects the fundamental GAC tenet that the entire
justice-interested community must be involved in information exchange.
Representatives from the following entities serve as members:

-   Administrative Office of the U.S. Courts

-   American Association of Motor Vehicle Administrators

-   American Correctional Association

-   American Probation and Parole Association

-   Conference of State Court Administrators

-   Criminal Justice Information Services Advisory Policy Board

-   Drug Enforcement Administration

-   Executive Office for the United States Attorneys

-   Federal Bureau of Investigation -- Criminal Justice Information
    Services Division

-   International Association of Chiefs of Police

-   International Association of Chiefs of Police -- Division of State
    and Provincial Police

-   International Association of Chiefs of Police -- Indian Country Law
    Enforcement Section

-   INTERPOL

-   Major Cities Chiefs' Association

-   National Association for Court Management

-   National Association of Attorneys General

-   National Association of State Chief Information Officers

-   National Center for State Courts

-   National Conference of State Legislatures

-   National Congress of American Indians

-   National Council of Juvenile and Family Court Judges

-   National Criminal Justice Association

-   National District Attorneys Association

-   National Governors Association

-   National Law Enforcement Telecommunication System

-   National Legal Aid & Defender Association

-   National Sheriffs' Association

-   Office of Homeland Security

-   SEARCH, The National Consortium for Justice Information and
    Statistics

-   U.S. Department of Justice -- Justice Management Division

-   U.S. Department of the Treasury

***[Leadership]{.underline}***

GAC leadership is normally elected every two years. However, in early
2002---midway through the regular term---Colonel Michael D. Robinson
resigned as Director of the Michigan State Police to assume a command
position within the Transportation Security Administration (TSA); he
also resigned as GAC Chair and representative of the International
Association of Chiefs of Police (IACP). Consequently, per GAC bylaws,
Mr. Gary Cooper, Executive Director, SEARCH, The National Consortium for
Justice Information and Statistics, moved from\
Vice Chair to the position of Chair. Committee members elected Mr.
Gerald Wethington, State of Missouri Chief Information Officer and GAC
representative of the National Association of State Chief Information
Officers (NASCIO), as the new Vice Chair. Chairman Cooper and\
Vice Chairman Wethington will serve until spring 2003, when elections
resume their two-year cycle.

The GAC Executive Steering Committee (ESC) consists of the GAC Chair
and\
Vice Chair, the working group Chairs, and two at-large GAC
representatives. The two at-large representatives are nominated and
elected by the ESC.

The Executive Steering Committee has the authority and responsibility
to:

-   Set priorities, direct research, and prepare advisory
    recommendations for the approval of the GAC and, upon their
    approval, forward advisory recommendations to the Assistant Attorney
    General, OJP, and the U.S. Attorney General (or the designated
    appointee of the U.S. Attorney General).

-   Schedule meetings and develop GAC meeting agendas with the final
    approval of the GAC Chair and the Designated Federal Official.

-   Consolidate and report GAC recommendations to other appropriate
    organizations, as necessary.

-   Track and report results and/or actions taken on GAC concerns and
    recommendations.

-   Solicit additional technical, professional, and administrative
    assistance to effectively and adequately address GAC concerns and
    support GAC activities.

***[Working Groups]{.underline}***

GAC working groups, comprised of committee members and other
subject-matter experts, expand the GAC's knowledge and experience. These
groups are formed around timely issues impacting justice information
sharing and meet as often as necessary. During 2002, the following
working groups engaged in targeted activities on behalf of the GAC.

[Infrastructure/Standards Working Group]{.underline}

The Infrastructure/Standards Working Group (ISWG) was formed because
successful broad-scale data exchange is greatly facilitated by (if not
dependent on) the development and adoption of standards that enable
transparent integration of disparate systems.

The goal of this working group is to define a framework that will assist
government entities in establishing an operational environment that will
enable them to share justice information within the guiding principles
of the GAC. The framework will be designed to identify those critical
components, programmatic and technical, necessary to develop and
maintain a sound infrastructure.

[Privacy/Information Quality Working Group]{.underline}

The Privacy/Information Quality Working Group was formed because of the
growing need to address information privacy as impacted by advancing
technological capabilities. Indeed, *privacy* may become one of the most
important technology issues of the 21st century.

Goals of this working group include assisting governments in ensuring
that personal information will not be inappropriately disseminated or
misused; ensuring that there are safeguards against the collection and
use of inaccurate information---particularly when the information is
disseminated in open environments such as Internet-based systems; and
improving the reliability of criminal records in an integrated
electronic system.

[Security Working Group\
]{.underline}

The Security Working Group was formed in recognition of the fact that
the security of the entire justice information exchange enterprise is
only as strong as the weakest link. Of particular importance is the
determination of effective security guidelines for legacy
networks/systems, as well as the new and enhanced networks and systems
to which they are joined.

The goal of this working group is to inform the justice and
justice-related communities about acceptable integrated justice system
security measures, encouraging them to adopt security guidelines that
have been reviewed to ensure trusted partnerships and data integrity.

[Outreach Working Group]{.underline}[^3]

To engender widespread justice information sharing participation and
support, a great deal of education and sharing of expertise still needs
to take place.

The goal of the Outreach Working Group is to inform the justice and
justice-related communities about the functions, activities, and
objectives of the GAC, encouraging them to create an environment that
promotes the sharing of justice information utilizing efficient and
cost-effective technologies and practices.

**Global Advisory Committee 2002: Year in Review**

During the past year, the GAC has engaged in the following:

**[Justice Extensible Markup Language (XML) Data Sharing
Project]{.underline}**

In March 2001, to explore XML support of justice information sharing,
ISWG---through the GAC---facilitated the convening of data exchange
experts from the following three XML justice information sharing
projects:

1.  Joint Task Force Rap Sheet Standardization Project

2.  LegalXML Court Filing Standard Initiative

3.  Regional Information Sharing Systems XML Data Exchange Specification

In December 2001, the American Association of Motor Vehicle
Administrators (AAMVA) joined the effort.

Additionally, in partnership with BJA, the National Institute of Justice
funded participation of standards specialists from the Institute for
Telecommunication Sciences, National Telecommunications and Information
Administration (NTIA), throughout the process. These specialists provide
objective guidance, expertise, and evaluation on conjoining the
respective efforts.

These participants (of what would become known as the XML Reconciliation
Effort) worked toward reconciling the specifications to create a common
data dictionary for use by other developers of XML justice information
sharing standards. The resulting *Justice Reconciled Data
Dictionary*[^4] contains approximately 300 data element tags, and is
being used in a growing number of live implementations throughout the
country as well as in certain efforts in the final

stages of development. On April 11, 2002, GAC members unanimously passed
the following recommendation in support of this data dictionary:

> The GAC recommends that the Office of Justice Programs initiate a
> project to develop a suitable application to manage the Justice XML
> Data Dictionary.

Other organizations began exploring the use of the data dictionary in
developing their own applications, but ultimately determined
that---although useful---it did not harness the full potential of XML.
Responsively, in follow-up meetings between members of the original
Reconciliation Effort and representatives of additional groups,
participants moved toward encompassing the data dictionary in XML
schema.[^5] This phase of the effort, completed in\
June 2002, produced the *Justice XML Data Dictionary Schema,*[^6]
facilitating easier document transmission and information sharing across
the Internet.

Although the schema approach was the logical next step to take, it still
does not provide the full extension of the XML product. Moving forward,
participants of the XML initiative plan to represent object
***relationships***, the key to creating the most fully beneficial
product. Efforts[^7] to solve these relational challenges in the justice
framework have begun. This work is being performed on an accelerated
schedule, slated for completion in spring 2003, and additional
significant national efforts---such as work by Organization for the
Advancement of Structured Information Standards (OASIS)[^8] and
XML.GOV[^9]---will be included.

 

The next stage of the GAC XML project proposes utilizing the emerging
Resource Definition Framework (RDF) standard, allowing a more practical
implementation of object relationships.

**Diagram 1.**

**Illustration of the Various Implementations and Stages of the GAC XML
Project**

![](media/image1.wmf){width="5.520138888888889in"
height="3.2597222222222224in"}

The three original projects have submitted their respective XML
standards and the common *Justice Reconciled Data Dictionary* to
OJP---through ISWG/GAC---for review and recognition via the Justice
Standards Registry for Information Sharing (discussed below). The schema
iterations will shortly follow suit, providing an information sharing
blueprint for other related efforts. It is hoped the substantial results
of this ongoing project will stem disparate information sharing
developments which, no matter how well-intentioned, only serve to
fracture the justice and public safety communities and isolate vital
data.

**[Justice Standards Registry for Information Sharing]{.underline}**

The success of justice-related information sharing is greatly
facilitated by the development and adoption of a standards coordination
process, permitting the transparent integration of disparate systems.
Currently there are numerous standards development efforts underway
within the justice community, as well as other sectors, such as public
safety and transportation, which will undoubtedly impact the overall
safety of our citizens. Therefore, these activities, including those
sponsored by industry, deserve close attention and coordination.
Responding to this imperative for coordination, ISWG---through the
GAC---facilitated the development of the **Justice Standards Registry
for Information Sharing** ("Registry" or JSR), an easy-to-access
information exchange tool for practitioners across the entire\
justice/public safety landscape, at every level of government. OJP
released the Registry in\
fall 2002.

The Registry serves four critical purposes:

1.  Facilitates the planning and implementation of effective information
    sharing projects by enabling practitioners to review their peers'
    standards concepts, documents in progress, specifications, and
    completed and/or implemented standards (saving resources of time,
    money, and effort);

2.  Provides real-world insight into the utility and application of the
    Registry's entries through accompanying "users comments" sections;

3.  Offers practitioners the ability to submit standards and comments
    for the benefit of the whole justice-interested community; and

4.  Represents standards in all phases of the development process:
    planning, emerging, implementation, and twilighting.

The Registry is housed on the Global/OJP IT Initiatives Web site,[^10] a
comprehensive, easily accessible resource exploring the information
sharing process, initiatives, and technological developments. By logging
onto the JSR, users have a number of valuable services literally at
their fingertips:

-   A repository of information technology and communications standards
    and specifications. In some cases, the Registry contains the entire
    standard itself.

-   A Web-based method of sharing information regarding justice and
    public safety-related data exchange, retrieval, collaboration, and
    integration.

-   A forum for feedback and review.

-   A search engine, help screens, and tutorial pages to maximize
    capabilities.

-   A subscription service that automatically alerts registered users
    about the addition or updating of standards.

To monitor performance and ensure continued maximum efficacy, on April
11, 2002, members of the GAC unanimously approved the following
recommendation:

> The GAC recommends that the Office of Justice Programs provide for a
> formal, structured review of the Justice Standards Registry Program on
> an annual basis, or as necessary.

ISWG is currently determining performance measures for use in this
annual review.

**[Global/OJP Information Technology Initiatives Web Site]{.underline}**

GAC members also significantly contribute to the OJP Information
Technology (IT) Initiative/Global Justice Information Network Web site.

This comprehensive, "one-stop-shop" was developed for interested justice
and public safety practitioners at all levels of government and all
stages of the information sharing process.

Topics include:[^11]

-   Global publications, minutes, and presentations

-   GAC meeting announcements

-   Justice Standards Registry for Information Sharing

-   Justice XML Data Dictionary

-   Featured information sharing initiatives and organizations, such as
    Justice Information Sharing Professionals (JISP)

-   Computer system information exchange processes

-   New policy and technology developments

-   Model information sharing systems

-   Information sharing "lessons learned"

-   Promising practices

-   Peer-to-peer networking

-   Events calendar

-   Latest news and online newsletter

**[Global Guidelines for Securely Sharing Justice and Law Enforcement
Information]{.underline}**

The GAC, through its Security Working Group, is currently developing the
*Global Guidelines for Securely Sharing Justice and Law Enforcement
Information* ("Draft"). Information security experts and representatives
from local, state, tribal, and federal justice and justice-affiliated
agencies are contributing to this effort.

The Draft will serve a strong educational purpose in the justice and
public safety communities, and will contain the added value of
recommended guidelines, best practices, and a library of referenced
local and state policies. Initial plans call for the document to be
organized into the following fourteen "disciplines" or important
security topic areas:

1.  Identification and Authentication

```{=html}
<!-- -->
```
1.  Authorization and Access Control

2.  Personnel Screening

```{=html}
<!-- -->
```
1.  Separation of Duties

```{=html}
<!-- -->
```
3.  Security Auditing

4.  Intrusion Detection Systems

5.  Firewall, VPNs, and Other Network Safeguards

6.  Data Integrity

7.  Data Classification

8.  Confidentiality

9.  Disaster Recovery and Business\
    Continuity

10. Change Management

11. Governance

12. Critical Incident Response

Working group members are also addressing maintenance of the
documentation, Web links and references, and presentation format. The
full GAC anticipates reviewing the Draft at the spring 2003 meeting. The
finished product will be posted on the Global Web site for widespread
access.

**[Expanded GAC Membership]{.underline}**

A hallmark and chief strength of the GAC is its composition: the
carefully balanced representation of all components of the
justice-interested community. In fact, this attention to membership is
ordained: in accordance with the governing bylaws, the GAC is charged
with being "vocal and visible in creating and communicating a *shared
vision among critical stakeholders/key executives* regarding the Global
concept." Abiding by this principle and in recognition of additional
factors (including the new and necessary emphasis on the inextricable
link between justice and public safety agencies), in spring/summer 2002,
GAC membership was expanded as the full Committee voted two agencies
into membership:

-   National Congress of American Indians (NCAI)[^12]

-   Office of Homeland Security (OHS)[^13]

In October 2002, representatives from these agencies attended their
first GAC meeting as Committee members.

#### [Participation in Related Efforts]{.underline}

The GAC has been engaging the justice community in information sharing
activities for approximately five years. This longevity, coupled with
the collective expertise of Committee members, has established the group
as a premier source for advisement and collaboration. In 2002, the GAC
offered assistance to the following groups and/or advised on the
following issues:

*[Office of Homeland Security]{.underline}*

[]{.mark}

As accurately assessed in the Office of Homeland Security (OHS or
"Office") *National Strategy for Homeland Security*, "\[i\]nformation
contributes to every aspect of homeland security and is a vital
foundation for the homeland security effort. Every government official
performing every homeland security mission depends upon information and
information technology."

Consider that this is a unique window of opportunity and time of need.
As the Office engages in fundamental development activities, Global
stands ready to provide critical, experienced information sharing
advisement, strengthening the key OHS Foundation[^14] of Information
Sharing and Systems which, in turn, strengthens the whole of the Office.
At this point in history, perhaps the most immediate and significant
opportunity for leveraging GAC expertise lies in supporting the efforts
of OHS.

Recognizing this, the GAC Executive Steering Committee (ESC) met with\
Mr. Steven I. Cooper, Special Assistant to the President, OHS, in
Washington, DC, in\
August 2002. In preparation for this meeting, Global staff prepared a
briefing paper[^15] documenting precisely how the goals within OHS's own
*"Information Sharing and Systems---National Vision"* overlap with
Global activities, attributes, and guiding principles.

[]{.mark}

In addition to pursuing ways to interface the Global Initiative with the
OHS information sharing mission, ESC members proffered OHS an invitation
to GAC membership. The invitation was accepted.

[]{.mark}

*[Information Sharing in Indian Country]{.underline}*

At the spring 2002 meeting, the GAC was requested to facilitate a
discussion about justice information sharing challenges in Indian
Country. Responsively, in July 2002, the Committee convened an ad hoc
group to examine these issues. GAC Indian Country representatives and
OJP staff involved in tribal programs designated appropriate attendees.
These participants were charged with accomplishing two primary tasks:

1.  Examining the agendas of the standing GAC working groups to
    determine omissions relative to information sharing in Indian
    Country.

2.  Documenting issues of justice and public safety-related information
    sharing and information access in Indian Country relative to three
    categories:

    a.  Access to national information/information sharing systems

    b.  Information sharing between agencies in Indian Country and
        agencies in the surrounding states and counties

    c.  Standardized technology and information management rules and
        protocols within the tribal justice system

Imminently, this ad hoc group is expected to report their findings and
additional recommendations to the GAC ESC. If necessary, the ESC will
recommend further activities[^16] to adequately address tribal concerns.

*[XML.GOV]{.underline}*

XML.GOV---an initiative of the Enterprise Interoperability and Emerging
Information Technology Committee, federal Chief Information Officer
(CIO) Council---aims to "...facilitate the efficient and effective use
of XML through cooperative efforts among government agencies, including
partnerships with commercial and industrial organizations."[^17]
Additionally, the associated "XML Working Group is considering whether
to establish a registry of 'inherently governmental' data elements,
DTDs,[^18] and schemas."[^19]

The XML.GOV project presents an opportunity for GAC collaboration as
well as a chance to eliminate federal-level redundancy of effort. To
pursue this relationship, OJP officials---working in cooperation with
Global working group representatives---participated in the August 2002
XML.GOV Working Group Meeting. Of primary interest was
coalescing/coordinating the two XML registry efforts. Collaboration
between the groups continues to be pursued.

*[Business Continuity and Disaster Recovery]{.underline}*

The GAC---through ISWG---recognizes the importance of the two issues of
*business continuity* and *disaster recovery* to post-crisis justice and
public safety information sharing. Responsively, at the spring 2002
meeting, the GAC leveraged the strength and diversity of its membership
in unanimously approving the following recommendation:

> The GAC requests that its members of the "Big 7"[^20] and members
> representing the judicial branch and tribal communities confirm the
> presence/existence of a dialogue within those bodies on the issues of
> **business continuity** and **disaster recovery**.

*[Privacy Guideline for Justice Information Systems]{.underline}*

Even in the current climate of urgency, justice leaders---both
nationally and internationally---place a priority on balancing the
sharing of critical information with developing and implementing privacy
policies. In pursuit of this careful balance, the National Criminal
Justice Association (NCJA) drafted the *Privacy Guideline for Justice
Information Systems* ("Guideline"). The GAC, through its
Privacy/Information Quality Working Group, coordinated production of the
Guideline.

The document was created in response to a number of needs, including the
need for a forum and mechanism to address open-record legislation, and
the need to explore the potential for misuse of personal information
when sharing records.

The Guideline is a manual for practitioners describing the
implementation of privacy policy, providing practical "how to"
processes, underscoring the importance of addressing privacy issues, and
establishing a generic framework. Specifically, the manual contains the
following sections:

> Section I--Introduction and Basic Considerations
>
> Section II--Developing Privacy Policy
>
> Section III--Drafting Privacy Policy
>
> Section IV--Privacy Policy Assessment, Education, and Training

As part of the final editing process, the Guideline was reviewed by the
public/private entities, and now resides with NCJA for custodianship and
distribution.[^21]

####### 

####### Functional Standards

In addition to accomplishments achieved through direct Committee
involvement, several justice/public safety-related efforts have
benefited from the *impetus of* and *climate fostered by* the GAC. A
prime example of this ancillary benefit is in the area of functional
standards.

As previously outlined, Global strongly advocates the development of
standards, and has invested expertise in advising on number of key
initiatives in this pursuit, such as the Justice Standards Registry and
the XML Reconciliation Effort. Capitalizing on this momentum, GAC member
constituencies are developing and/or implementing functional standards,
often supported in their efforts by BJA. Examples of these
Global-influenced functional standards activities include:

-   **Courts functional standards**

> **\
> **Functional standards were first developed by the court community as
> part of the work of the Joint Technology Committee of the Conference
> of State Court Administrators and the National Association for Court
> Management, staffed by the National Center for State Courts. Drawing
> on funding from the states, the Bureau of Justice Assistance, and the
> Office of Juvenile Justice and Delinquency Prevention, the court
> program is designed to develop national standards of operations for
> case flow management for six case types: civil, criminal, juvenile,
> family, traffic, and probate. From the outset, the program has
> incorporated information sharing among its objectives.
>
> Representatives from other disciplines---law enforcement, corrections,
> the bar, treatment agencies, defense counsel, prosecutors---have been
> included in the working groups formed to develop the content of the
> functional standards. The program design has been used as the model
> for the functional standards efforts of the other disciplines.
>
> The court program is the most mature of the several functional
> standards efforts now underway. The functional standards for each case
> type are described in a separate volume. Each volume describes the
> components of the standard in sufficient detail to provide a framework
> for software development, with accompanying documents and reports. The
> volumes currently available[^22] are:

-   Civil Case Processing System Functional Standards

-   Criminal Case Processing System Functional Standards

-   Domestic Relations Case Processing System Functional Standards

-   Juvenile Court Case Management Functional Standards

-   Electronic Filing Functional Standards

```{=html}
<!-- -->
```
-   **Law enforcement functional standards**[^23]

> Law enforcement information technology standards are necessary to
> provide national guidelines for law enforcement executives to use when
> making decisions regarding implementation of information technology.
> The Law Enforcement Information Technology Standards Council (LEITSC
> or "Council") was created to ensure that the law enforcement community
> is involved in the development of such standards. Established through
> a grant from BJA, LEITSC brings together the nation's primary law
> enforcement executive membership associations--- International
> Association of Chiefs of Police, National Sheriffs' Association;
> National Organization of Black Law Enforcement Executives, and Police
> Executive Research Forum---to address law enforcement standards. The
> Council's mission: to provide advice and leadership to the nation's
> law enforcement community on information technology standards; share
> practical solutions; and educate the public safety community about the
> merits and technical aspects of information systems integration. One
> of the key ways LEITSC will support this mission is by "expanding the
> reach and impact of Global."[^24]

-   **Probation and parole functional standards**[^25]

> Through BJA funding, the American Probation and Parole Association
> (APPA) is developing a document that will define functional standards
> to assist probation agencies in implementing effective automated case
> management systems. APPA, in partnership with the National Center for
> State Courts, will identify adult probation agencies with automated
> case management systems that are employing effective case management
> practices, and will obtain written specifications from agencies having
> either exemplary case management practices or exemplary case
> management systems. These specifications will be analyzed and
> distilled to the common elements that comprise the functional
> requirements of a recommended automated probation case management
> system.

-   **Corrections functional standards**

> BJA is providing support for the Association of State Correctional
> Administrators (ASCA)/Correctional Technology Association (CTA) Common
> Business Functions Project. The project goals are to:

1.  Produce standard data formats for the electronic exchanges of data
    between Departments of Corrections and other agencies.

2.  Develop a set of common functions, providing a foundation for a
    standard template for current and future systems.

> Key indicators developed by another OJP-sponsored corrections
> initiative---the ASCA Performance Measures Project---will be supported
> by the Common Business Functions Project.
>
> A functional standard being developed from this project[^26] has been
> submitted to the Justice Standards Registry, and is available for
> public viewing.

### Global Advisory Committee 2003: Future Activities

The GAC will continue to pursue its mission by building on its working
group achievements, leveraging existing resources such as OJP IT
initiatives, and continuing to engage the entire justice community in
the information sharing dialogue.

In 2003, the GAC ESC will develop a conceptual framework for information
sharing, exploring the implications of ***enterprise architecture*** for
the justice and public safety communities. Additionally, this
exploration will take into account the associated works of the National
Association of State Chief Information Officers (NASCIO); Office of
Management and Budget (OMB), the Executive Office of the President; and
Office of Homeland Security (OHS).

#### [GAC Working Groups: Continuing the Momentum]{.underline}[^27]

> The GAC will build on the accomplishments of its working groups as
> follows:
>
> **[Infrastructure/Standards]{.underline}**

In 2003, ISWG will pursue its goal by:

-   Reviewing the objectives and evaluating the design and performance
    of the Justice Standards Registry for Information Sharing (JSR),
    housed on the Global Web site.

-   Reviewing and supporting the development of programs and projects
    that facilitate information sharing in the justice and public safety
    communities.

```{=html}
<!-- -->
```
-   Continuing support of the justice XML data dictionary development
    effort, to include recommending considerations for a maintenance
    process.

-   Monitoring emerging technologies to identify their implications for
    justice- and public safety-related information sharing.

```{=html}
<!-- -->
```
-   Drafting a justice/public safety infrastructure requirements report.

***[Privacy/Information Quality]{.underline}***

In 2003, the Privacy/Information Quality Working Group will pursue its
goals by:

-   Exploring privacy implications for homeland security.

-   Exploring the application of technologies for reliable and accurate
    identification of individuals.

-   Exploring the issues associated with updating a criminal history
    record with prosecution, adjudication, supervision, or other
    criminal history events when those events cannot be linked to an
    arrest notation that has already been entered into the criminal
    history repository.

***[Security]{.underline}***

In 2003, the Security Working Group will pursue its goals by:

-   Continuing local, state, and tribal research on relevant information
    security topics for justice and law enforcement information sharing.

-   Completing the *Global Guidelines to Securely Sharing Justice and
    Law Enforcement Information* ("*Guidelines*")*.* Producing the
    *Guidelines* on CD-ROM/DVD and on the Global Web site for outreach
    to communities of interest.

-   Continuing to develop a reference library of local, state, and
    tribal security policies, best practices, legislation, mandates, and
    requirements, to be posted on the Global Web site.

-   Completing sample shared models for implementation of the
    *Guidelines.*

-   Prioritizing relevant security topics for implementation in justice
    and law enforcement information sharing initiatives.

-   Coordinating with the Infrastructure/Standards Working Group to
    develop security documentation for inclusion in related reports.

-   Developing XML security guidelines, to address problems faced by
    developers of XML-based applications, Web services, and security
    middleware for XML.

***[Intelligence]{.underline}***

In fall 2002, in accordance with governing bylaws,[^28] the Intelligence
Working Group was formed to examine and integrate into the GAC dialogue
the particular challenges to intelligence sharing. This working group
will explore the important role of sharing secure but unclassified
information, and how this issue furthers and supports the exchange of
crucial data among local, tribal, state, and federal agencies.

# [Partnerships: OJP Information Technology Initiatives]{.underline}[^29]

In addition to concentrating on the above issues, the GAC looks forward
to continued collaboration on, acting in an advisory capacity to, and
strong support of ongoing and future OJP integration activities. OJP has
contributed greatly to the field by supporting the development of
standards processes, privacy policy, information architecture, and
outreach vehicles (e.g., OJP IT Initiatives Web site). These areas are
especially complementary to GAC efforts.

#### [Facilitating Full Participation for All Disciplines]{.underline}

> In order to reach the full information sharing capability envisioned
> by the GAC, all disciplines involved in justice-related
> efforts---including public safety constituencies---must employ
> information technology among their members. Historically, some
> disciplines and communities have had difficulties in obtaining
> resources to acquire and implement appropriate information systems;
> for example, probation, parole, public defense, pretrial services, and
> Indian Country agencies. While not detracting in any way from other
> efforts, attention should be given to identifying and addressing the
> technological needs of these disciplines (and others) to enable them
> to be full participants in broad-scale justice information sharing.
>
> Also, to continue capitalizing on the ideals of inclusiveness and
> strength through diversity, as an ongoing task, committee members will
> scan the justice and public safety landscapes for unrepresented or
> underrepresented constituencies. When necessary, additional
> organizations will be nominated for GAC membership.

## **Conclusion**

## 

## **Using Information to Secure the Homeland: Better, More Efficient, More Secure Business Practices** 

## **for Addressing** 

## **National Crises and Day-to-Day Operations**

> *The President believes that an effective use of intelligence and
> closer coordination across all levels of government will help stop
> future terrorist attacks. In the wake of September 11, for example, we
> discovered that information on the hijackers' activities was available
> through a variety of databases at the\
> Federal, State, and local government levels as well as within the
> private sector. Looking forward, we must build a system that combines
> threat information and then transmits it as needed to all relevant law
> enforcement and public safety officials.*[^30]

Along with the national emphasis on homeland security, citizens are
anxious for justice and public safety personnel to quickly share vital
information, both across town and across America, to protect the public.
So, too, the Administration has shifted attention and resources to
establish information exchange as one of four key foundations in the war
on terrorism. In this endeavor, the Global Advisory Committee is a
valuable resource, particularly in light of fundamental efforts
accomplished well in advance of pivotal national events.

GAC members have long realized that justice information sharing, above
and beyond today's crisis, is a national imperative. In fact, every
agency involved in the apprehension, adjudication, and incarceration of
offenders requires information from other justice entities *on a daily
basis* to do their job. Furthermore, entities outside of the justice
community---including schools, childcare services, transportation, and
licensing agencies---need this capability to perform routine business
activities such as hiring new personnel, approving gun purchases, or
granting professional licenses.

While today's sense of urgencyevidenced by increased public and
governmental interestmay be a harbinger of the support necessary to
make broad-scale justice and public safety information sharing a
reality, technical, programmatic, and policy issues still must be
addressed within a community of shared interests. The Global Advisory
Committee **is** that community of shared interests.

Looking ahead, GAC members are anxious to use their combined expertise
to support the Assistant Attorney General, OJP, the U.S. Attorney
General, the nascent U.S. Department of Homeland Security, local and
state governments, and practitioners across the nation in pursuing
public safety and homeland security through the powerful currency of
timely, accurate, complete, and accessible information shared in a
secure and trusted environment.

> **Global Justice\
> Information Network**
>
> **Annual Report**
>
> **Attachment A**

**Global Justice Information Network:**

**Supporting the**

**Office of Homeland Security**

**August 22, 2002**

Introduction

Never before has America's need for justice and public safety-related
information sharing been more compelling. The absence of this
capability, however, has plagued practitioners for decades. While
broad-scale information sharing has yet to be achieved, claims that the
problem has gone unaddressed are unwarranted. The Global Justice
Information Network (Global) Advisory Committee (GAC or "Committee")---a
Federal Advisory Committee with members from across the whole of the
justice community, at all levels of government---has actively pursued
nationwide information sharing. Recent Global successes have impacted
information sharing for the entire justice and public safety
communities.

Briefing Purpose: Recommending Global

Expertise to the Office of Homeland Security

As accurately assessed by the Office of Homeland Security (OHS or
"Office") in\
***The National Strategy for Homeland Security***, "\[i\]nformation
contributes to every aspect of homeland security and is a vital
foundation for the homeland security effort. Every government official
performing every homeland security mission depends upon information and
information technology." Therefore, strengthening this key OHS
Foundation of Information Sharing and Systems by leveraging Global
expertise strengthens the whole of the Office---the six critical mission
areas and the four identified foundations.

Global can provide critical support to OHS. The goals within OHS's own
*"Information Sharing and Systems---National Vision,"* directly overlap
with Global activities, attributes, and guiding principles. These
correlations between OHS and Global are summarized below. Considering
this unique window of opportunity, as the Office engages in fundamental
development activities, Global can provide experienced assistance at
once, facilitating more immediate OHS successes to secure the safety of
our homeland through the exchange of vital information.

**Global Supports for the OHS** ***National***

***Vision***[^31] **for Information Sharing**

***Complementary Tenet 1---Leveraging Existing Systems***

> We must build a "system of systems" that can provide the right
> information to the right people at all times.... We will leverage
> America's leading-edge information technology to develop an
> information architecture that will effectively secure the homeland.

--- OHS *National Vision*

> To recommend concepts that leverage existing infrastructure,
> capabilities, and functionality.
>
> --- Global *Guiding Principles*

OHS officials note that "\[t\]oday, there is no single agency or
computer network that integrates all homeland security information
nationwide, nor is it likely that there ever will be. Instead, much of
the information exists in disparate databases scattered among federal,
state, and local entities.... \[Therefore,\] it is crucial to link the
vast amounts of knowledge resident within each agency at all levels of
government."[^32] GAC members concur and, in fact, have been providing
advice to the federal government---*based on this tenet of leveraging
existing systems*.

Because of their diverse backgrounds, Committee members implicitly
understand and vigorously advocate that large-scale justice and public
safety-related information sharing can be accomplished most efficiently
by using state-of-the art technologies to create a new network
*capability* rather than a new network. An example of Global commitment
to this ideal: The GAC has already reconciled three independently
developed information sharing solutions utilizing Extensible Markup
Language (XML):

-   Joint Task Force Rap Sheet Standardization Project

-   LegalXML Court Filing Standard Initiative

-   Regional Information Sharing Systems XML Data Exchange Specification

The constituencies' solutions, as originally developed, contained data
definition conflicts. The reconciliation process eliminated those
conflicts and formed the basis of the Justice XML Data Dictionary, now
containing hundreds of reconciled elements. Moving forward, the project
has additionally reconciled the XML development efforts of the American
Association of Motor Vehicle Administrators (AAMVA) and continues to
advance in terms of both numbers of participants and methodologies. At
this moment, the effort is progressing toward the use of more
expandable, data-rich information sharing approaches such as
object-oriented schema and resource description framework. Additionally,
the GAC is working with XML.gov to determine how Global XML efforts can
serve as a national model for the XML.gov Registry.

***Complementary Tenet 2---Comprehensiveness of Players:***

***A "National Strategy, Not a Federal Strategy"***[^33]

> Information will be shared "horizontally" across each level of
> government and "vertically" among federal, state, and local
> governments, private industry, and citizens.

--- OHS *National Vision*

> To bring together representatives from the entire justice community
> and related entities---including industry---to overcome the barriers
> to justice information sharing across agencies, disciplines, and
> levels of government.
>
> --- Global *Guiding Principles*

Thirty-one agencies are represented on the GAC, and many other
agencies---including industry---participate in the Global initiative
through the four Working Groups. The GAC is comprised of associations
and advisory boards whose constituent members are key personnel from
local, state, tribal, federal, and international justice entities, and
represent justice agency executives and policy makers; justice
automation planners and managers; justice information practitioners;
and, most importantly, **thousands of justice community end users**.
This last group distinguishes the GAC as a committee whose members
remain actively dedicated to information sharing, precisely, because
they continue to be producers, consumers, and administrators of crucial
justice data.

The GAC is a body of representatives with extensive institutional
knowledge and empirical research regarding current resources within the
justice and public safety communities. A recent example of GAC work is
the collaboration with the National Association of Chief Information
Officers (NASCIO) in support of a national business enterprise
architecture for the justice and public safety communities.

The GAC has established trust among members from disparate
constituencies and levels of government, resulting in a willingness to
reconcile proprietary issues in pursuit of the common goal of sharing
information. For OHS to develop a comparable group of local, tribal,
state, federal, and international constituency advisors *with the same
level of cooperation* would not only be a duplication of effort, but
would take a great deal of time and, even more so, such interpersonal
cohesion can never be guaranteed.

#### 

####   {#section-4 .unnumbered}

#### Complementary Tenet 3---Cost-Efficient Use of Resources

> With the proper use of people, processes, and technology, homeland
> security officials throughout the United States can have complete and
> common awareness of threats and vulnerabilities as well as knowledge
> of the personnel and resources available to address these threats....

--- OHS *National Vision*

> To promote the development and implementation of standards that
> facilitate seamless exchange of information among justice and related
> systems; To provide information that supports sound business decisions
> for the planning, design, and procurement of cost-effective,
> interoperable information systems.

-   Global *Guiding Principles*

##### *"We have produced a comprehensive national strategy that is based on the principles of cooperation and partnership."*[^34]

##### --- *President George W. Bush*

> July 16, 2002

## The OHS ideal of the "proper use of people, processes, and technology" has already been partially addressed by *Complementary Tenet 1---Leveraging Existing Systems* (proper use of technology) and *Complementary Tenet---Comprehensiveness of Players* (proper use of people). However, Global can also support OHS in the proper use of processes---cost-effectively utilizing resources and avoiding duplication of efforts. According to OHS's governing rules, Global should be part of the homeland security effort.

A specific example of an OHS "item" currently being addressed by
DOJ-funded Global is the promotion of interoperable standards. Why this
focus on standards? Simply, successful information exchange across the
range of interested constituencies---at local, tribal, state, federal,
and international levels---hinges on the use of common and effective
standards. To avoid duplicative or even cross-purpose efforts,
standardization activities must be coordinated---not only across the
justice and public safety arenas, but into related business sectors as
well, such as transportation. The **Justice Standards Registry for
Information Sharing** ("Registry"), scheduled for imminent release, is a
hands-on way to facilitate this coordination.

The Registry, an easy-to-access Internet-based tool for practitioners
*across the entire justice/public safety landscape, at every level of
government*, does three things:

(1) Facilitates the planning and implementation of effective information
    sharing projects by enabling practitioners to review their peers'
    standards concepts, documents in progress, specifications, and
    completed and/or implemented standards;

(2) Provides real-world insight into the utility and application of the
    Registry's entries through accompanying "users comments" sections;
    and

(3) Offers government practitioners the ability to submit standards and
    comments for the benefit of the whole justice-interested community.

#### Furthermore, employing Global expertise such as the Justice Standards Registry in the pursuit of "horizontal" and "vertical" information sharing is more than resource efficient in terms of both time and money. It exemplifies the President's critical message on cooperation and partnership to the whole of the justice and public safety communities: Just as you must avoid building stovepipe systems, so, too, must you avoid building "stovepipe agencies."

#### 

####   {#section-6 .unnumbered}

#### Complementary Tenet 4---Maintaining the Balance

#### Between the Need for Information Sharing and Citizens' Rights

> In every instance, sensitive and classified information will be
> scrupulously protected.

*---* OHS *National Vision*

> To promote constitutional values and individual rights by ensuring the
> accuracy and security of justice information, and the implementation
> of appropriate privacy safeguards.
>
> --- Global *Guiding Principles*

Criminal intelligence information has always demanded safeguarding in
the interest of ongoing investigations. However, with today's pursuit of
more broadscale justice and public safety-related information sharing,
there is an increased need to address privacy considerations as impacted
by advancing technological capabilities and the urgency of the times.

The GAC's goals are to assist all levels of government in ensuring that
personal information will not be inappropriately disseminated or
misused, and that there are safeguards against the collection and use of
inaccurate information---particularly when the information is
disseminated in open environments such as Internet-based systems.

Conclusion

Considering the necessarily ambitious planning schedules of OHS, GAC
Executive Steering Committee (ESC) members are keenly aware that time is
of the essence in solidifying this critical, collaborative relationship
between OHS and the GAC. ESC members appreciate and anticipate meeting
with Mr. Steve Cooper and other OHS officials to discuss this matter
further.

Ultimately, in addition to advising the Assistant Attorney General, OJP,
and the U.S. Attorney General, GAC members are anxious to use their
combined expertise to support the Office of Homeland Security,
particularly in helping local, tribal, and state governments and
practitioners across the nation ensure public safety and homeland
security through the powerful currency of timely, accurate, and complete
information shared in a secure and trusted environment.

387999.doc

[^1]: ***Emphasis added.*** From the "Executive Summary" (page vii) of
    the *National Strategy for Homeland Security* document, available at
    <http://www.whitehouse.gov/homeland/book/nat_strat_hls.pdf>.

[^2]: For the purposes of this document, "intelligence information"
    refers to secure but unclassified information.

[^3]: ***Outreach*** remains critical to the GAC efforts. However, due
    to the increased yield in Global-facilitated products and
    activities, it was determined this responsibility is now best
    accomplished by the respective working groups---those most involved
    and knowledgeable about the products being promoted. Therefore, as
    Global moves forward, "outreach" will be remanded to the Chairs of
    these groups and overseen by the Executive Steering Committee. The
    Outreach Working Group as a formal body was dissolved in fall 2002.

[^4]: Ascribed "RDD 1.0."

[^5]: XML schema expresses shared vocabularies and allows machines to
    carry out rules made by people. It provides a means for defining the
    structure, content, and semantics of XML documents. More information
    is available at <http://www.w3.org/XML/Schema>.

[^6]: There are two schema versions: a lower camel case version (JXDDS
    2.0), which directly wraps the RDD in schema, and an upper camel
    case version (JXDDS 2.1) along with a translator, enabling
    interoperability between the two versions.

[^7]: One effort (JXDDS 3.0) defines core objects that exist in the
    justice world. 

[^8]: OASIS is a not-for-profit, global consortium that drives the
    development, convergence, and adoption of e-business standards. More
    information is available at <http://www.oasis-open.org/>.

[^9]: The XML.GOV initiative is discussed later in the report.

[^10]: Located at <http://it.ojp.gov/> and discussed later in the
    report.

[^11]: The Global Web site is a featured component of the OJP IT
    Initiatives Web site. The sites are similar in design and general
    area of interest (i.e., justice-related information sharing),
    although the Global portion of the site focuses specifically on
    activities, publications, and administrative issues of the GAC. The
    listing of topics includes features of both sites.

[^12]: Additional information about GAC support of Indian Country
    information sharing issues follows in a subsequent section.

[^13]: Additional information about GAC support of OHS efforts follows
    in a subsequent section.

[^14]: OHS designates the four foundations of 1) law, 2) science and
    technology, 3) information sharing and systems, and 4) international
    cooperation as "unique American strengths that cut across
    all...levels of government" and are essential to homeland security.

[^15]: This briefing paper is included as ***Attachment A***.

[^16]: As previously highlighted, in spring 2002, GAC members took steps
    to bridge Indian Country representational gaps by voting the NCAI
    into Global membership.

[^17]: Taken from the XML.GOV Web site at <http://xml.gov/index.htm>.

[^18]: "DTDs" is the acronym for "document type definitions."

[^19]: Taken from the XML.GOV Web site at <http://xml.gov/index.htm>.

[^20]: The "Big 7" is a body comprised of agencies sharing an interest
    in local and state concerns. This coalition is made up of the
    National Governors Association; National Conference of State
    Legislatures; Council of State Governments; National Association of
    Counties; National League of Cities; International City/County
    Management Association; and U.S. Conference of Mayors.

[^21]: The *Privacy Guideline for Justice Information Systems* is
    available at <http://www.ncja.org/pdf/privacyguideline.pdf>.

[^22]: More information about courts functional standards, including
    access to the enumerated volumes, is available at
    <http://www.ncsc.dni.us/ncsc/ctp/htdocs/standards.htm>.

[^23]: More information on LEITSC is available at
    <http://www.iacptechnology.org/LEITSC/LEITSCIndex.htm>.

[^24]: *Ibid.*

[^25]: More information on the APPA functional standards project is
    available at [http://www.appa-net.org](http://www.appa-net.org/).

[^26]: For more information, please see
    <http://it.ojp.gov/jsr/public/viewDetail.jsp?sub_id=114>.

[^27]: It is important to note that the four working groups' activities
    are coordinated to maximize effort and expertise in addressing
    overlapping concerns

[^28]: According to Global bylaws: "With the input of the GAC and the
    DFO, the GAC Chair will establish working groups, which may include
    non‑committee representatives, to provide oversight for a specific
    research area."

[^29]: *An Overview of OJP Bureaus, Offices and Cops Information
    Technology Initiatives* contains information about OJP IT efforts.
    This document is available at
    [http://www.ojp.usdoj.gov/BJA/txt/NCJ18909.pdf]{.underline}.

[^30]: From "Using 21^st^ Century Technology to Defend the Homeland,"
    located at
    <http://www.whitehouse.gov/homeland/21st-technology.html>.

[^31]: The "National Vision" is found on page 56 of the "Information
    Sharing and Systems" section of the recently released OHS document,
    *The National Strategy for Homeland Security.*

[^32]: *The National Strategy for Homeland Security*, page 55.

[^33]: From the letter from President George W. Bush, dated July 16,
    2002, which introduces the *National Strategy for Homeland
    Security.*

[^34]: From the letter from President George W. Bush, which introduces
    the *National Strategy for Homeland Security.* Emphasis added.