Survey of State Criminal History Information Systems, 20

OMB No. 1121-0312: Approval Expires 00/00/0000

Survey of State Criminal History
Information Systems, 2014
Since 1989, the Survey of State Criminal History Information Systems has been used to
collect the nation’s most complete, comprehensive and relevant data on the number and
status of state-maintained criminal history records and on the increasing number of
operations and services involving noncriminal justice background checks provided by the
state repositories. This data collection is supported by Cooperative Agreement No. 2011MU-MU-K054 awarded by the Bureau of Justice Statistics, Office of Justice Programs,
U.S. Department of Justice. As in previous years, response to this survey is voluntary.
Respondents using the online survey tool, accessible at
http://www.search.org/surveys/repository/, to enter 2014 data can view previously
submitted 2012 data for comparison purposes. Where applicable, your state’s 2012
responses are displayed in color within each section of the online survey. It is hoped that
this information will assist respondents in completing the survey more accurately and
efficiently. The password to gain access to your state’s online survey is provided in
the cover letter. If you have any questions or comments, please contact SEARCH staff
Dennis DeBacco at 916-392-2550 ext. 325, email [email protected].
If more convenient, you may print the survey sections, complete them manually, and fax
(916-392-8440) or mail them to the attention of Dennis DeBacco at SEARCH, 7311
Greenhaven Drive, Suite 270, Sacramento, CA 95831. The deadline for survey
submission is [
].

Burden Statement
Under the Paperwork Reduction Act, we cannot ask you to respond to a collection of information unless it displays a
currently valid OMB control number. The survey will be sent to criminal history repositories in 56 jurisdictions, including
the 50 States, the District of Columbia, American Samoa, Guam, the Northern Mariana Islands, Puerto Rico and the U.S.
Virgin Islands. The average time required for each agency to complete the survey is estimated at 6.3 hours. Send comments
regarding this burden estimate or any aspect of this survey, including suggestions for reducing this burden, to the Director,
Bureau of Justice Statistics, 810 Seventh Street, NW, Washington DC 20531. Do not send your completed form to this
address.

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The survey is divided into 6 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 they are
responsible. Repository directors are responsible to see that the survey is
submitted in its entirety. Please note the following:
1. All reported data should be for calendar year 2014, or as of December 31,
2014.
2. The term “felony” includes any crime classified as a felony under your
state’s laws. These offenses are generally punishable by a term of
incarceration in excess of one year. 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 that 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 additional space is needed, please use the “Additional Comments” area at
the end of each section.
5. Please use the “Additional Comments” area at the end of each section to
identify questions for which “no data is available” and to describe significant
changes between the current response and data reported in the 2012 survey.
6. If a question is not applicable to your repository, please indicate “NA” in the
“Additional Comments” area at the end of each section.

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SECTION I: REPOSITORY
This section completed by
Name ________________________________

Title ________________________________

Agency _____________________________________________________________________
Phone ________________________________ Email _______________________________
Date completed ________________________

The following questions relate to descriptions of your state’s criminal history record information
and master name index databases:
1. How many subjects (individual criminal offenders) were in your criminal history file as
of December 31, 2014?
(a) Automated records

__________________

(b) Manual records

__________________

(c) Total records

__________________

(include subjects whose records
are partially automated)

2. Fingerprints processed in 2014:
Purpose

Number

Percentage of
2014 volume

(a) Criminal (retained)

___________ _________%

(b) Criminal (not retained)

___________ _________%

(c) Noncriminal (retained)

___________ _________%

(d) Noncriminal (not retained)

___________ _________%

(e) What was the total number of fingerprint-based
background checks conducted during 2014?

Totals

(a+b)_____________

(c+d)_____________

(a+b+c+d)___________

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3. (a) Does your state combine both criminal events and noncriminal justice applicant
information in the same record?
 Yes

 No

(b) Of the total records in your database, ___________ % represent records that
contain both criminal events and noncriminal justice applicant information.
4. (a) Do you have felony conviction flagging, 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) Do you employ flagging to indicate? (Check all that apply.)
 Ineligible to purchase firearms
 Sex offender registrant
 Convicted drug offender
 Violent offender
 Domestic violence conviction
 Mental health adjudication
 DNA available
 DNA not yet collected
 IFFS, indicating ineligible for firearms purchase under federal law
 IFFS, indicating ineligible for firearms purchase under state law
 Other (describe) ______________________________________
The following questions refer to repository administration, procedures and practices.
5. (a) As of December 31, 2014, did 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 fingerprints was
handled with “lights out” processing?

__________ %

(c) If yes, what percentage of criminal fingerprints
was handled with “lights out” processing?

__________ %

(d) If yes, what percentage of noncriminal applicant
fingerprints was handled with “lights out” processing?

__________ %

6. (a) Does your state maintain a protection order file?
 Yes

 No
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(b) If yes, which agency(ies) enter protection orders onto the state file?
(Check all that apply.)
 Law enforcement
 Courts
 Other (describe)
(c) If yes, how many active records were in the state protection order record database as
of December 31, 2014?
__________ records
(d) Are protection orders entered onto the FBI-NCIC Protection Order File?
 Yes

 No

(e) If yes, which agency(ies) enter protection order information to the FBI-NCIC
Protection Order File? (Check all that apply.)
 Law enforcement
 Courts
 Other (describe)
7. (a) Does your state maintain a warrant file?
 Yes

 No

(b) If yes, which agency(ies) enter warrants onto the state file? (Check all that apply.)
 Law enforcement
 Courts
 Other (describe)
(c) If yes, how many records were in the state warrant database as of December 31, 2014?
__________ records
(d) Of this total, indicate the number of:
Felony warrants
Misdemeanor warrants
Other (explain)
(e) Which agency(ies) enter warrant information to the FBI-NCIC Wanted Person File?
(Check all that apply.)
 Law enforcement
 Courts
 Other (describe)

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8. In addition to criminal history information, to what other records does your state’s
repository provide access? (Check all that apply.)
 Sex offender registry
 Orders of protection
 Wanted persons/warrants
 Retained applicant prints
 Rap back services for criminal justice purposes
 Firearm registration
 Domestic violence incident reports
 Other (specify)
9. (a) Which of the following most accurately describes the software components of your
criminal history system?
 Acquired from a software vendor and configured for the state’s environment,
but with no software modifications
 Acquired from a software vendor, but software changes were necessary to
customize for the state’s environment
 Built in-house (either by staff or contractors), such that the state’s system is
unique for our state
 Other (specify) ________________________________________
(b) Which of the following most accurately describes the software environment or
platform used for your criminal history system?
 Microsoft .NET platform
 Java platform
 Mainframe platform (e.g., COBOL, Natural, PL/I, etc.)
 Other (specify) _________________________________________

ADDITIONAL COMMENTS:

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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 to your repository during calendar year 2014?
____________ arrests
2. How many arrest fingerprints were submitted to your repository during 2014? (a+b+c = d)
(a) _________________ via livescan
(b) _________________ via cardscan
(c) _________________ hard copy fingerprints
(d) _________________ total arrest fingerprints
3. What types of biometric information are currently utilized in identification search
processes conducted by your agency? (Check all that apply, and indicate volume.)
 Latent fingerprints
 Flat prints
 2-finger prints for identification purposes
 2-finger prints for updating incarceration
or release information to criminal history
 10-finger prints for updating incarceration
or release information to criminal history
 Palm prints
 Facial images/mug shots
 Scars, marks, and tattoo images
 Facial recognition data
 1- or 2-finger prints for updating
disposition information
 Iris capture
 Other (specify) ___________________

____________ 2014 volume
____________ 2014 volume
____________ 2014 volume
____________ 2014 volume
____________ 2014 volume
____________ 2014 volume
____________ 2014 volume
____________ 2014 volume
____________ 2014 volume
____________ 2014 volume
____________ 2014 volume
____________ 2014 volume
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4. (a) Are you using mobile technology to transmit fingerprints for identification purposes?
 Yes

 No

(b) Are you using mobile technology to transmit fingerprints for booking purposes?
 Yes

 No

(c) Do you have plans to implement mobile technology that captures non-fingerprint
biometric information?
 Yes

 No

(d) Is your state employing Rapid ID?
 Yes

 No

Number of searches conducted in 2014_______________
Number of hits in 2014 _______________
5. (a) Total number of law enforcement agencies in your state ___________________
(b) Number of law enforcement agencies that submit arrest prints
via livescan (including agencies without livescan devices that
receive livescan services from agencies that do have that
equipment, such as a sheriff that provides booking services
for multiple local police departments)

_____________

(c) Number of agencies that submit arrest fingerprints via cardscan

_____________

(d) Number of agencies that submit hard copy arrest fingerprint cards _____________
(e) Percentage of arrest prints submitted via livescan during 2014

___________ %

ADDITIONAL COMMENTS:

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SECTION III: 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 case disposition information. (“Final case disposition” is defined
as release by police after charging; decline to proceed by prosecutor; or final trial court
disposition.)
1. If you are a National Fingerprint File (NFF) state, have you elected not to forward
disposition information on second and subsequent arrests to the FBI?
 Yes

 No

 N/A (Not an NFF participant)

2. Does your state collect charge tracking information (sometimes referred to as “interim
disposition information”) on the criminal history record showing the status of a case as it
moves through the justice system? (E.g., reporting of an indictment, charges filed that
are different than arrest charges, etc.)
 Yes

 No

3. (a) How many final case dispositions
did your repository receive during 2014?

____________ dispositions

(b) Of those, how many were sent to the FBI?
____________ dispositions
Of the dispositions forwarded to the FBI:
(c) What percentage was sent by Machine Readable
Data (MRD) such as tape/CD/DVD?

____________ %

(d) What percentage was sent via hard copy/paper?

____________ %

(e) What percentage was sent by Interstate
Identification Index (III) message key?

____________ %

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4. What percentage of all arrests in the criminal history database have final case dispositions
recorded?
(a) Arrests entered within past 5 years

____________ %

(b) Arrests in the entire database

____________ %

(c) Felony charges

____________ %

5. (a) Of the dispositions received at the repository during 2014, what percentage could not
be linked to a specific arrest record, either because of failed matching criteria or the
arrest had not been reported to the repository?
_______________%
(b) When a disposition cannot be matched, the following action(s) is taken: (Check all
that apply.)
 Placed in a suspense file (no further action)
 Placed in a suspense file for further investigation
 Disposition information is rejected
 Follow-up actions are taken by repository staff
 Court is contacted
 Other ______________________________________________
6. (a) As of December 31, 2014, was any court disposition data reported directly to the
repository by automated means? (Note: “automated” means a method by which data
is transmitted by the court to the repository where it is matched against criminal
history records and entered on the criminal history record, usually without manual
intervention. This does not include dispositions received via fax or email, which
require manual activity for criminal history record matching and data entry.)
 Yes

 No

(b) If yes, what percentage of dispositions was reported in 2014 by automated means?
____________%
(c) How are records matched between the court system and the repository? (Check all
that apply.)
 Process Control Number (PCN) or Transaction Control Number (TCN)
assigned when fingerprints were taken at time of arrest/booking
 PCN or TCN assigned subsequent to arrest/booking
 State Identification Number
 Arrest Number
 Name
 Date of birth
 Charges
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 N/A. My state does not receive automated disposition information from courts
 Other (please explain)_____________________________________________
7. In 2014, what was the average time elapsed between the occurrence of final felony trial
court case dispositions and receipt of information concerning such dispositions by the
repository?
____________ Days
8. In 2014, 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
9. (a) As of December 31, 2014, was your state using any livescan devices in
courtrooms/courthouses to link positive identifications with dispositions?
 Yes

 No

(b) If yes, how many livescan devices are in courtrooms/courthouses?
____________ Devices
10. (a) As of December 31, 2014, was there a backlog of court disposition data to be entered
into the criminal history record database (i.e., not entered within 48 hours of receipt at
repository, including dispositions that could not be matched to a criminal history
record within 48 hours of receipt at the repository)?
 Yes

 No

(b) If yes, how many unprocessed or partially processed court case dispositions did you
have?
________________
11. (a) Does the repository receive any final case disposition information (e.g., decline to
proceed) from local prosecutors or a statewide prosecutors association?
 Yes

 No

(b) If yes, this information is: (Check all that apply.)





Received via automated means
Received via the prosecutor’s case management system
Paper-based
A mix of automated and paper-based

11

(c) If yes, how are records matched between prosecutors and the repository? (Check all
that apply.)
 N/A. My state does not receive automated disposition information from courts
 Process Control Number (PCN) or Transaction Control Number (TCN)
assigned when fingerprints were taken at time of arrest/booking
 PCN or TCN assigned subsequent to arrest/booking
 State Identification Number
 Arrest Number
 Name
 Date of birth
 Charges
 Other (please explain)_____________________________________________
12. Does your state post indictment information to the criminal history record?
 Yes

 No

ADDITIONAL COMMENTS:

12

SECTION IV: NONCRIMINAL
BACKGROUND CHECKS
This section completed by
Name ________________________________

Title ________________________________

Agency _____________________________________________________________________
Phone ________________________________ Email _______________________________
Date completed ________________________

BACKGROUND CHECKS
1. (a) Does your state charge a fee to conduct a search of the criminal history record
database for noncriminal justice purposes?
 Yes

 No

(b) If yes, how are fees allocated?
 All fees go to the state general fund, with repository
funded by general fund allotment
 A percentage of fees go to support repository operations
__________ %
 All fees go to support repository operations
 Other _______________________________________________________
2. Please indicate the legal authority your state uses for each of the following background
checks. (Check all that apply. Check N/A when not applicable.)
N/A (state does
not do these
checks)

State check only

PL 92-544 statute

NCPA/VCA

Daycare providers
Caregivers–residential facilities
School teachers
Non-teaching school personnel (including volunteers)
Volunteers working with children
Prospective foster care parents
Prospective adoptive parents
Relative caregivers
Nurses/Elder caregivers
Legal guardians
Hazardous materials licensees

N/A

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Medical marijuana (dispensers, caregivers)

N/A

FINGERPRINT-BASED SEARCHES
3. (a) Has your state privatized the taking of fingerprints for noncriminal justice purposes?
 Yes

 No

(b) Is this service provided by?
 A single vendor

 Multiple vendors

(c) Does the vendor(s) assess a fee above what the state charges to perform the
background check?
 Yes, Fee $

 No

(d) Does the vendor provide any additional services besides the fingerprint capture? (e.g.,
evaluating responses for the requestor, sending responses back to the requestor, etc.)
_______________________________________________________________
_______________________________________________________________
4. (a) Total number of noncriminal justice fingerprints
submitted to the repository via livescan during 2014

____________

(b) Total number of noncriminal justice fingerprints
submitted to the repository via cardscan during 2014

____________

(c) Percentage of noncriminal justice fingerprints
submitted via livescan during 2014

____________

(d) Percentage of noncriminal justice fingerprints
submitted via cardscan during 2014

____________

(e) Total number of livescan devices available for
noncriminal justice purposes only

____________

(f) Total number of cardscan devices available for
noncriminal justice purposes only

____________

(g) Total number of livescan devices used for both
criminal and noncriminal justice purposes

____________

(h) Total number of cardscan devices used for both
criminal and noncriminal justice purposes

____________

5. What information is contained in the results for fingerprint-based noncriminal justice
background checks? (Check all that apply.)
 Full record
 Convictions only
 Juvenile records
 Arrests without disposition–over 1 year old
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 Other _______________________________________________________
6. What percentage of fingerprint-based noncriminal justice transactions are identified
against arrest fingerprints?
_________ %
7. Does the repository attempt to locate missing disposition information before responding
to a fingerprint-based noncriminal justice inquiry?
 Yes

 No

NAME-BASED SEARCHES
8. How many name-based noncriminal justice background checks were performed in 2014?
(a+b+c+d = e)
(a) Received via Internet

____________

(b) Received via mail

____________

(c) Received via telephone

____________

(d) Other

____________

(e) Total

____________

INTERNET ACCESS
9. Does your repository provide web-based noncriminal justice background checks to the
public?
 Yes

 No

10. Are fees involved for Internet access for the general public (not including any registration
or account fees)?
 Yes, Fee $ ____________

 No

ADDITIONAL COMMENTS:

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SECTION V: CRIMINAL JUSTICE
RAP BACK SERVICES
This section completed by
Name ________________________________

Title ________________________________

Agency _____________________________________________________________________
Phone ________________________________ Email _______________________________
Date completed ________________________

1. Does your state currently provide an in-state criminal justice rap back service?
 Yes

 No

If you answered “No,” skip to question 4.
2. What are the purposes in which criminal justice agencies can be notified of a subsequent
inquiry and/or record posting via your in-state criminal justice rap back service? (Check
all that apply.)
 Error correction/record management update
 Investigative lead
 Sex offender
 Parolee
 Probationer
 Permit/privileged license revocation (i.e., CCW permit, gaming work card,
etc.)
 Noncriminal justice purpose fingerprint search
 Other (describe)
3. In 2014, how many in-state criminal justice rap back notifications were made to agencies
for criminal justice purposes?

4. Do you currently participate in the FBI’s Next Generation Identification (NGI) rap back
service for criminal justice purposes?
 Yes

 No

If you answered “No,” skip questions 5 through 7.
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5. As a participant in NGI’s rap back service, do you allow criminal justice agencies in your
state to subscribe to the following supervision populations in NGI, as described in the
NGI Rap Back Criminal Justice Policy and Implementation Guide? (Check all that
apply.)
 Sex offenders
 Parolees
 Probationers
 Other supervised persons (describe)
 Uncertain
6. As a participant in NGI’s rap back service, do you allow law enforcement agencies in
your state to create law enforcement investigative subscriptions in NGI, as described in
the NGI Rap Back Criminal Justice Policy and Implementation Guide?
 Yes

 No

 Uncertain

7. As a participant in NGI’s rap back service, do you plan to: (Select one.)
 Keep your in-state criminal justice rap back service
 Keep your in-state criminal justice rap back service and allow enrollment in
NGI
 Retire your in-state criminal justice rap back service and use NGI for both instate and national rap back services
 Uncertain
 My state does not provide an in-state criminal justice rap back service
ADDITIONAL COMMENTS:

17

SECTION VI: NONCRIMINAL JUSTICE
RAP BACK SERVICES
This section completed by
Name ________________________________

Title ________________________________

Agency _____________________________________________________________________
Phone ________________________________ Email _______________________________
Date completed ________________________

Note: Questions 1–7 apply to in-state rap back programs for noncriminal justice purposes.
1. Does your state currently provide an in-state noncriminal justice rap back service?
 Yes

 No

If you answered “No,” skip to question 8.
2. (a) Is your in-state noncriminal justice rap back service authorized by state law or
administrative regulation?
 Yes

 No

(b) If yes, does the state law or administrative regulation specify the purposes in which
noncriminal justice agencies can be notified of a subsequent inquiry and/or record
posting?
 Yes

 No

3. Does your in-state noncriminal justice rap back service have a subscription validation
process similar to that required for NGI rap back participation, as described in the NGI
Rap Back Noncriminal Justice Policy and Implementation Guide?
 Yes, for all subscription populations
 Yes, for some subscription populations
 No
4. What are the occupational groups in which noncriminal justice agencies can be notified
of a subsequent record posting? (Check all that apply.)
 Individuals working with children
 Individuals working with the elderly
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 Individuals providing healthcare
 Security guards
 Police, fire, public safety
 Other (describe)
5. In 2014, how many in-state noncriminal justice rap back notifications were made to
agencies for noncriminal justice purposes?

6. Does your in-state noncriminal justice rap back service impose a fee to enroll a subject’s
fingerprints for a prescribed period of time?
 Yes
 No

$ ________

7. Does your in-state noncriminal justice rap back service impose a fee for noncriminal
justice rap back notifications?
 Yes
 No

$ ________

8. Do you currently participate in NGI’s rap back service for noncriminal justice purposes?
 Yes

 No

If you answered “No,” skip questions 9 through 10(d).
9. As a participant in NGI’s rap back service, does your state restrict NGI subscribers from
selecting from any of the available fees and their associated subscription terms?
 Yes, we limit NGI subscribers in our state to the following: (Select all that
apply.)
 Two-year – $2.25
 Five-year – $6.00
 Lifetime – $13.00
 No, our subscribers can choose from any of the three fees and their associated
subscription terms for their populations
 Yes, we limit our subscribers to using only the Lifetime fee ($13.00) and
subscription term
 Yes, we limit our subscriber’s choice of fees in a different manner
(describe)

19

10. As a participant in NGI’s rap back service—
(a) Do you plan to: (Select one.)
 Keep your in-state noncriminal justice rap back service
 Keep your in-state noncriminal justice rap back service and allow enrollment
in NGI
 Retire your in-state noncriminal justice rap back service and use NGI for both
in-state and national rap back services
 Uncertain
 My state does not provide an in-state noncriminal justice rap back service
(b) Do you restrict the Privacy Risk Mitigation Strategies that your subscribers can
choose?
 Yes, we limit the Privacy Risk Mitigation Strategy choices to the following:
(Check all that apply.)
 Pre-notification with mandatory validation/expiration within 3 years
 Authority for duration of a license
 Statutory authority for a set period of time
 One-year validation/expiration
 Subscription synchronization through automated or formalized procedures
 No, we will allow the subscribers to choose any of the Privacy Risk
Mitigation Strategies
 Not certain
(c) Do you restrict the Triggering Events that your subscribers may choose for future
NGI Rap Back Activity Notifications?
 Yes, we currently restrict, or plan to restrict, the Triggering Event choices to
the following: (Check all that apply.)
 Criminal Retain Submission
 Dispositions
 Expunge/Partial Expungement
 Warrant entry with FBI Number included
 Warrant Deletion
 Warrant Modification
 Sex Offender Registry Entry
 Sex Offender Registry Deletion
 Sex Offender Registry Modification
 Death Notices
 No, we will allow our subscribers to choose any of the Triggering Events to
receive as future Rap Back Activity Notifications
 Not certain
(d) Do you use Event-Based Subscription Management (i.e., multiple enrollment of the
same subject into NGI) or Category-Based Subscription Management (i.e., single
20

enrollment into NGI with additional enrollments held at the state level), as described
in the NGI Rap Back Noncriminal Justice Policy and Implementation Guide?





Event-Based Subscription Management
Category-Based Subscription Management
Both Event- and Category-Based Subscription Management
Uncertain

ADDITIONAL COMMENTS:

21