SSCHIS Supporting Documentation

1. Attachment 1 – Crosswalk of Survey Changes from 2016 to 2018

2. Attachment 2 – Additions to the 2016 Survey for 2018

3. Attachment 3 – 2018 Survey of State Criminal History Information Systems

4. Attachment 4 – Screenshots for 2016 web form (2018 not yet developed)

5. Attachment 5 – 2018 Survey Cover Letter to States

6. Attachment 6 – Telephone and Email scripts for follow-up

Attachment 1 – Crosswalk of Survey Changes 2016 to 2018

2016 to 2018 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 yellow-highlighted
Text deletions/additions have resulted in question number changes between 2016 and 2018.

The average time required for each agency to complete the survey is estimated at 6.2 6.75 hours.
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, 20162018?
(a) Automated records

__________________

(b) Manual records

__________________

(c) Total records

__________________

(include subjects whose records
are partially automated)

(a+b)

2. Fingerprints processed in 20162018:
Percentage of
Purpose

Number 20162018 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 20162018?

Totals

(a+b)_____________

(c+d)_____________

(a+b+c+d)___________

1

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
(b) Does your state’s criminal history record employ flagging to indicate? (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, 20162018, 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

5.

 No

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

__________ %

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

__________ %

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

__________ %

(a) Does your state maintain a protection order file? If no, skip to question 6.
 Yes
 No
(b) If yes, which Which agency(s) enter protection orders onto the state file?
(Check all that apply.)
 Law enforcement
 Courts
 Other (describe)
2

(c) If yes, how How many active records were in the state protection order record database as of
December 31, 20162018?
__________ records
(d) In 20162018, 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
 N/A – State does not maintain a protection order file
(e) Are protection orders entered onto the FBI-NCIC Protection Order File?
 Yes

 No

(f) If yes, which 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 20162018, 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
 N/A – State does not maintain a protection order file
6.

(a) Does your state maintain a warrant file? If no, skip to question 7.
 Yes
 No
(b) If yes, Which agency(s) enter warrants onto the state file? (Check all that apply.)
 Law enforcement
 Courts
 Other (describe)
(c) In 20162018, what was the average time elapsed between the issuance of a warrant and entry
of the information into the state warrant file?
3

 1 day or less
 2-7 days
 8-30 days
 More than 30 days
 N/A – State does not maintain a warrant file
(d) If yes, hHow many records were in the state warrant database as of December 31, 20162018?
__________ 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 20162018, what was the average time elapsed between the issuance of a warrant and
entry of the information into the FBI- NCIC file?
 1 day or less
 2-7 days
 8-30 days
 More than 30 days
 N/A – State does not maintain a warrant file
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)
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 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?
 Computerized Criminal History (CCH)
 If yes, when ___________
 If yes, what is the estimated replacement cost? ________________
 If yes, what percentage of the cost will be requested from your state? _____
 If yes, what percentage of the cost will be requested from federal sources?
_____
 If yes, what is the status of your CCH replacement project?
o Planning
o Reviewing bids/proposals
o Implementation and testing
 Automated Fingerprint Identification System (AFIS)
 If yes, when __________
 If yes, what is the estimated replacement cost? ________________
 If yes, what percentage of the cost will be requested from your state? _____
 If yes, what percentage of the cost will be requested from federal sources?
_____
 If yes, what is the status of your AFIS replacement project?
o Planning
o Reviewing bids/proposals
o Implementation and testing
 Message Switch
 If yes, 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 begin? _________________
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
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13. If your repository employs contractors, what type of work do they do? (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

(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 ___________
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o Citation URL ________________________________________
 Misdemeanor court disposition records
o Retention period ___________
o Citation URL ________________________________________
ADDITIONAL COMMENTS:

SECTION II: ARREST/FINGERPRINT REPORTING AND ENTRY
1. How many felony arrests were reported to your repository during calendar year 20162018?
____________ arrests
2. How many arrest fingerprints were submitted to your repository during 20162018? (a+b+c = d)
(a) _________________ via livescan
(b) _________________ via cardscan
(c) _________________ hard copy fingerprints
(d) _________________ = total arrest fingerprints
3. (a) As of December 31, 20162018, 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) If yes, how many?
 Size of arrest fingerprint card backlog as of December 31, 20162018, is not available
(c) If yes, what is the age of the backlogged arrest information?





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

4. (a) As of December 31, 2016, was there a backlog of palm prints to be ente4red into the AFIS
database (i.e., not entered within 48 hours of receipt by repository)?
 Yes
 No
(b) If yes, how many? ____________
 Size of palm print backlog as of December 31, 2016, is not available.

4. For the year ending on December 31, 2018, what percentage of arrest fingerprint records
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received by the repository were rejected for poor quality? ______________%
6. 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

____________ 20142016 volume

 Flat prints

____________ 20142016 volume

 2-finger prints for identification purposes ____________ 20142016 volume
 2-finger prints for updating incarceration
or release information to criminal history ____________ 20142016 volume
 10-finger prints for updating incarceration
or release information to criminal history ____________ 20142016 volume
 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) ___________________

____________ 2012016 volume
____________ 20142016 volume
____________ 2012016 volume
____________ 2014 volume
____________ 20142016 volume
____________ 20142016 volume
____________ 20142016 volume

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
8

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. (a) Total number of law enforcement agencies in your state? ___________________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 20162018 ___________ %
9. Does your state have a purchasing contract for livescan equipment?







Yes, we have a statewide contract that local agencies can purchase from
Yes, my agency purchases all livescan equipment on behalf of local agencies
Yes, my state is part of a multi-state contract for livescan equipment
Yes, certain agencies within my state have negotiated a multi-jurisdiction contract
No, each local agency negotiates directly with livescan vendors to purchase equipment
Other, please explain: _________________________________________________

10. If no, does your state plan to negotiate a statewide or multi-state purchasing contract for livescan
equipment in the future?
 Yes, my state anticipates negotiating a statewide contract for livescan equipment
 Yes, my state anticipates negotiating a multi-state contract for livescan equipment
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
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

9

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:

SECTION III: DISPOSITIONS
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 20162018?

____________ dispositions

(b) Of those, how many were sent to the FBI?
____________ dispositions
Of the dispositions forwarded to the FBI:
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(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 referred to as
“charge matching.”
3. Does your state do 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 20162018, 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 ______________________________________________
(c) Is a vendor used to assist your state’s repository in identifying or locating missing dispositions?
 Yes

 No
11

6. (a) As of December 31, 20162018, 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 (skip to question 6d)

(b) If yes, how many automated records were:
 Received via automated means through a centralized (statewide) court case
management system _____
 Received via the local courts’ case management systems_____
(c) If yes, what percentage of dispositions was reported in 20162018 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
 N/A. My state does not receive automated disposition information from courts
 Other (please explain)_____________________________________________
7. In 20162018, 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
 8-30 days
 31-90 days
 91-180 days
 181 days to 365 days
 More than 1 year
8. In 20162018, 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
12

 2-7 days
 8-30 days
 31-90 days
 91-180 days
 181 days to 365 days
 More than 1 year
9. (a) As of December 31, 20162018, was your state using any livescan devices in
courtrooms/courthouses to link positive identifications with dispositions?
 Yes

 No (If no, skip to question 10.)

(b) If yes, how many livescan devices are in courtrooms/courthouses?
____________ Devices
10. (a) As of December 31, 20162018, 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) 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? If no, skip to question 11c.
 Yes

 No

(b) If yes, 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) 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 prosecutors
 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
13

 Charges
 Other (please explain)_____________________________________________
12. Does your state post indictment information to the criminal history record?
 Yes

 No

ADDITIONAL COMMENTS:

SECTION IV: NON-CRIMINAL BACKGROUND CHECKS
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) 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.)
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
14

Prospective adoptive parents
Relative caregivers
Nurses/Elder caregivers
Legal guardians
Hazardous materials licensees

N/A

Medical marijuana (dispensers,
caregivers)

N/A

2. Please indicate the legal authority your state uses for each 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)

FINGERPRINT-BASED SEARCHES
15

3.

(a) Has your state privatized the taking of fingerprints for noncriminal justice purposes?
 Yes

 No

If you answered “No,” no, skip to question 4.
(b)

If yes, 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 20162018

____________

(b) Total number of noncriminal justice fingerprints
submitted to the repository via cardscan during 20162018

____________

(c) Percentage of noncriminal justice fingerprints
submitted via livescan during 20162018

____________

(d) Percentage of noncriminal justice fingerprints
submitted via cardscan during 20162018

____________

(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
 Other _______________________________________________________
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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: CRIMINAL JUSTICE IN-STATE RAP BACK SERVICES
1. Does your state currently provide an in-state criminal justice rap back service?
 Yes

 No

If you answered “No,” 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 20162018, 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
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

18

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 in-state and
national rap back services
 Uncertain
 My state does not provide an in-state criminal justice rap back service
ADDITIONAL COMMENTS:

SECTION VI: NON-CRIMINAL JUSTICE RAP BACK SERVICES

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

 No

If you answered “No,” no, skip to question 8.
6. (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

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.)
19

 Individuals working with children
 Individuals working with the elderly
 Individuals providing healthcare
 Security guards
 Police, fire, public safety
 Other (describe)
9. In 20162018, how many in-state noncriminal justice rap back notifications were made 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
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)
9. 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
20

 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 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
21

 Uncertain Not certain

ADDITIONAL COMMENTS:

22

Attachment 2 – Additions to the 2016 Survey for 2018
SECTION I: REPOSITORY
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?
 Computerized Criminal History (CCH)
 If yes, what is the status of your CCH replacement project?
o Planning
o Reviewing bids/proposals
o Implementation and testing
Automated Fingerprint Identification System (AFIS)

 If yes, what is the status of your AFIS replacement project?
o Planning
o Reviewing bids/proposals
o Implementation and testing
 Message Switch
 If yes, 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 begin? _________________
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 do? (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

(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 ________________________________________

SECTION II: ARREST/FINGERPRINT REPORTING AND ENTRY
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. 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 If yes, number of criminal citations contained in file as of December 31,
2018 _______
o If yes, number of citation records added to file during 2018 ________
 No

SECTION III: DISPOSITIONS

3. Does your state do cycle or charge matching to calculate the percentage of arrests in the
criminal history database with final dispositions?
 Cycle matching
 Charge matching

SECTION V: RAP BACK SERVICES
4. Added boxes for:
 Not currently, but my state has passed legislation to authorize participation

 No, but my state is considering legislation to authorize participation

Attachment 3 – 2018 Survey of State Criminal History Information Systems
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

1

Director, Bureau of Justice Statistics, 810 Seventh Street, NW, Washington DC 20531. Do not send your completed form to
this address.

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
2

 Yes, some subjects with felony convictions
 No
(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) __________________________________________

3

(c) How many active records were in the state protection order record database as of
December 31, 2018?
_________________ records
(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
4

 N/A – State does not maintain a warrant file
(d) How many records were in the state warrant database as of December 31, 2018?
_________________ 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.)

5

 Computerized Criminal History (CCH)
If applicable, what is the status of your CCH replacement project?
o Planning
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) _______________________

6

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

 No

(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

8

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? ______________ %

9

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

10

 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:

11

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

12

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:

13

 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
14

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:
15

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)

16

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
17

 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:

18

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
19

5. Does your state currently provide an in-state noncriminal justice rap back service? If no,
skip to question 8.
 Yes
6.

 No

(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

$ ________

20

ADDITIONAL COMMENTS:

21

Attachment 4 – Screenshots for 2016 web form (2018 not yet developed)

Attachment 5 – 2018 Survey Cover Letter to States

MEMORANDUM
Date:
To:
From:
Subject:

TBD
Directors, State Criminal Record Repositories
Devon B. Adams
Chief, Criminal Justice Data Improvement Program
Survey of Criminal History Information Systems

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; however, doing so is a special condition placed on all National Criminal
History Improvement Program (NCHIP) and NICS Act Record Improvement Program (NARIP)
awards.
Survey responses will be compiled by SEARCH, The National Consortium for Justice
Information and Statistics. A copy of the 2018 survey questionnaire is attached. A passwordprotected section of the SEARCH Web site is available for those states that wish to provide their
survey responses online. Responses should reflect conditions as of December 31, 2018. Those
wishing to use the online response option to fill out the survey are urged to visit
http://www.searchgroup.org/surveys/repository/ and use your state’s assigned password XXXXX
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 2018 data 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.
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 NCHIP and NARIP Program awards 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 2016 survey is available at
https://www.ncjrs.gov/pdffiles1/bjs/grants/251516.pdf.

Your contributions to the Web-enabled Survey of State Criminal History Information Systems
make it a useful resource to users both within and outside of the criminal justice community.
Please contact SEARCH staff Dennis DeBacco at 775-412-1950 (email: [email protected]) if
you have any questions or comments about the survey, or if you would like details on how to
submit the survey via fax or mail. We ask that you submit your survey responses by XXXX,
2019. Thank you in advance for your assistance and cooperation with this important effort.

DBA/bg

Attachment 6 – Telephone and Email scripts for follow-up
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 2018. 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.
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, 2018
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, 2018 was sent to you for completion and online entry into a passwordprotected 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
1900 West Point Way, Suite 275
Sacramento, CA 958315
(916) 392-2550 ext. 325, (Office)
(775) 412-1950 (Cell)
(916) 392-8440 (Fax)
Email to: [email protected]