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Mi-DEx Participation Guide January 2010 Law Enforcement Michigan Data Exchange A Joint Information Sharing Initiative Participation Guide

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  • Mi-DEx Participation Guide January 2010

    Law Enforcement Michigan Data Exchange

    A Joint Information Sharing Initiative

    Participation Guide

  • Table of Contents

    What is Mi-DEx?......................................................................................................................................... 1

    Mi-DEx Mission .......................................................................................................................................... 2

    Mi-DEx Vision ............................................................................................................................................. 2

    Mi-DEx Participation Information Checklist........................................................................................ 3

    Attachment A: Data Exchange Agreement ........................................................................................ 7

    Attachment B: Data Submission Guide ............................................................................................ 15

    Note: For more information and links to relevant web sites go to www.mi-dex.org.

  • Mi-DEx Participation Guide January 2010

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    What is Mi-DEx?

    Mi-DEx is the Michigan initiative for jointly sharing law enforcement information. The

    Michigan State Police, Michigan Association of Chiefs of Police, and the Michigan Sheriffs’

    Association endorse the concept of electronically sharing information that is beneficial to law

    enforcement investigations, such as incident reports and jail management data. Together, they

    have created the Mi-DEx initiative to further this goal.

    Mi-DEx will build on the efforts of those agencies that have taken the lead in creating on-line

    information sharing collaboratives across the state. There are many of these collaboratives

    including the Western Michigan project Ignite and the Saginaw Bay area ARMS system. Mi-DEx

    is the “glue” that ties these collaboratives together into a state-wide information sharing system.

    Mi-DEx will provide a means whereby Michigan agency data can be forwarded for inclusion in the

    N-DEx system. Further, it will make it possible to share information nation-wide through N-DEx.

    N-DEx, created by the FBI, is already functional with many states and localities participating.

    It provides crime mapping and analytical capability for crime solving and investigation. Agencies

    can access N-DEx through their LEO (law enforcement on-line) account. Access to N-DEx is free

    of charge. Go to http://www.fbi.gov/hq/cjisd/ndex/ndex_home.htm for more information.

    The Mi-DEx interface with N-DEx does not require that Michigan store information at the state

    level. Mi-DEx will simply consolidate information for passing on to N-DEx in a single nightly feed.

    The state is simply a pass-through. Each agency chooses which information it wants to submit.

    An entire Michigan information sharing collaborative can choose to submit their data collectively

    to Mi-DEx, or a single agency can contribute data on its own.

    Unlike Michigan’s Mi-DEx, N-DEx is a central repository of incident, arrest and other data.

    Agencies choose the type and amount of data they wish to contribute. The data they include in

    the Mi-DEx interface will be passed through to N-DEx. Agencies should only send data that is

    categorized as “green” or non-secure incident and arrest data. All law enforcement nationwide

    that have access to N-DEx will be able to access this data as part of any N-DEx crime analysis or

    mapping inquiry.

    The State, as the data submitter to N-DEx, has signed a Memorandum of Understanding with

  • Mi-DEx Participation Guide January 2010

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    N-DEx agreeing to abide by common use and dissemination principles. All agencies that choose

    to participate in Mi-DEx will be required to sign a Mi-DEx MOU. The Mi-DEx MOU is based on the

    N-DEx MOU’s common use and dissemination principles. Execution of the Mi-DEx MOU by all

    participating agencies will ensure agreement between Mi-DEx participants and preserve the

    integrity of the system. The Mi-DEx MOU is included as Attachment A in this document.

    Mi-DEx Mission

    The Mi-DEx mission is to provide law enforcement agencies with powerful investigative tools

    to search, link, analyze, and share criminal justice information such as incident/case report

    information, booking and incarceration data, and parole/probation data on a local, statewide and

    national basis as part of the Joint Information Sharing Initiative.

    Mi-DEx Vision The vision of Mi-DEx is to share complete, accurate, timely, and useful criminal justice

    information across jurisdictional boundaries and to provide new investigative tools that enhance

    the ability of Michigan law enforcement and criminal justice agencies to fight crime and terrorism.

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    Mi-DEx Participation Information Checklist

    1. Research and determine your agency’s needs. Does your agency have a way to

    electronically share law enforcement records information with other agencies? Does your

    agency’s records management vendor provide a way to access other Michigan agencies’

    data? Is your agency participating in the National Data Exchange? If not, identify the

    benefits your agency would realize by participating in the information sharing initiative

    and gain commitment to move toward record sharing.

    2. Determine your agency’s connection options and corresponding cost of

    implementation. Talk to your agency’s records management vendor about participating

    in Mi-DEx. Some vendors are already tying their clients’ records management

    information together. In this case, your vendor may provide a way to feed this

    information through Mi-DEx to N-DEx. Your agency can then access information from

    other agencies not part of your vendor’s system through N-DEx.

    If your agency’s vendor does not have a way to consolidate information from its records

    management clientele, you can speak to them about creating a vendor feed for its

    customers so your agency can participate in information sharing on a statewide and

    national level. Or, you could speak to your agency’s vendor about extracting only your

    own agency’s data for submission to Mi-DEx. If you have an in-house developed records

    management system, or your vendor is not interested in providing this service, you can

    develop your own data extract or hire someone else to do so.

    Technical information on how to extract records management information for submission

    to Mi-DEx and then to N-DEx is provided in later steps.

    The cost of implementation varies in nature depending on an agency’s needs and an

    agency’s vendor; therefore this cost shall be the responsibility of each individual agency.

  • Mi-DEx Participation Guide January 2010

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    3. Conduct a Privacy Impact Assessment (PIA). Once the head of your agency has

    made the determination to share data, it is highly recommended your agency perform a

    privacy impact assessment (PIA). It is a crucial first step in successful privacy policy

    development. This assessment will guide you in thinking about the purpose, collection,

    quality, use (sharing and/or divulging), and security safeguards for data along with your

    agency’s existing policies regarding access, individual participation and accountability

    that are in place for your system. The PIA will ensure that personal and confidential

    information entrusted to an agency is protected to the highest degree possible. To

    download a PIA template go to http://www.it.ojp.gov/index.jsp. Choose Policy and

    Practice, then under Site Tools choose Document Library, choose Policy, then scroll

    down and select Guide to Conducting Privacy Impact Assessments: Privacy Impact

    Assessment Template (dated Nov 03, 2009).

    4. Sign the Mi-DEx Memorandum of Understanding. It enables all agencies to share

    information in a consistent manner, identifying standard protocols for data ownership, use

    and dissemination. This MOU provides the framework for information sharing in

    Michigan and through N-DEx. Whether you simply wish to participate across regional

    collaboratives or your agency is planning on submitting data to N-DEx, agencies must

    sign the Mi-DEx MOU. This is found in Attachment A.

    The MI-DEx MOU also provides a place to indicate if your agency wishes to participate in

    N-DEx. A checkbox is provided for your use just before the signature section.

    5. Develop a Privacy Policy. Although the Mi-DEx MOU provides information on how

    privacy is maintained, your agency may wish to develop its own privacy policy to further

    ensure privacy and civil liberties are protected. A privacy policy checklist to guide your

    agency is provided by the United States Department of Justice (USDOJ), at

    http://www.it.ojp.gov/documents/privacy_policy_checklist.pdf.

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    6. Decide on the data to be shared in Mi-DEx and N-DEx. Your agency will need to

    review its records management system’s method for securing data. Each records

    management system generally has its own way of placing security on entire incidents or

    specific data elements within an incident. There are usually categories of incidents, such

    as Level 1 being available for all to see up to a Level 5 being reserved for internal

    investigations and restricted to only certain viewers. Generally the creator of the record

    places the security level on that incident. Your agency must determine which security

    level data within your own system you would like to submit to N-DEx. For more secure

    data, N-DEx has a method of providing a contact person (pointer) when there is a “hit”,

    rather than divulging the sensitive record itself.

    7. Perform the data extract for N-DEx. Ask your agency’s technical experts to create the

    data extract from your agency’s records management system and according to the

    decisions your agency has made on the type of information it is willing to share. The

    extract will be done as an Information Exchange Package (IEP). The IEP submitted will

    be in conformance with the Mi-DEx Information Exchange Package Documentation

    (IEPD). The documentation details the method and standard elements used to create the

    IEP. The Mi-DEx IEPD is based on the N-DEx IEPD which makes maximum use of

    National Information Exchange Model (NIEM) and Law Enforcement Exchange (LEXS)

    standards in XML. Your agency’s records management system vendor will be aware of

    these established standards. Each incident report’s data elements are translated from

    the record management system’s proprietary format into the standard XML elements and

    structure detailed in the IEPD. Each XML document is an IEP. The XML documents will

    be submitted to Mi-DEx. The method for submission is detailed in the Mi-DEx Data

    Submission Guide included in this document as Attachment B. Guidance from a

    member of the Mi-DEx team is available to assist in this endeavor and will need to test

    the extract prior to submission. Contact Wendy Easterbrook (MSP) at (517) 322-5520 to

    obtain a copy of the Mi-DEx IEPD and for guidance.

  • Mi-DEx Participation Guide January 2010

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    8. Identify agency personnel who will use Mi-DEx / N-DEx tools. Identify personnel

    within your agency that you will entrust to access confidential data for investigative

    purposes.

    9. Train agency personnel. Whether participating in Mi-DEx or N-DEx, it is each individual

    agency’s responsibility to train its personnel in the proper use and dissemination of

    shared data. These “rules” are found in the Mi-DEx MOU and N-DEx MOU as well as

    your agency’s privacy policy (if available).

    10. Provide LEO access to N-DEx for agency personnel. Each member of your agency

    who will access N-DEx needs to complete a LEO application form. This is found at

    http://www.leo.gov/. Scroll to the middle of the home page to find the LEO application

    link. Also, on the LEO home page near the bottom is a link to the N-DEx application form.

    This form will need to be faxed to the FBI who will approve N-DEx access as per the form

    instructions. Once the FBI approves the N-DEx application, it is then forwarded to the

    state CJIS System Officer (CSO).

    11. Keep an audit log. The use of N-DEx is governed through the FBI and the state CSO.

    Both are required to ensure the system is used for only legitimate law enforcement

    purposes.

    12. Guidance. There is a member of the Mi-DEx team available for guidance. Please see

    below.

    Ms. Wendy Easterbrook (MSP)

    Office Phone: (517) 322-5520

    Office E-mail: [email protected]

  • Mi-DEx Participation Guide January 2010

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    Attachment A: Data Exchange Agreement

  • Mi-DEx Participation Guide January 2010

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    DATA EXCHANGE AGREEMENT BETWEEN

    _____________________________ PARTICIPATING IN THE

    MICHIGAN DATA EXCHANGE INFORMATION SHARING PROJECT (MI-DEx)

    A. Purpose

    1. This Data Exchange Agreement (Agreement) is entered into by _________________ participating in the Michigan Data Exchange (Mi-DEx). The purpose of this Agreement is to set forth the policies and procedures for the use of Mi-DEx by the participating agencies, including the maintenance and the responsibility for the information contributed to Mi-DEx. Mi-DEx is a scalable information sharing system. Mi-DEx, with information contributed by state, local and tribal law enforcement and criminal justice agencies, will provide the capability to make potential linkages between law enforcement information contained in crime incidents, criminal investigations, arrests, bookings, incarcerations, parole and/or probation reports in order to help solve, deter, and prevent crimes, and thereby improve public safety and homeland security.

    2. The law enforcement and criminal justice information contributed and/or

    exchanged with Mi-DEx will contain personally identifiable information (names, social security numbers, addresses, etc.), as well as non-identifying descriptive data (location of offense, type of weapon involved, etc.), about crime incidents and investigations.

    3. The incident, offense, and/or case reports, arrest, booking, incarceration, and

    probation and parole information made available to Mi-DEx will provide the full criminal justice cycle of information. Mi-DEx will have the capability to correlate names, addresses, telephone numbers, offense locations, and other crime descriptors contained in these reports to identify potential linkages. The various reports made available by criminal justice and law enforcement agencies will conform and be compliant with the agency’s guidelines, policies and practices.

    4. Agencies may choose to utilize a query capability that will allow linkage with

    similar names, addresses, crime descriptions and similar information.

    5. Utilizing Mi-DEx capabilities to further law enforcement activities will advance public safety, security and enhance homeland security and counterterrorism efforts. The resulting enhancements and capabilities will reinforce the incentive for participation and contributions, thereby maximizing the information available.

    B. Mission/Vision

    1. The Mi-DEx Mission is to provide a powerful investigative tool to search, link, analyze, and share criminal justice information such as incident/case report information, book and incarceration data, and parole/probation data on a local, statewide and national basis.

    2. The vision of Mi-DEx is to share complete, accurate, timely, and useful criminal

    justice information statewide and to provide new investigative tools that enhance the ability of Michigan law enforcement and criminal justice agencies to fight crime and terrorism.

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    C. Concept

    The Mi-DEx program is an index of federated criminal justice information. It is a cooperative endeavor of state, local and tribal law enforcement and criminal justice agencies, in which each is participating under its own individual legal status, jurisdiction and authorities. All Mi-DEx operations will be based upon the legal status, jurisdiction, and authorities of individual participants. Mi-DEx is not intended, and shall not be deemed, to have any independent legal status.

    D. Parties

    The parties to this Agreement are legally authorized state, local and tribal law enforcement and criminal justice agencies.

    E. Ownership, Entry, and Maintenance of Information

    1. Each party retains sole responsibility and exclusive control and disposition over the content of the information it contributes or allows access to, and may, at will, at any time update or correct any of its information, delete it from the system, or no longer use Mi-DEx for exchange of its information. All system entries will be identifiable to the contributing agency or collaborative. The content of information remains the sole responsibility of the contributing agency or collaborative and is under that agency’s or collaborative’s exclusive control and contributed under an express promise of confidentiality.

    2. Each agency will retain sole responsibility and control over the content of the

    information it exposes to the Mi-DEx system. Each participating agency will have an obligation to maintain “system discipline, “or to maintain timely, accurate, complete, and relevant information. In an effort to maintain system discipline, agencies shall provide any updates or changes to the original information on at least a monthly basis. Updates and changes are encouraged as often as feasible.

    3. The contributing agency has the sole responsibility and accountability for

    ensuring that information made available through Mi-DEx was not obtained in violation of any state, local, tribal, or federal law applicable to the contributing agency. Information must be pertinent to and within the scope of the functions of the agency and meet Mi-DEx security standards.

    4. Because information contributed to Mi-DEx will be information obtained and

    managed by the contributing agency within its own record system(s) and for which the contributing agency is solely responsible and accountable, information shall not be altered or changed in any way except by the contributing agency. The contributing agency should not make any changes to the information it contributes that are not mirrored within the contributing agency’s source records.

    5. Commercially available references, public source information, and software

    applications, such as commercial directories, census data, mapping applications, and analytical applications are considered to be non-record material and should be maintained in accordance with applicable contracts and/or licensing agreements. To the extent that any such information is relevant and appropriate for preservation as independent records, it will be the responsibility of the accessing agency to incorporate such information as records of the accessing agency in the agency’s own official records system(s) in accordance with that agency’s records management processes and any applicable contract or licensing Agreement.

  • Mi-DEx Participation Guide January 2010

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    6. The Mi-DEx system will thus only access information derived from each

    contributing agency’s own records. The system is not in any manner a repository of original records or to be used as a substitute for one, nor is the information contributed to the system to be accorded any independent record status. Rather, this system is merely an application to facilitate the sharing of certain information that may be contributed from pre-existing records systems of the agencies and to make correlations with such information.

    7. Any agency sharing data via Mi-DEx retains responsibility for the technology or

    system design associated with their system. It has the sole responsibility and accountability for ensuring that it is not constrained from sharing information for authorized purposes by any laws, regulations, policies, and procedures applicable to the submitting agency, and making reasonable efforts to ensure the accuracy upon entry, and continuing accuracy thereafter, of any information contributed.

    F. Access to and Disclosure and Use of Information

    1. All disclosures of records from the Mi-DEx system must be in accordance with applicable laws, including the Freedom of Information Act. Requests for records obtained via Mi-DEx submitted under the Freedom of Information Act shall be referred to the originating agency.

    2. Each agency shall contribute or allow access to information via Mi-DEx and

    agrees to permit the access, dissemination, and/or use of such information by every other agency under the provisions of this Agreement. The contributing and/or sharing agency has the sole responsibility and accountability for ensuring that is not constrained from permitting this by any laws, regulations, policies, and procedures applicable to the submitting agency.

    3. An agency may only access the Mi-DEx system when it has a legitimate need-to-

    know the information for an authorized law enforcement, criminal justice, counterterrorism, public safety, homeland security and/or national security purpose, after receiving appropriate training and/or any necessary certification(s) (e.g. LEIN, NCIC, III). Specifically, the system may be used to develop criminal investigations and local crime trends, verify links between criminals in the community, and other law enforcement and criminal justice purposes. The system may be used for general licensing and employment purposes, background investigations of state, local, or federal employees, or any other non-law enforcement purpose. Please note: The N-DEx system cannot be used for general licensing and employment purposes, background investigations of state, local, or federal employees, or any other non-law enforcement purpose.

    4. The information in the Mi-DEx system shall not be used to establish or verify the

    eligibility of, or continuing compliance with statutory and regulatory requirements by, applications for, recipients or beneficiaries of, participants in, or providers of services with respect to, cash or in-kind assistance or payments under federal benefit programs, or to recoup payments or delinquent debts under such federal benefit programs, unless for a purpose identified in this Agreement.

    5. All monitoring of successful and unsuccessful Mi-DEx logon attempts, file access, correlations, type of transaction, and password changes will be established and maintained by the Mi-DEx system, regardless of access means. All audit trail files shall be protected to prevent unauthorized changes or

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    destruction. No additional requirements are being imposed by the Mi-DEx upon participating agencies.

    6. Information contributed to the system, including any analytical products, may be

    disseminated subject to the following requirements:

    a. Hard or electronic copies of investigative reports made available through the system may not be provided to a participating or nonparticipating agency without the approval of the contributing/sharing agency.

    b. Crime analysis, crime trend, or summary information obtained via the

    system, excluding personal identifying information, may be shared with a non-participating entity.

    c. Immediate dissemination of information can be made if the recipient of

    the information determines that an emergency involving an actual or potential threat of terrorism, immediate danger of death or serious physical injury to any person, or imminent harm to the national security requires dissemination without delay. The owner of the information shall be promptly notified of all disseminations made under this exception.

    G. Security

    1. Each agency will be responsible for designating those employees who should have access to the Mi-DEx system. This system has been developed with the capability to record each use of the system, including the identity of the individual accessing the system, time of access to the system, and the information entered and/or queried. This system was developed with privacy and security in mind, and each participating member should ensure that access to system information is on a strictly need-to-know basis, and that all information is treated as law enforcement sensitive.

    2. Each agency agrees to use the same degree of care in protecting information

    accessed through Mi-DEx, pursuant to this Agreement, as it exercises in respect of its own sensitive information. Each agency agrees to restrict access to such information to only those of it’s (and its governmental superiors) officers, employees, detailees, agents, representatives, task force members, contractors/subcontractors, consultants, or advisors with a “need-to-know” of such information.

    3. Each agency is responsible for training those employees authorized to access

    the Mi-DEx system regarding the use and dissemination of information obtained from the system. Specifically, employees should have a clear understanding of the need to verify the information with the contributing agency prior to using the information for purposes such as obtaining search and arrest warrants, affidavits, subpoenas, etc. Agencies should also fully brief accessing employees regarding the proscriptions for using third party information as described in this Agreement.

    H. Property

    1. The equipment purchased by the participating agencies to participate in this effort will remain the property of the participating agency.

    2. The accessing agency is responsible for configuring its computers to conform to

    the access requirements. Maintenance of the equipment purchased by the accessing agency shall be the responsibility of the agency.

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    I. Costs

    Unless otherwise provided herein, or in a supplementary writing, each agency shall bear its own costs in relation to this Agreement. Even where an agency has verbally agreed (or later does agree) to assume a particular financial responsibility, the agency’s express written approval must be obtained before another agency incurs an expense associated with the Agreement. All obligations of and expenditures by the agencies will be subject to their respective budgetary and fiscal processes and availability of funds pursuant to all laws, regulations, and policies applicable thereto. The agencies acknowledge that there is no intimation, promise, or guarantee that funds will be available in future years.

    J. Liability

    1. The Mi-DEx system is not a separate legal entity capable of maintaining an employer-employee relationship, and, as such, all personnel assigned by a party to perform Mi-DEx related functions shall not be considered employees of the Mi-DEx or of any other agency for any purpose. The assigning agency thus remains solely responsible for supervision, work schedules, performance appraisals, compensation, overtime, vacations, retirement, expenses, disability, and all other employment-related benefits incident to assignment of its personnel to the Mi-DEx functions.

    2. Unless specifically addressed by the terms of this Agreement (or other written

    agreement), the agencies agree to only be responsible for the negligent or wrongful acts or omissions of their respective officers and employees, but only to the extent they would be liable under the laws of the jurisdiction(s) to which they are subject.

    K. Governance

    1. The agencies recognize that the success of this project requires close cooperation by all participants

    2. Disagreements among the agencies arising under or relating to this Agreement

    shall be resolved only via consultation at the lowest practicable level by and between the affected participants and their sponsoring agencies (or as otherwise may be provided under any separate governance procedures) and will not be referred to any court, person, or entity for settlement.

    3. Evidence of an agency’s failure to abide by this Agreement may be shared with

    other participating agencies. L. No Rights in Non-Parties

    This Agreement is an agreement among the agencies and is not intended, and should not be construed, to create or confer on any other person or entity any right or benefit, substantive or procedural, enforceable at law or otherwise against any party or any state, locality, or other sponsor under whose auspices an agency is participating in the Mi-DEx program, or the officers, directors, employees, detailees, agents, representatives, task force members, contractors, consultants, advisors, successors, assignees, or other agencies thereof.

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    M. Effective Date/Duration/Modification/Termination

    1. This Agreement shall become effective when a duly authorized representative of the participating agency signs the document and transmits the signed Agreement for filing.

    2. This Agreement shall continue in force indefinitely for so long as it continues to

    advance the participants’ mission purposes, contingent upon approval and availability of necessary funding.

    3. This Agreement may be modified upon the mutual written consent of all

    agencies. However, the agencies may, without the need of formal agreement modification, cooperatively address and resolve administrative, technical and operational details related to this Agreement, provided that any such resolution; does not conflict with the spirit, intent, or provisions of this Agreement; could not reasonably be viewed as particularly sensitive, controversial or objectionable by one or more of the participating agencies, and is sufficiently memorialized to meet the business purposes of Mi-DEx.

    4. An agency’s duly authorized representative may terminate the agency’s

    participation in this Agreement upon written notice to the other agencies of not less than thirty (30) days. .

    5. By January 1, 2012, and annually thereafter, this Agreement will be reviewed to

    ensure continued relevance and applicability. Agencies who wish to continue to participate will be required to execute the updated Agreement

    6. As to information contributed via the MI-DEx during an agency’s participation

    under this Agreement, the rights, obligations, responsibilities, limitations and other understandings with respect to the disclosure and use of such information shall survive any termination. This applies both as to a terminating agency’s disclosure and use of the other agency’s information, and to the other agency’s disclosure and use of a terminating agency’s information.

    N. Point of Contact

    Each agency shall designate an individual as the agency’s point-of-contact (POC) for representing the agency in regard to this Agreement. An agency may change its POC at any time upon providing written notification to the POC’s of all other participating agencies.

    The following person(s) shall be designated as the point of contact (POC): Name: ______________________________ Address: ______________________________ Phone: ______________________________ E-Mail: ______________________________

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    O. Participation in N-DEx

    In addition to participating in the Michigan Data Exchange, (Mi-DEX), this

    agency also desires to participate in the National Data Exchange (N-DEx). By checking this box, this agency agrees to abide by N-DEx policies and protocols.

    P. Signatories

    The below listed party has executed this Agreement by the signature of the duly authorized representative on the date indicated. A photocopy or faxed signature is as valid as the original.

    AGENCY: ____________________________________

    Signature: ____________________________________

    Printed Name: ____________________________________

    Title: ____________________________________

    Date: ____________________________________

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    Attachment B: Data Submission Guide

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    State of Michigan Michigan Data Exchange

    Law Enforcement Michigan Data Exchange

    Data Submission Guide For Law Enforcement Agencies

    Mi-DEx PROGRAM OFFICE January, 2010

  • Mi-DEx Participation Guide January 2010

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    1. Document Purpose The purpose of this document is to provide Law Enforcement Agencies (LEAs) and/or their records management vendors with an informational overview on submitting data to the Mi-DEx. This document is intended to supplement guidance through your regional coordinator, serving as a roadmap for contributing data to N-DEx through Mi-DEx. The intended audience for this document is agency officials and their technical personnel.

    2. Data Submission

    1.1 Prerequisites for Data Submission The following prerequisites must be in place in order for Mi-DEx to accept your data:

    1. Agency of vendor must have a Data Exchange Gateway (DEG) mailbox with assigned user id and password. Many agencies already have access to the DEG for submission of MICR data. If you need a DEG mailbox, contact the Mi-DEx Data Submission Coordinator: Wendy Easterbrook at 517-322-5520 or via email at [email protected]

    2. Data files have passed a structural verification and content review and validation to the Mi-DEx XML schema. For assistance and/or further explanation, contact the Mi-DEx Data Submission Coordinator.

    3. XML file names adhere to the following naming convention:

    a. AAAAAAAAA_YYYYMMDD_HHMM_NNNN.xml, where AAAAAAAAA is the Data Submitter Agency ORI, YYYYMMDD is the 4-digit year, 2-digit month, and 2-digit day, HHMM is the 2-digit hour (24 hour clock) and 2-digit minute, and NNNN is a 4-digit sequence number. The date and time in the file name should be the creation date and time of the xml file. The sequence number is used to guarantee unique file names. The LEA System is responsible for making sure the files are named uniquely. A sample filename for second file created by a Data Submitter Agency with ORI ‘MI7371800’ at 1:02 pm on November 9, 2009 is ‘MI7371800_20091109_1302_0002.xml’.

    4. XML File Size NOTE: .xml file = XML Document Instance XML Document sizing recommendations

    a. 1,000 package maximum in a single XML Document Instance (for i.e. MI7371800_20091109_1302_0001.xml)

    b. 70 MB maximum file size for a single XML Document Instance c. 12 Total attachments inside a single XML Document Instance (for i.e. if I

    have an .xml file, with 1 or 1000 packages, I can only have a maximum of 12 attachments in the file)

    d. An Xml Document should only contain packages for one LEA ORI. Vendors who provide a Mi-DEx interface for multiple agencies should

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    create one (or more if needed) XML Document Instance for each different ORI / agency.

    e. An XML Document Instance can contain only one message. A message can have up to 2000 packages (a package generally is equated to one incident report).

    5. Zip file name must adhere to the following naming conventions: a. AAAAAAAAA_YYYYMMDD_HHMM_NNNN.zip where

    AAAAAAAAA is the Data Submitter Agency ORI, or Vendor, or System name. YYYYMMDD is the 4-digit year, 2-digit month, and 2-digit day, HHMM is the 2-digit hour (24 hour clock) and 2-digit minute, and NNNN is a 4-digit sequence number. The date and time in the file name should be the creation date and time of the zip file. The sequence number is used to guarantee unique file names. The LEA System is responsible for making sure the files are named uniquely. A sample filename for the first compressed file created by a vendor with a mailbox on the DEG named ARMS, at 1:03 pm on November 9, 2009 is ‘ARMS_20091109_1303_0001.zip’.

    b. The first node of the compressed file name is used by Mi-DEx to deliver error reports and confirmations back to the sender’s mailbox at the Data Exchange Gateway.

    6. Zip file sizes for batch ingest

    a. see prerequisite XML Document Instance constraints above b. Maximum of 20,000 .xml files in a single .zip file. Each XML Document

    Instance (file) would only have a single message but can contain multiple packages (up to 2000 as stated above)

    c. 80 MB maximum file size for a single .zip file

    7. Submit the zip file to the DEG by one of three methods:

    a. Command line SFTP or SSLFTP b. Utilizing a SFTP or SSLFTP software client c. Via logging in to the DEG website and uploading the file

    The IP address needed for a. and b. is: 136.181.135.38. The port for SFTP is 2222 and the port for SSLFTP is 11250 and data port 11200-11240, Authenticating with your provided DEG user id and password will place you in your DEG mailbox. The destination mailbox must be MIDEX. Following is an example of an SFTP or SSLFTP put statement:

    put ARMS_20091109_1303_0001.zip ARMS_20091109_1303_0001.zip@MIDEX

    Contact the Mi-DEx Data Submission Coordinator for further assistance.

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    Page 19 of 21

    8. If the file(s) submitted do not load into N-DEx successfully, the submitting agency will be contacted by the Mi-DEx Data Submission Coordinator within five business days.

    9. A sharing policy must be determined before submission of the data. The sharing policy choices are

    “Agency Supplied” or “Mi-DEx Assigned”. For more information concerning sharing policies, please refer to the “Sharing Policy Overview and Options” section within this manual.

    3. Initial Legacy Data Submission Mi-DEx is gathering historical data from partnering agencies in order to correlate and resolve information from incident reports in this timeframe. Due to its large nature, your initial dataset should be loaded onto an external media device (CD, DVD, external hard drive, or thumb drive) for manual submission to Mi-DEx. The external media device should be sent via Federal Express to the Mi-DEx coordinator. Once your initial legacy data set has been transformed and loaded into the N-DEx system, routine data submissions can be sent to Mi-DEx via the DEG. Note: This is a living document and will be updated when changes are warranted.

    Table of ContentsWhat is Mi-DEx?Mi-DEx MissionMi-DEx VisionParticipation ChecklistAttachment A: Data Exchange AgreementAttachment B: Data Submission Guide