A proposal submitted by the Corrections Technology Association in
Cooperation with the Association of State Correctional Administrators to the
Bureau of Justice Assistance (Richard Ward, Acting Director)


Dr. Donald Price
Project Director
(CIO Washington State DOC)
Corrections Technology Association
406 Legion Way S.E.
Olympia, WA 98504
Fax: (360) 586-1333

                                     July 31, 2001

Corrections Technology Association                                       Page 1
                                     TABLE OF CONTENTS

I.      Statement of the Problem…………………………………………………………... 3

II.     Project Goals and Objectives………………………………………………………...5

III.    Project Strategy………………………………………………………………………7

IV.     Project Management Time Task Plan…………………………………………….…10

V.      Deliverables……………………………………………………………………….…11

VI.     Organizational Capacity……………………………………………………………..11

VII.    Project Budget Summary…………………………………………………………….12

VIII.   Budget Detail Worksheet…………………………………………………………….13

Corrections Technology Association                           Page 2
                              FOR CORRECTIONS

I.      Statement of Problem

Correctional agencies are seeking to develop an interoperable information network in which

information vital to public safety might be shared between correctional agencies and with other

criminal justice entities. Data exchange standards are essential to achieve this objective.

Departments of Corrections across the country gather, compile, analyze and use massive amounts

of data daily. Key common tasks include:

            Gathering personal background information on each offender

            Tracking offenders’ compliance with court-ordered conditions

            Obtaining information on past court proceedings

            Managing records of payment of financial charges,

            Intervention management, (e.g., sanctions, treatment resources, incentives),

             appropriate for each offender.

Department Administrators need to be able to quickly retrieve information that to help them

assess workloads, outcome measures, funding and expenditures, and a variety of other aggregate

information about their agency or divisions. Technology has evolved that allows all of these

processes to be performed electronically. However, few State Departments of Corrections have

kept pace with these technological developments or adopted standards that would allow easy

Corrections Technology Association                                                            Page 3
exchange of data. The proposed project will help bridge the gap by mapping the common

functions required by nearly all correction’s agencies. Major objectives to be achieved include:

            1. Identify a common set of functions used in Departments of Corrections, and their

        associated data elements

            2. Document data collection and exchange processes

            3. Identify, and extend as necessary, applicable data interchange standards.

            4. Develop consensus and support for these initiatives among the profession

The general strategy to be used emphasizes collaborative outreach to correctional agencies to

glean common standards used within the profession, and extend those standards where necessary.

The applicant for the project, the Corrections Technology Association, is uniquely able to

accomplish these objectives. The Mission of the Corrections Technology Association is to

provide an association of, and a forum for, technology executives serving the corrections field to

address challenges, promote information sharing, and advise on emerging technologies affecting

corrections agencies. Members include major correctional agencies such as California,

Massachusetts, and Georgia, and major NPO and corporate entities active in the field of

correctional technology. The proposed budget of $248,454 for this 12-month initiative will result

in a definition of common standards.

Corrections Technology Association                                                           Page 4
II.      Project Goals & Objectives

The Corrections Technology Association (CTA) proposes a project that will assist Departments

of Corrections to more easily share information and establish a means of evaluating proposed

software given a core of base functions. The major goal of the project is to define a set of

national common functions and standards for automated corrections management systems. The

organization proposes to conduct this project in partnership with the Association of State

Correctional Administrators (ASCA). The proposed project will build on the earlier efforts of

ASCA’s project to determine the availability and use of common data elements in state

correctional departments and the Federal Bureau of Prisons (Study performed by the Urban

Institute). ASCA is currently working on a study to develop measures of correctional

performance, as recommended by the Urban Institute report. That report further recommends

that correctional agencies need to structure their data systems to consistently collect data required

for such measurements more consistently to allow valid measurements to be made. The

objectives of this project, which complement the goals of the performance measures project of

ASCA, include:

          To identify a common set of functions used in Departments of Corrections

      information management systems, and their associated data elements,

          Document data collection and exchange processes,

          Identify, and extend as necessary, applicable data interchange standards,

          Develop consensus and support for these initiative among the profession

Corrections Technology Association                                                             Page 5
Major needs, goals and objectives for the project are summarized below:

Needs, goals and objectives:

Needs                                Goals                         Objectives

1. Need to define major              To survey the field to        The identification of a common

exchange points to facilitate        identify common               set of correctional functions and

exchange of information;             correctional information      their associated data elements

                                     exchange functions

2. Need to identify common           To define a set of national   To define appropriate standards

information exchange                 common functions and          and data collection processes

standards                            standards for corrections

                                     automated management


3. Need to coordinate                To build support for the      To build professional support for

activities and build support         initiative                    the process among correctional

within the profession for the                                      entities concerned with building

initiative                                                         common correctional standards

Corrections Technology Association                                                              Page 6
III.    Project Strategy

The proposed project will be modeled after the National Center for State Courts’ (NCSC) project

to benefit from their work in developing standards and functional requirements for case

management systems for courts. With Corrections Technology Association’s technical

knowledge and ASCA’s leadership and business knowledge of the correctional departments, a

partnership will increase the efficiency and effectiveness of the project. CTA’s primary role will

be to identify and document existing automated corrections management systems. It is proposed

that ASCA will facilitate cooperation of providing input from correction’s professionals

throughout the project. CTA will provide technical expertise by analyzing existing corrections

management specifications, drafting a document of standards and common functions, and

facilitating review teams to refine this document.

During the initial phase of the project an Executive Committee will be formed composed of CTA

and ASCA board members. The primary responsibilities of this committee will be to provide

project oversight, direction, approvals, and to acquire a Project Director. They will identify

correctional agencies that presently have automated information management systems for

performing the variety of functions for which their agencies are responsible. The Corrections

Technology Association will use their professional networking skills for this identification

process. The Project Director will contact key CTA members known to have corrections

information management systems and also will request referrals from them of other agencies

with such systems. Referrals of agencies will be requested from the respective Boards of

Directors and CTA Corporate Sponsors. Direct telephone calls will be made to these identified

Corrections Technology Association                                                               Page 7
agencies to query them about the components of their existing systems and to find out whether or

not they have written systems specifications.

As initial information is received, project staff will analyze it to accomplish two tasks. First, will

be to make a determination as to whether the material is applicable for the development of

standards and functional requirements for automated corrections information management

systems. The second task project staff will undertake is to review information gleaned from

these data gathering efforts and to solicit written specifications for automated information

management systems from to fifteen agencies identified as having exemplary systems.

Once these specification documents have been collected, the project consultant will analyze the

documents to distill the common elements that comprise the functional requirements and/or

standards for automated information management systems for corrections agencies. The focus

will be on identifying what the systems are expected to accomplish (outcomes) rather than how

they function (process). The goal of the project will be to generate a set of standards and

functional requirements that will help agencies determine what they want their automated

information management systems to do. Once completed, it will be up to the respective agencies

to assign their I.T. staff, or contract with a vendor, to develop the software that will perform

those tasks in their departments.

Through this analysis of specifications from agencies that already have automated information

management systems, the consultant will draft a document outlining recommended functional

and data interchange for automated corrections information management systems.

Corrections Technology Association                                                              Page 8
Two teams would be established. First, a team of approximately eight (8) technical staff will

evaluate and establish proposed standards. Second, a Common Functions Committee will

evaluate and establish a set of common functions and data sets. The Common Functions

Committee will be comprised of a mix of approximately fifteen (15) corrections case and

information systems managers, as well as, up to five software vendors. The teams will be

convened to review and refine the draft standards and functional requirements, respectively.

These meetings will be conducted by a consultant or by an ASCA staff member with experience

in facilitating teams. Between meetings, team members will be sent draft copies to review and

prepare independently prior to the next meeting.

After the teams have completed this thorough review and revision process, the draft standards

and functional requirements will be published for comment. These will be published on CTA &

ASCA’s Web sites, and members will be notified of their publication through broadcast e-mails

and faxes. Those who view the standards and functional requirements will be asked to comment

on them within a specified timeframe. These comments will then be analyzed, and, as

appropriate, changes will be made to establish our baseline common functions and standards

document. The final document/s will be finalized and published for dissemination to corrections

agencies. The final document/s will be available in three formats: downloadable Web page,

compact disk, and print copies. CTA & ASCA will announce the availability of the document in

a variety of ways, including broadcast e-mail and fax messages to its membership database,

publication of an announcement in appropriate journals, and through announcements at CTA’s &

ASCA’s conferences and other activities. Print and compact disk copies will be furnished upon

request as long as supplies are available.

Corrections Technology Association                                                           Page 9
IV.     Project Management Time Task Plan

The project’s principal investigator will be Dr. Donald Price. Coordination with ASCA will be

accomplished by George Camp, Executive Director, ASCA.

It is anticipated that the project will be completed twelve (12) months from award.

   Project Approval                                  O….N….D….J….F….M….A….M….J….J
   Executive Committee identified (1 wk)              -
   Common Functions Committee identified (1 wk) -
   Standards Committee identified (1 wk)               -
   Analyst/staff hired (6 wks)                        -------
   Identify agencies w/automated I.T. systems (4 wks)----
   Request information to be sent (4 wks)                       ----
   Analyze initial info/identify ones to be solicited ( 3 wks)         ---
   Solicit specifications from 10 to 15 “best of breed” (1 wk)               -
   Analyst review and draft common functions (6 wks)                             ------
   Analyst review and rough draft potential standards (2 wks)                             --
   Common functions team review and refines document ( 2 wks)                             --
   Standards team review and refines standards document (2 wks)                                --
   Analyst refines documents prepares reports (4 wks)                                               -----
   Committees review reports (2 wks)                                                                        --
   Presentation at CTA Annual Conference                                                                         --
   Executive Committee review and approves reports (1 wk )                                                            -
   Prepare final documents (4 wks)                                                                                        ----

Corrections Technology Association                                                                                     Page 10
V.      Deliverables:

The project promises useful deliverables in a critical area for both corrections and criminal

justice information technology interoperability: Some of the major deliverables anticipated

through this effort include:

            1) A white paper suggesting findings from out-reach activities related to common


            2) A report on common information exchange standards

            3) Consensus building related to particular standards

            4) A model of cooperation among corrections agencies related to the standards


            5) Presentation through CTA conference and through Web-Site

VI.     Organizational Capacity and Project Management

The Mission of the Corrections Technology Association is to provide an association of

and a forum for technology executives serving the corrections field to address challenges,

promote information sharing, and advise on emerging technologies affecting corrections.

Members include Member Department of Correction's Chief Information Officers for

most of the states. CTA proposes to conduct this project in cooperation with the

Association of State Correctional Administrators (ASCA). The project will build on the

earlier ASCA initiated efforts to determine the availability and use of common data

elements in state correctional departments and the Federal Bureau of Prisons. The funds

for this project will be housed in ASCA and disbursed by ASCA. ASCA will prepare all

appropriate federal fund reports.

Corrections Technology Association                                                              Page 11
VII.    Project Budget Summary

        CTA anticipates this project will be completed within twelve months. However, to do so,

the workload for project staff and consultants will be intensive. Therefore, it is estimated that

$236,154 will be required to cover the cost of personnel and benefits, supplies and services, staff

and committee travel, desktop publishing and printing, Web page development, and indirect


A. Personnel                                  $ 75,000
B. Fringe                                     $ 20,250
C. Staff Travel                               $ 18,900
D. Equipment                                  $   5,000
E. Supplies                                   $ 12,000
F. Contracts                                  $ 20,000
G. Committee travel                           $ 54,600
H. Other                                      $ 12,000
I. Indirect Costs                             $ 18,404
                                 TOTAL        $236,154

Corrections Technology Association                                                           Page 12
VIII.   Budget Detail Worksheet

A. Personnel – These the positions will manage and carry out the analysis and support activities for the

Name/Position                              Computation                                              Cost
Project Manager                            25% of   $80,000                                      $ 20,000
Information analyst                        50% of   $70,000                                      $ 35,000
Contract support Staff (2)                 25% of   $40,000                                      $ 20,000

                                                                                  TOTAL          $ 75,000

B. Fringe – This covers the health, vacation and related benefits for the personnel.

Name/Position                              Computation                                               Cost

27%     Covers health, vacation, retirement and related benefits
                                                                                  TOTAL          $ 14,850

C. Travel – This travel would be for the meetings held with the subject experts and the executive Board.

Purpose of Travel          Location         Item                   Computation                        Cost
Project Manager                             9 mtgs, 2 days ea      ($700x9)                      $    6,300
Analyst                                     9 mtgs, 2 days ea      ($700x9)                      $    6,300
Support Staff (1)                           9 mtgs, 2 days ea      ($700x9)                      $    6,300

                                                                                 TOTAL               $18,900

D. Equipment – Funding for 1 laptop computer and software needed to do analysis, data capture and notes
for the project.

Item                                       Computation                                                 Cost

Computer and related software                                                                     $ 5,000

                                                                                 TOTAL               $ 5,000

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E. Supplies- Covers telephone, postage for mailings, and necessary paper and supplies for
   the staff.
Supply Items                               Computation                                    Cost

Office supplies, postage, printing, telephone                                           $ 12,000

                                                                      TOTAL             $ 12,000

F. Contracts- These are contracts that would be initiated to perform a national survey and to
   develop/update web page information related to the project
Items                                      Computation                                    Cost

Conduct Survey                              Contract                                    $ 10,000
Web Page development                        Contract                                    $ 10,000
                                                         TOTAL                          $ 20,000

F. Travel- This expense is for travel to the three meetings that will be held for the various
committees participating in the project.
Items                                      Computation                                    Cost

Executive Committee (8 people)            3 mtgs, 2 days ea ($700x8x3)                  $ 16,800
Common Functions Cmte (10 people)         3 mtgs, 2 days ea ($700x10x3)                 $ 21,000
Standards Committee (8 people)            3 mtgs, 2 days ea ($700x8x3)                  $ 16,800
Travel estimated using standard Federal government fares and per diem rates
                                                                          TOTAL         $ 54,600

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G. Other- Project office will require 360 square feet and may be located at the ASCA
headquarters (not confirmed at this time).
Items                                    Computation                                Cost

Office Space for CTA for project use @ $1,000 month
                                                                 TOTAL            $12,000

TOTAL DIRECT COSTS:                                                   $230,050

I. Indirect Costs- These costs are to reimburse ASCA for managing and disbursing the funds
for this project.
Items                                    Computation                                Cost

Overhead rate will cover infrastructure, base equipment and
other indirect costs for ASCA @ 8%
                                                                 TOTAL            $ 18,404

TOTAL INDIRECT COSTS:                                                  $ 18,404

PROJECT TOTAL                                                               $ 236,154

Corrections Technology Association                                     Page 15

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