2015 NAJIS Conference

Becki Goggins, Director of Law and Policy

SEARCH, the National Consortium for Justice Information and Statistics

Richard Fiore, ASSURE Project Sponsor, State of Alabama

Facilitator: Debbie Allen, Criminal Justice Planner, Adams County, CO, Criminal Justice Coordinating Committee

TO INFINITY AND BEYOND? STRETCHING THE BOUNDARIES

OF JUSTICE INFORMATION SHARING

Justice Portal

Law Enforcement

Jails

Corrections

Courts Drivers’ License

Vehicle Registration

Probation and Parole

TRADITIONAL APPROACHES TO JUSTICE INFORMATION SHARING

Focused almost exclusively on justice agencies Non-robust architecture

• Non-standardized nomenclature

TRADITIONAL APPROACHES TO JUSTICE INFORMATION SHARING

(…CONTINUED)

Database 1

Fname

Mname

Lname

DOB

Charge1

Dispo1

DOR

Database 2

First Name

Middle Name

Last Name

Date of Birth

Charge Code 1

Disposition 1

Date of Release

Database 3

FirstName

MiddleName

SurName

Date of Birth

Charge at Arrest 1

Court Disposition 1

Release Date

Is this secure?

• Multiple User Accounts

TODAY’S APPROACH TO JUSTICE INFORMATION SHARING

• Global Reference Architecture (GRA)

• Removes direct dependencies between systems

• Follows well accepted industry standards rather than proprietary solutions

• Governance structure supports common approaches and technology infrastructure

• National Information Exchange Model (NIEM)

• Provides common language for data sharing

• Provides prescribed XLM schemas

• Provides meta-data about who, what, when and where data were collected to inform data recipient

• Global Federated Identity and Privilege Management (GFIPM)

• Allows systems to consume external credentials

• Allows each participating agency to add, modify and disable users

• Supports federated queries

ASSURE

Alabama Secure Sharing Utility for Recidivism Elimination

PURPOSE OF ASSURE PROJECT

• Create a secure, web-based portal to share appropriate information regarding clients,

probationers and inmates

• Organizations involved

• Alabama Department of Mental Health (ADMH)

• Community Mental Health Centers (CMHC)

• ADMH Substance Abuse Contract Providers

• Alabama Board of Pardons and Paroles (ABPP)

• Alabama Department of Corrections (ADOC)

BACKGROUND

• According to the USDOJ

• 56.2% of state prison inmates have a history of mental illness and/or behavioral health

problems

• 64.2% of local jail inmates have a history of mental illness and/or behavioral health

problems

• 74.1% of inmates with a history of mental illness and/or behavioral health problems have a

history of substance abuse or dependency

• 55.6% of inmates without a history of mental illness and/or behavioral health problems

have a history of substance abuse or dependency

SAMPLE USE CASES

• Allow probation officers to monitor probationers’ compliance with court-ordered mental health and substance

abuse treatment (25)

• Allow intake and classification personnel at ADOC to be aware of inmates with a history of serious mental

illness (13)

• Allow community mental health and substance abuse providers to view diagnosis and treatment history of

offenders re-entering the community (21)

Numbers in parenthesis indicate reference to item in Criminal Justice and Health Connections Matrix from

IJIS/Urban document Opportunities for Information Sharing to Enhance Health and Public Safety Outcomes.

See https://c.ymcdn.com/sites/ijis.site-ym.com/resource/resmgr/Docs/Opps_Info_Sharing_Enhance_He.pdf or

http://www.urban.org/publications/412788.html

ASSURE GOALS

• Increase effectiveness and efficiency of the intake and classification process

• ADMH, ABPP, DOC, CMCHs, SA Providers

• Reduce reliance on emergency department services

• Refer people leaving correctional facilities to community-based behavioral health and substance use treatment services

• Providing clinical information to assist with their treatment

• Ensure timely access to essential medications for people entering or leaving jail or prison

• Link correctional health providers to ADMH and community-based behavioral health services

• Reduce recidivism by ensuring that offenders – whether in a community or incarceration setting – receive services matched to their individual needs

• Educational, Vocational, Rehabilitation, Treatment

TECHNICAL CHALLENGES

• Lack of standards for trust and interoperability between justice and behavioral health

• Lack of a framework to enable trust

• Could implement simple pairwise trust

• But that would be un-scalable and further contribute to trust fragmentation in the Identity

Ecosystem

• What happens when more organizations or a 3rd community wants to use ASSURE?

• What happens when we want to support new/different use cases with different trust

requirements?

PRIVACY CHALLENGES

• Develop information sharing capabilities among agencies that have not necessarily shared

information previously

• Criminal justice officials may not understand laws governing access to behavioral health

information

• Mental health and substance abuse treatment providers may not understand laws governing

access to criminal justice information

• Information to be shared is very sensitive and people often do not understand the laws

governing access to this information

• Health Insurance Portability and Accountability Act of 1996 (HIPAA)

• Code of Federal Regulations, Title 42: Public Health, Part 2 Confidentiality of Substance

Abuse Patient Records (42 CFR Part 2)

ASSURE ARCHITECTURE

ASSURE CORE Web

Portal

Login

Module

Dept. of Corrections

Dept. of Mental Health

IDP Service

Board of Pardons & Paroles

Data SP

IDP Service Data SP

IDP Service Data SP

Users

Users

Users

Future Users & Services

Community Mental

Health Centers CAPS

FUTURE PROSPECTS FOR CROSS-DOMAIN INFORMATION

SHARING

To infinity and beyond…

OTHER POTENTIAL DATA EXCHANGES BEYOND TRADITIONAL

JUSTICE EXCHANGES

• Jails/Prisons to State Medicaid Agencies

• Submit eligibility and enrollment data for offenders leaving jail or prison

• Health Information Exchanges (HIE) and/or Electronic Health Records (EHR) to Jails/Prisons

• Improve continuity of care between free-world and incarceration – e.g., treatment and prescription history

• Reduce unnecessary diagnostic testing

• Jails/Prisons to HIEs and EHRs

• Improve continuity of care between incarceration and free-world– e.g., treatment and prescription history

• Reduce unnecessary diagnostic testing

• State Medicaid Agencies, HIEs and EHRs to courts and/or probation and parole

• Diagnostic information can assist in risk/needs assessment

• Case management and discharge planning

AOC

MIDAS

SJIS JUPITIR

DHR FACTS

ADMH

ACSIS

ADIDIS

CARES

WORx

ASAIS

MICRS

ABHAS

Certification

ADMH

ACSIS

ADIDIS

CARES

WORx

ASAIS

MICRS

ABHAS

Certification

DHR FACTS AOC

MIDAS

SJIS JUPITIR

Medicaid

HIE

CARES

RCOs

MMIS

DYS DOC Education

Rehab

ADPH

CHIP

PDMP

Labor

SHPDA

ServeAlabama Tele

Health SHCC

HCIDC

OTHER CHALLENGES TO CROSS-BOUNDARY INFORMATION

SHARING Setting Expectations

Very few “simple” queries! Advocacy vs. Reality

Allow sufficient time to ensure correct reporting/analyses

Inconsistent vocabulary/jargon

“Referral” vs. “Complaint” vs. “Warrant”

Communication and Collaboration with IT

“IT” speak vs. Subject Matter Expert knowledge base

OTHER CHALLENGES TO CROSS-BOUNDARY INFORMATION

SHARING (…CONTINUED) Documentation and Personnel Changes

Documentation may not exist at all…

Folks who designed and/or understand systems are retired or otherwise no longer available

Technology Inconsistency

Systems developed at different times…

…by different people…

…with different technologies…

…and different data structures…

…and often without documentation!

IMPORTANCE OF STANDARDS BASED APPROACH

• GRA

• Provides separation between applications and services

• NIEM

• Provides semantic precision

• Especially important for cross-boundary exchanges where users will not be familiar with terminology

• GFIPM

• Allows users to use native credentials to access systems

• Supports distributed user management which is essential for multi -agency exchanges

• Allows for enforcement of access controls – user attributes, entity attributes and resource attributes

• Trustmarks

• Allows agencies to participate at the level needed to support business drivers

COULD JUVENILE JUSTICE FIT IN HERE?

IS THERE A ROLE FOR JUSTICE HERE?

USING UNCONVENTIONAL DATASETS TO DISCOVER

TRAINING/RESOURCE NEEDS

• Prescription Drug Monitoring Program (PDMP)

• Identify concentrations of high opioid use

• Train officers to recognize symptoms of opioid poisoning

• Determine if there is a need for naloxone toolkits

• Data on accidental deaths (state departments of public health or medical examiners)

• Identify areas where heroin use is increasing by examining accidental overdoses

• Ramp up education and enforcement efforts

• Identify officer training and equipment needs

• Use to supplement crash data to assist with enforcement

MORE UNCONVENTIONAL DATA SOURCES

• Connecting code violations with burglaries – “Broken Windows Theory”

• Arlington, Texas

• For every unit increase of physical decay, there was a six-fold increase in residential burglaries

• The police department and other city agencies now work more efficiently in the neighborhoods to help prevent crime

• Modernizing the Nation’s Crime Statistics – National Academies of Science – Public Health Model

• Census data

• Economic data

• Household and business surveys

• Health and social welfare

• Science, technology and innovation indicators

QUESTIONS?

Contact Information:

Becki Goggins

becki.goggins@search.org

916.392.2550 x306

Richard Fiore

Richard.fiore@myalabama.gov

334.242.3117