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Forensic Information Data Exchange (FIDEX)

Final Project Report

2008IJCXK405

April 30, 2010

The NFSTC is pleased to submit this Final Report to the United States Department of Justice,

Office of Justice Programs, National Institute of Justice.

William Ford

Division Director

Information and Sensor Technology DivisionOffice of Science and Technology

National Institute of Justice

Washington, D.C. 20531

NFSTC Contact:

Kevin LothridgeChief Executive Officer

National Forensic Science Technology Center7881 114th Avenue North

Largo, FL 33773Tel: 727-549-6067 ext. 103

Fax: 727-549-6070

[email protected]


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National Forensic Science Technology Center i

ContentsFIDEX Final Project Report ........................................................................................................... 1

Overview and History ................................................................................................................. 1Description and Goals ................................................................................................................. 3Results from Pilot Tests .............................................................................................................. 7Lessons Learned .......................................................................................................................... 8Conclusion and Possible Next Steps ......................................................................................... 10

Appendices .................................................................................................................................... 12Appendix A FIDEX Survey Results ............................................................................................. 13Appendix B Project Timeline ....................................................................................................... 19

Appendix C Main FIDEX Working Group .................................................................................. 22

Arizona FIDEX Subgroup ........................................................................................................ 23Appendix D FIDEX Working Group Contact Information .......................................................... 25Appendix E FIDEX LEA Concept Paper ..................................................................................... 27


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National Forensic Science Technology Center 1

FIDEXFinalProjectReportOverviewandHistory

For decades, forensic evidence has been important in the investigation and adjudication of

criminal casework, capable of identifying suspects and exonerating the wrongly accused. In

recent years, however, severe laboratory backlogs have clogged the system and affected the

ability of the criminal justice system to fully benefit from the value of forensic evidence.

According to the 2005Bureau of Justice Statistics Census of Publicly Funded Crime

Laboratories, laboratories reported 360,000 backlogged requests for forensic services that year,

an increase of 24 percent between 2002 and 2005.

An informal assessment of 94 state and local crime laboratories, conducted in 2009 in

collaboration with the IJIS Institute, found that 79 percent1indicated having some form of a

laboratory information management system (LIMS) in place, but 87 percent of these laboratories

still accept forensic requests via handwritten long forms. To further complicate the backlogs, the

IJIS Institute estimates that an average laboratory spends more than 5,000 hours every year

clarifying examination requests with the submitting agency or responding to requests from the

agencies for updates about the status of examination requests. Ninety-eight percent of

laboratories reported the need for analysts to spend time in administrative follow-up rather than

analytical duties. Appendix A contains a summary of the findings from the IJIS Institute survey.

In summary, the combination of increased caseload and inefficient information management

processes significantly clogs the entire justice process, and promises to worsen in the future as

the forensic sciences expand their scope, utility and technology. Meanwhile, as requests for

1IJIS Institute, FIDEX Survey Results, February 24, 2009


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Final Project Report FIDEX


crime laboratory examinations mount, laboratory directors are seeking to reduce their backlogs

and provide timely results to law enforcement officers and prosecutors.

Recognizing the importance of streamlining case management to reduce the staggering

backlog of cases in the nations crime laboratories, the National Institute of Justice (NIJ),

through its cooperative agreement with the National Forensic Science Technology Center

(NFSTC), has created a standardized tool for sharing forensic case information among agencies

in the justice community. In 2007, NIJ provided funding to NFSTC, with subcontracts to the IJIS

Institute and Waterhole Software, to begin developing the Forensic Information Data Exchange

(FIDEX), a set of technical specifications to facilitate systems interoperability and the electronic

transmission of information to and from forensic crime laboratories.

Built using 21stcentury Web-based technology, the FIDEX tool provides an electronic

platform that enables more efficient sharing of forensic information among criminal justice

stakeholders, including law enforcement, prosecutors and crime laboratories. Using standards

based on the National Information Exchange Model (NIEM) version 2.0, FIDEX provides an

end-to-end solution for the real-time exchange of forensic case information, while enhancing and

integrating the functionality of formerly stand-alone information management systems in

different law enforcement agencies and crime laboratories. FIDEX provides a paperless process

that eliminates the traditional hand-written long form that accompanied laboratory requests in

the past and generated many follow-up calls for clarification. FIDEX also eliminates duplicate

data entry among different agencies and increases the accuracy of system data. Real-time access

to case information reduces case processing time by allowing crime laboratory managers to

determine the disposition of cases that may have been plea-bargained or dismissed in the courts,

allowing them to make informed decisions about prioritizing casework.


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The processing of a forensic case requires information and coordination among multiple

practitioners within a jurisdiction. The FIDEX project supports the exchange of evidence-related

information by facilitating the request for forensic services, linking laboratory information

management systems (LIMS) with other criminal justice information systems and using the

Information Exchange Package Documents (IEPDs) to exchange data about case submissions

and case dispositions. Law enforcement agencies, crime laboratories and the courts can benefit

from new information exchanges that improve the efficiency of forensic services requests and

improve communication with the courts about case status. By facilitating real-time, end-to-end

data sharing among all agencies involved, the FIDEX project has significant potential to decrease

the backlog of cases in the countrys crime laboratories, while providing a high return on

investment (ROI) through the efficiencies that can be achieved over conventional paper-based

processes.

DescriptionandGoalsMany stakeholders within the criminal justice system have information management

systems, but these systems were not developed to be interoperable, resulting in information gaps.

As a result, reconciling case-related information among law enforcement, crime laboratories and

prosecutors offices creates a burden that adversely affects a crime laboratorys processes,

leading to significant backlogs.

The goal of the FIDEX project is to enhance the exchange of forensic information and data

among criminal justice stakeholders. This can be accomplished by providing a modular, portable,

NIEM-compliant, reusable XML data format and supporting documentation to criminal justice

agencies wishing to share forensic information electronically.


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The FIDEX system consists of a Web portal that acts as a central hub running on an intranet

server at the crime laboratory. Two standardized sets of Information Exchange Package

Documents (IEPDs) help agencies with disparate systems to map their data so a laboratory

information management system (LIMS) can efficiently and accurately exchange information

with a records management system (RMS) or an evidence management system (EMS). Two

IEPDs have been developed thus far, one for submitting forensic case evidence to the crime

laboratory and one for following the disposition of court cases for which forensic evidence has

been submitted. The FIDEX portal demonstrates the data elements and functionality of the

IEPDs, giving implementers the opportunity to interface with other systems in a practical

environment. By standardizing the case submission process for law enforcement, FIDEX

streamlines case intake and management procedures within the crime laboratory. And by

electronically determining the real-time status of court cases through the FIDEX portal, crime

laboratories can reduce their backlogs by identifying cases that have been dismissed or plea

bargained in the courts and no longer need crime laboratory analysis.

Major milestones in FIDEX project activities spanning the period from January 2007 to

December 2009 include:


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Project Analysis and Planning

Establishing the FIDEX Working Group: Defining Forensic Exchange Methods andOpportunities

Arizona Criminal Justice Commission (ACJC) Exchange Analysis Subgroup Activities

Information Exchange Package Documentation (IEPD) Development and Publishing

FIDEX Portal Planning and Development

Pilot Testing Activities for Phoenix PD and Boston PD

A full timeline of FIDEX development and implementation activities is included in

Appendix B, and Appendices C and D contain the names of individuals who participated in the

FIDEX working groups. Appendix E contains a concept paper about FIDEX that was distributed

to potential agency partners by the Arizona Department of Public Safety.

An early goal of the project, as identified by the FIDEX Advisory Group, was the need to

build partnerships that represented key stakeholders in the reduction of crime laboratory

backlogs and to involve them in the project, especially in terms of mapping out workflow and

business processes. The FIDEX team used that information to develop the data requirements on

which the IEPDs were based.

A particularly useful FIDEX feature includes a management reporting tool, the Executive

Dashboard, which allows informed resource allocation based on real-time data about the status

within the court system of the laboratorys backlogged cases. This feature supports improved,

more efficient workflow management for crime laboratories and the agencies they work with.

Unlike most criminal justice systems, FIDEX aggregates and reports data in a variety of ways,

and the reports can be customized to meet specific managerial needs. For example, a laboratory

manager may want to see the backlogged workloads of different analysts in the lab. FIDEX can


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produce this user-friendly graphic to help the manager distribute the workload more evenly

among the analysts.

With this customizable Dashboard reporting, laboratory managers can get the real-time

pulse of the organization and the workflow. They can better distribute caseloads, identify

patterns of backlogged cases and better schedule yearly vacations. Furthermore, by using the

Case Detail screen and the systems e-mail alert feature, managers can monitor a case and raise

its priority as the cases court date approaches, avoiding a continuation.

FIDEX information sharing increases the efficiency of data exchange through scalable

integration of previously isolated information systems in the law enforcement community. The

electronic platform for submission of forensic examination requests not only streamlines the case


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management intake procedure within the laboratory, it also significantly improves business

processes across jurisdictions, including law enforcement. For example, the system will

automatically send an e-mail to criminal justice professionals involved in a case anytime the

status of the case changes or when new evidence is added to a case.

FIDEX allows agencies to interconnect and share case information, eliminating the silo

effect in which all stakeholder agencies have essentially the same information but dont

effectively exchange data, often operating in virtual isolation. FIDEX represents a significant

step toward integrating data from different agencies in the justice community, leveraging Web-

based technology to facilitate information sharing among crime laboratories and law

enforcement agencies, which will ultimately reduce crime laboratory backlogs.

ResultsfromPilotTestsThe Boston Police Department and crime laboratory have fully implemented FIDEX and the

Phoenix Police Department is in the early stages of implementation. With only two small pilot

implementations accomplished under this grant, performance metrics will have to wait until the

system is deployed on a larger scale and for a longer period of time. However, both

implementations did result in improved business processes; a streamlined, paperless method of

submitting evidence to the crime lab; elimination of duplicate data entry with the auto-populate

feature; and increased accuracy. Other benefits include:

Reduced procedural time

Real-time access to information

Clarification from case agent to laboratory and vice versa

Immediate and accurate status of analyses

Court disposition of cases


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Ease of use with a user-friendly Web interface

Minimal cost to implement

More effective use of manpower and other resources

FIDEX represents a ground-breaking step toward faster resolution of crime laboratory

casework, reducing backlogs and benefiting law enforcement agencies, crime laboratories and

the community as a whole. Because the system is scalable, it can be implemented at a size and

scale proportionate to the business complexity and technical issues of any site wishing to

implement it. Regardless of agency size, the FIDEX portal and IEPDs allow implementation

partners to ensure that data elements and functional requirements align with their specific

business requirements, while providing a model environment for practitioners to test and

evaluate its components, modifying the system as necessary to meet internal needs.

LessonsLearnedFIDEX represents many firsts in criminal justice data exchange among disparate systems

that were not designed to be interoperable, including the mapping of data elements between

systems. The FIDEX business process model works for the most diverse software environments,

and the IEPDs and portal can be configured to work with records management systems, evidence

management systems and laboratory information management systems. The software is highly

configurable, allowing laboratories and agencies to customize the amount of data validation

performed during crime laboratory examination requests.

Among the lessons learned during the FIDEX development and pilot implementation:

Engage strategic partners early in the process.

Dont be afraid to ask many questions, especially about business processes.

Take a hard look at the problems that need to be solved.


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Be willing to learn from another organizations success.

Understand the solution may be complex, and the concept may change during theprocess.

The pilot tests revealed that FIDEX offers many potential benefits to the justice community.

For example, FIDEX enhances interagency communication and has the capability to enhance

intra-agency communication, as well. Instead of data residing in separate silos that require

duplicative data entry, which invites error, FIDEX facilitates investigative case management by

ensuring that data is shared accurately and completely with all agencies and departments

involved. For agencies wishing to implement FIDEX to improve the exchange of forensic data,

an implementation guide has been written as a companion piece to this project report. The guide

covers technical and business aspects of installing the FIDEX portal and using the IEPDs for

data exchange between the crime laboratory and other criminal justice agencies.

An important consideration when implementing FIDEX is the return on investment.

Tremendous savings in time, money and efficiency result from a FIDEX implementation within

a jurisdiction. The cost to an agency is scalable based on the size of the server they plan to use

and the number of systems they want to link into FIDEX. Another big savings comes from

analyzing the workflow between the crime laboratory and the submitting agencies and modifying

the FIDEX system to best accommodate and maximize the efficiency of the workflow.

Another lesson learned is that the FIDEX Dashboard feature gives crime laboratory

managers a robust tool that aggregates and reports on data in the system, providing management

with customizable detailed information about incoming cases and the status of existing cases for

informed decision-making and resource allocation.


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In some cases, an investigator may submit pieces of evidence for the same case at different

times. With FIDEX, the crime laboratory analyst is notified by e-mail when subsequent evidence

is submitted for a case, bridging the information gap. From an evidentiary standpoint, this allows

the analyst to constantly reassess which pieces of evidence have the greatest probative value.

As FIDEX implementations increase, the collection of metrics should show an empirical

decrease in the number of backlogged crime laboratory cases.

ConclusionandPossibleNextSteps

One of the suggested future goals is to expand the portal to create an overarching case

management system that adds prosecutors to the mix, facilitating communication among the

prosecutor, the crime laboratory and the law enforcement investigator. Other possible next steps

could include interfacing with CODIS and eventually with ViCAP. A future national strategy


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might also include connecting with regional, state and national law enforcement databases and

with the FBIs Law Enforcement National Data Exchange (N-DEx), which can be reached at

http://www.fbi.gov/hq/cjisd/ndex/ndex_home.htm. By implementing FIDEX on regional or

statewide scales, the system could return more benefits and further reduce crime laboratory

backlogs. The FIDEX team has also maintained a partnership with industry through the IJIS

Institute and its data exchange initiatives.

To date, FIDEX has been presented and demonstrated at the following conferences:

The National Information Exchange Model (NIEM) Training Event in 2009

National Law Enforcement Telecommunications System (Nlets) 5

th

Annual ImplementersConference in 2008

The National Association for Justice Information Systems (NAJIS) in 2008

Law Enforcement Information Management (LEIM) in 2008

Other methods of spreading the word about FIDEX and its potential to reduce crime

laboratory backlogs include potential articles to be published in industry magazines, such as the

article about FIDEX that appeared in the March 2009 issue of Public Safety ITmagazine. A copy

of that article appears in Appendix F. Additional awareness and outreach activities might include

presenting at professional conferences, conducting technical demonstrations and developing

relationships with state Criminal Justice Integrated Systems (CJIS).

By leveraging existing NIEM and XML standards, the FIDEX project allows agencies to

share, acquire and repurpose data as a means of bridging information gaps. Recognizing the

important role that streamlining case management can play in reducing backlogs, thereby saving

valuable time and monetary resources, the National Institute of Justice has built a system to

equip our nations crime laboratories with a standardized tool that can provide a mechanism for

the interoperability of forensic case information sharing.


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Appendices


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AppendixAFIDEXSurveyResults


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Whattypeofcrimelaboratoryisyours?

State 48.60%Local 37.38%Other 14.02%TotalResponses107


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AppendixBProjectTimeline

Forensic Information Data Exchange (FIDEX)Project TimelineJanuary 5, 2010

Overview

The Forensic Information Data Exchange (FIDEX) project, based on NIEM 2.0, will help with theexchange of evidence related information by facilitating the request for forensic services, linkinglaboratory information systems (LIMS), and exchanging data for case submission and case disposition.Law Enforcement agencies, crime labs, and the courts will benefit from new information exchanges thatwill improve the efficiency of forensic services requests, and improve communication with the courtsabout case status.

The main FIDEX project activities from January 2007 to December 2009 included:

Project Analysis and Planning

Establishing the FIDEX Working Group

Defining Forensic Exchange Methods and Opportunities

Arizona Criminal Justice Commission (ACJC) Exchange Analysis Subgroup Activities

Information Exchange Package Documentation (IEPD) Development and Publishing

FIDEX Portal Planning and Development

Pilot Testing Activities for Phoenix PD and Boston PD

FIDEX Timeline 2007 - 2009

Project Analysis, Planning and Working Group, January 2007 December 2007

Project needs analysis and planning, January 2008

Identify potential working group members for crime labs, laboratory information managementsystems (LIMS), law enforcement, and justice information sharing, February March 2007

Working group selection and meeting planning, April 2007

FIDEX Presentation by NIJ to the Global Justice Information Sharing Initiative (Global) AdvisoryCommittee (GAC) Meeting Summary, April 2007

FIDEX working group portal designed and deployed, May 2007

First working group meeting to define data sharing needs and develop project goals, May 2007o Guests and members represented GJXDM (NIEM), NLETC-NE, ACJC, JusticeTrax

LIMS, Discussions with ACJC about information sharing, June 2007

IEPD development research and planning agreement developed with IJIS Institute, July 2007

Second working group meeting to review exchange concepts and review potential casesubmission and case disposition exchange opportunities, August 2007

o Guests and members represented NIJ, NIEM, ACJC, LIMS vendors, SEARCH, and IJISo Presentations included JIEM, UCFs FINDER (now FDLE FLEX), DEML, IJIS Crime Lab

Exchange Mapping

Continued IEPD development planning with IJIS and ACJC, September December 2007

FIDEX data modeling committee, online meeting, December 2007


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o The purpose of this meeting was to prioritize exchanges and identify the two documentsthat would be further refined into XML Schema (IEPDs).

ACJC Workf low Analysis and IEPD Planning, January 2008 December 2008

Crime Lab workflow and data exchange analysis meeting with ACJC, Phoenix, AZ, January 2008o

Attendees included representatives from the NIJ, NFSTC, ACJC, AZDPS CrimeLaboratory, Maricopa County ICJIS Mesa PD, Scottsdale PD, Chandler PD, IJIS Institute,and contract developer Waterhole Software

o Topics included: workflow analysis for state, county and local PD to crime Laboratoryexchanges, case submission analysis and case disposition analysis

IEPD development planning and business process analysis, February 2008

IEPD workflow analysis meeting in Phoenix, March 2008o Attendees included representatives from the NIJ, NFSTC, ACJC, AZDPS Crime

Laboratory, Maricopa County Courts, Mesa City Prosecutors Office, Mesa PD, PhoenixPD, Chandler PD, Tucson PD, IJIS Institute, JusticeTrax and contract developerWaterhole Software

o Topics included:

ACJC and NFSTC presentation of FIDEX to LEIM, May 2008

FIDEX Web tools and RMS integration for Phoenix PD pilot development analysis, June - July2008

Case Disposition exchange meeting with Phoenix PD and JusticeTrax developers, July 2008

FIDEX Web Portal analysis submitted for team review, August 2008

AZDPS FIDEX concept paper developed and sent to ACJC partners, August 2008

FIDEX presented to Nlets Implementers Conference, September 2008

FIDEX Case Submission Exchange needs survey analysis and design by IJIS, November -December 2008

o Objective to develop Case Submission Exchange related surveyo Target groups will include state, county, and local crime laboratories

Case Submission and Case Disposition Exchange Analysis and Development - January 2009 December 2009

Continued analysis and discussions with ACJC subgroup, January 2009

FIDEX Case Submission survey raw data received, February 2009o Survey results included:

79% indicated some form of a Laboratory Information Management System is inplace; however, 87% still accept forensic requests via hand-written long form.

98% of respondents indicated that some percentage of their submissions requireclarification from the case agent

Development and communication about exchange methods, business model and relateddocumentation for potential FIDEX pilot tests, February March 2009

o Arizona is considering using the Case Submission exchange for a pilot test with the DPSLab and Glendale PD

o The Boston PD is discussing the use of the Case Submission and the Case Dispositionexchanges.

o The Washington State Patrol talked with the FIDEX team about developing a toxicologyexchange based on the FIDEX Case Submission Exchange

Article on FIDEX in Public Safety Magazine, March 2009

The NFSTC, Waterhole Software, and IJIS Institute met with Arizona DPS and Phoenix PD toplan implementation the a FIDEX Case Submission Exchange pilot test, April 2009

Forensic Case Submission and the Forensic Case Disposition IEPDs were published on theNIEM Clearinghouse, March 2009

Waterhole Software developed and delivered concept for FIDEX Web Portal, April May 2009

Analysis and planning for Phoenix PD FIDEX pilot, May - June 2009


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Analysis for Boston PD FIDEX pilot and possible link to evidence software, June 2009

Waterhole Software met with Boston PD on July 28-29. The pilot test analysis and design wasapproved, and will link FIDEX Exchanges with their Evidence Tracker software, July 2009

Boston PD FIDEX portal pilot analysis and planning and development, August September 2009

FIDEX presented at National Information Exchange Model (NIEM) Training Conference inBaltimore, MD, October 2009

An online FIDEX Webinar was presented to the NIJ Information Led Policing TWG on Thursday,October 15

thby Mike OBerry and Aaron Gorrell, October 2009

FIDEX contract developer Waterhole Software completed the integration of first FIDEX portalimplementation, November 2009

o On November 18, 2009 Boston Police Department went live with FIDEX and a link totheir Evidence Tracker software for case submission.

o In this first-phase rollout, the criminologists are the primary users. Based on theirrequests, several minor enhancements have been added to the software.

The Phoenix PD Crime Lab has received a server that will be configured for FIDEX forensic casesubmission, November 2009

Phoenix PD FIDEX pilot planning and development, November December 2009


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AppendixCMainFIDEXWorkingGroup

1. Mary Ann Byrne

Assistant Chief, Judicial System IRM, New Jersey State Courts

2. W. Mark Dale

Director, Northeast Regional Forensic Institute

3. Frank Fitzpatrick

Contract Subject Matter Expert, NFSTC

4. Simon Key

President, JusticeTrax (LIMS)

5. Robin Jones

Contract Program Manager, NFSTC

6. Richard MacKnight

Contract Project Manager, NFSTC

7. Suzette McLeod

Project Manager, Technology Services, IJIS Institute

8. Patti Nelson

Program Manager, ACJC

9. Mike OBerry

E-Solutions Program Director, NFSTC


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ArizonaFIDEXSubgroup1. Sam Ali

Project Manager, IJIS Institute

2. Steve Ballance

ICJIS Business Team, Maricopa County

3. Theresa Busby

Information Technology, Chandler PD

4. Dan Corsetti

IT Manager, Administration Office of the Courts, Supreme Court

5. Rita Dyas

Crime Lab Director, Chandler PD

6. Vince Figarelli

DNA Section Manager, AZDPS

7. Steve Garrett

Crime Lab Director, Scottsdale PD Crime Lab

8. Aaron Gorrell

IJIS Service Provider - Waterhole Software

9. Todd Griffith

Crime Lab Director, AZDPS

10.Joe Hindman

IT Director, Scottsdale PD


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AppendixDFIDEXWorkingGroupContactInformation

1. William FordVisiting Scientist, Information and Sensor Technology Division, NIJ

Phone: 202.353.9768Mobile: 202.281.8837

[email protected]

2. Richard MacKnightSenior Advisor, SPC NIJ

Phone: 202.514.8948

Mobile: 202.957.5661

[email protected]

3. Jim DouglasSystems Analyst, NLECTC-NE

Phone: (315) 334-LEAF

[email protected]

4. Dr. William TilstoneDirector of Training, NFSTC

Phone: 727-549-6067 ext. 105

[email protected]

5. Mike OBerryTraining Technology Manager, NFSTC

Phone: 727-549-6067 ext. [email protected]

6. Robin JonesContract Project Manager

Home: 703-569-2090

Mobile: [email protected]


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7. Greg HillContract Project Advisor, NFSTC

Direct Line: 727-562-7367

Mobile: [email protected]

8. Patti NelsonProgram Manager, ACJC

Phone: [email protected]

9. Simon KeyPresident, JusticeTrax (LIMS)

Phone: 480.222.8900 or 800.288.5467

[email protected]

10.Robert OLearyDirector, ECPI (or an ECPI member)

Phone: (908) 995-9303

Mobile: (908) [email protected]

11. Frank FitzpatrickProject Manager, FQS-I Police Science Accreditation Program

Phone: 949-857-5708

[email protected]

12.Suzette McLeodProject Manager, Technology Services, IJIS Institute

Phone: (703) 726-3666Mobile: (703) 623-6808

[email protected]

13.Susan NarvesonChief, Investigative and Forensic Sciences Division, NIJ

Phone: (202) 305-4884

[email protected]

14.W. Mark DaleDirector, Northeast Regional Forensic Institute

Phone: (518) 437-3791

[email protected]


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AppendixEFIDEXLEAConceptPaper

ArizonaDepartmentofPublicSafety


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