Survey of State Criminal History Information Systems, 20

O MB No. XXXX-XXXX: Approval Expires XX/XX/XXXX

Survey of State Criminal History Information Systems,

2

Those of you who have responded to the survey in past years will notice major changes in both process and format, the most significant being that your submissions will be input and collected online. Some questions have been added, while others have been deleted in order to more precisely track developing trends over time. To assist the repositories, the survey has been divided into twelve sections, each of which may be submitted independently and not necessarily in the order presented. This was done so that different people on each repository’s staff may submit the data for which their section is responsible. Repository directors will still be responsible to see that the survey is submitted in its entirety. These survey revisions are due, in part, to responses to our request for suggestions and changes.

Please make note of the following:

1. All questions refer to criminal records of adult offenders, including juveniles tried as adults.

2. The term “felony” includes any crime classified as a felony under your state’s laws. If your state’s laws do not use the term “felony,” please substitute functional equivalents, such as class 1, 2, 3 and 4 offenses in New Jersey and class A, B and C offenses in Maine.

3. Questions which seek responses based on a “legal requirement,” refer only to a state statute or a state administrative regulation having the force of law.

4. If your state has done an audit, please use audit figures, and indicate such figures with an “A.”

5. If additional space is needed, please use the “Additional Comments” area at the end of each section.

6. If a question is not applicable to your repository, please indicate “NA” in the “Additional Comments” area at the end of each section.

006

SECTION I: REPOSITORY

PROCESSING

This section completed by

Name ___________________________ Title ____________________________

Agency ____________________________________________________________

Phone __________________________ Email ____________________________

Date Completed _____________________________________________________

The following questions relate to descriptions of your criminal history record information and master name index databases:

1. How many subjects (individual offenders) were in your criminal history file as of
   December 31, 2006?
   
   Automated Records ________________ (Include subjects whose records are partially automated)
   Manual Records ________________
   
   Total Records ________________
   
   

2. (a) Fingerprints processed in 2006:

Purpose Number Percentage of 2006 volume

Criminal ____________ ____________

Non-Criminal ____________ ____________

Non-Criminal retained ____________

(b) What was the total number of fingerprint-based background checks conducted during 2006?

_______ checks

3. (a) What was the total number of non-criminal justice fingerprint-based background checks conducted during 2006?
   
   (b) What was the total number of non-criminal fingerprints retained for future reference as of
   December 31, 2006? __________

(c) What percentage of non-criminal prints were retained in 2006? _______%

(d) Non-criminal justice fingerprints represent ________ percent of the total fingerprints maintained by the state criminal history repository.

(e) Percentage of criminal history database? ______%

(f) Percentage of criminal prints submitted via LiveScan? ________ %

(g) Percentage of non-criminal prints submitted via LiveScan? ________ %

4. (a) What percentage of arrest events (case cycles) in your automated criminal history file are

supported by fingerprints? _______ %

(b) If less than 100%, check all that apply.

 State law and/or policy does not require all arrest information to be supported by fingerprints
 Arrest information is entered from final dispositions which are not supported by fingerprints
 Arrest information might be entered from criminal summonses or cite & release situations,

which are not supported by fingerprints

 Arrest reported with fingerprints, but subsequently purged by law or court order
 Prior manual records are only automated upon receipt of new information
 Other __________________________________________________________

5. (a) Do you currently have felony flagging capability, i.e., does your criminal history record database include a data field or flag enabling you to quickly determine whether a given record subject has a felony conviction?
   
    Yes, all subjects with felony convictions
    Yes, some subjects with felony convictions
    No
   
   (b) If any yes response above, when is the flag set?
   
    When arrest information is entered
    When conviction information is entered
    At both arrest and conviction
    Other __________________________________________________________
   
   (c) In addition to felony flagging, do you also flag for IFS (Identification in Firearm)?
   
    Yes, all subjects with felony convictions
    Yes, some subjects with felony convictions
    No
   
   (d) If any yes response above, when is the flag set?
   
    When arrest information is entered
    When conviction information is entered
    At both arrest and conviction
    Other __________________________________________________________
   
   
   

6. (a) If subjects with felony convictions are not presently flagged (or if not all of them are flagged), does your criminal history record database contain sufficient information to enable identification of unflagged previously-recorded felony convictions for flag-setting purposes?
   
    Yes, all previously-recorded unflagged felony convictions
    Yes, some previously-recorded unflagged felony convictions
    No
   
   (b) Are all new felony convictions being flagged?
   
    Yes
    No
   
   (c) If no, does your criminal history record database contain sufficient information to enable identification and flagging all new felony convictions?
   
    Yes
    No
   
   

ADDITIONAL COMMENTS:

SECTION II: ARREST / FINGERPRINT

REPORTING AND ENTRY

This section completed by

Name ___________________________ Title ____________________________

Agency ____________________________________________________________

Phone __________________________ Email ____________________________

Date Completed _____________________________________________________

1. How many felony arrests were reported during calendar year 2006?
   
   ____________ arrests
   
   

2. (a) In 2006, what was the average time elapsed between the occurrence of a felony arrest and the receipt of the fingerprints and arrest data by the repository?
   
   ____________ days or __________ hours or  Unknown
   
   

(b) In 2006, what was the average time elapsed between receipt of felony arrest fingerprints by the repository and entry of identification data into the master name index?

____________ days or __________ hours or  Unknown

(c) In 2006, what was the average time elapsed between receipt of felony arrest fingerprints by the repository and entry of identification data into the criminal history database?

____________ days or __________ hours or  Unknown

3. (a) In 2006, what was the average time elapsed between occurrence of non-felony arrest and the receipt of the fingerprints and arrest data by the repository?
   
   ____________ days or __________ hours or  Unknown
   
   (b) In 2006, what was the average time elapsed between the receipt of non-felony arrest fingerprints by the repository and entry of identification data into the master name index?
   
   ____________ days or __________ hours or  Unknown
   
   
   
   
   (c) In 2006, what was the average time elapsed between the receipt of non-felony arrest fingerprints by the repository and entry of arrest data into the criminal history database?
   
   ____________ days or __________ hours or  Unknown
   
   

4. How many fingerprints were submitted to the repository via LiveScan during 2006?
   
   ____________ criminal justice
   
   ____________ non-criminal justice
   
   

5. (a) How many law enforcement agencies are in your state?
   
   ____________ agencies
   
   (b) Of those agencies, how many report arrest data by automated means?
   
   ____________ agencies
   
   (c) What are the four largest arresting agencies in your state, and what percentage of statewide arrests are processed by each of those four agencies?
   
   Agency Name Percent of statewide Are arrests reported
   arrests processed via LiveScan devices?
   
   ______________________________ ____________%  Yes  No
   
   ______________________________ ____________%  Yes  No
   
   ______________________________ ____________%  Yes  No
   
   ______________________________ ____________%  Yes  No
   
   

6. (a) As of December 31, 2006, was there a backlog of arrest data to be entered into the criminal history database?
   
    Yes
    No
   
   (b) If yes, how many unprocessed or partially processed arrest data or fingerprint cards (work backlog) did you have at that time?
   
   ____________
   
   (c) How many person-days would it take to eliminate that backlog?
   
   ____________ person-days
   
   

7. (a) As of December 31, 2006, was there a backlog of arrest data to be entered into the AFIS database?
   
    Yes
    No
   
   

(b) If yes, how many unprocessed or partially processed fingerprint cards (work backlog) did you have at that time?

____________

(c) How many person-days would it take to eliminate that backlog?

____________ person-days

8. (a) Is there a legal requirement that arresting agencies submit fingerprints and arrest data for all felony arrests to the repository?
   
    Yes, statutorily required
    Yes, submission required by policy, administrative rule or regulation
    No
   
   (b) Is there a legal requirement that arresting agencies submit fingerprints and arrest data for all non-felony arrests to the repository?
   
    Yes, statutorily required
    Yes, submission required by policy, administrative rule or regulation
    No
   
   

9. What biometric information does your repository accept? Check all that apply.
   
    Rolled ten-prints
    Latent fingerprints
    Flat prints
    2-Finger prints for identification purposes
    2-Finger prints for updating incarceration or release identification
    Palm prints
    Facial images / mug shots

 Scars, Marks, and Tattoo images
 Facial Recognition Data
 1- or 2-Finger prints for updating disposition information

10. (a) As of December 31, 2006, how many images of scars, marks, and tattoos did you have in

your repository database?

_______________

(b) As of December 31, 2006, how many facial images or booking photos did you have in your repository database?

_______________

(c) As of December 31, 2006, how many palm print images did you have in your repository database?

_______________

ADDITIONAL COMMENTS:

SECTION III: DATA QUALITY PROCEDURES

This section completed by

Name ___________________________ Title ____________________________

Agency ____________________________________________________________

Phone __________________________ Email ____________________________

Date Completed _____________________________________________________

1. (a) Does the repository or some other agency perform random sample audits of contributing

agencies to ensure accuracy and completeness of repository records, and to ensure that the

agencies comply with applicable laws and regulations? Check all that apply:

 Number of Law Enforcement / Criminal Justice agencies audited in 2006 ____________
 Number of Courts audited in 2006 ____________
 Number of Non-criminal justice entities audited in 2006 ____________
 Number of Others audited ____________

Please identify: _____________________________________________________________

 No audits performed

(b) By whom / what agency were the audits conducted?

 Repository Function
 State Police
 Judicial Agency
 State Accounting Office
 Other State Agency __________________________________________________________
 Other _____________________________________________________________________

2. (a) Has an audit of the repository’s computerized criminal history database (other than ongoing

systematic sampling) been conducted within the past five years to determine the level of accuracy and completeness of the criminal history record file?

 Yes
 No

(b) If such an audit has been conducted, what was the date of the last audit?

____________

(c) What period of time was covered by that audit?

____________ to ____________

(d) By whom / what agency was that audit conducted?

 Internal Repository Function
 State Police
 Judicial Agency
 State Accounting Office
 Other State Agency __________________________________________________________
 Other _____________________________________________________________________

(e) Were any changes made as a result of the audit to improve data quality? Check all that apply.

 Audit functions / procedures
 Automation conversion / redesign / enhancements
 Disposition / arrest reporting procedures / enhancements
 Felony flagging
 Fingerprint card / system conversion / enhancements
 Inter-agency / local agency interface
 Legislation
 Plan / strategy development
 Task force / advisory group establishment
 Training seminars / policy and procedures manuals
 Other _____________________________________________________________________

(f) If there is a URL or other source that may be accessed to view the results of your audit, please provide: ________________________________________________________________

1. What procedures does the repository employ to prevent the entry and storage of inaccurate data, and to detect and correct inaccurate entries? Check all that apply.
   
    Manual review of incoming source documents or reports
    Computer edit and verification programs
    Manual review of the criminal history record before dissemination
    Random sample comparisons of repository files with stored source documents
    Error lists returned to reporting agencies
    Other _____________________________________________________________________
   
   

2. (a) What back-up recovery practices or technologies are used for computerized criminal history database?
   
    Mirroring System
    Routine back-up every ______________________ Days Weeks Months (circle one)

 Other _____________________________________________________________________

(b) What back-up recovery practices or technologies are used for the AFIS database?

 Mirroring system
 Routine back-up every _____________________ Days Weeks Months (circle one)
 Other _____________________________________________________________________

3. Are any initiatives to improve data quality currently under way?
   
    Automation conversion / redesign / enhancements
    Disposition / arrest reporting procedures / enhancements
    Felony flagging
    Fingerprint card / system conversion / enhancements
    Inter-agency / local agency interface
    Legislation
    Plan / strategy development
    Task force / advisory group establishment
    Training seminars / policy and procedures manuals

 None at this time
 Other _____________________________________________________________________

ADDITIONAL COMMENTS:

SECTION IV: DATABASE SYSTEMS AND VENDORS

This section completed by

Name ___________________________ Title ____________________________

Agency ____________________________________________________________

Phone __________________________ Email ____________________________

Date Completed _____________________________________________________

1. Is your state an AFIS partner with one or more states?
   
    Yes
    No
   
   Is so, please list the names of your partner states: ____________________________________
   ________________________________________________________________________________________________________________________________________________________
   
   

2. As of December 31, 2006 was your state enhancing, upgrading or redesigning its computerized criminal history database system?
   
    Yes
    No
   
   

3. As of December 31, 2006 was your state enhancing, upgrading or redesigning its AFIS database system?

 Yes
 No

4. As of December 31, 2006 in what phase was your enhancement / upgrade?

 Planning phase / securing funding
 Drafting or finalizing specifications / RFP
 Reviewing bids or proposals
 Implementation and testing phase

5. Who was your AFIS vendor as of December 31, 2006?
   
    Lockheed –Martin
    Sagem Morpho
    Motorola-PrintTrak
    Cogent
    NEC
    Other _____________________________________________________________________
   
   
   ADDITIONAL COMMENTS:
   
   

SECTION V: DISPOSITIONS

This section completed by

Name ___________________________ Title ____________________________

Agency ____________________________________________________________

Phone __________________________ Email ____________________________

Date Completed _____________________________________________________

The following questions seek to determine to what extent the records in your criminal history record database contain final disposition information. (Final Disposition is defined as release by police after charging, decline to proceed by prosecutor, or final trial court disposition)

1. (a) How many final case dispositions were received by the repository during 2006?
   
   ____________ dispositions
   
   (b) Of those, how many were sent to the FBI?
   
   ____________ dispositions sent to the FBI
   
   (c) Of the dispositions forwarded to the FBI, what percent were sent by Machine Readable Data (MRD)?
   
   ____________ %
   
   (d) What percent were sent via hard copy / paper?
   
   ____________ %
   
   (e) What percent were sent by other than MRD or hard copy?
   
   ____________ %
   
   

2. What percentage of all arrests in the criminal history database have had final dispositions recorded?
   
   __________% Arrests entered within past five years
   
   __________% Arrests in entire database
   
   
   
   
   

3. (a) In 2006, what percentage of dispositions were submitted to the state criminal history repository?
   
   ___________ % by local agencies
   
   ___________ % by state court administrators office or other state entity
   
   (b) Of those in 3(a) above, what percent were submitted electronically?
   
   ____________ % from local agencies
   
   ____________ % from state court administrators office or other state entity
   
   

4. Of the dispositions received at the repository during the year 2006, what percentage could not be linked to a specific arrest record?
   
   ____________ %
   
   
   
   

5. What procedures does your repository employ to encourage complete disposition reporting?
   
    Periodic generation of lists of arrests in the criminal history database for which final

dispositions have not been reported
 Notices to criminal justice agencies
 Field visits to courts
 Field visits to arresting agencies
 Field visits to prosecutors
 Form letters
 Telephone calls
 Training
 Conferences / workshops / meetings
 Audits
 Other _____________________________________________________________________

6. Please provide a list of any other procedures that your repository used to track missing disposition information during 2006.
   
   ______________________________________ __________________________________
   ______________________________________ __________________________________
   ______________________________________ __________________________________
   ______________________________________ __________________________________
   ______________________________________ __________________________________
   
   

7. How is disposition information associated with arrest / charge information in your state’s criminal history record database? Check all that apply to each system shown.
   
   Automated Manual System By: System
   
    Unique tracking number for individual subject 
    Unique arrest event identifier 
    Unique charge identifier 
    Arrest date 
    Subject name 
    Date of birth 
    Social Security Number 
    Reporting agency ORI 
    Unique state case number 
    FBI number 
    Name and reporting agency case number 
   Other means (please specify)
    ________________________________ ______________________________
   
   

8. Do the methods utilized by your repository for linking disposition information and arrest / charge information permit the linking of dispositions to particular charges?
   
    Yes
    No

ADDITIONAL COMMENTS:

SECTION VI: PROSECUTOR REPORTING

This section completed by

Name ___________________________ Title ____________________________

Agency ____________________________________________________________

Phone __________________________ Email ____________________________

Date Completed _____________________________________________________

1. (a) Is there a legal requirement that the repository be notified when a prosecutor declines to prosecute a case?
   
    Yes
    No
   
   (b) How many such notifications did the repository receive during calendar year 2006? ____________
   
   

2. (a) During the period January 1, 2006 through December 31, 2006, did the repository receive final prosecutor disposition information that could not be linked to arrest information in the criminal history record database?
   
    Yes
    No
   
   (b) If yes, how many final prosecutor dispositions did you receive that could not be linked?
   
   ____________ final prosecutor dispositions

(c) What procedure(s) do you follow to obtain missing prosecutorial dispositions? Check all that apply.

 Automated inquiry to the prosecutor upon a pre-determined period of time

Indicate time period ________________

 Automated inquiry to the prosecutor
 Manual inquiry to the prosecutor

ADDITIONAL COMMENTS:

SECTION VII: COURT REPORTING

This section completed by

Name ___________________________ Title ____________________________

Agency ____________________________________________________________

Phone __________________________ Email ____________________________

Date Completed _____________________________________________________

1. What percent of dispositions received at your repository come from a centralized entity?
   
   ____________ %
   
   

2. (a) As of December 31, 2006 was any court disposition data reported directly to the repository by automated means?
   
    Yes
    No
   
   (b) If yes, indicate how transmitted:
   
    Email
    CD
    Tape
    Other _____________________________________________________________________
   
   (c) As of December 31, 2006, what percent of dispositions were received directly from local courts?
   
   ____________ %

3. (a) As of December 31, 2006 was any court disposition data reported to the repository via centralized administrative offices (e.g. Administrative Office of the Courts) by automated means?
   
    Yes
    No

(b) If yes, indicate how transmitted:

 Email
 CD
 Tape
 Other _____________________________________________________________________

4. (a) Courts with felony jurisdiction are legally required to report final trial court dispositions to:

 State repository

 Administrative offices (e.g. Administrative Office of the Courts) which then forward to the

state repository

 No legal reporting requirement exists

(b) In 2006, for what percent of felony cases did the repository receive final trial court dispositions? ___________ %

5. In 2006, what was the average time elapsed between the occurrence of final felony trial court dispositions and receipt of information concerning such dispositions by the repository?
   
   ____________ days
   
   

6. In 2006, what was the average time elapsed between receipt of final felony trial court disposition information by the repository and entry of that information into the criminal history record database?
   
   ____________ days

7. As of December 31, 2006, was your state using LiveScan devices in the courtroom to link positive identifications with dispositions?
   
    Yes
    No
   
   

8. (a) As of December 31, 2006, was there a backlog of court disposition data to be entered into the criminal history database?
   
    Yes
    No
   
   (b) If yes, how many unprocessed or partially processed court disposition forms (work backlog) did you have?
   
   ____________ forms
   
   (c) How many person-days would it take to eliminate the backlog?
   
   ____________ person-days
   
   

9. (a) During the calendar year 2006, did the repository receive final court dispositions that could not be linked to arrest information in the criminal history record database?
   
    Yes
    No

(b) If yes, how many final court dispositions did you receive that could not be linked?

____________ final court dispositions

(c) What procedures do you follow when a link cannot be made? Check all that apply.

 Create a “dummy” arrest segment with information from the court disposition record
 Create a “dummy” court segment with information from the correctional data
 Enter the court information into the database without any linkage to a prior arrest
 Do not enter the unlinked court information

 Return to arresting agency to obtain arrest fingerprint cards or arrest information
 Other __________________________________________________________________

(d) What procedure(s) do you follow to obtain missing dispositions? Check all that apply.

 Automated inquiry to a specific court or statewide court administrator upon a
pre-determined period of time. Indicate that time period: _________________________
 Automated inquiry to a specific court or statewide court administrator
 Manual inquiry to a specific court or statewide court administrator

10. (a) With regard to felony convictions, which of the following does your state law provide for?
    
     Expungement of the conviction
     Setting aside of the conviction
     Granting a pardon
     Restoration of offender’s civil rights
     Sealing of conviction record
    
    

(b) If you checked any of the above, how is each such conviction record treated by the repository?

Destroyed by Retained with Record is No action

Repository action noted sealed taken Other

Expungements     

Set asides     

Pardons     

Restoration Orders     

Sealing of records     

ADDITIONAL COMMENTS:

SECTION VIII: CORRECTIONAL REPORTING

This section completed by

Name ___________________________ Title ____________________________

Agency ____________________________________________________________

Phone __________________________ Email ____________________________

Date Completed _____________________________________________________

1. In 2006, what was the average time elapsed between admission or release of offenders by correctional facilities and receipt of information concerning such admissions or releases by the repository?
   
   State prison system admissions ________ days
   State prison system releases ________ days
   Local detention center releases ________ days
   
   

2. In 2006, what was the average time elapsed between receipt of correctional data by the repository and entry of that information into the criminal history database?
   
   ____________ days
   
   

3. (a) Do any correctional agencies currently report admission / release / status change information to the repository by automated means?
   
    Yes
    No
   
   (b) If yes, how many correctional agencies currently report by automated means?
   
   ____________ Agencies representing ______% of the admission/release/status change activity
   
   

4. (a) As of December 31, 2006, was there a backlog of correctional data to be entered into the criminal history database?
   
    Yes
    No
   
   

(b) If yes, how many unprocessed or partially processed correctional reports (work backlog) did you have?

____________ reports

(c) How many person-days would it take to eliminate that backlog?

__________ days

5. Is there a legal requirement that the state prison system or local detention centers report to the repository concerning the admission or release of sentenced felony offenders?
   
   State prison system admissions  Yes  No
   State prison system releases  Yes  No
   Local detention center releases  Yes  No
   
   

6. Is there a legal requirement that persons committed to correctional facilities following conviction on felony charges be fingerprinted upon reception, and those fingerprints forwarded to the repository? Check all that apply.
   
    State Prison System
    Local Detention Centers
   
   

7. Is there a legal requirement that probation/parole information be reported to the repository?

Probation information  Yes  No

Parole information  Yes  No

ADDITIONAL COMMENTS:

SECTION IX: REPOSITORY ADMINISTRATION

This section completed by

Name ___________________________ Title ____________________________

Agency ____________________________________________________________

Phone __________________________ Email ____________________________

Date Completed _____________________________________________________

1. (a) Does your state charge a fee for conducting a search of the criminal history record database for non-criminal justice purposes?
   
    Yes
    No
   
   (b) If yes, what fees are charged for the state record search?

Fingerprint-supported search: $_______ retained

$_______ non-retained

$_______ volunteer (retained)
$_______ volunteer (not retained)

Name search: via Internet $_______ non-profit

$_______ government

$_______ volunteer (retained)
$_______ volunteer (not retained)

$_______ others
URL for citizen access to purchase criminal history information, if
available: ______________________________________________

via Mail $_______ non-profit

$_______ government

$_______ volunteer (retained)
$_______ volunteer (not retained)

$_______ others

Additional service fees: $_______ mailed finger-print cards / forms

$_______ ”no resubmission of prints” for repeat applicant

$_______ retained service

$_______ “rapback” service

2. How are fees allocated?
   
    All fees go to the state general fund, with repository funded by general fund allotment
    A percentage of fees goes to support repository operations: __________ %
    All fees go to support repository operations
    Other ________________________________________________________________
   
   

3. Does your current system allow for electronic submissions to IAFIS?
   
    Yes Criminal % ________ Non-Criminal % ________
    No
   
   

4. (a) As of December 31, 2006, does your repository conduct “lights out” processing of fingerprints (an identification decision is made without fingerprint technician intervention)?
   
    Yes
    No

(b) If yes, what percentage of submitted criminal fingerprints are handled with “lights out” processing? ______%

(c) If yes, what percentage of submitted non-criminal applicant fingerprints are handled with “lights out” processing? ______%

(d) If yes, what is the total percentage of fingerprints handled with “lights out” processing?

______%

5. (a) As of December 31, 2006, does your repository receive mental health information to facilitate firearm suitability determinations?
   
    Yes
    No
   
   (b) If yes, how many records are in the mental health record database?
   
   ____________ records
   
   (c) Name of agency providing mental health information: _____________________________
   
   

6. (a) Has your repository provided state mental health records to the FBI to facilitate firearm suitability determinations through the National Instant Criminal Background Check System (NICS)?
   
    Yes
    No
   
   (b) If yes, how many records have been provided to the FBI for NICS?
   
   ____________ records
   
   

7. (a) Does your repository receive protection order information?
   
    Yes
    No
   
   (b) If yes, how many records are in the state protection order record database as of December 31, 2006?
   
   ____________ records
   
   (c) Of those in 7(b), how many are also in the FBI-NCIC Protective Order File?
   
   ____________ records
   
   
   

8. (a) As of December 31, 2006, what were the operating hours at your state repository?
   
   

Hours Per Day for Fingerprint Technicians

Monday – Friday  8  10 r 12 r 14 r 16 r 24

Saturday  8  10 r 12 r 14 r 16 r 24

Sunday  8  10 r 12 r 14 r 16 r 24

(b) Hours per day with fingerprint technicians on site?

Monday – Friday  8  10 r 12 r 14 r 16 r 24

Saturday  8  10 r 12 r 14 r 16 r 24

Sunday  8  10 r 12 r 14 r 16 r 24











(c) To describe how the following submissions are processed at your repository, please check
one box for each submission type shown:

Criminal justice submissions:  only when fingerprint technicians available

 fully automated when technicians no available

 partial processing when technicians not available

Non-Criminal justice submissions  only when fingerprint technicians available

 fully automated when technicians no available

 partial processing when technicians not available

Latent fingerprint submissions  only when fingerprint technicians available

 fully automated when technicians no available

 partial processing when technicians not available

Internet-based name queries  only when fingerprint technicians available

 fully automated when technicians no available

 partial processing when technicians not available

 not applicable

Other _____________________  only when fingerprint technicians available

 fully automated when technicians no available

 partial processing when technicians not available

9. In addition to criminal history information, to what records does your state’s repository provide access?
   
    Sex Offender Registry
    Orders of Protection
    Wants & Warrants

 Retained Applicant Prints
 Other _____________________________________________________________________

10. What other types of information services are provided?
    
     Wanted persons
     Protection order
     Firearm registration
     Community notification (please list types provided) _______________________________________________________________________________________________________________________________________________________
    ____________________________________________________________________________
    
     Rapback services
     Other _____________________________________________________________________
    
    
    

11. (a) Does your state provide bulk data to commercial third parties for redissemination”
    
     Yes
     No
    
    

(b) What fee(s) does your state charge to those commercial entities?

$ ____________________ per ____________________

ADDITIONAL COMMENTS:

SECTION X: NON-CRIMINAL BACKGROUND CHECKS

This section completed by

Name ___________________________ Title ____________________________

Agency ____________________________________________________________

Phone __________________________ Email ____________________________

Date Completed _____________________________________________________

X-1: BACKGROUND CHECKS:

1. Is there a state legal requirement to perform background checks for any of the following?

Check all that apply.

 Nurses / elderly caregivers
 Daycare providers
 Residents of home daycare providers’ homes
 School teachers
 Non-teaching school employees
 Volunteers with children
 Prospective foster care parents
 Prospective adoptive parents
 Relative caregivers

 Non-teaching school personnel

2. Does your state offer a “rapback” service to provide automatic updates or notifications of results when changes to records occur?
   
    Yes, always
    Yes, but only for the following _________________________________________________
    No

X-2: FINGERPRINT-BASED SEARCHES

1. What percentage of non-criminal fingerprints were captured electronically in 2006?

_________%

2. (a) What is the average processing time from receipt at the repository to dissemination of

criminal history record when a positive identification is made?

For electronic requests: ____________ days

For mail requests ____________ days

(b) Has a goal been established for maximum processing time?

 Yes, ____________ days
 No

3. Does your state retain fingerprints submitted for any of the following non-criminal justice purposes?
   
    Licensing
    Private sector employment
    Employment by justice agencies
    Employment by non-criminal justice government agencies
    Retention limited to private sector employment involving vulnerable populations, e.g.,
   children, the elderly and the disabled
    Other _____________________________________________________________________
    No. This state does not retain non-criminal justice fingerprints for any reason.

4. If your state does retain non-criminal justice fingerprints for any purpose, how are the fingerprints utilized? Check all that apply.
   
    Matched against existing criminal history database
    Matched against latent fingerprint database
    Flagged and matched against subsequent criminal fingerprint submissions
    Other _____________________________________________________________________
   
   

5. What information is contained in the results for fingerprint-based non-criminal justice background checks?
   
    Full record
    Convictions only
    Juvenile records
    Arrests without disposition-over 1 year old
    Other _____________________________________________________________________
   
   

6. What is the identification rate of fingerprint-based non-criminal background checks?
   
   ____________ %

X-3: NAME-BASED SEARCHES

1. How many name-based non-criminal background checks were performed in 2006?
   
   Received via internet ____________
   Received via mail ____________
   Received via telephone ____________
   
   Total received ____________
   
   

2. (a) What identifiers are required for a name-based search? Check all that apply.
   
    First name

 Last name
 Date of birth

 Year of birth
 Gender
 Social Security Number
 Race
 Addresses
 Hair color
 Eye color

(b) What are the minimum identifiers that have to “hit” before a response is returned? Check

all that apply.

 First name

 Last name
 Date of birth

 Year of birth
 Gender
 Social Security Number
 Race
 Addresses
 Hair color
 Eye color

(c) Does your name-based background check offer either of the following?

 Phonetic-assisted spelling features
 “Loose” spelling features (first name abbreviations, jr / sr assistance, etc)

3. What information is contained in the results for a name-based non-criminal background check? Check all that apply.
   
    Full record
    Convictions only
    Juvenile records
    Arrests without disposition-over 1 year old
    Other _____________________________________________________________________

4. What is the identification rate for name-based non-criminal background checks performed?
   
   ____________ %

X-4: INTERNET ACCESS

1. (a) Does your state provide web-based non-criminal background checks?
   
    Yes
    No
   
   

2. Which agency maintains the website? ___________________________________________

2. If yes, what is required for internet access for the general public?
   
    Registration / account information only
    Credit card payment information only

2. Are fees involved for internet access for the general public (not including any registration or account fees)?
   
    Yes, $____________ per ____________________
    No
   
   

2. (a) If a private agency maintains the website, how much does it collect per transaction?
   
   $___________________ per ____________________
   
   (b) Of that amount, what how much is returned to the repository?
   
   $ ___________________ per ____________________
   
   

ADDITIONAL COMMENTS:

SECTION XI: LIVESCAN AVAILABILITY

This section completed by

Name ___________________________ Title ____________________________

Agency ____________________________________________________________

Phone __________________________ Email ____________________________

Date Completed _____________________________________________________

1. Please indicate the number of LiveScan devices in use as of December 31, 2006:
   
   

(a) Total number of LiveScan devices in use: __________

(b) Total number of LiveScan devices available for
criminal justice purposes only: __________

(c) Total number of LiveScan devices available for
non-criminal justice purposes only: __________

(d) Total number of LiveScan devices used for both
criminal and non-criminal justice purposes: __________

2. Please indicate:
   
   (a) Total number of agencies that submit criminal prints via LiveScan: ____________
   
   (b) Total number of agencies that submit non-criminal prints via LiveScan: ____________
   
   (c) Total number of agencies without LiveScan devices that receive
   LiveScan services from agencies that do have that equipment
   (e.g. a sheriff might submit arrest prints on behalf of 20 agencies): ____________
   
   

3. Does your state repository process fingerprints for non-criminal justice purposes?

 Yes

 No

4. Does your state repository forward fingerprints for non-criminal justice (92-544) purposes to the FBI (without regard to whether any processing of these prints occurred at the repository)?

 Yes

 No

5. Are any LiveScan devices used to capture non-criminal justice purpose fingerprints in your state?

 Yes

 No

6. (a) Does your state have a certification program for persons taking fingerprints?
   
    Yes
    No
   
   (b) If yes, was this program established through legislation?
   
    Yes; Authority Citation: ____________________________________________________
    No
   
   

7. (a) Has your state privatized the taking of non-criminal justice purposes fingerprints?

 Yes

 No

(b) If yes, how was this accomplished?_____________________________________________
____________________________________________________________________________

8. If LiveScan devices are used for non-criminal justice purposes, do any of these devices print a fingerprint card that is then mailed to the repository?

 Yes

 No

9. If LiveScan devices are used for non-criminal justice purposes, does a data communications network also enable direct transmission to the repository?

 Yes

 No

10. Has your state funded or provided any LiveScan devices for non-criminal justice purposes?

 Yes

 No

11. Have any non-state sources (e.g. private sector, volunteer organizations, tribal gaming) funded or provided LiveScan devices for non-criminal justice use?

 Yes

 No

ADDITIONAL COMMENTS:

SECTION XII: SEX OFFENDER REGISTRY

This section completed by

Name ___________________________ Title ____________________________

Agency ____________________________________________________________

Phone __________________________ Email ____________________________

Date Completed _____________________________________________________

1. Total number of registered sex offenders in your state as of December 31, 2006? ________

2. Number of registered sex offenders on publicly available state registry? ________

3. What percentage of registered sex offenders are on publicly available
   state registry? ________ %
   
   

4. Is there a flag on your state’s computerized criminal history for sex offenders?
   
    Yes

 No

5. Is there a flag on your state’s computerized criminal history for protective orders?
   
    Yes
    No

ADDITIONAL COMMENTS:

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