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Kentucky Criminal Records

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									         COMMONWEALTH OF KENTUCKY
CRIMINAL HISTORY RECORDS INFORMATION SYSTEM
      TO C OMPUTERIZED C RIMINAL H ISTORY
            D ATA C ONVERSION PLAN

       Unified Criminal Justice Information System
           Strategic Alliance Services Contract
           For the Commonwealth of Kentucky




                         Prepared for:
                  Commonwealth of Kentucky
               Governor’s Office for Technology
                      100 Fair Oaks Lane
                Frankfort, Kentucky 40601-1108

                         Prepared by:
                      SAIC Project Team
       7980 Science Applications Court – Mail Stop CV-44
               Vienna, Virginia 22182-22182-3925
                                 T ABLE                    OF          C ONTENTS
1.0   Introduction .......................................................................................................................... 1-1
      1.1    Purpose ...................................................................................................................... 1-1
      1.2         Scope ......................................................................................................................... 1-1
2.0   Tasks ...................................................................................................................................... 2-1
      2.1      Process Definition ..................................................................................................... 2-1
      2.2         Data Analysis ............................................................................................................ 2-3
      2.3         Data Conversion Specification .................................................................................. 2-3
3.0   Data Conversion ................................................................................................................... 3-1
      3.1   Export ........................................................................................................................ 3-1
      3.2         Import ........................................................................................................................ 3-3
      3.3         Error Handling........................................................................................................... 3-3
      3.4         Validation of Converted Data.................................................................................... 3-3
4.0   Data Conversion Migration ................................................................................................. 4-1
      4.1   Practice Conversions ................................................................................................. 4-1
      4.2         Final Critical Database Conversion ........................................................................... 4-2




                                                                       i                             CHRIS to CCH Data Conversion Plan
                                 L IST           OF        E XHIBITS
Exhibit 2-1:   Database Conversion Schedule ................................................................................. 2-2
Exhibit 3-1:   KSP Provided Code Table Content ........................................................................... 3-1
Exhibit 3-2:   SAIC Provided Code Table Content ......................................................................... 3-2
Exhibit 4-1:   Practice Database Conversion Summary Matrix ....................................................... 4-1




                                                            ii                         CHRIS to CCH Data Conversion Plan
                         L IST           OF        A PPENDICES
Appendix A   Acronyms and Abbreviations ................................................................................ A-1




                                                        iii                        CHRIS to CCH Data Conversion Plan
1.0     INTRODUCTION
1.1     Purpose
The purpose of this document is to provide a road map of data conversion of the Criminal History
Records Information System (CHRIS) database to the reengineered Computerized Criminal History
(CCH) database. It is the first of two documents to be provided under the database task. The second
document, the Data Conversion Specification, will include data format definitions, data mapping,
error handling, and other specific tasks and definitions to successfully convert the CHRIS database to
the CCH database.
The CHRIS database currently resides on an IBM 390 computer in IBM Information Management
System (IMS) hierarchical data structure. It is the intent of the Commonwealth of Kentucky and
SAIC under the CCH contract, to convert and migrate the data to a Microsoft SQL Server 2000
Relational Database Management System.
Data Conversion, by nature, is a complex process. In order to ensure successful completion of this
task, the Governor’s Office for Technology (GOT), Kentucky State Police (KSP), and Science
Applications International Corporation (SAIC) must work together closely, providing their respective
pieces in a high quality, timely fashion. They must communicate any changes and/or issues as soon as
possible.

1.2     Scope
This document defines the processes and procedures that will be followed during the data conversion
process. It will also outline the roles and responsibilities of SAIC and Commonwealth participants
necessary to ensure the successful completion of this task.




                                                 1-1                  CHRIS to CCH Data Conversion Plan
2.0       TASKS
2.1       Process Definition
In order to ensure the accuracy of the data conversion during deployment, the data conversion will
occur in a series of small iterative practice steps. The Commonwealth and SAIC will define the
processes that will need to occur to ensure a smooth transition. For example:
         The identification of the respective points of contacts for the handing off of data
         An outline of what records (type, scope, and number) are to be provided during each iteration
         A schedule for the provision of the data (a proposed schedule is provided as Exhibit 2-1)
         How files are to be sent and received, e.g., email, compact disc (CD), etc.
         How to handle data errors
Once these processes are defined, they will be documented in the Data Conversion Specification.




                                                    2-1                   CHRIS to CCH Data Conversion Plan
                                                      KY-UCJIS-0400-R00C01
                                                               May 10, 2002




Exhibit 2-1: Database Conversion Schedule




               2-2                          CHRIS to CCH Data Conversion Plan
                                                                                       KY-UCJIS-0400-R00C01
                                                                                                May 10, 2002




2.2       Data Analysis
SAIC will analyze KSP-provided documentation received to date to develop an initial draft of the
data mapping. When the preliminary analysis is completed, SAIC will meet with Commonwealth
representatives to review the information for completeness and accuracy. This meeting will include a
discussion on the transfer data file format options available and choose a mutually agreeable option.
The Commonwealth and SAIC will discuss and agree to the content (type, scope, and number of
records) of the first data export to be provided by the Commonwealth.

2.3       Data Conversion Specification
The Data Conversion Specification will be the baseline for the specific details for converting the IMS
database to the SQL Server database. The specification will detail the relationship between the
CHRIS database as it currently exists and the CCH database that will be created on the SQL Server
database. Additionally, the Data Conversion Specification will:
         Contain the details regarding the format definition for the transfer data files
         Define the data type, length, and format of each table attribute
         Document the rules for initializing empty or new data fields
         Specify what, if any, edit and/or business rules to apply to each field during the conversion
          process
         Detail the requirements for reporting fields and/or records that do not pass the edit rules
          and/or that may be incomplete
SAIC will create the initial Data Conversion Specification and provide this document to the
Commonwealth for their review and approval. Any items requiring input from the Commonwealth
will be closely coordinated with Commonwealth representative(s).




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3.0      DATA CONVERSION
When the Commonwealth and SAIC have mutually agreed to and approved a transfer file format, the
Commonwealth will use this format to output data from the IMS hierarchical database. SAIC will
also use this format for importing the data into the SQL Server relational database structure. The
Commonwealth will be responsible for developing or acquiring any software necessary to provide
exported, uncorrupt CHRIS data. SAIC defines uncorrupt data as data that is in a format, to be agreed
upon by the Commonwealth and SAIC, and is readable by the medium agreed to by the
Commonwealth and SAIC.
SAIC will be responsible for developing or acquiring the software necessary to import the exported
CHRIS data into the CCH relational database.

3.1      Export
Commonwealth staff will be responsible for exporting the CHRIS data and providing that information
to SAIC in the format documented in the Data Conversion Specification. In addition to Criminal
History data, KSP will provide data for the Agency table and the Code Tables shown in Exhibit 3-1.
Exhibit 3-2 illustrates the Code Tables that will be populated by SAIC and will be provided to KSP
for approval.
                           Exhibit 3-1: KSP Provided Code Table Content
       Table Name                                                  Description
                         AGYType                                              Literal
                              A        Prosecuting Attorney's Offices
                              B        Pretrial Service and Release Agencies
                              C        Correctional Institutions
                              D        Civil Courts
                              E        Nongovernmental Railroad or Campus Police
                             G         Probation and Parole Offices
                              H        Department of State National Visa Center
                              I        Interpol
      CTAgencyType           M         Custodial Facilities
                              N        Regional Dispatch Centers
                             O         National Insurance Crime Bureau
                              P        Nongovernmental Agencies
                             Q         Department of Housing and Urban Development
                              R        National Security
                              U        Federal and State Child Support Enforcement
                              V        Department of Motor Vehicles
                             W         National Center for Missing and Exploited Children
                              Y        Other Agencies
   CTCourtDisposition   Code table of court disposition codes and their literal descriptions
                        Code table of all violation codes that are currently used or have been used in the state. The
      CTViolationCode
                        violation codes represent the various charges with which an offender may be charged.




                                                           3-1                       CHRIS to CCH Data Conversion Plan
                                                                                                 KY-UCJIS-0400-R00C01
                                                                                                          May 10, 2002




                          Exhibit 3-2: SAIC Provided Code Table Content
      Table Name                                                   Description
CTASCF                 Code table containing the valid ASCF values and the associated literals
CTClassifyORI          Code table that identifies a set of ORIs that have specific permissions within the CCH system.
CTCounty               Code table of all of the counties within the state
CTCountry              Code table of valid country codes
CTDissemTypes          Code table containing the valid dissemination types which include:
                          Automatically Set Types based on user's choice of rap sheet:
                           »    Child Care                                              »       Schools
                           »    Nursing Homes                                           »       Charitable Gaming
                           »    Charitable Solicitors                                   »       Adoptive/Foster Parents
                           »    Criminal Justice Employment and/or Investigation        »       Mines/Mineral Explosives
                           »    Rescue Squad, Fire Dept., Ambulance Services            »       Lottery
                           »    Regular employment and military                         »       Minor
                           »    Carry Concealed and Deadly Weapons (CCDW)
                          Record Challenge Manual Types:
                           »    KSP Arrest Via Telephone                                »       Record Viewed
                           »    Copy of Fingerprint Card Mailed                         »       Photo mailed
CTEyeColor             Code table of eye color codes
CTHairColor            Code table of valid hair color codes
CTMNUType              Code table contains the valid miscellaneous identification number codes (e.g., armed forces
                       numbers)
CTPurposeCode          Code table containing the list of purpose codes that may be accepted in CCH inquiries. Specifies
                       which ORI groups may use each of the purpose codes.
CTRace                 Code table of valid race codes along with a literal description of each code
CTSkinColor            Code table of valid skin colors along with a literal description of each code
CTSex                  Code table containing the valid values for gender along with description of the gender
CTSMT                  Code table of valid Scars, Marks, and Tattoos (SMT) along with an English description of the
                       SMT
CTSMTDescription       Code table identifying the standard SMT description codes, which describe the SMT in more
                       detail; e.g., Fish or Flower (describing a tattoo)
CTState                Code table of valid state abbreviation codes
CTSystemsConstants     Code table of the maximum number of values to be stored in the CCH system databases for
                       certain fields
CTSystemOwner          Code table of valid CCH subsystem codes. Each code represents a subsystem (e.g., Agency,
                       CCH, etc.)
CTUserRejectMessages   Code table of the master list of reject messages that can be sent to an end user
CVNumbers              Table that contains the last value for the various unique numbers that must be maintained within
                       the system (e.g., PIDNumber, MPINumber, etc.)
FirstNameSoundex       Code table that defines the mapping between a coded first name and its associated group
                       number
LastNameSoundex        Code tables the defines the mapping between a code last name and its group number
NickName               Code table of nicknames and the "real" names with which they are associated
SSFirstNameScore       Code table that documents the score to assign uncoded first names
SSLastNameScore        Code table that documents the scores to assign uncoded last names
SSInitialScore         Code table that documents the scores for each possible middle initial
SSScoring              Code table of the default scores to assign to hits on search identifiers other than name and DOB




                                                         3-2                        CHRIS to CCH Data Conversion Plan
                                                                                   KY-UCJIS-0400-R00C01
                                                                                            May 10, 2002




3.2       Import
During the conversion process, data provided by the Commonwealth in the predefined transfer file
format will be loaded, through the SAIC-developed import program, into the SQL Server 2000 data
structure. The import program will include three major functions that will provide for:
      1. Data validation using agreed upon edit and/or business rules
      2. Reporting of invalid records or data fields
      3. The storing of data in the new CCH relational database format
When the import of the file(s) is complete, SAIC will provide a status of the import to the
Commonwealth’s CCH Project Manager.

3.3       Error Handling
If any data does not pass the agreed upon validation rules, KSP will need to be available for making
decision(s) regarding fields and/or records that are in error and, if required, making the data
corrections. SAIC will not automatically correct any record because of the legal constraints or issues
associated with modifying this data. Possible options are:
         KSP will correct records by hand in the IMS database and re-export the file for import
         KSP will choose not to import the record

3.4       Validation of Converted Data
After each conversion has been completed, identical random ad hoc queries will be conducted against
each database. The outputs from each database will be compared in order to verify the expected
results. Any unexpected results will be documented in the import status report that will be provided to
the Commonwealth’s CCH Project Manager. SAIC and the CCH Project Manager will analyze these
results to determine the best course of action.




                                                     3-3                 CHRIS to CCH Data Conversion Plan
                                                                                   KY-UCJIS-0400-R00C01
                                                                                            May 10, 2002




4.0      DATA CONVERSION MIGRATION
The data conversion process will occur in increments, including ten practice runs. When the final
practice run is complete, the data should have been scrubbed and imported cleanly, passing all
applicable edits, into the new CCH database.

4.1      Practice Conversions
There will be ten practice database conversions, requiring ten database exports and imports. Exhibit
4-1 illustrates a summary of these conversions.
                      Exhibit 4-1: Practice Database Conversion Summary Matrix
                                   Total Percentage of
           Conversion Number                             Location Site               System
                                    Offender Records
      Practice DB Conversion #1            1%              Kentucky         To Be Determined
      Practice DB Conversion #2           20%                SAIC           Test & Development
      Practice DB Conversion #3           50%                SAIC           Test & Development
      Practice DB Conversion #4          100%                SAIC           Test & Development
      Practice DB Conversion #5          100%                SAIC           Test & Development
      Practice DB Conversion #6          100%                SAIC           Test & Development
      Practice DB Conversion #7          100%                SAIC           Test & Development
      Practice DB Conversion #8          100%                SAIC           Test & Development
      Practice DB Conversion #9          100%                SAIC           Test & Development
      Practice DB Conversion #10         100%                 KY            Production

The initial practice conversion will be a small snapshot of the database, accounting for approximately
1 percent of the total number of offender records. The second practice conversion will include
approximately 20 percent of offender records and the third practice conversion will include
approximately 50 percent of offender records. The fourth through tenth practice conversions be
performed using an extract of the full database containing all CHRIS offender records the
Commonwealth wishes to convert. After SAIC execution of each practice database conversion, a
softcopy of the exception records and “passed over” records will be provided to the Commonwealth,
along with the converted data for review and approval.
The first practice conversion will be conducted on-site in Frankfort, Kentucky. SAIC will coordinate
with the Commonwealth to determine what hardware will be used for this first practice conversion.
The Commonwealth will provide the appropriate technical staff to assist in the conversion.
The tenth practice conversion will also be conducted on-site and will closely mimic the final critical
database conversion. This last practice conversion will be timed so that SAIC can provide the
Commonwealth’s CCH Project Manager information regarding the duration of the data conversion
process. SAIC will also aid in determining the downtime requirements during the deployment of the
new CCH system during system cutover.




                                                   4-1                   CHRIS to CCH Data Conversion Plan
                                                                              KY-UCJIS-0400-R00C01
                                                                                       May 10, 2002




4.2      Final Critical Database Conversion
The final critical database conversion will be performed in Kentucky on the production system and
will include all offender records in the CHRIS database that the Commonwealth wishes to convert.
The final critical conversion is expected to follow the same process as the practice conversions:
      1. Export data from CHRIS database
      2. Validate exported data
      3. Correct invalid, incorrect, or missing data
      4. Convert and import data into new CCH system
      5. Validate converted data
During the final, critical database conversion, the CHRIS database will be placed in a query-only
mode. In the query-only mode, queries may be submitted to the criminal history system, but updates
will not be accepted. This is to avoid the added complexity of having to reapply any updates to the
CCH database that may have been made to the CHRIS database while the conversion was in process.
The Commonwealth of Kentucky CHRIS to CCH Data Conversion Plan will be considered fully
executed once validation of the final, critical database conversion has been completed.




                                               4-2                  CHRIS to CCH Data Conversion Plan
                                                                                 KY-UCJIS-0400-R00C01
                                                                                          May 10, 2002




               Appendix A Acronyms and Abbreviations
ASCF ----------- Attempt or Solicitation or Conspiracy or Facilitation code
C## -------------- Document change number
CCDW ---------- Carry Concealed and Deadly Weapons
CCH ------------- Computerized Criminal History
CD --------------- Compact Disc
CHRIS ---------- Criminal History Records Information System
CT --------------- Code Table
GOT------------- Governor’s Office for Technology
IMS -------------- Information Management System
KSP-------------- Kentucky State Police
KY --------------- Kentucky
MPI-------------- Master People Index
ORI -------------- Originating Agency Identifier (nine-digit code used by agencies on the law
                   enforcement network)
PID -------------- Person Identification number
R## -------------- Document revision number
SAIC ------------ Science Applications International Corporation
SAS -------------- Strategic Alliance Services
SCIA ------------ Security Clearance Information Act of 1985
SMT ------------- Scars, Marks, and Tattoos
SQL ------------- Structured Query Language (database query language)
SS ---------------- Search Score
UCJIS----------- Unified Criminal Justice Information System




                                                  A-1                  CHRIS to CCH Data Conversion Plan

								
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