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pdfSurvey of State Criminal History Information Systems, 2014 (OMB #1121-0312)
Table of Contents
1. Attachment 1 – Crosswalk of Survey Changes from 2012 to 2014
2. Attachment 2 – Additions to the 2012 Survey for 2014
3. Attachment 3 – 2014 Survey of State Criminal History Information Systems
4. Attachment 4 – Screenshots for 2012 web form (2014 not yet developed)
5. Attachment 5 – 2014 Survey Cover Letter to States
6. Attachment 6 – Telephone and Email scripts for follow-up
7. Attachment 7 – 2014 Survey FAQ for PRA
2012 vs. 2014 Survey Questions “Cross-walk”
Modifications, Deletions, New Questions by SECTION
New or modified content is shown in green text.
Deleted content is shown as red strikethrough text.
Explanatory or clarifying comments are in yellow-highlighted blue—these are not included in
the 2014 Survey instrument.
Text deletions/additions have resulted in question number changes between 2012 and 2014.
SECTION I: REPOSITORY
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, 20122014?
(a) Automated records
__________________
(b) Manual records
__________________
(c) Total records
__________________
(include subjects whose records
are partially automated)
2. Fingerprints processed in 20122014:
Percentage of
Number 20122014 volume
Purpose
(a) Criminal (retained)
___________ _________%
(b) Criminal (not retained)
___________ _________%
(c) Non-criminal (retained)
___________ _________%
(d) Non-criminal (not retained)
___________ _________%
(e) What was the total number of fingerprint-based
background checks conducted during 20122014?
Totals
(a+b)_____________
(c+d)_____________
(a+b+c+d)___________
Question 3b was formerly question 3c on the 2012 survey.
3. (a) Does your state combine both criminal events and non-criminal justice applicant
information in the same record?
Yes
No
(b) If so, how many records in your database contain both criminal events and noncriminal justice applicant information?
1
(b) Of the total records in your database, ___________ %percent represent records that
contain both criminal events and non-criminal 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
Question 4b was modified to add selections for domestic violence conviction, mental health
adjudication, DNA available, DNA not yet collected, and IFFS flags indicating ineligible for
firearms purchase under federal law or state law.
(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) ______________________________________
(Other – Describe): ______________________________________
The following questions refer to repository administration, procedures and practices.
5. (a) As of December 31, 20122014, 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 non-criminal applicant
fingerprints was handled with “lights out” processing?
__________ %
2
Questions 6c and 6d were formerly questions 6b and 6c on the 2012 survey.
6. (a) Does your state maintain a protection order file?
Yes
No
(b) If yes, which agency(ies) enter protection orders onto the state file?
(check all that apply)
Law enforcement
Courts
Other (describe)
(c) If no, does law enforcement or courtswhich agency(s) enter protection order
information directly to the FBI-NCIC Protection Order File? Check (check all that
apply).
Yes, courtsLaw enforcement
Yes, law enforcementCourts
Other (describe)
(d) If yes, how many active records were in the state protection order record database as
of December 31, 20122014?
__________ records
Question 7 was modified to reorder or combine items from the 2012 survey, and to add two new
questions. Question 7f on the 2012 survey is now 7b; old questions 7b–c are now combined as
7d; 7c is new; old questions 7d–e are now 7e and g; and 7f is new.
Note: Per Owen Greenspan, question 7f is included because direct entry of warrants by courts
into NCIC is a relatively new and growing practice with the advent of ewarrant systems.
7. (a) Does your state maintain a warrant file?
Yes
No
(b) If yes, how many records were in the state warrant database as of December 31,
20122014?
__________ records
(b) Are warrants entered onto the file electronically by courts?
Yes
No
(c) Are warrants entered onto the file electronically by law enforcement?
Yes
No
(c) Of this total, how many are felony warrants, misdemeanor warrants or other types of
warrants?
3
Felony warrants
Misdemeanor warrants
Other (explain)
(d) Warrants are entered onto the state file by? (check all that apply)
Law enforcement Yes
No
Yes
No
Courts
(e) If your state does not maintain a warrant file, does law enforcement enter warrant
information directly to the FBI-NCIC Wanted Persons File?
Yes
No
(f) If your state maintains a warrant file, do any courts enter warrant information directly
to the FBI-NCIC Wanted Persons File?
Yes
No
(g) If your state does not maintain a warrant file, do any courts enter warrant information
directly to the FBI-NCIC Wanted Persons File?
Yes
No
The remaining portion of Section I was substantially altered from 2012 to 2014 by the deletion
of eight main questions (8, 9, 10, 11a/b, 13a/b, 14a/b/c, 15a/b/c, and 16). Question 12 from
2012 is now renumbered as Question 8, and was revised to remove some notification questions.
Questions 9a/b, regarding software components and environments, are new.
8. Does your repository maintain the sex offender registry?
Yes
No
9. As of December 31, 2012, what was the total number of registered sex offenders in your
state?
10. As of December 31, 2012, what was the total number of registered sex offenders on your
publicly available state registry?
11. As of December 31, 2012, how many hours per day did your state repository operate?
(a) Number of operating hours per day
Monday – Friday 8 10 12 14 16 24 Other _____
Saturday
8 10 12 14 16 24 Other _____
Sunday
8 10 12 14 16 24 Other _____
(b) Number of hours per day with fingerprint technicians on site
Monday – Friday 8 10 12 14 16 24 Other _____
Saturday
8 10 12 14 16 24 Other _____
Sunday
8 10 12 14 16 24 Other _____
4
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
Wants and warrants
Retained applicant prints
Rap back services for criminal justice purposes
Wanted persons
Firearm registration
Community notification (Check all that apply):
Sex offender residency, employment, or school
Victim notification to crime victims
Domestic Violence Incident Reports:
Domestic violence incident reports
Other (specify)
13. (a) In 2012, did the repository perform any compliance audits of agencies that
contributed information to the repository?
Yes
No
(b) In 2012, did the repository perform any compliance audits of justice agencies that
received information from the repository?
Yes
No
14. (a) Has your state implemented a GJXDM- or NIEM-compliant standardized rap sheet?
Yes
No
(b) If yes, please describe your implementation status. Check all that apply.
Testing
Operational, limited transmissions
Operational, all transmissions
Other. Please describe:
(c) What issues or challenges might delay your state’s implementation of the
standardized
rap sheet?
Funding
Need to upgrade/replace message switch
Limited internal resources
Need for technical assistance
Other. Please describe:
15. (a) Which of the following best describes your criminal history system platform?
Built in-house on Windows or .NET framework
5
Built in-house on Open Source (e.g., JAVA platform)
Built in-house utilizing mainframe services
Vendor-supplied on Windows or .NET framework
Vendor-supplied on Open Source framework
Vendor-supplied on mainframe environment
Combinations
Other. Please describe:
(b) Does your state have plans to migrate to Web services?
Yes
No
(c) If yes, when do you anticipate your state will migrate to Web services?
2015
2016
Other. Please explain:
16. Does your state produce statistics on the following?
Criminal history transactions
Hits versus no-hits
Purpose codes
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:
6
SECTION II: ARREST/FINGERPRINT REPORTING AND ENTRY
1. How many felony arrests were reported to your repository during calendar year
20122014?
____________ arrests
2. How many criminal justicearrest fingerprints were submitted to theyour repository via
livescan during 20122014? (a+b+c = d)
____________ fingerprints
(a) _________________ via livescan
(b) _________________ via cardscan
(c) _________________ hard copy fingerprints
(d) _________________ total arrest fingerprints
3. (a) As of December 31, 2012, was there a backlog of arrest data to be entered into the
AFIS database (i.e., not entered within 48 hours of receipt at repository)?
Yes
No
(b) If yes, how many unprocessed or partially processed fingerprint cards (work backlog)
did you have at that time? ______________
Size of backlog as of December 31, 2012, is not available
The following questions 3, 4 and 5 were originally numbered 4, 5 and 6 in the 2012 survey.
3. What types of biometric information are currently utilized in identification search
processes conducted by your agency? Check all that apply. (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
7
Question 4e in the 2012 survey is now 4c; Question 5c in the 2012 survey is now 5e.
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 plan to implement mobile fingerprint capture technology for either
identification or booking purposes?
Yes
No
(d) Are you using mobile technology to capture other biometric information for
identification purposes (e.g., facial recognition, iris)?
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
# of searches conducted in 2014_______________
# of hits in 2014 _______________
5. (a) Total number of law enforcement agencies in your state ___________________
(b) Total nNumber 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 20 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 criminal arrest prints submitted via livescan during 20122014:
___________ %
ADDITIONAL COMMENTS:
8
SECTION III: DISPOSITIONS
2012 survey questions 1a and 1b are replaced with 2014 question 1. Old question 12 is replaced
with a new question 12, and a handful of other questions have added content. Other than that,
this section is relatively stable from 2012.
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. (a) Are you a National Fingerprint File (NFF) state?
Yes
No
(b) Have you elected not to forward disposition information on second and subsequent
arrests to the FBI?
Yes
No
N/A
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
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 20122014?
____________ 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?
____________ %
4. What percentage of all arrests in the criminal history database have final case dispositions
recorded?
9
(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 20122014, 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, 20122014, were 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 20122014 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
N/A. My state does not receive automated disposition information from courts
Other (please explain)_____________________________________________
10
7. In 20122014, 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 20122014, 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, 20122014, was your state using any livescan devices in the
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, 20122014, 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 (check all that apply):
Is received via automated means
Is received via the prosecutor’s case management system
Is paper-based
Is a mix of automated and paper-based
(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
11
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
12. (a) Does your state have any laws that address reporting of dispositions to the repository?
Yes
No
(b) If yes, please provide citation(s):
ADDITIONAL COMMENTS:
12
SECTION IV: CORRECTIONS REPORTING
Note: The original Section IV from the 2012 survey, “Corrections Reporting,” and its four
questions were removed from the 2014 Survey. This results in Non-Criminal Background Checks
being renumbered to Section IV. In addition, the 2014 survey adds two additional sections:
Section V: Criminal Justice Rap Back Services, and Section V: Non-criminal Justice Rap Back
Services
1. In 2012, what was the average time elapsed between receipt of corrections admission data
by the repository and entry of that data into the criminal history record database?
____________ days
Not currently receiving corrections admission data
2. In 2012, what was the average time elapsed between receipt of corrections release data by
the repository and entry of that data into the criminal history record database?
____________ days
Not currently receiving corrections release data
3. (a) Do any corrections agencies currently report admission/release or status change
information to the repository by automated means?
Yes
No
(b) Does your agency forward admission/release or status change information received
from corrections agencies to the FBI?
Yes
No
(c) How many corrections agencies currently report by automated means?
________ agencies, representing _____% of the admission/release or status change
activity
4. (a) As of December 31, 2012, was there a backlog of corrections data to be entered into
the criminal history record database?
Yes
No
(b) If yes, how many unprocessed or partially processed corrections reports (work
backlog) did you have?
Reports
ADDITIONAL COMMENTS:
13
SECTION IV: NON-CRIMINAL BACKGROUND CHECKS
In 2012, this section contained 21 main questions. A significant number of these are removed
for 2014 (1b–d, 4a–b, 7a–b, 10–15, 16a–b, 17b–c, 18a–b, 19a–c, 20a–b, and 21a–c). Several
others were combined or renumbered, and a few added. The total main question count is now
9.
BACKGROUND CHECKS
1. (a) Does your state charge a fee for conductingto conduct a search of the criminal history
record database for non-criminal justice purposes?
Yes
No
If yes, what state fees were charged for the state record search as of December 31, 2012?
(b) Fingerprint-supported search:
$_______ retained
$_______ non-retained
$_______ volunteer (retained)
$_______ volunteer (not retained)
(c) Name search:
via Internet
$_______ nonprofit
$_______ government
$_______ volunteer (retained)
$_______ volunteer (not retained)
$_______ others
via Mail
$_______ nonprofit
$_______ government
$_______ volunteer (retained)
$_______ volunteer (not retained)
$_______ others
(d) Additional service fees:
$_______ mailed fingerprint cards/forms
$_______ “no resubmission of prints” for
repeat applicant
$_______ retained service
$_______ rap back service
$ _______ (other)___________________
The following question, 1b, was originally question 2 on the 2014 survey.
(b) How 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 _______________________________________________________
14
Note: The format of the following question was modified from 2012 to offer check boxes to
indicate authority—state check, PL 92-544, or NCPA/VCA. The table also adds choices for
Legal guardian and Medical marijuana (dispensers, care givers). It was question 3 on the
2012 survey.
2. Is there a state legal requirement to perform background checks for any of the following?
Please indicate the legal authority your state uses for each of the following background
checks. (check all that apply)
N/A (state does not State check only
do these checks)
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 guardian
Hazardous materials licensees
N/A
Medical marijuana (dispensers, care givers)
N/A
4. (a) Does your state offer a rap back service to provide automatic updates or notifications
of results when changes to records occur? Check all that apply.
No, my state does not provide a rap back service for noncriminal justice
purposes
Yes, always
Yes, but only for notification of subsequent arrest
Yes, but only for notification of subsequent conviction
Other: _____________________________________________
(b) If your agency retains non-criminal fingerprints for the purpose of providing
subsequent arrest or conviction information (“rap back”) to the contributor of the
applicant fingerprint card, how many arrest or conviction notifications were
generated?
FINGERPRINT-BASED SEARCHES
Questions 3 and 4 below were questions 5 and 6 on the 2012 survey.
3. (a) Has your state privatized the taking of fingerprints for non-criminal justice purposes?
Yes
No
15
(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.)
_______________________________________________________________
_______________________________________________________________
For the 2014 survey, Question 4 now includes requests for information on cardscan usage.
4. (a) Total number of non-criminal justice fingerprints
submitted to the repository via livescan during 20122014:
(b) Total number of non-criminal justice fingerprints
submitted to the repository via cardscan during 2014:
(c) Percentage of non-criminal justice fingerprints
submitted via livescan during 20122014:
(d) Percentage of non-criminal justice fingerprints
submitted via cardscan during 2014:
(e) Total number of livescan devices available for
non-criminal justice purposes only:
(f) Total number of cardscan devices available for
non-criminal justice purposes only:
(g) Total number of livescan devices used for both
criminal and non-criminal justice purposes:
(h) Total number of cardscan devices used for both
criminal and non-criminal justice purposes:
____________
____________
____________
____________
____________
____________
____________
____________
7. (a) What is the average processing time from fingerprint receipt to response?
For electronic requests:
____________ hours ____________ days
For mail requests:
____________ hours ____________ days
(b) Has a goal been established for maximum processing time?
Yes, ____________ days
No
Questions 5 and 6 below were questions 8 and 9 on the 2012 survey.
5. What information is contained in the results for fingerprint-based non-criminal justice
background checks? (check all that apply)
Full record
Convictions only
16
Juvenile records
Arrests without disposition–over 1 year old
Other _______________________________________________________
The 2012 survey question is reworded in the 2014 survey for clarity/brevity.
6. What percentage of fingerprint-based non-criminal criminal justice transactions are
identified against arrest fingerprints? What is the identification rate for fingerprint-based
non-criminal justice background checks? (I.e., applicant fingerprints identified against an
arrest fingerprint.)
_________ %
10. Does your state retain fingerprints submitted for any of the following non-criminal
justice purposes? Check all that apply.
No. The state does not retain non-criminal justice fingerprints for any reason.
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 or the disabled)
All non-criminal justice purpose fingerprints may be retained at the option of
the contributor
Other ________________________________________________________
11. If your state does retain non-criminal justice fingerprints for any purpose, how are the
fingerprints utilized? Check all that apply.
Searched against existing criminal history database
Searched against latent fingerprint database
Searched against subsequent criminal fingerprint submissions
Searched against subsequent latent fingerprint submissions
Other _________________________________________________________
Question 7 is new for 2014.
7. Does the repository attempt to locate missing disposition information before responding
to a fingerprint-based non-criminal justice inquiry?
Yes
No
NAME-BASED SEARCHES
Question 8 was originally question 12 in the 2012 survey.
8. How many name-based non-criminal justice background checks were performed in
20122014? (A + B + C below)(a+b+c+d = e)
(a) Received via Internet
____________
17
(b) Received via mail
____________
(c) Received via telephone
____________
(d) Other
____________
(e) Total
____________
13. What information is contained in the results for a name-based non-criminal justice
background check? Check all that apply.
Full record
Convictions only
Juvenile records
Arrests without disposition–over 1 year old
Other
_____________________________________________________________
14. What is the identification rate for name-based non-criminal justice background checks
(i.e., your system provides criminal record information based on the search information
provided)?
____________ %
15. Is written consent required by the subject before a name-based search is conducted?
Yes
No
16. (a) Are local agencies authorized to conduct name checks of state records for noncriminal justice purposes?
Yes
No
(b) If yes, what fee is the local agency authorized to charge? $____________
Questions 9a and 9b were originally Questions 17a and 17d on the 2012 survey.
INTERNET ACCESS
9. (a) Does your repository provide web-based non-criminal justice background checks to
the public?
Yes
No
(b) What is the website location (URL)?
___________________________________________
(c) If yes, what is required for Internet access for the general public?
Registration/account information
Credit card payment information
18
(b) Are fees involved for Internet access for the general public (not including any
registration or account fees)?
Yes, Fee $ ____________
No
18. (a) Does the state office of court administration provide web-based non-criminal justice
background checks to the public?
Yes
No
(b) If yes, what is the website location (URL)?
______________________________________
19. (a) If a private agency maintains the website, how much does it collect per transaction?
$ ___________________
(b) Of that amount, how much is returned to the repository?
$ ___________________
(c) How much is returned to the office of court administration?
$ ___________________
FINGERPRINT CAPTURE CERTIFICATION
20. (a) Does your state have a certification program for persons taking fingerprints?
Yes
No
(b) If yes, was this program established through legislation?
Yes
No
FBI FEE RETENTION
21. (a) Does the state process allow the Interstate Identification Index (III) record to be retrieved
and forwarded to the requestor when the state check reveals a III record rather than
forwarding the fingerprints to the FBI to process?
Yes
No
(b) If so, is the FBI fee retained by the state?
Yes
No
(c) Is the FBI fee returned to the requestor?
Yes
No
ADDITIONAL COMMENTS:
19
Section V is new to the 2014 survey.
SECTION V: CRIMINAL JUSTICE RAP BACK SERVICES
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.
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
20
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 enrolment 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:
21
Section VI is new to the 2014 Survey.
SECTION VI: NON-CRIMINAL JUSTICE RAP BACK SERVICES
Note: Questions 1–7 apply to in-state rap back programs for non-criminal 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 Non-Criminal 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
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?
22
6. Does your in-state noncriminal justice rap back service impose a fee to enrol 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)
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 enrolment
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 non-criminal justice rap back service
(b) Do you restrict the Privacy Risk Mitigation Strategies that your subscribers can
choose?
23
Yes, we limit the Privacy Risk Mitigation Strategy choices to the following
(check as appropriate):
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 as appropriate):
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 enrolment of the
same subject into NGI) or Category-Based Subscription Management (i.e., single
enrolment into NGI with additional enrolments held at the state level), as described in
the NGI Rap Back Non-Criminal Justice Policy and Implementation Guide?
Event-Based Subscription Management
Category-Based Subscription Management
Both Event- and Category-Based Subscription Management
Uncertain
ADDITIONAL COMMENTS:
24
Questions Added to
2012 Survey of State Criminal History Information Systems
for 2014
Section I: Repository
4. (b) Added check boxes for domestic violence conviction, mental health adjudication, DNA
available, DNA not yet collected, IFFS flag indicating ineligible for firearms purchase
under federal law, and IFFS flag indicating ineligible for firearm purchase under state
law.
6. (b) If yes, which agency(ies) enter protection orders onto the state file? (check all that apply)
Law enforcement
Courts
Other (describe)
(c) If no, which agency(ies) enter protection order information directly to the FBI-NCIC
Protection Order File? (check all that apply)
Law enforcement
Courts
Other (describe)
7. (c) Of this total, how many are felony warrants, misdemeanor warrants or other types of
warrants?
Felony warrants
Misdemeanor warrants
Other (explain)
(d) Warrants are entered onto the state file by? (check all that apply)
Law enforcement
Yes
No
Courts
Yes
No
(f) If your state maintains a warrant file, do any courts enter warrant information directly to
the FBI-NCIC Wanted Persons File?
Yes
No
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
2012 Survey Questions Added for 2014
1
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) _________________________________________________
Section II: Arrest Fingerprint Reporting and Entry
2. (b) Added # fingerprints via card scan
(c) Added # hard copy fingerprints
3.
Added check box for iris capture;
Added transaction volume line for each biometric
4. (d) Is your state employing Rapid ID? Yes
No
# of searches conducted in 2014 ___________
# of hits in 2014 ___________
5. (c) Number of agencies that submit arrest fingerprints via cardscan
(d) Number of agencies that submit hard copy arrest fingerprint cards
____________
____________
Section III: Dispositions
5. (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. (c) How are records matched between the court system and the repository? (check all that
apply)
2012 Survey Questions Added for 2014
2
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
N/A. My state does not received automated disposition information from courts
Other (please explain)_____________________________________________
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
Section IV: Non-Criminal Background Checks
2.
Modified with check boxes to indicate authority – state check, PL 92-544, or NCPA/VCA.
Added choices for Legal guardian, Hazardous materials licensees, and Medical
marijuana (dispensers, care givers).
4.
In addition to livescan, information is now requested on cardscan usage.
7.
Does the repository attempt to locate missing disposition information before responding
to a fingerprint-based non-criminal justice inquiry?
Yes
No
Section V: Criminal Justice Rap Back Services
2012 Survey Questions Added for 2014
3
1. (a) 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.
5.
As a participant in NGI’s rap back service, do you allow criminal justice agencies in your
state to subscribe 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 enrolment in NGI
Retire your in-state criminal justice rap back service and use NGI for both in-state
and national rap back services
2012 Survey Questions Added for 2014
4
Uncertain
My state does not provide an in-state criminal justice rap back service
Section VI: Non-Criminal Justice Rap Back Services
1. (a) 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 Non-Criminal 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
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 enrol 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
2012 Survey Questions Added for 2014
5
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 will limit our subscribers to using only the Lifetime fee ($13.00) and
subscription term
Yes, we will limit our subscriber’s choice of fees in a different manner
(describe)
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 enrolment in
NGI
Retire your in-state noncriminal justice rap back service and use NGI for both instate and national rap back services
Uncertain
My state does not provide an in-state non-criminal 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 as
appropriate):
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 our 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 rap
2012 Survey Questions Added for 2014
6
back Activity Notifications?
Yes, we currently restrict, or plan to restrict, the Triggering Event choices to the
following (check as appropriate):
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 enrolment of the same
subject into NGI) or Category-Based Subscription Management (i.e., single enrolment
into NGI with additional enrolments held at the state level), as described in the NGI Rap
Back Non-Criminal Justice Policy and Implementation Guide?
Event-Based Subscription Management
Category-Based Subscription Management
Both Event- and Category-Based Subscription Management
Uncertain
2012 Survey Questions Added for 2014
7
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.
1
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.
2
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)___________
3
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
4
(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)
5
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:
6
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
7
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:
8
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?
____________ %
9
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
10
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
13
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
14
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:
15
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.
16
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
18
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
Screenshots from the
2012 Survey of State Criminal History Information Systems
U.S. Department of Justice
Office of Justice Programs
Bureau of Justice Statistics
Washington, D.C. 20531
Date
Dear ______
I am writing to seek your assistance in providing information to the Bureau of Justice Statistics (BJS),
U.S. Department of Justice, on the status of state-held criminal records. Approximately every two years
since 1989, the Survey of State Criminal History Information Systems has captured a snapshot of the
continuing growth, ongoing improvements, and practices associated with initiating and updating state
criminal records. As in previous years, your response to this survey is voluntary.
As in the past, survey responses will be compiled by SEARCH, The National Consortium for Justice
Information and Statistics. A copy of the 2014 survey questionnaire is attached. However, I strongly
encourage you to complete the survey online via a password-protected section of the SEARCH Web site.
Responses should reflect conditions as of December 31, 2014. Those wishing to use the online response
option to fill out the survey can visit [URL] and use your state’s assigned password [password] to gain
access. The online survey allows each section to be completed independently by the appropriate staff
person. Respondents using the online survey tool 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.
Statistical data presented in past surveys has supported and provided insight to both State and Federal
legislative efforts that involve the use of criminal history records. Prominent among these is the Brady
Handgun Violence Prevention Act, which mandated the development of the National Instant Criminal
Background Check System (NICS). Further, the survey provides trend data demonstrating the correlation
between continuing federal funding incentives such as the BJS-administered National Criminal History
Improvement Program (NCHIP) and documented results.
Your past cooperation and assistance with this effort has provided a wealth of useful data for law- and
policymakers, researchers, justice practitioners, and others who depend on survey data to craft responsible
laws, policies, and procedures, and to prepare informative reports and educational materials. The
published 2012 survey is available at https://www.ncjrs.gov/pdffiles1/bjs/grants/244563.pdf
Please contact SEARCH staff Dennis DeBacco at 916-392-2550 ext. 325 (email: [email protected]) if
you have any questions or comments about the survey. We ask that you submit your survey responses
by [Date]. Thank you in advance for your assistance and cooperation with this important effort.
Sincerely,
William J. Sabol
Acting Director
Email Script
From:
Dennis DeBacco
Sent:
[Date]
To:
[SEARCH Members and Repository Directors who did not respond to our initial request
for information]
Cc:
Subject:
Survey of State Criminal History Information Systems, 2014
Attachments: Survey Cover Letter [version], Survey Questionnaire [version]
Greetings,
By email dated [Date], the attached cover letter and Survey of State Criminal History Information
Systems, 2014 was sent to you for completion and online entry into a password-protected section of the
SEARCH Web site by close of business [Date]. If you are receiving this email today, SEARCH is not in
receipt of your state’s information. If you have difficulties submitting your response via the website, you
may fax your completed form to me at the number provided below.
At your earliest convenience or by close of business [Date], please review the attachments to this email
and respond as indicated.
Your assistance in responding to this request is greatly appreciated. Should you or any member of your
staff have questions regarding the survey or if additional information is needed, please do not hesitate
to contact me.
Thank you.
Dennis DeBacco
Justice Information Services Specialist
SEARCH, the National Consortium for Justice
Information and Statistics
7311 Greenhaven Drive, Suite 270
Sacramento, CA 95831
(916) 392-2550 ext. 325, (Office)
(775) 412-1950 (Cell)
(916) 392-8440 (Fax)
Email to: [email protected]
Telephone Script
Hello, this is Dennis DeBacco from SEARCH, the National Consortium for Justice Information and
Statistics. I am calling today to advise that we did not receive your state’s completed criminal history
information systems survey for 2014. The questionnaire and cover letter instructions were emailed to
you on [Date] wherein online entry into a password-protected section of the SEARCH Web site was
requested by close of business [Date].
Did you receive this information and will your state be responding to the request?
Was the material sent to the proper location or should it be redirected?
Do you have any questions about the survey or do you need assistance to access the SEARCH
Web site?
Do you prefer to submit your response via fax?
Can you provide this information by [Date]?
Your assistance in responding to this request is greatly appreciated. Thank you and have a pleasant day.
Paperwork Reduction Act Statement - FAQ
Why the information is being collected. Among the many operations related to the criminal
justice statistics function of the Bureau of Justice Statistics (BJS) is the administration of the
National Criminal History Improvement Program (NCHIP), established by the Brady Handgun
Violence Prevention Act (Brady Act) and the NICS Record Improvement Program (NARIP).
Since 1989, BJS has sponsored the biennial survey of state criminal history information systems
through a cooperative agreement with SEARCH, Group INC. The Survey of State Criminal
History Information Systems has provided state and federal lawmakers, policymakers, state
criminal record agency administrators, researchers and others with the only comprehensive data
available on the number and completeness of state-maintained criminal history records, the
backbone of the nation’s criminal record information sharing network. Survey information has
supported and helped gauge the efficacy of initiatives, NCHIP and NARIP among them,
designed to improve criminal history records to support firearm suitability determinations, sex
offender and domestic violence protection order registries. The Survey of State Criminal History
Information Systems is essential to assessing the impact of the NCHIP and NARIP programs
nationally. The survey supports the BJS mission under Title 42 U.S.C. Section 3732, to provide
for improvements in the accuracy, quality, timeliness, immediate accessibility, and integration of
state criminal history and related records. It also supports the development and enhancement of
national systems of criminal history and related records including the National Instant Criminal
Background Check System (NICS), the Interstate Identification Index (III), the Next Generation
Identification system (NGI, formerly Interstate Automated Fingerprint Identification System),
the National Incident-Based Reporting System (NIBRS), and the records contained in the
National Crime Information Center (NCIC). The survey also facilitates state participation in
national records and information systems, and supports statistical research for critical analysis of
the improvement and utilization of criminal history records.
Use of information. Data for this collection will be obtained through a voluntary biennial survey
administered to state criminal record agency administrators. State and Federal lawmakers use the
collected statistics to identify areas of needed funding and to gauge the efficacy of programs
implemented to improve criminal record quality at the state and national levels. The General
Accountability Office (GAO) relied heavily on the most recently published data (Survey of State
Criminal History Systems, 2012) for their review of the use of criminal history record checks for
noncriminal justice purposes. State Police, Public Safety offices and Attorney Generals, the
agencies that typically administer the state criminal records that repositories maintain, use survey
data to compare their progress with that of other states; to learn the status of operational and
technological trends; to become aware of methods implemented by other states to improve
record quality by promoting increased reporting from local justice jurisdictions; and as the
impetus for examining their own operations and services. Researchers use the data to support
scholarly investigations into issues associated with the use of criminal history records for both
criminal and noncriminal justice purposes. The survey also provides users with comparative and
trend data, providing the ability to track changes in certain databases and follow other trend
information of value for state-to-state analysis, such as variances in fees charged for background
checks, variances in length of time from occurrence of disposition to posting on criminal history
record, increases in percentage of fingerprints submitted via livescan, and use of livescan
systems in courtrooms/courthouses. BJS frequently uses survey data to assess record automation,
completion, and accessibility by state and over time. The data collected from this survey is
compared with data provided by the FBI systems to assess the extent of gaps in reporting of
arrests and dispositions available nationally. Several key performance measures for the NCHIP
and NARIP programs emanate from the data obtained from this survey (such as, trends in
percentage of automated records to total number of records, and percentage of arrests in state
systems with linked final dispositions).
Burden estimate. Similar to past surveys and initiated under the yearend 2006 data collection
effort, survey respondents continue to be able to access online, password-protected reporting
forms. Respondent data is electronically entered and transmitted to a secure database where it is
analyzed by assigned project staff for accuracy and completeness before being compiled for
inclusion into the biennial State Criminal History Information Systems Report to the granting
authority. Online edit functionality is also employed by the online reporting tool to detect
common errors in data reporting and anomalies against data reported in previous cycles.
Changes have been made in the organization of the current survey. First and foremost,
significant effort was made to reduce or eliminate questions that tend to yield the same responses
each year or where the information requested can be obtained from other sources. Additions to
the survey include expanded questions concerning arrest and disposition reporting and records
that are associated with domestic violence protection orders, wanted persons, mental health
adjudications, and persons who are ineligible to purchase firearms. To account for recent
technological enhancements to national and state criminal justice information systems and the
way in which records are maintained, accessed and disseminated, the 2014 survey adds two
additional sections: Section V: Criminal Justice Rap Back Services, and Section VI: Noncriminal
Justice Rap Back Services.
The survey will be sent to criminal history repositories in 56 jurisdictions including the 50 States,
the District of Columbia, American Samoa, Guam, the N. Mariana Islands, the Commonwealth
of Puerto Rico and the U.S. Virgin Islands. The average time required for each agency to
complete the survey is estimated at 6.2 hours. The total respondent burden is estimated at 347
hours. The estimated burden is based on the average amount of time reported by 6 states that
reviewed the survey as follows: Kansas 6 hours, Missouri 6 hours, New York 5 hours, Ohio 6
hours, Tennessee 6 hours, Washington 8 hours
Confidentiality. The data collected are in the public domain and not subject to confidentiality
guarantees. Collected data are primarily statistics of an administrative nature, and do not allow
for the identification of any individual. Each responding state will be provided with a unique
password to ensure that only its representatives provide information to the survey.
| File Type | application/pdf |
| Author | Adams, Devon |
| File Modified | 2015-01-06 |
| File Created | 2014-12-30 |