National Fingerprint File Qualification Requirements, 36209-36212 [05-12329]
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Federal Register / Vol. 70, No. 119 / Wednesday, June 22, 2005 / Notices
Signed at Washington, DC, this 2nd day of
June, 2005.
Linda G. Poole,
Certifying Officer, Division of Trade
Adjustment Assistance.
[FR Doc. E5–3236 Filed 6–21–05; 8:45 am]
BILLING CODE 4510–30–P
DEPARTMENT OF LABOR
Employment and Training
Administration
[TA-W–57,241]
Victor Forstmann, Inc.; East Dublin,
GA; Notice of Termination of
Investigation
Pursuant to Section 221 of the Trade
Act of 1974, as amended, an
investigation was initiated on May 24,
2005 in response to a worker petition
filed by the State of Georgia on behalf
of workers at Victor Forstmann, Inc.,
East Dublin, Georgia.
The petitioner has requested that the
petition be withdrawn. Consequently,
the investigation has been terminated.
Signed at Washington, DC, this 7th day of
June, 2005.
Elliott S. Kushner,
Certifying Officer, Division of Trade
Adjustment Assistance.
[FR Doc. E5–3235 Filed 6–21–05; 8:45 am]
BILLING CODE 4510–30–P
NATIONAL CRIME PREVENTION AND
PRIVACY COMPACT COUNCIL
Notice of Two Accepted Methods for
Determining Positive Identification for
Exchanging Criminal History Record
Information for Noncriminal Justice
Purposes
National Crime Prevention and
Privacy Compact Council.
ACTION: Notice.
AGENCY:
SUMMARY: Pursuant to the publication
requirement in title 42, United States
Code, 14616, Article VI(e), the Compact
Council, established by the National
Crime Prevention and Privacy Compact
(Compact) Act of 1998, is providing
public notice of two accepted methods
for determining positive identification
for exchanging criminal history record
information (CHRI) for noncriminal
justice purposes.
FOR FURTHER INFORMATION CONTACT:
Todd C. Commodore, FBI CJIS Division,
1000 Custer Hollow Road, Module C3,
Clarksburg, WV 26306; Telephone (304)
625–2803; e-mail tcommodo@leo.gov;
fax number (304) 625–5388.
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The
Compact establishes uniform standards
and processes for the interstate and
Federal-State exchange of criminal
history records for noncriminal justice
purposes. The Compact was approved
by the Congress on October 9, 1998,
(Pub. L. 105–251) and became effective
on April 28, 1999, when ratified by the
second state. Article VI of the Compact
provides for a Compact Council that has
the authority to promulgate rules and
procedures governing the use of the
Interstate Identification Index (III)
System for noncriminal justice
purposes. The III is the system of federal
and state criminal history records
maintained by the Federal Bureau of
Investigation (FBI).
Due to innovative noncriminal justice
initiatives in state and federal
communities, the Compact Council has
received numerous inquiries regarding
its interpretation of the definition of
positive identification which is defined
in the Compact, Article I (20), as
follows:
SUPPLEMENTARY INFORMATION:
The term ‘positive identification’ means a
determination, based upon a comparison of
fingerprints or other equally reliable
biometric identification techniques, that the
subject of a record search is the same person
as the subject of a criminal history record or
records indexed in the III System.
Identifications based solely upon a
comparison of subjects’ names or other
nonunique identification characteristics or
numbers, or combinations thereof, shall not
constitute positive identification.
At its May 2004 meeting, the Compact
Council accepted two methods for
determining positive identification for
the exchange of CHRI for noncriminal
justice purposes. By way of background,
ten-rolled fingerprints has been the
method to determine positive
identification for over 80 years in the
criminal justice community. The use of
ten-rolled fingerprints has also served as
the standard business practice in the
noncriminal justice community. As a
result of this long standing practice and
reliability of using ten-rolled
fingerprints to determine positive
identification, the Compact Council
formally accepted ten-rolled fingerprints
as one method of positive identification
for exchanging CHRI for noncriminal
justice purposes.
The FBI’s Criminal Justice
Information Services (CJIS) Division
conducted a study, known as the
National Fingerprint-based Applicant
Check Study (N–FACS), to examine the
reliability of using ten-flat fingerprints
for determining positive identification.
The results of the N–FACS study were
presented to the Compact Council at its
May 2004 meeting. After close
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36209
examination of various N–FACS pilot
program findings, the Compact Council
formally accepted ten-flat fingerprints as
another method for determining positive
identification for exchanging CHRI for
noncriminal justice purposes.
Hereafter, interested parties should
contact the FBI’s Compact Council
Office for future updates to the Compact
Council’s list of accepted methods of
positive identification for exchanging
CHRI for noncriminal justice purposes.
Further, information regarding a state or
federal agency’s acceptable standards
and technical capabilities to process
fingerprints should be obtained from the
State Compact Officer in a Compact
Party State’s criminal history record
repository, the Chief Administrator of
the State criminal history record
repository in a Nonparty State, or the
FBI Compact Officer for a federal or
regulatory agency.
In addition, the definition of positive
identification in Article I (20) of the
Compact refers to a ‘‘comparison of
fingerprints’’ without specifying the
number of fingerprint images.
Accordingly, the Compact Council has
determined that the definition is flexible
enough to accommodate any future
position the Compact Council may favor
concerning the use of less than tenrolled or ten-flat fingerprints when
acceptable reliability is sufficiently
documented. Future alternatives for
determining positive identification for
exchanging CHRI for noncriminal
justice purposes must be coordinated
with the CJIS Division. The scientific
reliability of any such future alternative
should not significantly deviate from
the reliability of ten-rolled fingerprints
or ten-flat fingerprints; nor shall it
degrade the standards for search
accuracy and/or computing capacity of
the Integrated Automated Fingerprint
Identification System as determined by
the CJIS Division. Agencies should
coordinate the submission of ten-flat
fingerprints with the CJIS Division.
Dated: May 12, 2005.
Donna M. Uzzell,
Compact Council Chairman.
[FR Doc. 05–12328 Filed 6–21–05; 8:45 am]
BILLING CODE 4410–02–P
NATIONAL CRIME PREVENTION AND
PRIVACY COMPACT COUNCIL
National Fingerprint File Qualification
Requirements
National Crime Prevention and
Privacy Compact Council.
ACTION: Notice of approval of the
National Fingerprint File (NFF)
AGENCY:
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Federal Register / Vol. 70, No. 119 / Wednesday, June 22, 2005 / Notices
Qualification Requirements as the
standards for NFF participation.
Authority: 42 U.S.C. 14616.
Pursuant to Title 42, United
States Code, section 14616, Article
VI(e), and Title 28, Code of Federal
Regulations (CFR), chapter IX, the
Compact Council (Council), established
by the National Crime Prevention and
Privacy Compact (Compact) Act of 1998,
approved the attached NFF
Qualification Requirements as the
standards for NFF participation (see
proposed rule ‘‘Qualification
Requirements for Participation in the
National Fingerprint File Program,’’
published in today’s Federal Register,
which is to be codified at 28 CFR 905).
The Council coordinated the
development of the NFF Qualification
Requirements with the Federal Bureau
of Investigation’s Criminal Justice
Information Services (CJIS) Division
staff and forwarded the document to the
CJIS Advisory Policy Board for its
endorsement prior to publication.
Hereafter, the most current version of
the NFF Qualification Requirements
will be available upon request to the
Compact Council Office, 1000 Custer
Hollow Road, Module C3, Clarksburg,
WV 26306, Attention: FBI Compact
Officer. Interested parties should
contact the Compact Council Office to
request the most current version prior to
utilizing the requirements document.
FOR FURTHER INFORMATION CONTACT:
Todd C. Commodore, FBI CJIS Division,
1000 Custer Hollow Road, Module C3,
Clarksburg, WV 26306; Telephone (304)
625–2803; e-mail tcommodo@leo.gov;
fax number (304) 625–5388.
SUPPLEMENTARY INFORMATION: Since both
the FBI and Compact Party States are to
participate in the NFF Program and each
has its unique system and
responsibilities as outlined in the
Compact, two sets of NFF Qualification
Requirements were developed. One set
applies to the requirements for the FBI’s
participation and the second for a
Compact Party State’s participation. The
requirements are set forth as follows:
SUMMARY:
FBI NFF Qualification Requirements
I. Fingerprint Identification Matters
A. The FBI shall establish and
maintain a National Fingerprint File
(NFF) of criterion 1 offenses provided by
criminal justice agencies.
B. The FBI shall maintain a National
Identification Index consisting of
1 If 28 CFR is amended to permit the inclusion of
all fingerprint-based arrests into the III System,
these qualification requirements shall be amended
accordingly.
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names, identifying numbers, and other
descriptive information relating to
record subjects about whom there are
criminal history records in the Interstate
Identification Index (III) System.
C. The FBI shall also maintain the
NFF consisting of a database of
fingerprints, or other uniquely personal
identifying information, relating to an
arrested or charged individual to
provide positive identification of record
subjects indexed in the III System.
D. The FBI shall accept state requests
for a criminal history record check of
the national indices, when such
requests are made under an approved
state statute. Such requests shall be
submitted only through the state central
criminal history record repository.
E. The FBI shall accept Federal
requests for criminal history record
checks of the national indices, when
such request are made under Federal
authority. Said requests shall be
submitted through the FBI or, if the state
consents to process a Federal agency’s
fingerprint submissions, through the
state central criminal history record
repository as coordinated with the FBI.
F. The FBI shall inform the state
central criminal history record
repository or Federal agency when
original fingerprint impressions
provided to the FBI are not of sufficient
quality to establish a subject’s record
and request that additional fingerprint
impressions be forwarded to the FBI.
G. For each offender, the NFF shall
maintain one full set of fingerprint
impressions 2 to support the
establishment of the subject’s record for
a NFF participating state.
H. The master fingerprint impressions
maintained at the FBI shall include all
ten fingers, noting amputation(s), scars,
or missing fingers.
I. The FBI will not accept or maintain
additional fingerprint submissions to
support subsequent individual arrest
events pertaining to a subject’s record
maintained by the NFF participating
state.
J. The FBI shall maintain fingerprint
submissions for criterion offenses from
NFF participating states that have a
unique State Identification Number
(SID) for each individual and shall
maintain only those fingerprint
submissions that contain a SID not
previously submitted from the NFF
participating states to establish a NFF
record.
2 Fingerprint impressions are the subject’s
fingerprints in the Criminal Master File, which
contain ten rolled and four plain impressions, and
may be a composite of the ‘‘best’’ images taken from
several sources (i.e., arrest, civil, probation,
corrections, court fingerprints, etc.). The source
document (impression) must be available to support
any image replacement in the master file.
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K. The FBI shall not maintain
multiple SIDs for the same individual
from the same state due to missed
identifications.
L. Fingerprint submissions containing
an SID previously submitted by a NFF
state to establish a NFF record shall be
returned to the state central criminal
history record repository for correction.
M. The FBI shall send electronic
messages via Criminal Justice
Information Services
telecommunications network(s) to the
NFF participating state regarding the
results of the FBI’s fingerprint
processing for subjects arrested for the
first time; the NFF participating state
may elect to receive electronic messages
regarding applicant fingerprint
submissions. 3
II. Record Content and III Maintenance
A. The FBI shall provide assistance to
the NFF participating state central
criminal history record repositories for
identifying and correcting record
discrepancies. FBI staff shall provide
timely assistance so that the state may
resolve record discrepancies within 90
calendar days of receiving the
synchronization tape from the FBI.
B. The FBI shall update the National
Identification Index and the NFF in a
timely manner to assure record
completeness and accuracy.
C. Upon receipt of a NFF participating
state’s Criminal Print Ident (CPI)
message, the FBI will advise the
appropriate agency 4 of the subject’s
current arrest status.
D. The FBI shall provide the NFF state
central criminal history record
repository a means to electronically
update the National Identification Index
with supplemental identifiers not
previously recorded (i.e., scars, marks,
tattoos, dates of birth, Social Security
numbers, miscellaneous numbers, and
aliases).
E. The FBI shall evaluate fingerprint
submissions for image quality and
feature vectors. The Criminal Master
File will be updated if the new
fingerprint impressions are of a better
quality than the master fingerprint.
3 There are three options presently available for
receiving responses for applicant processes. The
state may utilize: The electronic unsolicited III
messages reporting the results of applicant
fingerprint processing ($.A.CFN, $.A.CFR); the
Integrated Automated Fingerprint Identification
System (IAFIS) Submission Results—Electronic
(SRE) response which provides the identification
results as communicated over the CJIS Wide Area
Network; or the IAFIS System Type of Transaction
which generates a manual response to an electronic
fingerprint submission (NFFC).
4 Appropriate agency includes the agency that
entered the want on the individual and/or the
agency that registered the individual in the sex
offender file.
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Federal Register / Vol. 70, No. 119 / Wednesday, June 22, 2005 / Notices
F. The FBI shall conduct file
maintenance such as record corrections
and expungements in a timely manner
and notify the NFF participating state
central criminal history record
repository of the corresponding state
record maintenance. The FBI shall
conduct consolidations within two (2)
business days of notification; other file
maintenance shall be conducted within
seven (7) business days of notification.
III. Record Response
A. The FBI III System shall have
sufficient capability to provide a normal
on-line record response time 5 of ten
(10) minutes or less.
B. The FBI shall respond to III on-line
record requests electronically, providing
the FBI’s portion of a subject’s record to
include a listing of all other III/NFF
state record holders. The FBI shall
electronically notify the III/NFF state(s)
to send its portion of the record to the
requesting agency.
C. The FBI shall, upon positive
identification of the record subject,
electronically request the indexed NFF
portion(s) of the criminal history record,
noting the authorized purpose for the
record request. Upon receipt of the NFF
state record response, the FBI shall
append all portions of the subject record
and provide the record to the authorized
requesting agency(ies).
D. When the FBI’s III System cannot
provide on-line record responses within
ten (10) minutes, experienced personnel
shall be available as necessary to assist
with problem resolutions and to restore
the FBI III System capacity, allowing
timely on-line responses.
E. The FBI shall provide criminal
history records (those records for which
the FBI has assumed responsibility) for
all authorized purpose codes via III for
both criminal justice purposes and
noncriminal justice purposes as
authorized by Federal statute, Federal
Executive Order, or a State statute that
has been approved by the Attorney
General.
F. The FBI shall disseminate records
(containing NFF participating state(s)
data received by means of the III
System) for all authorized purpose
codes for both criminal justice purposes
and noncriminal justice purposes as
authorized by Federal statute, Federal
Executive Order, or a state statute that
has been approved by the Attorney
General.
5 Normal record response time should be
measured from the receipt of the incoming III online record request (QR) until the FBI transmits its
portion of the III record to the requesting agency
(CR) and notifies all other III/NFF state(s) which
maintain a portion of the record ($.A.CHR).
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IV. Accountability
A. The FBI Compact Officer shall be
responsible for ensuring that Compact
provisions and rules, procedures, and
standards prescribed by the Council are
complied with by the FBI.
B. The FBI shall have written
procedures requiring thorough testing of
upgrades or modifications to its
computer system(s) to detect software
errors and/or related procedural
problems, particularly on-line testing of
these changes to limit adverse effects to
the NFF system operations. The FBI
shall demonstrate adherence to the
procedures by documenting the test
results in writing.
State NFF Qualification Requirements
In order to participate in the NFF, a
state must first be capable of III
participation. A state which joins the
NFF subsequent to the enactment of the
National Crime Prevention and Privacy
Compact Act of 1998 must be a
signatory to the Compact. The following
NFF Qualification Requirements are
written to include and augment the
minimum standards for III participation.
I. Fingerprint Identification Matters
A. A NFF state shall maintain a
central criminal history record
repository with full technical fingerprint
search capability. A NFF state shall
perform technical searches 1 on both
applicant and criminal fingerprint
impressions prior to their submission to
the FBI. When an individual is
identified at the state level as having
records previously indexed in the
National Identification Index, the NFF
state shall notify the contributor of the
search results and provide the criminal
history record information if requested
on the fingerprint submission.
B. A NFF state shall collect and
maintain any appropriate criminal
history record information, including
dispositions, sealing orders, and
expungements, relevant to each offender
and the records maintained by that
state.
C. A NFF state’s central criminal
history record repository shall serve as
the sole conduit for the transmission of
non-federal applicant 2 and criminal
fingerprint impressions 3 for criterion
1 A technical search may consist of a name search
with candidate verification by fingerprint
comparison; short of that, a manual or AFIS search
of the state master fingerprint file is required.
2 A state may also at its discretion consent to
process federal applicant fingerprint submissions
through the repository in which such request
originated. See Compact Article V(c).
3 Criminal fingerprint impression may include a
fingerprint submission that supports or is linked to
an arrest event (i.e., includes corrections
fingerprints).
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36211
offenses 4 within the state to the FBI
(single source submission).
D. The total percentage of FBI
Integrated Automated Fingerprint
Identification System (IAFIS) rejects due
to low image quality on criminal
fingerprint submissions shall be less
than 0.5% of the total criminal
fingerprint submissions. The total
percentage of service provider rejects
due to insufficient, indiscernible,
erroneous or incomplete criminal
fingerprint image submissions shall be
less than 5%.
E. A NFF state shall not forward
criminal fingerprint impressions nor
related information for individuals
identified at the state level as having
records previously indexed in the
National Identification Index as NFF
records with the State Identification
Number (SID). Errors resulting from
forwarding fingerprint submissions for
previously indexed NFF records shall be
less than 2% of the total criminal
fingerprint submissions.
F. A NFF state participant shall
continue submitting criminal fingerprint
impressions for criterion offenses and
related information for individuals for
whom primary identification records
were established by the FBI prior to the
state’s becoming a NFF participant and
which are not identified by SIDs in the
National Identification Index by the
state or are FBI non-automated
identification records (i.e., the state has
not taken responsibility for managing or
controlling the III record).
G. Criminal fingerprint impressions
shall be forwarded to the FBI within two
(2) weeks of receipt at the state central
criminal history record repository.
H. A NFF state’s central criminal
history record repository shall maintain
the subject’s fingerprint impressions, or
copies thereof, to support each Indexed
record and shall maintain fingerprint
impressions, or copies thereof,
supporting each arrest event in each
such criminal history record.
I. The master fingerprint impressions
maintained at the state central criminal
history record repository shall include
all ten fingers, noting amputation(s),
scars, or missing fingers.
J. Additional/(subsequent) criminal
fingerprint impressions maintained at
the state central criminal history record
repository to support individual arrest
events may include less than all ten
fingers.
K. A NFF state shall submit to the FBI
criminal fingerprint impressions
4 If 28 CFR is amended to permit the inclusion of
all fingerprint-based arrests into the III System,
these qualification requirements shall be amended
accordingly.
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Federal Register / Vol. 70, No. 119 / Wednesday, June 22, 2005 / Notices
containing a unique SID for each
individual. The number of fingerprint
submissions that contain non-unique
SIDs shall be less than 0.25% of the
total criminal fingerprint submissions.
L. Missed identifications by the state’s
central criminal history record
repository resulting in the issuance of
multiple SIDs for the same individual
shall be less than 2% of total criminal
fingerprint submissions.
M. The state shall ensure that a SID
is on each criminal fingerprint
impression not identified at the state
level and submitted to the FBI for
establishment of a NFF record.
N. In those instances when the
applicant or criminal fingerprint
submission includes a request for the
rapsheet and/or the results of the search,
a NFF state shall either receive and
forward electronic messages concerning
the results of FBI fingerprint impression
processing to its fingerprint contributors
or shall print and mail these results.5
II. Record Content and III Maintenance
A. For each NFF record maintained,
the state’s central criminal history
record repository shall contain all
known fingerprint-based arrests, final
dispositions and custody/supervision
actions occurring in that state which are
reported to the state central criminal
history record repository pursuant to
applicable federal or state law.
B. A NFF state shall remove the SID
from a III record when corresponding
record data no longer exists at the state
level.
C. A NFF state shall conduct an audit
of III record synchronization with the
FBI at least twice a year to identify,
analyze, and correct record
discrepancies within 90 calendar days
of audit tape receipt from the FBI. A
NFF state shall maintain the
discrepancy reports resulting from the
last two (2) synchronization tapes.
D. Record completeness, accuracy,
and timeliness shall be considered by a
NFF state to be of primary importance
and shall be maintained at the highest
level possible.
E. When a second and/or subsequent
criminal fingerprint submission is
identified with an Indexed record by a
NFF state, the state shall send an
electronic Criminal Print Ident (CPI)
5 There are three options presently available for
receiving responses for applicant processes. The
state may utilize: The electronic unsolicited III
messages reporting the results of applicant
fingerprint processing ($.A.CFN, $.A.CFR); the
IAFIS Submission Results (SRE) response which
provides the identification results as communicated
over the CJIS Wide Area Network; or the IAFIS
System Type of Transaction which generates a
manual response to an electronic fingerprint
submission (NFFC).
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message to the FBI, no later than 24
hours after the arrest is posted within
the state’s central criminal history
record system.
F. A NFF state shall add supplemental
identifiers to Indexed records when a
second and/or subsequent criminal
fingerprint impression is identified by
the state and contains identifiers not
previously recorded.
G. Supplemental identifiers which
shall be added to the National
Identification Index include scars,
marks, tattoos, dates of birth, Social
Security numbers, miscellaneous
numbers, and aliases, obtained after
establishment of an offender’s primary
identification record by the FBI.
H. A NFF state shall submit criminal
fingerprint impressions to the FBI for
second and/or subsequent criterion
offenses if these fingerprint impressions
show new amputations or new
permanent scars.
I. NFF states shall submit ten-finger
fingerprint impressions to the FBI as
they become available when second
and/or subsequent offenses yield
improved image quality fingerprint
impressions.
J. Required record file maintenance
shall be conducted by NFF state
personnel based upon receipt of
unsolicited file maintenance messages
from the FBI via the III interface.
Unsolicited file maintenance messages
may include advisories of state/FBI
missed identifications or expungements
of the state SID. The state shall conduct
consolidations within two (2) business
days of notification; other file
maintenance shall be conducted within
seven (7) business days of notification.
III. Record Response
A. A NFF state’s automated criminal
history record system shall have
sufficient capability to provide a normal
on-line record response time of ten (10)
minutes or less.
B. A NFF state shall respond within
ten (10) minutes to III record requests
via the National Law Enforcement
Telecommunications Systems (NLETS)
with the record or an acknowledgment
and a notice of when the record will be
provided.
C. When a NFF state’s system cannot
provide on-line record responses within
ten (10) minutes, the state shall assign
personnel as necessary to resolve record
processing problems and to restore the
system’s capacity to provide timely online responses.
D. NFF state record responses shall
include literal translations of all
alphabetic and/or numeric codes in
order that the record responses can be
readily understood.
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E. A NFF state shall not include in its
III record response any out-of-state and/
or federal criminal history record
information maintained in its files.
F. A NFF state’s central criminal
history record repository shall provide
its indexed criminal history records in
response to all authorized requests
made through the NFF and III for
criminal justice purposes and, when
based on positive identification 6, for
noncriminal justice purposes as
authorized by the Compact.
G. In responding to a III record
request for a noncriminal justice
purpose, a NFF state shall provide the
entire record it maintains on the record
subject, except for information that is
sealed in accordance with the definition
of ‘‘Sealed Record Information’’ set out
in Art. I (21) of the Compact.
IV. Accountability
A. In NFF states that have ratified the
National Crime Prevention and Privacy
Compact, the Compact Officer shall be
responsible for ensuring compliance
with these qualification requirements.7
B. In the event a state ceases to
participate in the NFF for any reason,
the state shall reasonably assist the FBI
in reconstructing any fingerprint and
arrest/disposition record deficiencies
that otherwise would have been
submitted to the FBI during the state’s
NFF participation.
C. A NFF state shall have written
procedures requiring thorough testing of
upgrades or modifications to its
computer system(s) to detect software
errors and/or related procedural
problems, particularly on-line testing of
these changes to limit adverse effects to
the NFF system operations. A NFF state
shall demonstrate adherence to the
procedures by documenting the test
results in writing.
Dated: May 12, 2005.
Donna M. Uzzell,
Compact Council Chairman.
[FR Doc. 05–12329 Filed 6–21–05; 8:45 am]
BILLING CODE 4410–02–P
6 Responses to III name-based searches are
permitted for noncriminal justice purposes utilizing
purpose code ‘‘X’’ under the Compact Council
Fingerprint Submission Requirements Rule.
7 This requirement is inherent in the Compact
itself as stated in Article III(b)(1)(B) that the state
Compact Officer shall ensure that Compact
provisions and rules, procedures, and standards
established by the Council under Article VI are
complied with.
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]]>Agencies
[Federal Register Volume 70, Number 119 (Wednesday, June 22, 2005)]
[Notices]
[Pages 36209-36212]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 05-12329]
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NATIONAL CRIME PREVENTION AND PRIVACY COMPACT COUNCIL
National Fingerprint File Qualification Requirements
AGENCY: National Crime Prevention and Privacy Compact Council.
ACTION: Notice of approval of the National Fingerprint File (NFF)
[[Page 36210]]
Qualification Requirements as the standards for NFF participation.
-----------------------------------------------------------------------
Authority: 42 U.S.C. 14616.
SUMMARY: Pursuant to Title 42, United States Code, section 14616,
Article VI(e), and Title 28, Code of Federal Regulations (CFR), chapter
IX, the Compact Council (Council), established by the National Crime
Prevention and Privacy Compact (Compact) Act of 1998, approved the
attached NFF Qualification Requirements as the standards for NFF
participation (see proposed rule ``Qualification Requirements for
Participation in the National Fingerprint File Program,'' published in
today's Federal Register, which is to be codified at 28 CFR 905). The
Council coordinated the development of the NFF Qualification
Requirements with the Federal Bureau of Investigation's Criminal
Justice Information Services (CJIS) Division staff and forwarded the
document to the CJIS Advisory Policy Board for its endorsement prior to
publication. Hereafter, the most current version of the NFF
Qualification Requirements will be available upon request to the
Compact Council Office, 1000 Custer Hollow Road, Module C3, Clarksburg,
WV 26306, Attention: FBI Compact Officer. Interested parties should
contact the Compact Council Office to request the most current version
prior to utilizing the requirements document.
FOR FURTHER INFORMATION CONTACT: Todd C. Commodore, FBI CJIS Division,
1000 Custer Hollow Road, Module C3, Clarksburg, WV 26306; Telephone
(304) 625-2803; e-mail tcommodo@leo.gov; fax number (304) 625-5388.
SUPPLEMENTARY INFORMATION: Since both the FBI and Compact Party States
are to participate in the NFF Program and each has its unique system
and responsibilities as outlined in the Compact, two sets of NFF
Qualification Requirements were developed. One set applies to the
requirements for the FBI's participation and the second for a Compact
Party State's participation. The requirements are set forth as follows:
FBI NFF Qualification Requirements
I. Fingerprint Identification Matters
A. The FBI shall establish and maintain a National Fingerprint File
(NFF) of criterion \1\ offenses provided by criminal justice agencies.
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\1\ If 28 CFR is amended to permit the inclusion of all
fingerprint-based arrests into the III System, these qualification
requirements shall be amended accordingly.
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B. The FBI shall maintain a National Identification Index
consisting of names, identifying numbers, and other descriptive
information relating to record subjects about whom there are criminal
history records in the Interstate Identification Index (III) System.
C. The FBI shall also maintain the NFF consisting of a database of
fingerprints, or other uniquely personal identifying information,
relating to an arrested or charged individual to provide positive
identification of record subjects indexed in the III System.
D. The FBI shall accept state requests for a criminal history
record check of the national indices, when such requests are made under
an approved state statute. Such requests shall be submitted only
through the state central criminal history record repository.
E. The FBI shall accept Federal requests for criminal history
record checks of the national indices, when such request are made under
Federal authority. Said requests shall be submitted through the FBI or,
if the state consents to process a Federal agency's fingerprint
submissions, through the state central criminal history record
repository as coordinated with the FBI.
F. The FBI shall inform the state central criminal history record
repository or Federal agency when original fingerprint impressions
provided to the FBI are not of sufficient quality to establish a
subject's record and request that additional fingerprint impressions be
forwarded to the FBI.
G. For each offender, the NFF shall maintain one full set of
fingerprint impressions \2\ to support the establishment of the
subject's record for a NFF participating state.
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\2\ Fingerprint impressions are the subject's fingerprints in
the Criminal Master File, which contain ten rolled and four plain
impressions, and may be a composite of the ``best'' images taken
from several sources (i.e., arrest, civil, probation, corrections,
court fingerprints, etc.). The source document (impression) must be
available to support any image replacement in the master file.
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H. The master fingerprint impressions maintained at the FBI shall
include all ten fingers, noting amputation(s), scars, or missing
fingers.
I. The FBI will not accept or maintain additional fingerprint
submissions to support subsequent individual arrest events pertaining
to a subject's record maintained by the NFF participating state.
J. The FBI shall maintain fingerprint submissions for criterion
offenses from NFF participating states that have a unique State
Identification Number (SID) for each individual and shall maintain only
those fingerprint submissions that contain a SID not previously
submitted from the NFF participating states to establish a NFF record.
K. The FBI shall not maintain multiple SIDs for the same individual
from the same state due to missed identifications.
L. Fingerprint submissions containing an SID previously submitted
by a NFF state to establish a NFF record shall be returned to the state
central criminal history record repository for correction.
M. The FBI shall send electronic messages via Criminal Justice
Information Services telecommunications network(s) to the NFF
participating state regarding the results of the FBI's fingerprint
processing for subjects arrested for the first time; the NFF
participating state may elect to receive electronic messages regarding
applicant fingerprint submissions. \3\
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\3\ There are three options presently available for receiving
responses for applicant processes. The state may utilize: The
electronic unsolicited III messages reporting the results of
applicant fingerprint processing ($.A.CFN, $.A.CFR); the Integrated
Automated Fingerprint Identification System (IAFIS) Submission
Results--Electronic (SRE) response which provides the identification
results as communicated over the CJIS Wide Area Network; or the
IAFIS System Type of Transaction which generates a manual response
to an electronic fingerprint submission (NFFC).
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II. Record Content and III Maintenance
A. The FBI shall provide assistance to the NFF participating state
central criminal history record repositories for identifying and
correcting record discrepancies. FBI staff shall provide timely
assistance so that the state may resolve record discrepancies within 90
calendar days of receiving the synchronization tape from the FBI.
B. The FBI shall update the National Identification Index and the
NFF in a timely manner to assure record completeness and accuracy.
C. Upon receipt of a NFF participating state's Criminal Print Ident
(CPI) message, the FBI will advise the appropriate agency \4\ of the
subject's current arrest status.
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\4\ Appropriate agency includes the agency that entered the want
on the individual and/or the agency that registered the individual
in the sex offender file.
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D. The FBI shall provide the NFF state central criminal history
record repository a means to electronically update the National
Identification Index with supplemental identifiers not previously
recorded (i.e., scars, marks, tattoos, dates of birth, Social Security
numbers, miscellaneous numbers, and aliases).
E. The FBI shall evaluate fingerprint submissions for image quality
and feature vectors. The Criminal Master File will be updated if the
new fingerprint impressions are of a better quality than the master
fingerprint.
[[Page 36211]]
F. The FBI shall conduct file maintenance such as record
corrections and expungements in a timely manner and notify the NFF
participating state central criminal history record repository of the
corresponding state record maintenance. The FBI shall conduct
consolidations within two (2) business days of notification; other file
maintenance shall be conducted within seven (7) business days of
notification.
III. Record Response
A. The FBI III System shall have sufficient capability to provide a
normal on-line record response time \5\ of ten (10) minutes or less.
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\5\ Normal record response time should be measured from the
receipt of the incoming III on-line record request (QR) until the
FBI transmits its portion of the III record to the requesting agency
(CR) and notifies all other III/NFF state(s) which maintain a
portion of the record ($.A.CHR).
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B. The FBI shall respond to III on-line record requests
electronically, providing the FBI's portion of a subject's record to
include a listing of all other III/NFF state record holders. The FBI
shall electronically notify the III/NFF state(s) to send its portion of
the record to the requesting agency.
C. The FBI shall, upon positive identification of the record
subject, electronically request the indexed NFF portion(s) of the
criminal history record, noting the authorized purpose for the record
request. Upon receipt of the NFF state record response, the FBI shall
append all portions of the subject record and provide the record to the
authorized requesting agency(ies).
D. When the FBI's III System cannot provide on-line record
responses within ten (10) minutes, experienced personnel shall be
available as necessary to assist with problem resolutions and to
restore the FBI III System capacity, allowing timely on-line responses.
E. The FBI shall provide criminal history records (those records
for which the FBI has assumed responsibility) for all authorized
purpose codes via III for both criminal justice purposes and
noncriminal justice purposes as authorized by Federal statute, Federal
Executive Order, or a State statute that has been approved by the
Attorney General.
F. The FBI shall disseminate records (containing NFF participating
state(s) data received by means of the III System) for all authorized
purpose codes for both criminal justice purposes and noncriminal
justice purposes as authorized by Federal statute, Federal Executive
Order, or a state statute that has been approved by the Attorney
General.
IV. Accountability
A. The FBI Compact Officer shall be responsible for ensuring that
Compact provisions and rules, procedures, and standards prescribed by
the Council are complied with by the FBI.
B. The FBI shall have written procedures requiring thorough testing
of upgrades or modifications to its computer system(s) to detect
software errors and/or related procedural problems, particularly on-
line testing of these changes to limit adverse effects to the NFF
system operations. The FBI shall demonstrate adherence to the
procedures by documenting the test results in writing.
State NFF Qualification Requirements
In order to participate in the NFF, a state must first be capable
of III participation. A state which joins the NFF subsequent to the
enactment of the National Crime Prevention and Privacy Compact Act of
1998 must be a signatory to the Compact. The following NFF
Qualification Requirements are written to include and augment the
minimum standards for III participation.
I. Fingerprint Identification Matters
A. A NFF state shall maintain a central criminal history record
repository with full technical fingerprint search capability. A NFF
state shall perform technical searches \1\ on both applicant and
criminal fingerprint impressions prior to their submission to the FBI.
When an individual is identified at the state level as having records
previously indexed in the National Identification Index, the NFF state
shall notify the contributor of the search results and provide the
criminal history record information if requested on the fingerprint
submission.
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\1\ A technical search may consist of a name search with
candidate verification by fingerprint comparison; short of that, a
manual or AFIS search of the state master fingerprint file is
required.
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B. A NFF state shall collect and maintain any appropriate criminal
history record information, including dispositions, sealing orders, and
expungements, relevant to each offender and the records maintained by
that state.
C. A NFF state's central criminal history record repository shall
serve as the sole conduit for the transmission of non-federal applicant
\2\ and criminal fingerprint impressions \3\ for criterion offenses \4\
within the state to the FBI (single source submission).
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\2\ A state may also at its discretion consent to process
federal applicant fingerprint submissions through the repository in
which such request originated. See Compact Article V(c).
\3\ Criminal fingerprint impression may include a fingerprint
submission that supports or is linked to an arrest event (i.e.,
includes corrections fingerprints).
\4\ If 28 CFR is amended to permit the inclusion of all
fingerprint-based arrests into the III System, these qualification
requirements shall be amended accordingly.
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D. The total percentage of FBI Integrated Automated Fingerprint
Identification System (IAFIS) rejects due to low image quality on
criminal fingerprint submissions shall be less than 0.5% of the total
criminal fingerprint submissions. The total percentage of service
provider rejects due to insufficient, indiscernible, erroneous or
incomplete criminal fingerprint image submissions shall be less than
5%.
E. A NFF state shall not forward criminal fingerprint impressions
nor related information for individuals identified at the state level
as having records previously indexed in the National Identification
Index as NFF records with the State Identification Number (SID). Errors
resulting from forwarding fingerprint submissions for previously
indexed NFF records shall be less than 2% of the total criminal
fingerprint submissions.
F. A NFF state participant shall continue submitting criminal
fingerprint impressions for criterion offenses and related information
for individuals for whom primary identification records were
established by the FBI prior to the state's becoming a NFF participant
and which are not identified by SIDs in the National Identification
Index by the state or are FBI non-automated identification records
(i.e., the state has not taken responsibility for managing or
controlling the III record).
G. Criminal fingerprint impressions shall be forwarded to the FBI
within two (2) weeks of receipt at the state central criminal history
record repository.
H. A NFF state's central criminal history record repository shall
maintain the subject's fingerprint impressions, or copies thereof, to
support each Indexed record and shall maintain fingerprint impressions,
or copies thereof, supporting each arrest event in each such criminal
history record.
I. The master fingerprint impressions maintained at the state
central criminal history record repository shall include all ten
fingers, noting amputation(s), scars, or missing fingers.
J. Additional/(subsequent) criminal fingerprint impressions
maintained at the state central criminal history record repository to
support individual arrest events may include less than all ten fingers.
K. A NFF state shall submit to the FBI criminal fingerprint
impressions
[[Page 36212]]
containing a unique SID for each individual. The number of fingerprint
submissions that contain non-unique SIDs shall be less than 0.25% of
the total criminal fingerprint submissions.
L. Missed identifications by the state's central criminal history
record repository resulting in the issuance of multiple SIDs for the
same individual shall be less than 2% of total criminal fingerprint
submissions.
M. The state shall ensure that a SID is on each criminal
fingerprint impression not identified at the state level and submitted
to the FBI for establishment of a NFF record.
N. In those instances when the applicant or criminal fingerprint
submission includes a request for the rapsheet and/or the results of
the search, a NFF state shall either receive and forward electronic
messages concerning the results of FBI fingerprint impression
processing to its fingerprint contributors or shall print and mail
these results.\5\
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\5\ There are three options presently available for receiving
responses for applicant processes. The state may utilize: The
electronic unsolicited III messages reporting the results of
applicant fingerprint processing ($.A.CFN, $.A.CFR); the IAFIS
Submission Results (SRE) response which provides the identification
results as communicated over the CJIS Wide Area Network; or the
IAFIS System Type of Transaction which generates a manual response
to an electronic fingerprint submission (NFFC).
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II. Record Content and III Maintenance
A. For each NFF record maintained, the state's central criminal
history record repository shall contain all known fingerprint-based
arrests, final dispositions and custody/supervision actions occurring
in that state which are reported to the state central criminal history
record repository pursuant to applicable federal or state law.
B. A NFF state shall remove the SID from a III record when
corresponding record data no longer exists at the state level.
C. A NFF state shall conduct an audit of III record synchronization
with the FBI at least twice a year to identify, analyze, and correct
record discrepancies within 90 calendar days of audit tape receipt from
the FBI. A NFF state shall maintain the discrepancy reports resulting
from the last two (2) synchronization tapes.
D. Record completeness, accuracy, and timeliness shall be
considered by a NFF state to be of primary importance and shall be
maintained at the highest level possible.
E. When a second and/or subsequent criminal fingerprint submission
is identified with an Indexed record by a NFF state, the state shall
send an electronic Criminal Print Ident (CPI) message to the FBI, no
later than 24 hours after the arrest is posted within the state's
central criminal history record system.
F. A NFF state shall add supplemental identifiers to Indexed
records when a second and/or subsequent criminal fingerprint impression
is identified by the state and contains identifiers not previously
recorded.
G. Supplemental identifiers which shall be added to the National
Identification Index include scars, marks, tattoos, dates of birth,
Social Security numbers, miscellaneous numbers, and aliases, obtained
after establishment of an offender's primary identification record by
the FBI.
H. A NFF state shall submit criminal fingerprint impressions to the
FBI for second and/or subsequent criterion offenses if these
fingerprint impressions show new amputations or new permanent scars.
I. NFF states shall submit ten-finger fingerprint impressions to
the FBI as they become available when second and/or subsequent offenses
yield improved image quality fingerprint impressions.
J. Required record file maintenance shall be conducted by NFF state
personnel based upon receipt of unsolicited file maintenance messages
from the FBI via the III interface. Unsolicited file maintenance
messages may include advisories of state/FBI missed identifications or
expungements of the state SID. The state shall conduct consolidations
within two (2) business days of notification; other file maintenance
shall be conducted within seven (7) business days of notification.
III. Record Response
A. A NFF state's automated criminal history record system shall
have sufficient capability to provide a normal on-line record response
time of ten (10) minutes or less.
B. A NFF state shall respond within ten (10) minutes to III record
requests via the National Law Enforcement Telecommunications Systems
(NLETS) with the record or an acknowledgment and a notice of when the
record will be provided.
C. When a NFF state's system cannot provide on-line record
responses within ten (10) minutes, the state shall assign personnel as
necessary to resolve record processing problems and to restore the
system's capacity to provide timely on-line responses.
D. NFF state record responses shall include literal translations of
all alphabetic and/or numeric codes in order that the record responses
can be readily understood.
E. A NFF state shall not include in its III record response any
out-of-state and/or federal criminal history record information
maintained in its files.
F. A NFF state's central criminal history record repository shall
provide its indexed criminal history records in response to all
authorized requests made through the NFF and III for criminal justice
purposes and, when based on positive identification \6\, for
noncriminal justice purposes as authorized by the Compact.
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\6\ Responses to III name-based searches are permitted for
noncriminal justice purposes utilizing purpose code ``X'' under the
Compact Council Fingerprint Submission Requirements Rule.
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G. In responding to a III record request for a noncriminal justice
purpose, a NFF state shall provide the entire record it maintains on
the record subject, except for information that is sealed in accordance
with the definition of ``Sealed Record Information'' set out in Art. I
(21) of the Compact.
IV. Accountability
A. In NFF states that have ratified the National Crime Prevention
and Privacy Compact, the Compact Officer shall be responsible for
ensuring compliance with these qualification requirements.\7\
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\7\ This requirement is inherent in the Compact itself as stated
in Article III(b)(1)(B) that the state Compact Officer shall ensure
that Compact provisions and rules, procedures, and standards
established by the Council under Article VI are complied with.
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B. In the event a state ceases to participate in the NFF for any
reason, the state shall reasonably assist the FBI in reconstructing any
fingerprint and arrest/disposition record deficiencies that otherwise
would have been submitted to the FBI during the state's NFF
participation.
C. A NFF state shall have written procedures requiring thorough
testing of upgrades or modifications to its computer system(s) to
detect software errors and/or related procedural problems, particularly
on-line testing of these changes to limit adverse effects to the NFF
system operations. A NFF state shall demonstrate adherence to the
procedures by documenting the test results in writing.
Dated: May 12, 2005.
Donna M. Uzzell,
Compact Council Chairman.
[FR Doc. 05-12329 Filed 6-21-05; 8:45 am]
BILLING CODE 4410-02-P
