Graduated sanction/progressive response system and method for automated monitoring, scheduling and notification Number:7,522,060 from the United States Patent and Trademark Office (PTO) owispatent An integrated, multi-function management system and method that allows criminal justice professionals and criminal justice agencies to enhance the efficiency and quality of their operations. The method includes a unique framework of one or more agency customized protocols that guides and assists the process by which criminal justice professionals carry out their supervision responsibilities for the offender caseload. The method further includes case configuration for individual offenders, infraction handling for individual or groups of infractions, sanction/response handling using multiple factors to determine if a subject should have their case conditions change, case review information that uses business rules to draw attention to important matters, and alert/report processing that assures that the right individuals are notified of case status changes so that they can act in a timely way. Further, the method integrates a multiplicity of possible choices and factors into a prescribed protocol to increase consistency and measurability, thereby improving agency results.<H notification, progressive, Graduated, sanct, 7522060.html, Patent, pto, 7522060

Title: Graduated sanction/progressive response system and method for automated monitoring, scheduling and notification

Abstract: An integrated, multi-function management system and method that allows criminal justice professionals and criminal justice agencies to enhance the efficiency and quality of their operations. The method includes a unique framework of one or more agency customized protocols that guides and assists the process by which criminal justice professionals carry out their supervision responsibilities for the offender caseload. The method further includes case configuration for individual offenders, infraction handling for individual or groups of infractions, sanction/response handling using multiple factors to determine if a subject should have their case conditions change, case review information that uses business rules to draw attention to important matters, and alert/report processing that assures that the right individuals are notified of case status changes so that they can act in a timely way. Further, the method integrates a multiplicity of possible choices and factors into a prescribed protocol to increase consistency and measurability, thereby improving agency results.

Patent Number: 7,522,060 Issued on 04/21/2009 to Tumperi, et al.

Inventors: Tumperi; Eric D. (Decatur, GA), Johnson; Charles G. (Lilburn, GA), Merrigan; Kyle E. (Roswell, GA), Cohen; Andrew H. (Vienna, VA), Cameron; Dorian (Snellville, GA), Gatch; Mary G. (Sullivans Island, SC)
Assignee: Anytransactions, Inc. (Decatur, GA)

Appl. No.: 11/380,145

Filed: April 25, 2006

Related U.S. Patent Documents


Application Number	Filing Date	Patent Number	Issue Date
60674719	Apr., 2005

Current U.S. Class: 340/573.4 ; 340/5.82; 340/5.84; 713/186

Current International Class: G08B 23/00 (20060101)

Field of Search: 340/5.82,5.84,573.4,539.13 713/186 704/246

References Cited [Referenced By]

U.S. Patent Documents


4843377	June 1989	Fuller et al.
6072396	June 2000	Gaukel
6405213	June 2002	Layson et al.
6463127	October 2002	Maier et al.
7278028	October 2007	Hingoranee
2002/0067272	June 2002	Lemelson et al.
2004/0174264	September 2004	Reisman et al.
2005/0285747	December 2005	Kozlay

Primary Examiner: Mullen; Thomas J
Attorney, Agent or Firm: Hustins; Dana T. Smith, Gambrell & Russell, LLP

Parent Case Text

CROSS-REFERENCE TO RELATED APPLICATIONS

This application claims the benefit of U.S. Provisional Application 60/674,719 filed on Apr. 25, 2005, which is incorporated herein by reference in its entirety.

Claims

What is claimed is:

1. A computer-implemented method for managing behavior of an individual comprising the steps of: establishing a configuration of rules on a computer network that includes a multi-step protocol for behavior of at least one individual; associating a contact for notification of a detected behavior of the at least one individual meeting a predefined threshold of the protocol; providing a computerized message to the at least one individual initiated from the computer network according to the protocol; detecting behavior of the at least one individual based on an action or a lack of an action from the at least one individual; recommending modification of the configuration of rules to the contact based on automatically detecting the behavior of the at least one individual; and automatically notifying the contact when the predefined threshold of the protocol is met.

2. The method according to claim 1, wherein the contact is a government contact and the configuration of rules is a case configuration.

3. The method according to claim 2 further comprising: managing a protocol condition selected from the group consisting of a supervision condition and a treatment alternative; and administering the protocol condition via the computer network.

4. The method according to claim 2 further comprising modifying the case configuration based on automatically detecting the behavior of the at least one individual.

5. The method according to claim 2 further comprising automatically recommending modification of the case configuration to the government contact based on automatically detecting the behavior of the at least one individual.

6. The method according to claim 2 further comprising automatically tracking results of behavior of a plurality of individuals and generating one or more reports based on one or more classification categories assigned to individuals and their associated protocols.

7. The method according to claim 2 further comprising monitoring results of modification of the case configuration according to a transition recommendation.

8. The method according to claim 1 further comprising verifying identity of the at least one individual using biometrics.

9. The method according to claim 8 further comprising establishing physical location of the at least one individual during the computerized message.

10. The method according to claim 8 further comprising delivering random drug test notifications and drug test results upon a successful biometric check-in.

11. The method according to claim 8 further comprising delivering payment status and reminders upon a successful biometric check-in.

12. The method according to claim 8 further comprising providing an interactive dialog interview upon a successful biometric check-in.

13. The method according to claim 1 further comprising randomizing the computerized messages to the at least one individual.

14. The method according to claim 1 wherein the computerized message is selected from the group consisting of positive reinforcement, negative reinforcement and appointment reminder.

15. The method according to claim 1 further comprising verifying identity of the at least one individual using voice biometrics.

16. A computer-implemented method for managing behavior of an individual comprising the steps of: establishing a configuration of rules on a computer network that includes a protocol for behavior of at least one individual; associating a contact for notification of a detected behavior of the at least one individual meeting a predefined threshold of the protocol; providing a computerized message to the at least one individual initiated from the computer network according to the protocol; detecting behavior of the at least one individual based on a response or a lack of a response from the at least one individual; and automatically providing computerized message feedback to the individual in response to detecting behavior of the at least one individual.

17. The method according to claim 16 further comprising initiating a random schedule of computerized messages to the at least one individual and establishing physical location of the at least one individual during each computerized message.

18. The method according to claim 16 wherein the contact is a caretaker and the at least one individual is under the care of the caretaker.

19. The method according to claim 16 further comprising verifying identity of the at least one individual using voice biometrics.

20. The method according to claim 16 further comprising automatically tracking results of behavior of a plurality of individuals and generating one or more reports based on one or more classification categories assigned to individuals and their associated protocols.

Description

BACKGROUND

The invention relates generally to the field of electronic monitoring and supervision in the criminal justice field. More specifically, embodiments of the invention relate to systems and methods for computerized management of offenders being supervised by criminal justice agencies and their staff.

As the use of probation and other community supervision programs has grown over the past twenty years (to over 6,000,000 adults and juveniles in 2005), the pressure on increasing caseloads and officer efficiency has likewise increased. Combined with the recent phenomenon of the tightening of federal, state and local tax budgets, criminal justice agencies are faced with increasing quantity and complexity of caseloads with the same or lesser budgets. There is a call for best practices, a greater use of automation, and an intelligent program design that is proven effective to solve the variety of community supervision needs.

In many countries, and particularly the United States of America, it is well known that the criminal justice system makes great use of probation, parole and pretrial release to ease overcrowding of jails, for alternative sentencing, for specialized treatment programs, and other purposes that require a human services involvement to address criminal behavior that does not or no longer requires incarceration. The courts, local, state and federal, and probation departments place individuals on special forms of community supervision that require electronic supervision--providing a measure of confidence and security that these offenders are being more closely watched and supervised than would be possible by human means alone.

The use of electronic monitoring, or electronic supervision, has been widely used in the industry for well over fifteen years. Electronic monitoring has been dominated by the use of radio frequency bracelet monitoring, and more recently global positioning satellite (GPS) monitoring--both requiring the use of wearable devices that cannot be removed from the body of the offender during their electronic supervision period. Additionally, these forms of hardware-based monitoring systems are prone to false alerts, logistical issues, break/fix issues associated with the wearable devices, and with a high total cost of ownership.

The variety of cases and offender behavior management techniques are numerous. An example of a mode of community supervision is intensive supervision. For this mode, caseloads per officer are between 15 and 30 cases, and elements include active probation officer intervention, job skills enhancement, education, electronic monitoring, drug and alcohol testing, and temporary incarceration. The officer applies any or all of these elements based on the needs of the individual case. Another example of a mode of community supervision is treatment oriented. For this mode, caseloads per officer are 20-40, and elements include active case manager intervention, treatment, therapy, drug and alcohol testing, electronic supervision and temporary incarceration. The officer applies any or all of these elements based on the needs of the individual case. Another example of a mode of community supervision is (standard) probation. For this mode, caseloads range from 30-80 for juvenile offenders and from 40-120 for adult offenders, and elements include periodic probation officer interaction, education, electronic monitoring or supervision, drug and alcohol testing, and temporary incarceration. The officer applies any or all of these elements based on the needs of the individual case. Another example of a mode of community supervision is administrative probation. For this mode, caseloads per officer can range from 150 to 300, and elements include infrequent officer contact, maintaining a record of home address, employment and other important probation conditions (such as non use of drugs, alcohol, etc.). In any court system, state or local probation system, these modes and others are customized to the local laws, the history and the culture of the judicial system, and the needs and wants of the community.

The needs of an individual case--to control their substance abuse, their behaviors that lead to criminality, their emotional instability, their cognitive skills deficits, their non-compliant behavior while on probation, and/or their likelihood or potential to reoffend are all case characteristics that require a case manager/probation officer to intelligently apply a variety of case management tools. Electronic supervision is useful alone or in conjunction with many of these case conditions.

An electronic supervision program restricts movement during certain hours of the days of the week, and the allowable locations at which an offender may be. For example, a curfew program might require an offender to be at home between 8 pm and 7 am every day. A house arrest program might require being home 7 days by 24 hours a day except for work schedule. A truancy program might require that a juvenile offender be at school every day.

When an offender is placed on electronic supervision, the compliance or non-compliance to the terms of electronic supervision vary based on history of the probation staff and court's response to non-compliance, on the experience a case has with authority figures, on the amount of positive or negative consequences for non-compliance (such as a long term jail stay, removal from a diversion program, etc.). However, since caseloads can be overwhelming for many officers, the ability to respond in a timely fashion is challenging to nearly impossible on a consistent basis. Thus the effectiveness of electronic supervision, unless closely managed with officers having small caseloads, is often called into question by criminal justice practitioners.

In recent years, the criminal justice field has developed and refined many initiatives in the field of best practices surrounding the concept generically called graduated sanctions/progressive response. In these initiatives and studies, agencies have developed protocols and program designs that use a series of tools (as mentioned herein) that aim to provide timely and measured consequences to non-compliant behavior, and in some cases to provide meaningful incentives for compliance. To date, the use of electronic supervision is considered simply as one of many tools along a wide continuum of case management choices. The deployment of any graduated sanction/progressive response system has been done via paper-based documentation, officer training, and recordkeeping information systems.

SUMMARY OF THE INVENTION

Although there are many electronic monitoring systems available to criminal justice agencies--radio frequency bracelets, GPS bracelets and other voice monitoring systems, these traditional electronic monitoring systems are limited to narrow applications for monitoring a limited set of fixed conditions in fixed locations. In contrast, the invention addresses monitoring, management and communications across a wide variety of supervision and treatment conditions in multiple locations, and is adaptable to dynamic change in those conditions, in accordance with pre-defined protocols specified by the supervising agency, in response to compliance or non-compliance of the person being supervised. The continued growth of community supervision, their respective caseload pressures, and the need to avoid complexities and unnecessary tasks or costs make it imperative that criminal justice agencies find new and novel ways to manage their cases more effectively (reducing recidivism), more efficiently (doing it in less time) and more consistently (allowing for best practices to be learned, understood and promulgated). Therefore it is useful for a criminal justice agency to have a tool for instituting, automating and managing their agency specific graduated sanctions and progressive response protocols in combination with electronic supervision and communications.

In one embodiment, the invention provides an integrated, multiple-function electronic supervision management system that allows criminal justice agencies to adopt and automate graduated sanction and progressive response protocols in order to enhance the efficiency and effectiveness of their operations.

One aspect of the present invention provides methods for managing offenders. Methods according to this aspect of the invention include selecting a customized protocol from among a group of agency specific protocols, personalizing the offender schedule, messaging parameters and other supervision conditions and treatment components, and activating the automated supervision and protocol handling system. The method further includes measuring outcomes of offender compliance and non-compliance and comparing those against protocol thresholds, communicating important case specific messages with the offender related to their observed behavior and requesting and storing offender responses as required by the protocol, providing essential and actionable alert and report information to the appropriate agency officials so that their responses to offender behavior can be timely and measured in a way that optimizes outcomes. The method further includes systematic measurements of outcomes, across multiple dimensions of case management tools, to allow for continuous improvements in agency-specific graduated sanction/progressive response protocols. The method further includes aggregation of protocol outcome data across multiple criminal justice agencies, allowing participating agencies to benefit from the experiences and improvements discovered in their peer organizations around the world.

Systems according to embodiments of the invention include a data store for storing case activated agency-specific protocols, events and messages, compliance and non-compliance data for electronic supervision and affiliated officer case management information. The data store includes information relating to operational requirements for running and managing a single system across a multitude of independent agencies, the digital imprint and audio record of every offender interaction with the voice monitoring system, closed loop recordkeeping on all offender and officer responses to all notable events (such as a missed check-in), data representations of agency-specific protocols present and past and associated case and transition histories, data representations and stored voice message fragments that are built into meaningful and timely offender messages, triggers and thresholds used by business rule engines to make real time decisions during offender check-in phone calls, during officer online sessions, and for periodic processing steps that accumulate and aggregate information across a series of single case events and/or across a universe of cases (within an agency or across agencies). The system further includes secure data communications access to authorized users whose credentials allow them access to role and agency level information, outbound and inbound telephony connections to the public telephone switched network to enable offender voice authentication and communications, subject authentication engine to perform biometric voice verification and location authentication using Automated Number Identification, and compliance control mechanisms embodied in an automated scheduling engine that interfaces case protocol settings (expectations, triggers, and responses) with the real time interactions of live offender check-in calls. The system further includes automated business rules processors that are used during live offender check-in calls to personalize the messages they receive based on their current check-in call condition (compliant or non-compliant) and for the cumulative effect of their overall protocol status, are used during sanction/response handling to determine if a subject has met a condition requiring an officer's attention or requiring an automated response and related change of monitoring conditions, and are used to determine and deliver immediate alert and summary alert information to the appropriate agency personnel. The system further includes agency customization functions, protocol customization for electronic supervision components and settings, protocol administration for controlling and managing current, past and future protocol modifications in an orderly and assured fashion, and interview/messaging customization allowing for the definition, management, and event trigger definitions for interview and messaging communications components of the voice monitoring system.

Other objects and advantages of the systems and methods will become apparent to those skilled in the art after reading the detailed description of the preferred embodiment.

BRIEF DESCRIPTION OF THE DRAWINGS

FIG. 1 is a block diagram of an exemplary computer in an embodiment of the present invention.

FIG. 2 is a block diagram of an exemplary computer network in an embodiment of the present invention.

FIG. 3 is a block relational diagram an exemplary application architecture in an embodiment of the present invention.

FIG. 4 is a block relational diagram of an exemplary framework of the individual offender enrollment, compliance and authentication modules in an embodiment of the present invention.

FIG. 5 is a block relational diagram of an exemplary framework of the individual offender messaging modules in an embodiment of the present invention.

FIG. 6 is a block relational diagram of an exemplary framework of the individual offender messaging modules in an embodiment of the present invention.

FIG. 7 is a block relational diagram an exemplary framework of the supporting messaging mechanisms in an embodiment of the present invention.

FIG. 8 is a block relational diagram an exemplary framework of the case management modules in an embodiment of the present invention.

FIG. 9 is a block relational diagram an exemplary framework of the agency customization modules in an embodiment of the present invention.

FIG. 10 is a block relational diagram illustrating an exemplary structure of various user displays in an embodiment of the present invention.

FIG. 11 is a screen display of a browser window showing an exemplary dashboard (home page) in an embodiment of the present invention.

FIG. 12 is a screen display of a browser window showing an exemplary program summary display in an embodiment of the present invention.

FIG. 13 is a screen display of a browser window showing an exemplary case summary display in an embodiment of the present invention.

FIG. 14 is a screen display of a browser window showing an exemplary set of printable client instructions in an embodiment of the present invention.

FIG. 15 is a screen display of a browser window showing an exemplary group infraction handling display in an embodiment of the present invention.

FIG. 16 is a screen display of a browser window showing an exemplary closed loop infraction report display in an embodiment of the present invention.

FIG. 17 is a screen display of a browser window showing an exemplary case configuration display in an embodiment of the present invention.

FIG. 18 is a screen display of a browser window showing an exemplary schedule change request and change history display in an embodiment of the present invention.

FIG. 19 is a browser window showing an exemplary protocol transition display in an embodiment of the present invention.

FIG. 20 is a sample control document of an exemplary protocol customization in an embodiment of the present invention.

FIG. 21 is a screen display of a browser window showing an exemplary protocol administration display in an embodiment of the present invention.

FIG. 22 is a flow diagram illustrating an exemplary graduated response method in an embodiment of the present invention.

FIG. 23 is a flow diagram illustrating an exemplary protocol customization method in an embodiment of the present invention.

FIG. 24 is a flow diagram illustrating an exemplary sanction/response handling method in an embodiment of the present invention.

FIG. 25 is a flow diagram illustrating an exemplary alert/report processor for sanction/response method in an embodiment of the present invention.

FIG. 26 is a flow diagram illustrating an exemplary officer case review method in an embodiment of the present invention.

FIG. 27 is a flow diagram illustrating an exemplary case transition method in an embodiment of the present invention.

FIG. 28 is a flow diagram illustrating an exemplary protocol template customization method in an embodiment of the present invention.

DETAILED DESCRIPTION OF THE INVENTION

Embodiments of the invention will be described with reference to the accompanying drawings and figures wherein like numbers represent like elements throughout. The invention is illustrated for the criminal justice profession in handling and managing the peculiarities of their caseloads (probation offenders, pretrial defendants, etc.). However, the invention is not limited by this example and can be applied to other applications requiring interaction and communications between government contacts (whether they be government employees, government contractors or volunteers performing services on behalf of a government entity) and their respective caseloads such as state and local departments of children and family services, federal, state and local health, welfare and human services agencies who interact and communicate with clients regarding a wide variety of assessments, needs, services and programs. Further, it is to be understood that the phraseology and terminology used herein is for the purpose of description and should not be regarded as limiting. The use of "including", "comprising", or "having" and variations thereof herein is meant to encompass the items listed thereafter and equivalents thereof as well as additional items. The terms "mounted", "connected", and "coupled" are used broadly and encompass both direct and indirect mounting, connecting and coupling. Further, "connected" and "coupled" are not restricted to physical or mechanical connections or couplings. It will also be appreciated that the lettered designations represent connection reference points common to the subject letter within and across figures

In one embodiment, the invention provides an online service that provides functions including customization of workflow for electronic supervision of and management for a plurality of offender case classifications so that greater effectiveness and greater efficiencies can be achieved. These functions include compliance control via randomization of check-ins and location management; random outbound notifications and inbound check-in call processing; subject voice authentication processing with specialized use of alternate speech models and statistical comparisons to achieve higher rates of accuracy; subject communications delivery of messages including positive reinforcement, negative reinforcement, meeting reminders, drug test notifications, or payment reminders, as well structured phone-based interview question and answer interactions or single requests for additional information; case configuration allowing for selection of protocols, related classification choices and the flexibility to allow for case personalization; infraction handling to allow for closed loop documentation; case review processing via online tools that highlight important exceptions, complete case files or individual events as needed; alert processing for immediate, summary and consolidated alert information; automated sanction/response handling for measuring and comparing outcomes; automated alert/report processor for sanction/response events to ensure appropriate officials are notified of time critical events; sanction/response handling for officers to enable and make decisions in the context of chosen protocols in response to measured outcomes; agency customization for establishing an agency-specific operational framework for monitoring, messaging and case management protocols; officer profile management for officer communications standards and alert profile mechanisms; protocol customization for the definition of monitoring, messaging and case management and for protocol threshold definition; protocol administration for managing operational components that provide real-time support to other system components, and provide recordkeeping and audit trails; interview/messaging customization for creating, modifying and managing agency-specific question/answer sets, and standard message modules and for settings that support business rules.

Embodiments of the invention provide online access to an application via the Internet allowing criminal justice agencies to implement a graduated sanction/progressive response system that incorporates and integrates monitoring, messaging and case management. The framework of the application allows an agency to customize the standard workflows by which they monitor, message and manage a case, as well as allow an agency to personalize any case as required. The functionality of the application provides the agency personnel with a personalized home page (dashboard) providing them a role-based view of the information in the system that displays the following: a set of one-button links to important actions or summary information such as case set-up, all active/historical cases for the entire agency, individual case check-in history, schedule summary, court report (accumulation of infractions), deactivate/reactivate a case, add/cancel calls, and daily call report. Furthermore, the functionality available from the dashboard also includes critical information and easy links to act upon that information, such as: program summary of all active cases, transition recommendation count, a listing of all cases with unresolved failed check-ins, and a listing of all cases pending voice enrollment, and all cases about to expire or recently expired. Furthermore, the functionality of the dashboard provides simple access to mechanisms related to making schedule changes via the schedule change request function. Files maintained for each case include their assigned protocol(s), their assigned risk level(s), the record of all successful outcomes and violations, a record of all transition actions taken by an officer, detailed check-in history, a record of the date, time and location (phone number) of each notification call, check-in call, and unexpected call, and a catalog of every audio file sample taken during voice authentication processing and all messages captured from the offender during their interaction phone sessions with the voice monitoring system. Files maintained for each authorized user include their associated cases, their history of log-ins including which web pages they visited (and when), what case changes they made (and when), their alert/report mechanism profile(s), their history of received protocol transition recommendations and related decisions and case notes. Files maintained for each agency include the aggregation of all data about their cases and officers, agency specific protocols for monitoring, messaging and case management with associated control documents and control dates for maintaining an audit trail, agency specific customizations of messages and interview question/answer sets, their pricing structure in support of the integrated billing and payment system, and their affiliation with a larger district/state organization or their affiliation with a third party service provider (enabling the third party service provider to have master access to their respective agencies' operational data. Reports are provided online as well by automated, scheduled generation and sent by email communications. The invention provides notification when any items of interest require attention (as determined by protocol, subject risk level, and officer alert mechanism) as well as supervisor follow-up for items that are deemed important to the successful operation of the voice monitoring, messaging and government contacts (whether they be government employees, government contractors or volunteers performing services on behalf of a government entity) management system.

In one embodiment, the invention is deployed as a web-enabled framework and is accessed through a GUI (Graphical User Interface). The application code resides on one or more centralized servers accessible through the Internet. Users access the framework by accessing the GUI via a web-enabled browser such as Microsoft IE (Internet Explorer) or others over the Internet using Internet standards and scripting languages including HTML (Hypertext Markup Language), DHTML (Dynamic HTML), Javascript, and Java. A user contacts the web server hosting the application and requests information or resources. The web server locates, and then sends the information to the web browser, which displays the results.

An embodiment of a computer 37, executing the instructions of one embodiment of the invention is shown in FIG. 1. A representative hardware environment is depicted which illustrates a typical hardware configuration of a computer. Each computer 37 includes a CPU 36, memory 35, a local data transfer bus 32, a communication suite 33 with external ports 34, 37, a network interface and protocol suite 31, hard disk drive 25, speaker(s) 27, printer port 28, optional CD drive 26, and GUI 21 includes a graphics display such as a CRT, fixed-pixel display or others (e.g. monitor) 22, a keyboard 24, pointing device 23 such as a mouse to provide an easy-to-use, user interface for the invention. The communication suite 33 and external modem ports 34 allow bi-directional communication between the computer 37, other computers 37, and external compatible devices using communication protocols such as IEEE 802.3 (Ethernet), RS (Recommended Standard) 232, 422, USB (Universal Serial Bus) and others. The network protocol suite 31 and external ports 29 allow for the physical network connection and collection of protocols when communicating over a network. Protocols such as TCP/IP (Transmission Control Protocol/Internet Protocol) suite, IPX/SPX (Internetwork Packet eXchange/Sequential Packet exchange), SNA (Systems Network Architecture), and others. The TCP/IP suite includes IP (Internet Protocol), TCP (Transmission Control Protocol), ARP (Address Resolution Protocol), and HTTP (Hypertext Transfer Protocol). Each protocol within a network protocol suite has a specific function to support communication between computers on a network. The GUI 21 includes a graphics display such as a CRT, fixed pixel display or others, a key pad, keyboard or touchscreen 24 and pointing device 23 such as a mouse, trackball, optical pen, or others to provide an easy to use, user interface for the invention. The computer 37 can be a handheld device such as an Internet appliance, PDA (Personal Digital Assistant), Blackberry device or conventional personal computer such as a PC, Macintosh, or UNIX based workstation running their appropriate operating system capable of communicating with a computer over guided or unguided media. The CPU 36 executes compatible instructions or software stored in the memory 35. Those skilled in the art will appreciate that the invention may also be practiced on platforms and operating systems other than those mentioned.

The invention is executed preferably on a server in an Internet environment or using a network. Networks allow more than one user to work together and share resources with one another. Aside from distributing processing, a network provides centralized storage capability, security and access to resources.

Network architectures vary for LANs (Local Area Networks), WANs (Wide Area Networks), and networks that use terminals to connect to mainframes. Some examples of LAN network architectures include Ethernet, token ring, FDDI (Fiber Distributed Data Interface) and ATM (Asynchronous Transfer Mode). The capability of individual computers 37 being linked together as a network is familiar to one skilled in the art.

In one embodiment, as shown in FIG. 2, a subject communicates with the system via a telephone 41. A telephone is an instrument that converts voice and other sound signals into a form that can be transmitted to/from a remote location; these include fixed, mobile and IP phones 41. The subject calls into the system by dialing a phone number (typically toll free). The signals are transferred to the system via the telephony network. The PSTN 50 (public switched telephone network) is the world's collection of interconnected voice-oriented, circuit-switching, public telephone networks--both commercial and government-owned. The call is delivered to the system via the PSTN system, and ISDN (Integrated Services Digital Network) voice T1 (also known as Digital Signaling) line. The voice T1 line originates in the telephone exchange, or central office, telephony switch--4/5ESS 44 (Electronic Switching System). The voice T1 line is terminated in the speech recognition client server 54. Signaling on the line provides ANI (Automatic Number Identification) that identifies the phone number of the telephone that originated the call. The signaling also provides information digits, also known as OLI (Originating Line Identifier) information. This information can indicate the types of devices that originated the call.

An example network 59 executing the invention framework is shown in FIG. 2. In one embodiment, the invention resides in a data center on four primary servers 51, 52, 53, and 55. Server 51 is an Oracle application server running on the Linux operating system, database server 52 an Oracle database server running on the Linux operating system, server 53 is a Nuance speech server running on Microsoft Win2000 Server, and server 55 is a NAS (Network Area Storage) System. When a subject calls into the system, from a telephone 41, the call is connected to the speech recognition client server 54 via the PSTN 50 and the telephony switch 44. All communications to and from any component in the network 59 to another pass through a cross connected high speed switch 48. The information provided through the voice T1 signaling provides location and device origination information to the application running on the speech fee recognition client server 54. The voice verification engine, running on the speech recognition and verification server 53, verifies the authenticity of the user from information stored in the voiceprint database 75 shown in FIG. 3. The voice recognition application 68, running on the speech fee recognition client server 54, uses information stored in the database 61 to interact with the user and determine the proper dialog and call flow. The voice recognition application uses the speech recognition engine on the speech server 53 to interpret and understand the user's utterances. Data for the calling session and the outcome of the session is stored in the database 61. Database data and media data from the calling session is stored in the NAS (Network Application Storage) disk array 55. When a user accesses the web application, from a computer 37, they are connected to the application server 51 through the proxy server 46 via the Internet 58. The user's requests are interpreted by the web application running on the application server 51. The web application accesses, retrieves and updates data in the database 61. The web application builds web pages and delivers (serves) them to the user, through the proxy server 46 via the Internet 58. A remote power management component, enabling turning on and turning off power to any component in the network 59, is connected to from an authorized user through IP communications 42 or via a modem 45 through the public switched telephone network 50. As one skilled in this art will recognize that other application server platforms and frameworks can be used such as Microsoft IIS, WebLogic, WebTrends, WebSphere, Jboss, and others. Also, other database server platforms can be used such as IBM DB2, Microsoft SQL Server, Informix, and others.

Dedicated and duplicated firewall hardware 47 and software are used to enforce security policies. The firewall software is configured to allow for a combination of multiple, independent "secure zones" (aka DMZs) inside the network. The firewalls are intelligent and remotely manageable. The system has the capability to activate a backup firewall 47 in the event that a primary firewall 47 fails to operate correctly. The router 43 determines the next network point to which a data packet should be forwarded enroute to its destination. And, it determines which way to send each data packet based on its current understanding of the state of the network(s). The proxy server 46 acts as an intermediary between the Application Server and the Internet. When an authorized user types in the log-in URL, the request is translated and delivered to the application server (that is behind the firewall). The application server generates the requested web pages, and the Web pages are delivered (served) to the user through the proxy server. The proxy server is running SSL (Secure Socket Layer) Security certificates; it encodes the data using 128-bit encryption. The duplicated proxy server(s) 46 are located inside of the DMZ. A secure connection is made between the Proxy Server 46 and the Application Server 51 to provide protection from the threat of Internet attacks. There is at least one backup proxy server 46 that is configured and brought on-line in the event that a primary proxy server 46 goes down.

In one embodiment of the invention, the management, messaging, reporting, and other user accessible components of the invention are deployed as a web-enabled application. The Web application 76 is written using JSP (Java Server Pages) in HTML (Hyper-Text Markup Language). The application use Java Servlets 77 to support the web application functionality. The application uses Servlets 77 and stored procedures 65 to implement business rules and functionality. The web application code operates on an Oracle Application Server running on the application server 51. The application server 51 is a hardware/software platform that delivers content/information to the end user via the Internet. The server interprets requests and constructs pages based on information in the system database (content/data repository). A user contacts the application server 51 and requests actions or activities, creates/updates data, and/or retrieves information or reports. The application server 51 executes the requested actions, gathers the result/outcome, and displays the result to the end user.

In one embodiment of the invention, all operational and historic data/information is stored and organized in a RDBMS (Relational Database Management System) SQL (Structured Query Language) server 52 and supporting storage system 55. The RDBMS is a client/server Oracle database running on Linux operating systems. The database server 52 processes requests from the application server 51 and speech server 53, implements the requests, and sends the results back to the requesting server. Stored procedure modules 65, to implement the system business rules, run within the database 61. All operation, historical and media data is physically stored in a central NAS Server 55. The storage server 55 can share date between the database server 52, application server 51 and the speech server 53. The server 55 replicates database data locally within the array and backs up database data to a disaster recovery site. The storage server 55 has redundant hardware and disk arrays to insure high availability of data, allowing for online replacement of any component in the disk array, including the upgrading of the CPUs themselves.

The Speech Servers 53 and 54 are configured in an N+1 configuration, each containing speech recognition and verification software, and various APIs to support speech application 68 programming. Incoming/outgoing phone calls are handled by the Recognition Client Servers 54 that run a Dialogic speech processing adapter. The initiation, call/dialog flow, and outcome of the telephony sessions, are controlled by the voice monitoring application. The speech application software 68 executes call/dialog flow based on the command/control/status information retrieved from the database. The telephony (voice T1) lines are delivered via 4ESS/5ESS telephony switches. The lines are terminated directly into Intel Dialogic equipment (boards) that are housed in the Speech Recognition Client Server 54 or via telephony switches 44 that are connected via a data interface adapter to the Recognition Client Server 54. In the event of a failure of an active speech server 53 or 54 respectively, a backup speech server 53 or 54 is activated to take responsibility for that associated workload.

The network 59 executing the invention framework is shown in FIG. 2 includes an N+1 back-up server configuration for Application Servers 51, Database Server 52, Speech Server 53 and Speech Recognition Client Server 54. At least one of the application servers 51 is designated as a backup server, and is (are) on standby at all times. The backup application server(s) 51 can be activated in the event of a failure of one of the primary application servers 51. At least one of the speech servers 53 is designated as the backup speech server(s), and is (are) on standby at all times. The backup speech server(s) 51 can be activated in the event of a failure of one of the primary speech servers. At least one identical Database Server 52, being updated via replication files throughout the day, is on standby at all times for availability purposes. A separate data replication stream is sent to a disaster recovery back-up site. Those skilled in the art will appreciate that the invention may also be practiced on platforms and operating systems other than those that have been mentioned.

The web application 76 is built using web-based technology and is available everywhere to authorized users that are connected to the Internet 60 from computers 37 via web browsers 38 such as Internet Explorer or Mozilla FireFox. Individual computers 37, at a plurality of locations, can communicate with the web applications server 51, via the proxy server 46, which in turn communicates with the database server 52. In this manner a communication path is established between the browser running on a computer 37 and the application server 51 and the database server 52.

Further referencing FIGS. 3 and 4, and with continuing to reference FIG. 2, in one embodiment, the database stores all current and historical data and information for the system 63 (e.g. agency data, protocol data & definitions, case data, monitoring info, employee/officer information, subject data & information, alert info, messaging and interview data). The database 61 stores all configurations, operational and outcome data & information for system applications and processes (e.g. Web interface, protocols, monitoring, speech, messaging and interview). The database contains the call schedule tables and the messaging and interview queues 62. The stored procedures 65 contain the methods and mechanisms to implement system processes and business rules. The stored procedures 65 implement: interfacing to the web application 76 to support user interface features and functions, execution and implementation of billing modules, the building and execution of daily and monthly call schedules, building and execution of messaging and interviews, implementation of check-in sequencing, support of outbound calling/notification, support and interaction for subject check-ins, support of voice enrollment and verification, support for application logging, evaluation of check-in data and information, reporting of check-in, messaging & interview results, alerting and reporting/notification of check-in exceptions, implementation and execution of graduated sanction protocols, notification of graduated sanction outcomes and recommendations. The voiceprint database 75 stores the biometric parameters that define a subjects voiceprint. The voiceprints are accessed by the speech application 68 to authenticate a subject when they check into the system. The audio file tables 64 store audio recording data that is captured during check-in, messaging and interview sessions. The audio file storage 66 stores the audio utterances that are captured during the check-in authentication process 106. The audio files are physically stored on the storage system 55.

The user interacts with the system via the Web browser 38. The Web pages, running on the browser 38, use HTML (Hyper Text Markup Language) and Javascript 73 to display the pages, obtain information and commands from the user, and perform data checking. The user's Web browser connects to the application server instance 51 via the Internet 60. The application server 51 implements a secure login to the system using the authentication processes that are supported by the J2EE objects 71. The application server functionality is implemented and supported by J2EE (infrastructure) objects 71. The web application's 76 features and functionality are implemented by Web page functionality (code modules), J2EE objects 71, servlets 77, and stored procedures 65. The Web application 76, running on the application server 51, and supported by the J2EE objects 71, builds the requested Web pages (populated with the appropriate data). The requested Web pages are delivered to the user by the application server 51. The Web application 76 also interacts directly with the database 61 to access/update data as necessary. The Web interface allows the user to access and utilize all features and functionality that their role allows them (e.g. overall system state and status, case setup and configuration, case editing, case review, alert/infraction reporting and handling, protocol configuration and status, protocol transitions, sanction response and handling, message creation and scheduling, interview creation and scheduling, status and reporting, failed check handling and resolution, and billing system).

Computerized contacts with the subject can include all subject to system interactions requiring a biometric measurement, such as voiceprint authentication via a communications device, finger print authentication via scanners and sensors, facial and/or body recognition via remote camera, iris scan via remote scanner, DNA authentication via remote DNA sensors or any form of implanted device that determines the authenticity of a subject being involved in an interaction. Those skilled in the art will appreciate that the invention may also be practiced on any of these forms of remote biometric authentication mechanisms. In further embodiments, in addition or as an alternative to biometric identifications, verification during computerized contacts can include other personal identification mechanisms including the use of passwords, codes, passkeys, physical identification devices (including implanted technologies) and the like.

The subject typically interacts with the system via a telephone 41. The user calls into the speech application 68. The call is connected to the speech recognition server client 54 via the PSTN (Public Switched Telephone Network) 50 and the Telephony Switch 44. The call is connected to the speech application 68 via the Nuance speech channel. The speech application 68 is implemented by the speech application modules supported by the Nuance speech objects 68, the Nuance speech channel, and the Java objects 72. The user is authenticated by the voice authentication application 68 running on the speech recognition server client 54 and the verification server 53. The user interacts with one or more speech application 68 modules (e.g. enrollment, authentication, check-in, messaging, and interview). The user's utterances are recognized by the speech recognition engine running on the speech recognition server 53. The call/dialog flow is controlled by the speech application 68, the user's inputs and responds and interacts with stored procedures 65 running in the database 61. The speech application can record responses from the user, the utterances are stored as voice data files in the audio file tables 64 or as audio recording files in the audio file storage 66. Upon the completion of the call flow the system will hang-up the phone line and terminate the session.

In one embodiment of the invention, the randomly placed and prescheduled check-in times for the subject, are generated on a daily basis by a call scheduling module 101 as shown in FIG. 4. The call scheduling module schedules check-in notification calls during the subject's available monitoring window(s) based on a combination of: (1) the subject's schedule for the day--available monitoring times (windows), (2) a random selection pattern (using random number generation method) and (3) the number of random check-in calls for the day, and (4) the call distribution business rules (based on the times and duration of the monitoring windows). This will generate a pseudo-random random schedule, of check-in calls, in the subject's calling window(s). The call schedule is generated on a daily basis, and the random number generation method is re-seeded for each call schedule. Also, the random quantity of check-in calls 101 may be changed from one day to the next (e.g. if a monitoring call plan is set to 4 for a case, during any given 24 hour period, the subject might be scheduled to receive 3, 4, 5 or more check-in notification calls). Therefore, the call schedule that is generated will be random from one day to the next 101. In addition, based on subject risk profile, protocol chosen and agency profile settings, a subject will receive between 0 to 2, or more, additional check-in calls (on a daily basis). These quick call back check-in notification calls 101 will occur within 10-30 minutes after the successful completion of a scheduled check-in call at step 102. The system can also be configured to contact an alternate phone number 109 to allow for calling around busy signals, or to directly notify a subject via cell phone in a large household or halfway house. If the initial call(s) to the scheduled check-in phone number results in a busy signal (quantity defined as an agency variable), the system can then automatically call an alternate notification number (e.g. a cell phone or pager with the subject) to notify them that a check-in is now due at step 102. Whether a subject check-ins successful or fails to check-in after some number of notification attempts, a complete check-in record is created and saved in the data store 209 (FIG. 8).

In one embodiment of the invention, the system places notification calls at step 102 to the subject phone number based on the daily call schedule as defined in the offender bio information 202 shown in FIG. 8. The subject has a set period of time, as defined in agency customization 302 shown in FIG. 9, to respond to the notification call (usually 3-4 minutes). If the subject fails to call back and check-in, or if the phone line was busy, then the system will call again. After an agency-defined number of attempts 302 (FIG. 9) to contact the subject the system will mark the call as missed. The call schedule module also schedules pre-scheduled (inbound only) check-in calls from one or more locations based on the activity schedule for the subject 202 (FIG. 8). The activity locations can include work, school, community service and other approved locations/activities as designed by the protocol or by a customized case schedule. The system also supports the scheduling of random check-in calls at step 102 at two or more approved locations during the monitoring period. The approved check-in times and locations as defined in the offender bio information 202 have: (1) phone numbers, (2) time allowed between check-ins (specific to each location pair) and time sensitivity allowed (to accommodate differences in travel time), and (3) time(s) and day(s) during the week, when check-ins from each location are allowed. Use of subject's mobile phone number 202 as alternate check-in device is supported if the mobile device also carries location sensing information (such as global positioning satellite coordinates). If a case is allowed to be monitored on location flexible tracking 202, so that they are required to call in from one of N approved locations (again, with time/day sensitivity for each location), the system will check a subject out of one location and into another upon their check-in arrival call. Random monitoring at step 102 can then be initiated at an approved location (such as home location) once subject checks-in. This allows for subject to "relocate" to another approved location upon the check-out/check-in method, and then have the random check-in program adjust to the new location dynamically. If a subject succeeds or fails to check-in during the scheduled check-in window, a complete check-in record 111 will be created and stored in the data store 209.

With continuing reference to FIGS. 4 and 8, the system provides a randomizing mechanism 101 for a subject to be monitored for a set number of days during a month as defined in the offender case configuration 202. The mechanism will generate a random monthly calling schedule for each subject that is on a monthly calling plan. The monthly call scheduling module system will select the scheduled check-in days bases on a combination of: (1) the number of scheduled monitoring days per month, (2) the number of scheduled monitoring days for a given week in the month and (3) random selection patterns using random number generation methods. The monthly scheduler generates a call schedule on a weekly basis (for each week in the month). The number of scheduled call days for the week may be modified from one week to the next. For example, if a subject is on a ten call a month plan, then they would get either two or three calls in any given week. Also, the random number generator is re-seeded for each call schedule. This will generate a pseudo-random random monthly calling call schedule that will be random from one week to the next, and from one month to the next.

With further reference to FIGS. 5 and 6 and continuing reference to FIGS. 4 and 8, in one embodiment of the invention, the subject calls into the system at step 103 in response to a notification call to the subject phone number, found in the case configuration 202 (FIG. 8), or at a pre-scheduled check-in time 202. Similarly, a subject may also engage in the check-in call upon the initial notification call. The subject's calling phone number is identified via ANI (Automatic Number Identification). At the outset of an inbound phone call, the subject is identified by the calling phone number. If more that one subject shares the same phone number, the system will use additional dialog steps to identify the proper caller. If the subject cannot be identified (as an authorized user of the system) the system asks the caller to explain why they are calling. The call results and the audio explanation are stored in the data store 209, and then the call session is terminated. If the subject is identified, then their identity is verified at step 104 using voice biometric data that is stored in the voiceprint database 75 shown in FIG. 3. If the subject does not pass voice verification a failed check-in record is generated 111, and the Fail Verify Speech Analysis process 105 is initiated as shown in FIG. 6. The system will check the daily call schedule to determine if the subject has a pending, scheduled check-in. If so, the system logs the call 209 and updates the call schedule with the results of the check-in. The check-in results include: time of call, location of call, whether the call was late or on time, verification results, audio explanations and responses from the subject, and a listing of any messages delivered and their associated responses. If a subject is late or calling from a bad location, a failed check-in record will be created. If the subject is checking in late, checking in from an unauthorized location, or fails to pass voice verification the system will request an explanation from the subject at step 115. The explanation will be recorded in an audio file and stored in the data store 209. The file name of the explanation file will be stored as part of the subject's current check-in record. If the subject has missed a previous check-in (failed to call-in/check-in within the scheduled check-in window) the system will request an explanation. The explanation will be recorded in an audio file and stored in the data store 209. The file name of the explanation file will be stored as part of the subject's corresponding missed check-in record. If the subject did not have a scheduled call, then the system asks the caller to explain why they are calling. The call results and the explanation are logged 209. The system then checks to see if the subject has any messages or any ot