lumen expanded product description · 2015-07-08 · integrating new data sources is substantially...

28
RFI Response – RFI# ICT201503310122 Numerica Corporation Prepared by: Nicholas Coult Vice President, Interactive Intelligence Systems Numerica Corporation 5042 Technology Parkway, Suite 100 Fort Collins, CO 80528 9702072252 (p) 9702072202 (f) [email protected] www.numerica.us Copyright 2015 Numerica Corporation Lumen: A Law Enforcement Platform for Advanced Analytics

Upload: others

Post on 06-Jul-2020

7 views

Category:

Documents


0 download

TRANSCRIPT

RFI  Response  –  RFI#  ICT-­‐201503310122  -­‐    Numerica  Corporation  

   P r e p a r e d   b y :    N i c h o l a s   C o u l t  V i c e   P r e s i d e n t ,   I n t e r a c t i v e   I n t e l l i g e n c e   S y s t e m s  N u m e r i c a   C o r p o r a t i o n  5 0 4 2   T e c h n o l o g y   P a r k w a y ,   S u i t e   1 0 0  F o r t   C o l l i n s ,   C O   8 0 5 2 8    9 7 0 -­‐ 2 0 7 -­‐ 2 2 5 2   ( p )  9 7 0 -­‐ 2 0 7 -­‐ 2 2 0 2   ( f )  n i c k . c o u l t @ n u m e r i c a . u s  w w w . n u m e r i c a . u s    C o p y r i g h t   2 0 1 5   N u m e r i c a   C o r p o r a t i o n    

 

   

Lumen:  A  Law  Enforcement  Platform  for  Advanced  Analytics  

Lumen:  A  Law  Enforcement  Platform  for  Advanced  Analytics  

   

5042  Technology  Parkway  Suite  100  Fort  Collins,  CO  80528  –  P:  (970)  207-­‐2200–  www.numerica.us  

2  

Table  of  Contents  

I.  Introduction  ............................................................................................................  3  

II.  Product  Description  and  Capabilities  ......................................................................  4  A.   Data  Integration  ................................................................................................................................  4  B.   Search  ................................................................................................................................................  8  C.   Analytics  ..........................................................................................................................................  16  

III.    Security  and  Compliance  .....................................................................................  22  A.  FBI  CJIS,  28  CFR  Part  23  ......................................................................................................................  22  B.    Lumen  Application  Security  Model  ....................................................................................................  24  C.    Lumen  User  Identity  and  Access  Management  .................................................................................  25  

IV.    Delivery,  Support,  and  Contracting  .....................................................................  26  A.   Delivery  and  Support  .......................................................................................................................  26  B.   Contracting  ......................................................................................................................................  27  

VI.    Numerica  Qualifications  and  Experience  .............................................................  28    

   

Lumen:  A  Law  Enforcement  Platform  for  Advanced  Analytics  

   

5042  Technology  Parkway  Suite  100  Fort  Collins,  CO  80528  –  P:  (970)  207-­‐2200–  www.numerica.us  

3  

I.  Introduction  

There  is  a  widespread  problem  facing  law  enforcement  agencies  today:    a  proliferation  of  databases  and  information  systems,  each  with  its  own  proprietary  user  interface  and  schema,  has  caused  serious  impediments   to   the   agencies’   ability   to   search,   analyze,   and   effectively   utilize   the   ever-­‐growing  volume  of  data  available.      

For   that   reason,   Numerica   created   Lumen,   an   advanced   analytics   platform   for   enterprise   data  integration,  search,  and  analytics  specifically  tailored  to  the  unique  requirements  of  law  enforcement.    Lumen  offers  the  following  capabilities  and  features:  

• Data   integration.    By  design,  Lumen   is  capable  of   integrating  virtually  any  data  source,   from  traditional   relational   database   systems   to   file   and   email   archives.     Furthermore,   the   cost   of  integrating   new   data   sources   is   substantially   lower   than   competing   solutions,   including  Enterprise  Data  Warehouse  solutions.  

• Enterprise   search.       Lumen  offers  a   full-­‐featured,  high-­‐performance,   sophisticated  enterprise  search  capability  across  integrated  data  sources.      With  the  optional  data  sharing  capability,  it  can  even  search  simultaneously  across  multiple  jurisdictions  and  agencies,  while  offering  very  fast  performance.  

• Analytics.         Lumen   users   can   create   interactive,   real-­‐time   analytics   quickly   and   easily.    Analytics   can  draw  on  any   integrated  data   source,   and   can  be   saved  and   shared  with  other  users  through  the  Lumen  dashboard.      Once  an  analytic  is  created,  it  remains  ‘live’  and  will  stay  up  to  date  in  real  time.    Trend  analysis,  spatial  correlations,   link  analysis,  and  other  analytics  are  accessible  through  the  analytics  interface.  

• Security   and   compliance.     Designed   specifically   for   law   enforcement,   Lumen   implements  controls  and  processes  that  comply  with  the  FBI  CJIS  Security  Policy  and  28  CFR  Part  23,  as  well  as  applicable  state  laws.    As  a  US  Department  of  Defense  contractor  clearance,  Numerica  has  an  extensive  background  in  handling  sensitive  and  secure  information.  

Lumen   is   designed   as   a   software-­‐as-­‐a-­‐service   (SaaS).     The   Lumen   client   software   runs   in   a   web  browser  on  desktops,  laptops,  and  mobile  devices,  which  simplifies  deployment  and  saves  costs.      The  back-­‐end   server   infrastructure   can   be   hosted   by   Numerica,   or   deployed   on-­‐site   with   the   law  enforcement  agency.      Numerica  offers  a  suite  of  remote  and  on-­‐site  service  options  for  installing  and  supporting  Lumen.  

 

 

Lumen:  A  Law  Enforcement  Platform  for  Advanced  Analytics  

   

5042  Technology  Parkway  Suite  100  Fort  Collins,  CO  80528  –  P:  (970)  207-­‐2200–  www.numerica.us  

4  

II.  Product  Description  and  Capabilities  

Lumen  is  a  flexible,  powerful  advanced  analytics  platform  for  data  integration,  enterprise  search,  and  analysis.    In  this  section,  we  describe  each  of  these  capability  areas.        

A. Data  Integration  

Data   integration   refers   to   the  ability   to   ingest,   store,  and  manage  data   from  disparate  sources   in  a  single,   unified   portal.     Many   law   enforcement   agencies   have   a   strong   need   for   this   capability.    Applications  such  as  case  management  and  records  management  systems  utilize  one  or  more  back-­‐end   relational   databases,   as   well   as   files   stored   on   file   server,   to   store   the   data   used   by   the  application.       End-­‐users   in   agencies   with   multiple   such   systems   in   use   are   forced   to   access   data  through   separate,   non-­‐uniform  applications   (as   shown   in   Figure   1),   resulting   in  major   inefficiencies  and  even  errors  in  daily  workflows.  

Lumen  can   integrate  all  of   such  data   from  multiple  proprietary  applications  by  pulling  directly   from  the   back-­‐end   systems   storing   the   application’s   data.     Lumen   does   not   replace   the   proprietary  applications   or   databases;   rather,   it   layers   on   top   of   all   the   data,   providing   a   unified   interface   and  portal   to   search,   analyze,   and   share   it.     Lumen   accomplishes   this   by   indexing  all   of   the   data   to   be  integrated  via  a  sophisticated  back-­‐end   infrastructure  system  that  utilizes  modern  enterprise  search  technology.     Lumen   therefore  provides  a   totally   independent,   completely  accurate  and  high-­‐fidelity  view   of   all   existing   data   within   an   enterprise.   Figure   2   shows   a   conceptual   view   of   the   Lumen  architecture.  

Lumen’s  backend  technology  allows  it  to  efficiently  scale  horizontally  and  vertically.    Because  Lumen  is  an   independent   index  of  the  underlying  data,  rather  than  a  federated  search  or  pointer  system,  the  architecture   allows   for   efficiently   scaling   Lumen   up   to   thousands   of   data   sources   and   billions   of  records  even   if   the   individual  data   sources  are   incapable  of   efficiently  operating  at   this   scale.     This  enables  the  total  cost  of  ownership  of  Lumen  for  data  volumes  ranging  from  small  to  very  large  to  be  substantially  lower  than  traditional  relational  database  EDW  systems.  

Integrating   new   data   sources   into   Lumen   is   quick   and   low-­‐cost.     This   is   because,   unlike   other  solutions,   Lumen   does   not   require   an   expensive,   labor-­‐intensive,   error-­‐prone   data   mapping   or  translation  phase  to  add  a  new  data  source.    Instead,  Lumen  integrates  all  data  from  a  data  source  in  its  original  format.      For  example,  the  data  shown  in  Figure  3  is  displaying  the  records,  including  all  of  the  original  fields,  as  they  exist  in  the  original  records  management  system.    Thus,  there  is  no  loss  in  

Lumen:  A  Law  Enforcement  Platform  for  Advanced  Analytics  

   

5042  Technology  Parkway  Suite  100  Fort  Collins,  CO  80528  –  P:  (970)  207-­‐2200–  www.numerica.us  

5  

fidelity  when   integrating  data  sources   into  Lumen,  and  the  cost  and  speed  of  data   integration   is  an  order  of  magnitude  lower  than  other  solutions.    

 

 

Figure   1.     A   common   scenario   for   law   enforcement   is   that   different   data   sources   are   hidden   behind   separate,   proprietary  applications.    A  single  integrated  view  of  data  across  all  such  systems  is  impossible  in  this  architecture.  

 

 

Figure  2.    Lumen  integrates  multiple  data  sources  by  connecting  directly  to  the  back-­‐end  systems  that  store  the  data.    It  indexes  all  of  this  data  using  a  sophisticated  enterprise  search  infrastructure.      Users  can  still  access  the  existing  proprietary  systems,  but  Lumen  gives  them  the  capability  to  view,  search,  and  analyze  all  of  their  data  in  one  place  and  with  one  interface.  

 

RMS FileOnQ LPR Crime Lab

RMS FileOnQ LPR Crime Lab

Lumen:  A  Law  Enforcement  Platform  for  Advanced  Analytics  

   

5042  Technology  Parkway  Suite  100  Fort  Collins,  CO  80528  –  P:  (970)  207-­‐2200–  www.numerica.us  

6  

Furthermore,   for   each   data   source,   Lumen   is   configured   to   recognize   and   preserve   relational   and  other   meta-­‐data,   so   that   the   structure   of   inter-­‐related   records   and   files,   as   well   as   timestamps,  geolocations,  and  similar  meta-­‐data,  is  represented  fully  in  Lumen.    An  example  of  an  integrated  view  of   data   is   shown   in   Figure   3;   data   from  an  RMS   and   a   separate   evidence  management   system  are  shown   integrated   into   a   single   view,   with   meta-­‐data   such   as   timestamps   and   locations   fully  represented  in  Lumen.    In  this  view,  Lumen  users  are  able  to  see  data  in  a  single  interface  that  actually  came  from  two  totally  different  and  distinct  proprietary  applications.    

The  Lumen  platform  is  capable  of  integrating  the  following  data  sources:  

• Relational   databases.     Lumen   can   integrate   records   stored   in   MS   SQL,   Oracle,   IBM   DB2,  MySQL,  SQLite,  PostgreSQL,  and  other  SQL  databases.        Data  from  case  management,  records  management,  CAD,   LPR,  and  similar   systems   is  often   stored   in   such  a  database.     Lumen  not  only  integrates  the  raw  data,  it  also  preserves  meta-­‐data  and  relationships  in  the  data  that  are  necessary  to  fully  utilize  it.  

• Files.    Lumen  can  ingest  documents  (including  Office,  PDF,  and  other  documents),  digital  media  (such   as   images,  movies,   and   audio   recordings),   file   archives   (such   as   ZIP),   and   virtually   any  other   file   stored   on   a   desktop,   laptop,   file   server,   Sharepoint   server,   or   other   system   that  stores  and  makes  available  files.  Law  enforcement  applications  often  use  files  to  store  digital  media,  attached  documents,  and  other  data  that  does  not  fit  into  the  pre-­‐defined  application  schema.    Lumen  is  capable  not  only  of  ingesting  these  files,  but  also  making  them  available  for  viewing,  and  extracting  and  indexing  the  contents  to  make  it  available  for  search  and  analysis.      

• Custom  data  sources.    Lumen  can  integrate  other  data  sources  such  as  custom  databases,  or  even   external   APIs   offered   by   other   products   or   services;   such   data   sources   may   require  custom  development  work.  

 

Lumen:  A  Law  Enforcement  Platform  for  Advanced  Analytics  

   

5042  Technology  Parkway  Suite  100  Fort  Collins,  CO  80528  –  P:  (970)  207-­‐2200–  www.numerica.us  

7  

 

Figure  3.  Lumen  search  interface  showing  data  integrated  from  multiple  sources.    An  incident  has  been  selected  for  viewing.    Call  for  Service,  Evidence,  Person,  and  Supplement   records   that  are  associated  with   that   incident   through   foreign  key   relationships   in   the  back-­‐end  MS  SQL  database  are  automatically  displayed  in  the  interface.    The  Evidence  data  was  pulled  from  a  FileOnQ  system,  but  all  other  data  in  this  incident  was  pulled  from  the  I/Leads  RMS.    Date,  time,  and  location  data  for  all  records  is  automatically  extracted.    

   

Lumen:  A  Law  Enforcement  Platform  for  Advanced  Analytics  

   

5042  Technology  Parkway  Suite  100  Fort  Collins,  CO  80528  –  P:  (970)  207-­‐2200–  www.numerica.us  

8  

 

B. Search  

Lumen   offers   a   full-­‐featured   enterprise   search   capability.     All   data   that   has   been   integrated   into  Lumen   can  be   searched  using   an   interactive,   intuitive   user   interface.     Lumen   is   capable   of   full-­‐text  keyword   search,   Boolean   search,   fuzzy   search,   geolocation   search,   automatic   joins,   as   well   as  structured   search   and   advanced   text   analytics.         It   can   even   search   inside  Word,   PDF,   and   other  documents  while  simultaneously  searching  records  ingested  from  databases.    Figure  4  through  Figure  8  show  some  examples  of  the  search  capabilities  of  Lumen,  including  the  mobile  interface.  

Furthermore,  any  search  can  easily  be  saved  or  shared  through  the  Lumen  dashboard.    Figure  9  shows  an  example  of  saved  and  shared  searches.    Saved  and  shared  searches  are  automatically  updated  in  real-­‐time.     A   saved   search   will   automatically   appear   in   the   user’s   dashboard.    With   one   click,   the  search   can   be   repeated   at   any   time.     Additionally,   if   new   or   updated   records   have   been   indexed  recently   that   match   the   search,   the   user   can   easily   click   to   see   those   records,   or   elect   to   be  automatically  notified  by  email  whenever  such  records  are  indexed.    Any  saved  search  can  be  shared  with   another   Lumen   user   through   the   dashboard.     This   feature   allows   a   user   to   configure   a  sophisticated   or   complex   search,   and   then   share   it   with   other   users.     A   shared   search   will  automatically  appear  in  the  dashboard  of  the  user(s)  with  whom  it  is  being  shared.    For  example,  an  analyst  could  create  a  search  and  share  it  with  his  or  her  team;  or  an  investigator  could  share  a  saved  search  with  his  or  her  sergeant.      

All  search  results  are  automatically  shown  on  an  integrated  ESRI  map  (see  Figure  10)1.    The  ESRI  maps  can  be  overlaid  with  custom  feature  layers,  and  any  number  of  standard  or  custom  base  maps  can  be  utilized.     Additionally,   search   results   can   automatically   be   exported   into   several   common   formats,  including  CSV  and  KML.  This  allows  specialized  software  such  as  advanced  statistical  packages  or  GIS  software  to  be  used  for  enhanced  processing  of  data  produced  by  Lumen.  

For  agencies  with  appropriate  data  sharing  agreements  in  place,  Lumen  offers  the  capability  to  search  across   multiple   jurisdictions   concurrently.     With   a   single   search,   a   Lumen   user   in   an   agency  participating  in  data  sharing  can  search  a  large  volume  of  data  from  multiple  agencies.    Figure  4  shows  an  example  of  a  multi-­‐agency  search  across  55  million  records  and  27  different  data  sources.  

 

                                                                                                               1  Numerica  is  an  ESRI  Silver  Partner.  

Lumen:  A  Law  Enforcement  Platform  for  Advanced  Analytics  

   

5042  Technology  Parkway  Suite  100  Fort  Collins,  CO  80528  –  P:  (970)  207-­‐2200–  www.numerica.us  

9  

 

Figure  4.    Example  of  full-­‐text  keyword  search.    This  search  was  conducted  across  55  million  records  and  485GB  of  data  going  back  to  1993   in   7   different   law   enforcement   agencies.     The   search   covered   27   different   data   sources,   including   relational   databases   and  Word,  PDF,  and  other  file  attachments.    The  search  results  were  returned  in  a  few  seconds.      

Lumen:  A  Law  Enforcement  Platform  for  Advanced  Analytics  

   

5042  Technology  Parkway  Suite  100  Fort  Collins,  CO  80528  –  P:  (970)  207-­‐2200–  www.numerica.us  

10  

 

Figure  5.    A  combination  structured  and  full-­‐text  unstructured  search.    The  search  is  for  incidents  in  a  particular  location  on  the  map,  and  with  incident  type  ‘FDCT  –  VEHICLE’,  but  also  containing  the  keywords  ‘power  tools’.        The  keywords  can  show  up  anywhere  in  the  incident  data,   including  in  narratives,  property  records,  call  for  services  notes,  etc.     In  addition  to  date,  time,  and  location,  the  user  interface  offers  the  capability  to  automatically  query  against  any  field  present  in  the  data.    For  example,  the  field  ‘OFFENSE’  is  a  field   in   the  original   RMS  data   source,   so   Lumen  makes   that   field   available   for   querying.     Furthermore,   the  possible   values  of   the  OFFENSE  field  shown  here  are  determined  automatically  on  the  fly  using  the  actual  data  –  no  hardcoding  of  field  values  is  necessary.    

 

Lumen:  A  Law  Enforcement  Platform  for  Advanced  Analytics  

   

5042  Technology  Parkway  Suite  100  Fort  Collins,  CO  80528  –  P:  (970)  207-­‐2200–  www.numerica.us  

11  

 

Figure  6.    Digital  media  such  as  images  and  movies  are  automatically  integrated  and  displayed  in  Lumen’s  search  interface.    

 

 

Lumen:  A  Law  Enforcement  Platform  for  Advanced  Analytics  

   

5042  Technology  Parkway  Suite  100  Fort  Collins,  CO  80528  –  P:  (970)  207-­‐2200–  www.numerica.us  

12  

 

Figure  7.    Advanced   text   analytics   search.     Lumen  automatically   recognizes  narrative   concepts   in  unstructured   text   and   is   able   to  search  for  related  records  using  those  concepts.    In  this  search,  Lumen  is  finding  all  incidents  where  the  supplement  records  have  the  narrative  concepts  related  to  trespassing/theft  and  construction  tools.    This  enables  users  to  search  even  though  they  may  not  know  the  exact  keywords  required  to  search  for.    

Lumen:  A  Law  Enforcement  Platform  for  Advanced  Analytics  

   

5042  Technology  Parkway  Suite  100  Fort  Collins,  CO  80528  –  P:  (970)  207-­‐2200–  www.numerica.us  

13  

 

Figure  8.    Mobile  search  interface  of  Lumen.    Full  text  search,  location  search,  and  time  search  are  available  with  integrated  maps.    The  mobile  interface  is  a  web  application  compatible  with  Android,  iOS,  and  other  smartphone  platforms.  

 

Lumen:  A  Law  Enforcement  Platform  for  Advanced  Analytics  

   

5042  Technology  Parkway  Suite  100  Fort  Collins,  CO  80528  –  P:  (970)  207-­‐2200–  www.numerica.us  

14  

 

Figure  9.     Saved   searches   as   they  appear   in   the  dashboard.     Searches  with  new   results   are  highlighted   in   red.     Saved  and   shared  searches   can  be  used   to  monitor  people  of   interest,   regions,   activities,   etc.,   in   real   time,   quickly   and  easily   across   disparate  data  sources.    

 

Lumen:  A  Law  Enforcement  Platform  for  Advanced  Analytics  

   

5042  Technology  Parkway  Suite  100  Fort  Collins,  CO  80528  –  P:  (970)  207-­‐2200–  www.numerica.us  

15  

 

Figure  10.    Lumen  utilizes  ESRI  maps.    Custom  feature   layers  can  be  overlaid  on  the  Lumen  map.     It   is  also  capable  of  displaying  a  variety  of  basemaps,  including  aerial  imagery  or  custom  tiles.    Individual  events  or  entities  are  displayed  as  a  circle.    If  multiple  hits  are   in   close   proximity,   the   results   will   be   clustered   together   into   a   single   circle   with   a   number   in   the   center.   Zooming   in   or   it  dynamically  updates  the  clustering  to  maintain  a  readable  view  of  the  map.    

 

 

   

Lumen:  A  Law  Enforcement  Platform  for  Advanced  Analytics  

   

5042  Technology  Parkway  Suite  100  Fort  Collins,  CO  80528  –  P:  (970)  207-­‐2200–  www.numerica.us  

16  

 

C. Analytics  

Lumen  has   the  capability   to  create   interactive,   real-­‐time  analytics  quickly  and  easily.    Any  search   in  Lumen  can  be  automatically  converted  into  a  graph,  chart,  table,  or  map.    Furthermore,  analytics  can  be  saved  to   the  dashboard  and  shared  with  other  users  as   live   real-­‐time  analytics.    Because  Lumen  can  handle  data  with  virtually  any  structure,  it  is  capable  of  creating  powerful  ad-­‐hoc  analytics  quickly,  and  reusing  those  analytics  repeatedly  through  saving  to  the  dashboard  or  sharing  with  other  users.    The  following  analytics  are  available:  

• Temporal  analytics.     The   results  of  any  search  can  be  binned  using   the   timestamps  of   those  entities/events   on   a   daily,   weekly,   monthly   or   yearly   basis   to   quickly   visualize   trends   and  relationships  between  related  phenomena  in  a  line  chart.  Multiple  searches  can  be  compared  in   a   temporal   analytic   to  help  uncover   and  understand   relationships  between  key   variables.      Figure  11  shows  an  example  of  temporal  analytics.  

• Field  value  analytics.    The  results  of  any  search  can  be  binned  on  any  field  value  desired.    This  allows  users  to  quickly  and  easily  create  ad-­‐hoc  analytics  that  can  then  be  saved  for  later  use  or  shared  with  other  team  members.      Figure  12  shows  an  example  of  such  an  analytic.  

• Tabular   analytics.       This   is   similar   to   field   value   analytics   but   binning   is   done   on   two   fields  simultaneously.    Figure  13  shows  an  example  of  tabular  analytics.  

• Spatial  analytics.    Results  are  binned  on  a  regular  map  grid,  producing  a  density  map.    Multiple  searches  can  be  compared  in  this  way  to  help  uncover  and  understand  relationships  between  key  variables.    Figure  14  shows  an  example  of  spatial  analytics.  

• Link  analysis.        Relationships  between  entities  and  events  can  be  displayed  in  a  live  link  chart.    Any  relationships  in  the  data  can  be  used  on  the  fly  to  create  a  link  chart.    Figure  15  shows  an  example  of  link  analysis.  

 

Lumen:  A  Law  Enforcement  Platform  for  Advanced  Analytics  

   

5042  Technology  Parkway  Suite  100  Fort  Collins,  CO  80528  –  P:  (970)  207-­‐2200–  www.numerica.us  

17  

 

Figure  11.    An  example  of   temporal  analytics   shows  a  comparison   in  a   single  agency  between   the  number  of   incidents  where   the  keyword   ‘meth’   shows  up   (blue)   and   the  keyword   ‘cocaine’   (green).       The   chart   is   interactive  and  has  a  drill-­‐down  capability.    By  clicking  on  a  data  point,   the  user  will  be   taken   to   the   search  page  where   the   individual  events  making  up   that  data  point  will  be  displayed  in  the  Lumen  search  interface.    The  data  in  the  chart  can  also  be  exported  to  a  CSV  file  or  saved  to  the  dashboard  as  a  live  analytic.    Correlations  and  trends  can  quickly  be  discerned  in  this  interface,  even  when  comparing  data  from  different  data  sources.    

 

Lumen:  A  Law  Enforcement  Platform  for  Advanced  Analytics  

   

5042  Technology  Parkway  Suite  100  Fort  Collins,  CO  80528  –  P:  (970)  207-­‐2200–  www.numerica.us  

18  

 

Figure  12.    An  example  of  a  field  value  analytic.    The  results  of  the  query  for  incidents  containing  the  keywords  “sons  of  silence”  are  binned  by  the  UCR  code  of  charges  associated  with  those  incidents.    There  can  be  more  than  one  UCR  code  per  incident,  but  Lumen  is  still  able  to  compute  the  bin  values  correctly.    The  chart  also  offers  a  drill-­‐down  capability;  clicking  on  one  of  the  bars  will  display  the  incidents  that  make  up  that  particular  bin  value.    We  emphasize  that  the  structure  of  incidents,  incidents  charges,  and  UCR  codes  is  not  hardcoded  into  Lumen.    Rather,  Lumen  adapts  to  the  structure  of  any  data  source  and  displays  whatever  the  native  structure  is.    The  chart  data  can  be  exported  to  a  CSV  file.    The  chart  itself  can  be  saved  as  a  live  analytic  to  the  user’s  dashboard,  or  shared  with  another  user  via  the  dashboard.  

 

Lumen:  A  Law  Enforcement  Platform  for  Advanced  Analytics  

   

5042  Technology  Parkway  Suite  100  Fort  Collins,  CO  80528  –  P:  (970)  207-­‐2200–  www.numerica.us  

19  

 

Figure  13.  An  example  of  tabular  analytics.    Any  search  can  be  binned  on  two  different  fields  simultaneously.    In  this  case,  all  of  the  2015  incidents  in  one  agency  are  binned  and  counted  by  the  sex  of  arrestees  and  the  OFFENSE  field  of  the  incident.    The  table  shows,  for   example,   that   there  were   24   ‘ASSAULT   3DEG’   incidents   in   2015   in  which   a   female  was   arrested.     The   table   has   a   drill-­‐down  capability;  clicking  on  a  cell  value  will  display  the  incidents  that  constitute  that  cell.    The  table  can  also  be  exported  to  a  CSV  file,  or  saved  to  the  dashboard  as  a  live  real-­‐time  analytic  and  shared  with  other  users.    

 

Lumen:  A  Law  Enforcement  Platform  for  Advanced  Analytics  

   

5042  Technology  Parkway  Suite  100  Fort  Collins,  CO  80528  –  P:  (970)  207-­‐2200–  www.numerica.us  

20  

 

Figure  14.    Spatial  analytics.     In  this  analytic,  one  or  more  searches  are  binned  spatially  and  density  map  is  produced  showing  how  many  records  fit  into  each  spatial  bin.    In  the  example  shown,  DUI  incidents  involving  male  and  female  arrestees  are  compared.    The  example  shows  that  there  is  a  difference  in  the  spatial  distribution  of  these  incidents.    As  with  all  other  analytics  in  Lumen,  there  is  a  drill-­‐down  capability  that  allows  for  users  to  see  the  individual  records  in  each  grid  cell.    The  chart  can  also  be  saved  as  a  live  real-­‐time  analytic,  and  shared  with  other  users  through  the  dashboard.    

 

Lumen:  A  Law  Enforcement  Platform  for  Advanced  Analytics  

   

5042  Technology  Parkway  Suite  100  Fort  Collins,  CO  80528  –  P:  (970)  207-­‐2200–  www.numerica.us  

21  

 

Figure  15.    An  example  of  a   link  chart.     In   this  example,   the   individual  at   the  center  of   the  chart   (highlighted   in  green  with  name  blurred)  is  linked  to  other  individuals  through  co-­‐arrests.    Those  individuals  are  then  linked  to  other  individuals  through  co-­‐arrests,  creating  a  two-­‐level  arrest  link  chart.    Related  data  such  as  arrest  and  incident  data  is  also  shown  on  the  chart.    This  chart  is  a  live  real-­‐time  analytic  that  can  be  saved  to  the  dashboard  and  shared  with  other  users.    

 

 

 

   

Lumen:  A  Law  Enforcement  Platform  for  Advanced  Analytics  

   

5042  Technology  Parkway  Suite  100  Fort  Collins,  CO  80528  –  P:  (970)  207-­‐2200–  www.numerica.us  

22  

III.    Security  and  Compliance  

A.  FBI  CJIS,  28  CFR  Part  23  

Lumen  is  designed  to  satisfy  the  requirements  of  the  FBI  Criminal  Justice  Information  Systems  (CJIS)  Security  Policy  and  28  CFR  Part  23,  as  well  as  applicable  state  laws.  This  section  gives  an  overview  of  the  security  measures  put  in  place  in  order  to  comply  with  those  regulations.  

Access.        Access  to  Lumen  is  restricted  to  law  enforcement  personnel  specifically  authorized  by  their  agencies   to   use   it,   and   to   authorized   Numerica   employees   for   the   purpose   of   maintaining   and  supporting   the   software.     Furthermore,   access   to   specific   records   in   Lumen   can   be   restricted  according  to  ‘need  to  know’  using  the  access  control  mechanisms  described  in  Section  III  Part  B  of  this  document.    These  access  control  mechanisms  can  be  used,  for  example,  to  limit  or  completely  block  access  to  juvenile  records  in  compliance  with  relevant  state  law.  

All  Numerica  employees  with  access  to  Lumen  are  subject  to  the  screening  and  training  requirements  of   the   FBI   CJIS   Security   Policy.     These   employees   are   fingerprinted   and   subject   to   a   criminal  background   investigation   by   the   Colorado   Bureau   of   Investigation   (CBI),   and   must   periodically  complete   CJIS   training   offered   by   CBI.     Furthermore,   each   such   employee   is   required   to   sign   and  submit   the   FBI   CJIS   Security   Addendum   Certification.     Agencies   in   states   other   than   Colorado  may  elect  to  conduct   independent  background   investigations  of  each  Numerica  employee  with  access  to  Lumen.  

Authentication.    All   logins   to   Lumen  must   comply  with   the  authentication   requirements  of   the  CJIS  policy.     Lumen   implements   advanced   authentication   for   all   users,   regardless   of   their   location.    Advanced  authentication  in  Lumen  is  accomplished  in  one  of  two  ways:  

• Client   SSL   certificates.     Numerica   generates   a   unique   cryptographically-­‐signed   certificate   for  each  user,  which  they  must  install  on  their  computer  or  mobile  device.    When  attempting  to  log  in  to  Lumen,  in  addition  to  this  certificate,  the  user  must  have  a  valid  login  and  password  to  access  Lumen.  

• Two   factor  authentication.    Users  can  opt   to   register  a  cell  phone  or   smart  phone  as  a   two-­‐factor   authentication   device.     When   logging   in   to   Lumen,   in   addition   to   the   login   and  password,  the  user  must  confirm  using  their  registered  device  that  the  login  is  authorized.  

Auditing  and   logging.    Certain  events,   including  password  changes,   failed   login  attempts,  document  access  and  download,  and  other  security-­‐related  events,  are  logged  for  security  and  audit  purposes.    

Lumen:  A  Law  Enforcement  Platform  for  Advanced  Analytics  

   

5042  Technology  Parkway  Suite  100  Fort  Collins,  CO  80528  –  P:  (970)  207-­‐2200–  www.numerica.us  

23  

Audit   logs   are   preserved   for   a  minimum  of   one   year.   Figure   16   shows   an   example   of   an   audit   log  displayed  directly  in  Lumen.  

Encryption.      All  data   in   transit  between  Lumen’s   servers  and  users   is  encrypted.   Lumen’s   software  and  servers  employ  encryption  software  and  algorithms  that  meet  the  FIPS  140-­‐2  standard.      

Physical  Security.  Numerica’s  secure  data  center  used  for  hosting  Lumen  is  physically  accessible  only  to  authorized  Numerica  personnel  and  is  protected  by  a  24/7  monitored  alarm  system.    Additionally,  it  is  supported  by  redundant  power,  cooling,  and  Internet  access  points  for  improved  reliability.      If  an  agency   elects   to   host   Lumen   internally,   it   is   responsible   for   implementing   physical   security   and  redundant  systems,  including  all  associated  costs.  

 

 

Figure  16.  Authorized  users  have  the  capability  to  view  and  search  the  audit  logs  for  every  resource  in  Lumen.      

 

Lumen:  A  Law  Enforcement  Platform  for  Advanced  Analytics  

   

5042  Technology  Parkway  Suite  100  Fort  Collins,  CO  80528  –  P:  (970)  207-­‐2200–  www.numerica.us  

24  

B.    Lumen  Application  Security  Model  

Lumen  provides  a  full-­‐featured  access  control  mechanism.  This  provides  the  ability  to  limit  access  to  individual   records   or   collections   of   records,   and   to   share   law   enforcement   data   among   consenting  agencies.     For   example,   an   agency   may   wish   to   limit   access   to   a   certain   database   to   the   gang  intelligence   section.     Lumen   is   capable   of   implementing   this   and   other   restrictions   flexibly.     This  section  gives  an  overview  of  the  security  measures  put  in  place  in  order  to  enable  this  feature.    

Access  Tokens  

Lumen   uses   access   tokens   to   enforce   permissions   within   the   application;   these   are   short   strings  describing   groups   of   users   that   can   have   different   restrictions   on   data   viewing.     The   tokens   are  defined   for  each  customer  during   the   installation  process,  and  can  also  be  modified  at  any   time  by  system  administrators.      

User  Tokens  

When  new  users  are  added  to  Lumen,  the  user  administrator  can  determine  which  access  tokens  the  user   will   obtain;   alternately,   those   tokens   can   be   read   directly   from   an   Active   Directory   server.  Generally,  users  should  obtain  all  the  tokens  available  to  the  agency.  However,  if  the  agency  has  setup  a   special  permissions  group   (e.g.,   internal  affairs  or   similar   sensitive  categories),   then   the  user  may  obtain  only  a  subset  of  the  available  tokens.      

Data  Collections  and  Collection  Tokens  

Lumen  uses  the  concept  of  data  collections  to  partition  portions  of  the  agency’s  data.  Each  of  these  collections  is  assigned  default  access  tokens  during  agency  onboarding;  these  tokens  may  be  the  same  as  the  agency  tokens,  or  they  may  be  a  subset  of  the  agency  tokens.  Collections  that  should  only  be  viewed  by  certain  users  can  have  a  restricted  set  of  tokens  applied.  

Record  Tokens  

Tokens  are  attached  to  customer  records  when  the  Lumen  servers  process  them.    A  record  belongs  to  exactly   one   data   collection,   and   the   collection   defines   the   maximum   set   of   tokens   that   may   be  attached   to   a   record.   Each   individual   record  may   receive   fewer   tokens   (i.e.,   a  more   restrictive   set)  than   its  parent  collection  based  on  rules   that  are  dynamically  applied   to   the  content  of   the   record.    For  example,  case  records  for  a  certain  type  of  case  may  have  a  different  set  of  access  tokens  applied  than  the  default  tokens  that  would  normally  be  used  for  case  records.  

Lumen:  A  Law  Enforcement  Platform  for  Advanced  Analytics  

   

5042  Technology  Parkway  Suite  100  Fort  Collins,  CO  80528  –  P:  (970)  207-­‐2200–  www.numerica.us  

25  

User  Access  

When  a  user  performs  a  search  or  analytical  query,  each  record  is  filtered  on  the  server  to  ensure  that  the   user   has   the   appropriate   access   tokens.   The   user   must   possess   at   least   one   access   token   in  common  with  a  record  in  order  for  that  record  to  be  included  in  search  or  analytical  results.  If  there  are   no   tokens   in   common   between   the   user’s   tokens   and   a   particular   record’s   tokens,   then   that  record  will  not  be  included  in  any  results  and  will  effectively  be  invisible  to  that  user.  

C.    Lumen  User  Identity  and  Access  Management  

Lumen  offers  a  full-­‐featured  identity  and  access  management  application.    This  application  is  available  only  to  privileged  users.    It  offers  the  following  capabilities:  

• User   provisioning.     User   accounts   are   created   and   modified   using   this   application.     Newly  provisioned  users   automatically   receive   an   email   once   their   account   is   created.       This   email  provides   instructions   on   account   activation,   including   setting   the   initial   password   and  configuring  two-­‐factor  authentication.  

• Access   management.     User   access   tokens   are   managed   by   an   administrator   through   this  application.     Administrators   can   set   up   access   groups,   add   and   remove   users   from   access  groups,  and  see  the  access  tokens  for  any  user.    Administrators  can  also  disable  user  accounts  from  this  application.  

• Password  reset.    Administrators  can  reset  passwords  for  users  from  this  application.  

 

Lumen  also  has  the  capability  to  sync  user  accounts,  including  access  tokens,  with  an  Active  Directory  domain.  

 

 

   

Lumen:  A  Law  Enforcement  Platform  for  Advanced  Analytics  

   

5042  Technology  Parkway  Suite  100  Fort  Collins,  CO  80528  –  P:  (970)  207-­‐2200–  www.numerica.us  

26  

IV.    Delivery,  Support,  and  Contracting  

A. Delivery  and  Support  

Lumen  can  be  delivered  in  two  forms:  

• Hosted  Lumen.     In  this   implementation,  there   is  no  additional  on-­‐site  hardware  necessary  to  support   the   Lumen   servers.     Numerica   is   responsible   for   owning   and   maintaining   server  hardware,   network   infrastructure,   and   related   facilities   and  materials   necessary   to   support  Lumen.     Users   of   hosted   Lumen   access   their   data   using   a   web   browser   from   any   location,  utilizing  CJIS-­‐compliant   two-­‐factor   authentication.       The   advantage  of   this   option   is   that   the  total   cost   of   ownership   is   lower,   and   agencies   can   share   data  within   Lumen  with   other   law  enforcement  agencies  as  desired.  

• On-­‐site  Lumen.    In  this  implementation,  the  Lumen  servers  are  hosted  internally  at  an  agency.    The   agency   is   responsible   for   providing   physical   security,   power,   cooling,   and   network  infrastructure  to  support  the  Lumen  servers.    Users  can  access  their  data  in  Lumen  using  a  web  browser,   as   long   as   the   user   has   access   to   the   internal   agency   network.     The   total   cost   of  ownership  (TCO)  of  the  on-­‐site  Lumen  is  higher  than  the  hosted  option.    The  advantage  of  this  option   is   that   the  data   remains  on-­‐site.    However,  data  sharing  with  other   law  enforcement  agencies  is  difficult  or  impossible  in  this  configuration.  

For  hosted  Lumen,  the  process  of  installing  and  configuring  Lumen  works  at  a  high  level  as  follows:  

1. Agency   downloads   and   installs   a   Lumen   virtual   appliance   that   runs   on   the   agency   network.    This   virtual   appliance   is   compatible   with   VMWare,   Hyper-­‐V,   and   most   other   virtualization  environments.  

2. Agency   provides   Numerica   with   appropriate   access   credentials   to   access   back-­‐end   systems  that  will  be  integrated  into  Lumen.  

3. Numerica   configures   the   virtual   appliance   to   access   the   back-­‐end   systems   that   will   be  integrated  into  Lumen.  

4. Numerica  configures  the  data  within  Lumen  to  meet  the  needs  of  agency  users.  5. Numerica  conducts  remote  and/or  on-­‐site  training  sessions  for  agency  users.  6. Installation  is  complete.  

For  on-­‐site  Lumen,  the  process  of  installing  and  configuring  Lumen  is  similar:  

1. Numerica  delivers  Lumen  server  hardware  to  agency  and  installs  and  configures  it  on-­‐site.      

Lumen:  A  Law  Enforcement  Platform  for  Advanced  Analytics  

   

5042  Technology  Parkway  Suite  100  Fort  Collins,  CO  80528  –  P:  (970)  207-­‐2200–  www.numerica.us  

27  

2. Agency   provides   Numerica   with   appropriate   access   credentials   to   access   back-­‐end   systems  that  will  be  integrated  into  Lumen.  

3. Numerica  configures  the  Lumen  server  hardware  to  access  and  integrate  the  back-­‐end  systems  that  will  be  integrated  into  Lumen.  

4. Numerica  configures  the  data  within  Lumen  to  meet  the  needs  of  agency  users.  5. Numerica  conducts  remote  and/or  on-­‐site  training  sessions  for  agency  users.  6. Installation  is  complete.  

Numerica   offers   telephone   and   online   Lumen   end-­‐user   support   by   default.     Additional   support  options,  including  on-­‐site  support,  are  available  if  desired.      

B. Contracting  

Hosted   Lumen   is   a   subscription   software-­‐as-­‐a-­‐service.     In   this  model,   the   agency   pays  Numerica   to  install   and   configure   Lumen   for   its   data   sources,   and   pays   a   recurring   annual   subscription   fee   for  continued  support,  maintenance,  and  access  to  Lumen.      Phone  and  online  support,  software  updates  (including   major   version   upgrades),   maintenance,   initial   training,   server   hardware   upgrades,   and  other  costs  are  all  included  in  this  fee.          

On-­‐site  Lumen   is  purchased  software  and  hardware.    In  this  option,  the  agency  buys  physical  Lumen  servers.     The   agency   pays   a   fee   for   purchasing   Lumen;   this   fee   includes   one   year   of   software  maintenance  and  support.  Subsequent  years  of  software  maintenance  and  support  are  avilable  on  an  annual   basis.     Phone   and   online   support,   initial   training,   and   minor   version   software   updates   are  included.     Hardware   upgrades   of   the   Lumen   servers   and  major   software   version   upgrades   are   not  included.      

 For  both  configurations,  the  following  options  are  available:  

• Additional  data  sources  can  be  added  at  any  time  for  a  modest  one-­‐time  fee.  • On-­‐site  training  is  available  at  an  additional  cost.  • On-­‐site  support  on  demand  (beyond  the  support  included  as  part  of  the  installation  process)  is  

available  at  a  preset  hourly  rate,  plus  travel  costs.  

Lumen:  A  Law  Enforcement  Platform  for  Advanced  Analytics  

   

5042  Technology  Parkway  Suite  100  Fort  Collins,  CO  80528  –  P:  (970)  207-­‐2200–  www.numerica.us  

28  

VI.    Numerica  Qualifications  and  Experience  

Numerica  Corporation   is   headquartered   in   Fort  Collins,   CO  and  was   founded   in  1996.    We  develop  advanced  technology  to  solve  challenging  information  problems  for  defense  and  security  applications.    A  majority  of  the  technical  staff  have  Ph.D.’s  in  computer  science  and  related  engineering  fields.      

Law  enforcement  is  a  key  business  area  for  Numerica.  For  nearly  four  years,  Numerica  engineers  have  been   designing   and   delivering   sophisticated   data   integration   and   analysis   software   used   on   a   daily  basis  by  command  staff,  investigators,  patrol  officers,  and  crime  analysts.      In  the  last  year,  Numerica’s  law  enforcement  business  has   grown  by  400%,   and  we  are  positioned   for   continued  growth   in   the  future.    We   recently   signed   an   agreement  with   the   Colorado   Information   Sharing   Consortium   that  makes   our   products   available   to   90   law   enforcement   agencies   and   nearly   10,000   officers,   for   the  purpose   of   enabling   better   use   and   sharing   of   law   enforcement   data.   This   demonstrates   the   law  enforcement  community’s  confidence   in  our  solutions  and  our  ability   to  successfully  perform   large-­‐scale   implementations.     Furthermore,   because   our   staff   and   our   facilities   are   highly   attuned   to  working   with   sensitive   information,   we   can   offer   the   highest   assurances   to   law   enforcement  customers  that  their  data  will  remain  secure.    

Our  work  in  law  enforcement  is  enhanced  by  our  prior  and  ongoing  work  for  the  US  government.    As  part  of  our  US  government  business,  Numerica’s  customers  include  US  Army,  Navy  and  Air  Force,  as  well   as   NASA,   DARPA,   the   Missile   Defense   Agency,   the   Defense   Threat   Reduction   Agency,   and  customers  in  the  federal  intelligence  community.    Our  work  for  these  customers  included  developing  key  software  components  for  some  of  the  largest,  highest-­‐performing  air  and  missile  defense  systems  in  the  world.    The  quality  of  our  work  was  recognized  by  2010  by  receiving  the  Northrop  Grumman  Information   Systems   Performance   Excellence   Award   –   one   of   just   50   that   Northrop   granted   to   its  10,000+  subcontractors   that  year.  Numerica  received  the  award   for  meeting  the  highest  criteria   for  schedule,   management   performance   and   responsiveness,   technical   performance,   and   quality   and  mission  assurance.    Then,  in  2011,  we  were  awarded  the  U.S.  Small  Business  Administration’s  Tibbetts  Award  for  our  top-­‐notch  performance  in  the  Small  Business  Innovative  Research  Program.    Just  forty-­‐four  companies  were  given  the  award  in  2011.