Survey of State Criminal History Information Systems, 20

OMB No. 0000-0000: Approval Expires [00/00/00]

Survey of State Criminal History
Information Systems, 2018
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. 2015-RU-BX-K001 awarded by the Bureau of Justice Statistics,
Office of Justice Programs, U.S. Department of Justice. Please note: Completion of the survey is voluntary; however,
doing so is a special condition placed on all National Criminal History Improvement Program (NCHIP) and NICS Act
Record Improvement Program (NARIP) awards.
If you use the online survey tool, accessible at http://www.search.org/surveys/repository/, to enter 2018 data, you can view
previously submitted 2016 data for comparison purposes. Where applicable, your state’s 2016 responses are displayed in
color within each section of the online survey. It is hoped that this information will help you complete the survey more
accurately and efficiently. The cover letter provides the password to gain access to your state’s online survey. Direct
your questions or comments to SEARCH staff Dennis DeBacco at 775-412-1950 or [email protected].
If it is more convenient, you may request a PDF copy of the survey, complete it manually, and fax (916-392-8440) or e-mail
it to the attention of Dennis DeBacco at [email protected]. The deadline for survey submission is [date].
The survey is divided into five sections. You may submit each section independently and not necessarily in the order
presented. This is done so that different people on your 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.
2.

3.
4.
5.

6.

All reported data should be for calendar year 2018, or as of December 31, 2018.
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.
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.
If additional space is needed, please use the “Additional Comments” area at the end of each section.
Please use the “Additional Comments” area at the end of each section to provide explanatory notes for responses
that require explanation or when “no data is available,” and to describe significant changes between the current
response and data reported in the 2016 survey.
If a question is not applicable to your repository, please note the question number and indicate “NA” in the
“Additional Comments” area at the end of each section.

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 6.75 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

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, 2018?
(a) Automated records

__________________

(b) Manual records

__________________

(c) Total records

__________________

(include subjects whose records
are partially automated)

(a+b)

2. Fingerprints processed in 2018:
Purpose

Number

Percentage of
2018 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 2018?

Totals

(a+b)_____________

(c+d)_____________

(a+b+c+d)___________

3. (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
2

(b) Does your state’s criminal history record employ flagging to indicate the following?
(Check all that apply.)
 Sex offender registrant
 Violent offender
 Misdemeanor domestic violence conviction that would exclude someone from
purchasing a firearm
 Active protection order on file with state justice information system and/or
NCIC
 Active warrant on file with state justice information system and/or NCIC
 Mental health adjudication
 DNA available
 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.
4. (a) As of December 31, 2018, did your repository conduct “lights out” processing of
fingerprints (an identification decision is made without fingerprint technician
intervention)? If no, skip to question 5.
 Yes

 No

(b) What percentage of fingerprints was
handled with “lights out” processing?

__________ %

(c) What percentage of criminal fingerprints
was handled with “lights out” processing?

__________ %

(d) What percentage of noncriminal applicant
fingerprints was handled with “lights out” processing?

__________ %

5. (a) Does your state maintain a protection order file? If no, skip to question 6.
 Yes

 No

(b) Which agency(s) enter protection orders onto the state file?
(Check all that apply.)
 Law enforcement
 Courts
 Other (describe) __________________________________________
(c) How many active records were in the state protection order record database as of
December 31, 2018?
_________________ records
3

(d) In 2018, what was the average time elapsed between the issuance of a protection
order and entry of the information into the state protection order file?





1 day or less
2–7 days
8–30 days
More than 30 days

(e) Are protection orders entered onto the FBI-NCIC Protection Order File? If no, skip to
question 6.
 Yes

 No

(f) Which agency(s) enter protection order information to the FBI-NCIC Protection
Order File? (Check all that apply.)
 Law enforcement
 Courts
 Other (describe) __________________________________________
(g) In 2018, what was the average time elapsed between the issuance of a protection
order and entry of the information into the FBI-NCIC Protection Order File?





1 day or less
2–7 days
8–30 days
More than 30 days

6. (a) Does your state maintain a warrant file? If no, skip to question 7.
 Yes

 No

(b) Which agency(s) enter warrants onto the state file? (Check all that apply.)
 Law enforcement
 Courts
 Other (describe) __________________________________________
(c) In 2018, what was the average time elapsed between the issuance of a warrant and
entry of the information into the state warrant file?





1 day or less
2–7 days
8–30 days
More than 30 days

(d) How many records were in the state warrant database as of December 31, 2018?
4

_________________ records
(e) Of this total, indicate the number of:
Felony warrants ______________________
Misdemeanor warrants ________________
Other (explain) ______________________________________________
(f) Which agency(s) enter warrant information to the FBI-NCIC Wanted Person File?
(Check all that apply.)
 Law enforcement
 Courts
 Other (describe) __________________________________________
(g) In 2018, what was the average time elapsed between the issuance of a warrant and
entry of the information into the FBI-NCIC Wanted Person file?





1 day or less
2–7 days
8–30 days
More than 30 days

7. 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
Firearm registration
Domestic violence incident reports
Other (specify)

8. (a) When were each of the following systems last replaced or significantly upgraded?
 Computerized Criminal History (CCH) _________________________
 Automated Fingerprint Identification System (AFIS) ______________
 Message Switch ___________________________________________
(b) Does your state have plans to replace any of the following due to systems that are at
or nearing the end of their lifecycle? (Check all that apply and indicate project
status.)
 Computerized Criminal History (CCH)
If applicable, what is the status of your CCH replacement project?
o Planning
5

o Reviewing bids/proposals
o Implementation and testing
 Automated Fingerprint Identification System (AFIS)
If applicable, what is the status of your AFIS replacement project?
o Planning
o Reviewing bids/proposals
o Implementation and testing
 Message Switch
If applicable, what is the status of your message switch replacement project?
o Planning
o Reviewing bids/proposals
o Implementation and testing
9. What is the operations budget for your criminal history repository for the current fiscal
year? _______________
10. When does your current fiscal year end? _________________
11. How many employees does your state criminal history repository employ?
____________ full-time employees
____________ part-time employees
12. How many contractual staff does your criminal history repository employ?
____________ full-time contractors
____________ part-time contractors
13. If your repository employs contractors, what type of work do they perform? (Check all
that apply.)








Data entry
Document scanning
Help desk support
Information technology support
Software development
Researching dispositions
Other (briefly describe) _______________________

14. (a) Does your repository conduct routine internal data quality audits? If no, skip to
question 15.
 Yes

 No

6

(b) How frequently?






More than once per year
Annually
Every 2 years
Every 3 years
Other (briefly describe) _______________________

15. (a) Does your repository conduct routine external data quality audits of contributing
agencies? (E.g., inspecting samples of records maintained to determine if they have
been submitted to the repository and/or checking to see if the information housed by
the repository matches that maintained by contributing agencies.) If no, skip to
question 16.
 Yes

 No

(b) How frequently?






More than once per year
Annually
Every 2 years
Every 3 years
Other (briefly describe) _______________________

16. Does your state have a law or administrative rule that specifies retention periods for the
following? (Check all that apply and provide information where applicable.)
 Felony arrest records
o Retention period ___________
o Citation URL ________________________________________
 Misdemeanor arrest records
o Retention period ___________
o Citation URL ________________________________________
 Felony court disposition records
o Retention period ___________
o Citation URL ________________________________________
 Misdemeanor court disposition records
o Retention period ___________
o Citation URL ________________________________________

ADDITIONAL COMMENTS:

7

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 2018?
____________ arrests
2. How many arrest fingerprints were submitted to your repository during 2018? (a+b+c = d)
(a) _________________ via livescan
(b) _________________ via cardscan
(c) _________________ hard copy fingerprints
(d) _________________ = total arrest fingerprints
3. (a) As of December 31, 2018, was there a backlog of arrest fingerprint cards to be
entered into the AFIS database (i.e., not entered within 48 hours of receipt at
repository)? If no, skip to question 4.
 Yes

 No

(b) How many arrest fingerprint cards were backlogged?
 Size of arrest fingerprint card backlog as of December 31, 2018, is not
available
(c) What is the age of the backlogged arrest information?





1 month or less
2–6 months
7–12 months
More than 1 year

4. For the year ending on December 31, 2018, what percentage of arrest fingerprint records
received by the repository were rejected for poor quality? ______________ %

8

5. Mobile technology
(a) Are agencies in your state using mobile technology to transmit fingerprints for
identification purposes?
 Yes

 No

(b) Are agencies in your state 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

Question 5(d) addresses Rapid ID technology, which enables authorized users to instantly
search local, state and federal AFIS databases to confirm the identity of a person via fingerprints
captured using mobile or tethered fingerprint devices, and to query various criminal justice
databases for additional information about the individual. Rapid ID searches, for example, can
include criminal history record information, outstanding warrants, sex offender status, probation
and parole supervision status, caution indicators, and mugshots.
(d) Does your state employ Rapid ID? If no, skip to question 6.
 Yes

 No
 Number of searches conducted in 2018 _______________
 Number of hits in 2018 _______________

6. Law enforcement agency submissions
(a) 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)

_____________

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

_____________

(c) Number of agencies that submit hard copy arrest fingerprint cards _____________
(d) Percentage of arrest prints submitted via livescan during 2018

___________ %

7. Do local law enforcement agencies in your state routinely cite and release individuals
without fingerprinting? This includes issuance of a notice to appear when a person is
charged with a crime, but is not fingerprinted prior to a court appearance.
 Yes, only for violations
 Yes, for both violations and misdemeanors

9

 Yes, for all criminal offenses, including felonies
 No (skip to question 9)
8. If local law enforcement agencies in your state routinely cite and release individuals without
fingerprinting, is there a law or policy requiring the courts to order persons who have not
been fingerprinted to do so prior to or after an initial court hearing?
 Yes, by law (check all that apply)
o only for violations
o for both violations and misdemeanors
o for all criminal offenses, including felonies
 Yes, by policy or administrative rule (check all that apply)
o only for violations
o for both violations and misdemeanors
o for all criminal offenses, including felonies
 No

9. Does your state have a statewide criminal citation file? (Note: this does not include traffic
citation files.)
 Yes
o Number of criminal citations contained in file as of December 31, 2018
_______
o Number of citation records added to file during 2018 ________
 No
ADDITIONAL COMMENTS:

10

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 the formal or informal conclusion of an arrest or charge at whatever stage it occurs in the
criminal justice process. (E.g., release by police after arrest without charging; decline to
proceed by prosecutor; or final trial court disposition.)
1. 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

2. (a) How many final case dispositions
did your repository receive during 2018?
(b) Of those, how many were sent to the FBI?

____________ dispositions
____________ 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?

____________ %

(f) What percentage was sent via a secure web portal?

____________ %

Note: When calculating the percentage of arrests with final dispositions recorded, some states
consider an arrest to have a disposition if any final disposition can be associated with an arrest
cycle. This is commonly referred to as “cycle matching.” Other states do not consider an arrest to
have a final disposition until all arrest charges are linked to a final disposition. This is commonly

11

referred to as “charge matching.”
3. Does your state perform cycle or charge matching to calculate the percentage of arrests in the
criminal history database with final dispositions?

 Cycle matching
 Charge matching
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 2018,
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 to an arrest, 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
Court-provided charge(s) and corresponding disposition is posted to the
beginning or end of record
 Other ______________________________________________
(c) Is a vendor used to assist your state’s repository in identifying or locating missing
dispositions?
 Yes

 No

6. (a) As of December 31, 2018, was any court disposition data reported directly to the
repository by automated means? (Note: “automated” refers to 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 (skip to question 6d)

(b) How many court disposition records were:

12

 Received via automated means through a centralized
(statewide) court case management system _______________
 Received via the local courts’ case management systems _______________
(c) What percentage of dispositions was reported in 2018 by automated means?
____________%
(d) 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
 Other (please explain)_____________________________________________
7. In 2018, what was the average time elapsed between the occurrence of final felony court
case dispositions and receipt of information concerning such dispositions by the
repository?







1 day or less
2–7 days
8–90 days
91–180 days
181–365 days
More than 1 year

8. In 2018, what was the average time elapsed between receipt of final felony court
disposition information by the repository and entry of that information into the criminal
history record database?








1 day or less
2–7 days
8–30 days
31–90 days
91–180 days
181–365 days
More than 1 year

9. (a) As of December 31, 2018, was your state using any livescan devices in
courtrooms/courthouses to link positive identifications with dispositions? If no, skip
13

to question 10.
 Yes

 No

(b) How many livescan devices are in courtrooms/courthouses?
____________ Devices
10. (a) As of December 31, 2018, 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)? If no, skip to question 11.
 Yes

 No

(b) 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? If no, skip to question 11c.
 Yes

 No

(b) This information is: (Check all that apply.)
 Received via automated means through a centralized (statewide) prosecutors’
case management system
 Received via the local prosecutors’ case management system
 Paper-based
 A mix of automated and paper-based
(c) How are records matched between prosecutors 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
 Other (please explain)_____________________________________________
12. Does your state post indictment information to the criminal history record?
 Yes

 No

ADDITIONAL COMMENTS:
14

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? If no, skip to question 2.
 Yes

 No

(b) 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 which of the following background checks are performed by your state
pursuant to law. (Check all that apply.)
National check

State check only

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
Medical marijuana (dispensers, caregivers)

15

FINGERPRINT-BASED SEARCHES
3. (a) Has your state privatized the taking of fingerprints for noncriminal justice purposes?
If no, skip to question 4.
 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 2018

____________

(b) Total number of noncriminal justice fingerprints
submitted to the repository via cardscan during 2018

____________

(c) Percentage of noncriminal justice fingerprints
submitted via livescan during 2018

____________%

(d) Percentage of noncriminal justice fingerprints
submitted via cardscan during 2018

____________%

(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
16

 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 did your repository
perform in 2018? (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:

17

SECTION V:
IN-STATE 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? If no, skip
to question 4.
 Yes

 No

2. What are the purposes for 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 2018, 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
Not currently, but my state has passed legislation to authorize participation
No, but my state is considering legislation to authorize participation
18

5. Does your state currently provide an in-state noncriminal justice rap back service? If no,
skip to question 8.
 Yes

 No

6. (a) Is your in-state noncriminal justice rap back service authorized by state law or
administrative regulation? If no, skip to question 7.
 Yes

 No

(b) 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

7. 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
8. 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)
9. In 2018, how many in-state noncriminal justice rap back notifications did your repository
make to agencies for noncriminal justice purposes?
10. 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

$ ________

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

$ ________

19

ADDITIONAL COMMENTS:

20