[Federal Register Volume 70, Number 119 (Wednesday, June 22, 2005)]
[Notices]
[Pages 36209-36212]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 05-12329]


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NATIONAL CRIME PREVENTION AND PRIVACY COMPACT COUNCIL


National Fingerprint File Qualification Requirements

AGENCY: National Crime Prevention and Privacy Compact Council.

ACTION: Notice of approval of the National Fingerprint File (NFF)

[[Page 36210]]

Qualification Requirements as the standards for NFF participation.

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    Authority: 42 U.S.C. 14616.

SUMMARY: Pursuant to Title 42, United States Code, section 14616, 
Article VI(e), and Title 28, Code of Federal Regulations (CFR), chapter 
IX, the Compact Council (Council), established by the National Crime 
Prevention and Privacy Compact (Compact) Act of 1998, approved the 
attached NFF Qualification Requirements as the standards for NFF 
participation (see proposed rule ``Qualification Requirements for 
Participation in the National Fingerprint File Program,'' published in 
today's Federal Register, which is to be codified at 28 CFR 905). The 
Council coordinated the development of the NFF Qualification 
Requirements with the Federal Bureau of Investigation's Criminal 
Justice Information Services (CJIS) Division staff and forwarded the 
document to the CJIS Advisory Policy Board for its endorsement prior to 
publication. Hereafter, the most current version of the NFF 
Qualification Requirements will be available upon request to the 
Compact Council Office, 1000 Custer Hollow Road, Module C3, Clarksburg, 
WV 26306, Attention: FBI Compact Officer. Interested parties should 
contact the Compact Council Office to request the most current version 
prior to utilizing the requirements document.

FOR FURTHER INFORMATION CONTACT: Todd C. Commodore, FBI CJIS Division, 
1000 Custer Hollow Road, Module C3, Clarksburg, WV 26306; Telephone 
(304) 625-2803; e-mail [email protected]; fax number (304) 625-5388.

SUPPLEMENTARY INFORMATION: Since both the FBI and Compact Party States 
are to participate in the NFF Program and each has its unique system 
and responsibilities as outlined in the Compact, two sets of NFF 
Qualification Requirements were developed. One set applies to the 
requirements for the FBI's participation and the second for a Compact 
Party State's participation. The requirements are set forth as follows:

FBI NFF Qualification Requirements

I. Fingerprint Identification Matters

    A. The FBI shall establish and maintain a National Fingerprint File 
(NFF) of criterion \1\ offenses provided by criminal justice agencies.
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    \1\ If 28 CFR is amended to permit the inclusion of all 
fingerprint-based arrests into the III System, these qualification 
requirements shall be amended accordingly.
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    B. The FBI shall maintain a National Identification Index 
consisting of names, identifying numbers, and other descriptive 
information relating to record subjects about whom there are criminal 
history records in the Interstate Identification Index (III) System.
    C. The FBI shall also maintain the NFF consisting of a database of 
fingerprints, or other uniquely personal identifying information, 
relating to an arrested or charged individual to provide positive 
identification of record subjects indexed in the III System.
    D. The FBI shall accept state requests for a criminal history 
record check of the national indices, when such requests are made under 
an approved state statute. Such requests shall be submitted only 
through the state central criminal history record repository.
    E. The FBI shall accept Federal requests for criminal history 
record checks of the national indices, when such request are made under 
Federal authority. Said requests shall be submitted through the FBI or, 
if the state consents to process a Federal agency's fingerprint 
submissions, through the state central criminal history record 
repository as coordinated with the FBI.
    F. The FBI shall inform the state central criminal history record 
repository or Federal agency when original fingerprint impressions 
provided to the FBI are not of sufficient quality to establish a 
subject's record and request that additional fingerprint impressions be 
forwarded to the FBI.
    G. For each offender, the NFF shall maintain one full set of 
fingerprint impressions \2\ to support the establishment of the 
subject's record for a NFF participating state.
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    \2\ Fingerprint impressions are the subject's fingerprints in 
the Criminal Master File, which contain ten rolled and four plain 
impressions, and may be a composite of the ``best'' images taken 
from several sources (i.e., arrest, civil, probation, corrections, 
court fingerprints, etc.). The source document (impression) must be 
available to support any image replacement in the master file.
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    H. The master fingerprint impressions maintained at the FBI shall 
include all ten fingers, noting amputation(s), scars, or missing 
fingers.
    I. The FBI will not accept or maintain additional fingerprint 
submissions to support subsequent individual arrest events pertaining 
to a subject's record maintained by the NFF participating state.
    J. The FBI shall maintain fingerprint submissions for criterion 
offenses from NFF participating states that have a unique State 
Identification Number (SID) for each individual and shall maintain only 
those fingerprint submissions that contain a SID not previously 
submitted from the NFF participating states to establish a NFF record.
    K. The FBI shall not maintain multiple SIDs for the same individual 
from the same state due to missed identifications.
    L. Fingerprint submissions containing an SID previously submitted 
by a NFF state to establish a NFF record shall be returned to the state 
central criminal history record repository for correction.
    M. The FBI shall send electronic messages via Criminal Justice 
Information Services telecommunications network(s) to the NFF 
participating state regarding the results of the FBI's fingerprint 
processing for subjects arrested for the first time; the NFF 
participating state may elect to receive electronic messages regarding 
applicant fingerprint submissions. \3\
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    \3\ There are three options presently available for receiving 
responses for applicant processes. The state may utilize: The 
electronic unsolicited III messages reporting the results of 
applicant fingerprint processing ($.A.CFN, $.A.CFR); the Integrated 
Automated Fingerprint Identification System (IAFIS) Submission 
Results--Electronic (SRE) response which provides the identification 
results as communicated over the CJIS Wide Area Network; or the 
IAFIS System Type of Transaction which generates a manual response 
to an electronic fingerprint submission (NFFC).
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II. Record Content and III Maintenance

    A. The FBI shall provide assistance to the NFF participating state 
central criminal history record repositories for identifying and 
correcting record discrepancies. FBI staff shall provide timely 
assistance so that the state may resolve record discrepancies within 90 
calendar days of receiving the synchronization tape from the FBI.
    B. The FBI shall update the National Identification Index and the 
NFF in a timely manner to assure record completeness and accuracy.
    C. Upon receipt of a NFF participating state's Criminal Print Ident 
(CPI) message, the FBI will advise the appropriate agency \4\ of the 
subject's current arrest status.
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    \4\ Appropriate agency includes the agency that entered the want 
on the individual and/or the agency that registered the individual 
in the sex offender file.
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    D. The FBI shall provide the NFF state central criminal history 
record repository a means to electronically update the National 
Identification Index with supplemental identifiers not previously 
recorded (i.e., scars, marks, tattoos, dates of birth, Social Security 
numbers, miscellaneous numbers, and aliases).
    E. The FBI shall evaluate fingerprint submissions for image quality 
and feature vectors. The Criminal Master File will be updated if the 
new fingerprint impressions are of a better quality than the master 
fingerprint.

[[Page 36211]]

    F. The FBI shall conduct file maintenance such as record 
corrections and expungements in a timely manner and notify the NFF 
participating state central criminal history record repository of the 
corresponding state record maintenance. The FBI shall conduct 
consolidations within two (2) business days of notification; other file 
maintenance shall be conducted within seven (7) business days of 
notification.

III. Record Response

    A. The FBI III System shall have sufficient capability to provide a 
normal on-line record response time \5\ of ten (10) minutes or less.
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    \5\ Normal record response time should be measured from the 
receipt of the incoming III on-line record request (QR) until the 
FBI transmits its portion of the III record to the requesting agency 
(CR) and notifies all other III/NFF state(s) which maintain a 
portion of the record ($.A.CHR).
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    B. The FBI shall respond to III on-line record requests 
electronically, providing the FBI's portion of a subject's record to 
include a listing of all other III/NFF state record holders. The FBI 
shall electronically notify the III/NFF state(s) to send its portion of 
the record to the requesting agency.
    C. The FBI shall, upon positive identification of the record 
subject, electronically request the indexed NFF portion(s) of the 
criminal history record, noting the authorized purpose for the record 
request. Upon receipt of the NFF state record response, the FBI shall 
append all portions of the subject record and provide the record to the 
authorized requesting agency(ies).
    D. When the FBI's III System cannot provide on-line record 
responses within ten (10) minutes, experienced personnel shall be 
available as necessary to assist with problem resolutions and to 
restore the FBI III System capacity, allowing timely on-line responses.
    E. The FBI shall provide criminal history records (those records 
for which the FBI has assumed responsibility) for all authorized 
purpose codes via III for both criminal justice purposes and 
noncriminal justice purposes as authorized by Federal statute, Federal 
Executive Order, or a State statute that has been approved by the 
Attorney General.
    F. The FBI shall disseminate records (containing NFF participating 
state(s) data received by means of the III System) for all authorized 
purpose codes for both criminal justice purposes and noncriminal 
justice purposes as authorized by Federal statute, Federal Executive 
Order, or a state statute that has been approved by the Attorney 
General.

IV. Accountability

    A. The FBI Compact Officer shall be responsible for ensuring that 
Compact provisions and rules, procedures, and standards prescribed by 
the Council are complied with by the FBI.
    B. The FBI shall have written procedures requiring thorough testing 
of upgrades or modifications to its computer system(s) to detect 
software errors and/or related procedural problems, particularly on-
line testing of these changes to limit adverse effects to the NFF 
system operations. The FBI shall demonstrate adherence to the 
procedures by documenting the test results in writing.

State NFF Qualification Requirements

    In order to participate in the NFF, a state must first be capable 
of III participation. A state which joins the NFF subsequent to the 
enactment of the National Crime Prevention and Privacy Compact Act of 
1998 must be a signatory to the Compact. The following NFF 
Qualification Requirements are written to include and augment the 
minimum standards for III participation.

I. Fingerprint Identification Matters

    A. A NFF state shall maintain a central criminal history record 
repository with full technical fingerprint search capability. A NFF 
state shall perform technical searches \1\ on both applicant and 
criminal fingerprint impressions prior to their submission to the FBI. 
When an individual is identified at the state level as having records 
previously indexed in the National Identification Index, the NFF state 
shall notify the contributor of the search results and provide the 
criminal history record information if requested on the fingerprint 
submission.
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    \1\ A technical search may consist of a name search with 
candidate verification by fingerprint comparison; short of that, a 
manual or AFIS search of the state master fingerprint file is 
required.
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    B. A NFF state shall collect and maintain any appropriate criminal 
history record information, including dispositions, sealing orders, and 
expungements, relevant to each offender and the records maintained by 
that state.
    C. A NFF state's central criminal history record repository shall 
serve as the sole conduit for the transmission of non-federal applicant 
\2\ and criminal fingerprint impressions \3\ for criterion offenses \4\ 
within the state to the FBI (single source submission).
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    \2\ A state may also at its discretion consent to process 
federal applicant fingerprint submissions through the repository in 
which such request originated. See Compact Article V(c).
    \3\ Criminal fingerprint impression may include a fingerprint 
submission that supports or is linked to an arrest event (i.e., 
includes corrections fingerprints).
    \4\ If 28 CFR is amended to permit the inclusion of all 
fingerprint-based arrests into the III System, these qualification 
requirements shall be amended accordingly.
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    D. The total percentage of FBI Integrated Automated Fingerprint 
Identification System (IAFIS) rejects due to low image quality on 
criminal fingerprint submissions shall be less than 0.5% of the total 
criminal fingerprint submissions. The total percentage of service 
provider rejects due to insufficient, indiscernible, erroneous or 
incomplete criminal fingerprint image submissions shall be less than 
5%.
    E. A NFF state shall not forward criminal fingerprint impressions 
nor related information for individuals identified at the state level 
as having records previously indexed in the National Identification 
Index as NFF records with the State Identification Number (SID). Errors 
resulting from forwarding fingerprint submissions for previously 
indexed NFF records shall be less than 2% of the total criminal 
fingerprint submissions.
    F. A NFF state participant shall continue submitting criminal 
fingerprint impressions for criterion offenses and related information 
for individuals for whom primary identification records were 
established by the FBI prior to the state's becoming a NFF participant 
and which are not identified by SIDs in the National Identification 
Index by the state or are FBI non-automated identification records 
(i.e., the state has not taken responsibility for managing or 
controlling the III record).
    G. Criminal fingerprint impressions shall be forwarded to the FBI 
within two (2) weeks of receipt at the state central criminal history 
record repository.
    H. A NFF state's central criminal history record repository shall 
maintain the subject's fingerprint impressions, or copies thereof, to 
support each Indexed record and shall maintain fingerprint impressions, 
or copies thereof, supporting each arrest event in each such criminal 
history record.
    I. The master fingerprint impressions maintained at the state 
central criminal history record repository shall include all ten 
fingers, noting amputation(s), scars, or missing fingers.
    J. Additional/(subsequent) criminal fingerprint impressions 
maintained at the state central criminal history record repository to 
support individual arrest events may include less than all ten fingers.
    K. A NFF state shall submit to the FBI criminal fingerprint 
impressions

[[Page 36212]]

containing a unique SID for each individual. The number of fingerprint 
submissions that contain non-unique SIDs shall be less than 0.25% of 
the total criminal fingerprint submissions.
    L. Missed identifications by the state's central criminal history 
record repository resulting in the issuance of multiple SIDs for the 
same individual shall be less than 2% of total criminal fingerprint 
submissions.
    M. The state shall ensure that a SID is on each criminal 
fingerprint impression not identified at the state level and submitted 
to the FBI for establishment of a NFF record.
    N. In those instances when the applicant or criminal fingerprint 
submission includes a request for the rapsheet and/or the results of 
the search, a NFF state shall either receive and forward electronic 
messages concerning the results of FBI fingerprint impression 
processing to its fingerprint contributors or shall print and mail 
these results.\5\
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    \5\ There are three options presently available for receiving 
responses for applicant processes. The state may utilize: The 
electronic unsolicited III messages reporting the results of 
applicant fingerprint processing ($.A.CFN, $.A.CFR); the IAFIS 
Submission Results (SRE) response which provides the identification 
results as communicated over the CJIS Wide Area Network; or the 
IAFIS System Type of Transaction which generates a manual response 
to an electronic fingerprint submission (NFFC).
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II. Record Content and III Maintenance

    A. For each NFF record maintained, the state's central criminal 
history record repository shall contain all known fingerprint-based 
arrests, final dispositions and custody/supervision actions occurring 
in that state which are reported to the state central criminal history 
record repository pursuant to applicable federal or state law.
    B. A NFF state shall remove the SID from a III record when 
corresponding record data no longer exists at the state level.
    C. A NFF state shall conduct an audit of III record synchronization 
with the FBI at least twice a year to identify, analyze, and correct 
record discrepancies within 90 calendar days of audit tape receipt from 
the FBI. A NFF state shall maintain the discrepancy reports resulting 
from the last two (2) synchronization tapes.
    D. Record completeness, accuracy, and timeliness shall be 
considered by a NFF state to be of primary importance and shall be 
maintained at the highest level possible.
    E. When a second and/or subsequent criminal fingerprint submission 
is identified with an Indexed record by a NFF state, the state shall 
send an electronic Criminal Print Ident (CPI) message to the FBI, no 
later than 24 hours after the arrest is posted within the state's 
central criminal history record system.
    F. A NFF state shall add supplemental identifiers to Indexed 
records when a second and/or subsequent criminal fingerprint impression 
is identified by the state and contains identifiers not previously 
recorded.
    G. Supplemental identifiers which shall be added to the National 
Identification Index include scars, marks, tattoos, dates of birth, 
Social Security numbers, miscellaneous numbers, and aliases, obtained 
after establishment of an offender's primary identification record by 
the FBI.
    H. A NFF state shall submit criminal fingerprint impressions to the 
FBI for second and/or subsequent criterion offenses if these 
fingerprint impressions show new amputations or new permanent scars.
    I. NFF states shall submit ten-finger fingerprint impressions to 
the FBI as they become available when second and/or subsequent offenses 
yield improved image quality fingerprint impressions.
    J. Required record file maintenance shall be conducted by NFF state 
personnel based upon receipt of unsolicited file maintenance messages 
from the FBI via the III interface. Unsolicited file maintenance 
messages may include advisories of state/FBI missed identifications or 
expungements of the state SID. The state shall conduct consolidations 
within two (2) business days of notification; other file maintenance 
shall be conducted within seven (7) business days of notification.

III. Record Response

    A. A NFF state's automated criminal history record system shall 
have sufficient capability to provide a normal on-line record response 
time of ten (10) minutes or less.
    B. A NFF state shall respond within ten (10) minutes to III record 
requests via the National Law Enforcement Telecommunications Systems 
(NLETS) with the record or an acknowledgment and a notice of when the 
record will be provided.
    C. When a NFF state's system cannot provide on-line record 
responses within ten (10) minutes, the state shall assign personnel as 
necessary to resolve record processing problems and to restore the 
system's capacity to provide timely on-line responses.
    D. NFF state record responses shall include literal translations of 
all alphabetic and/or numeric codes in order that the record responses 
can be readily understood.
    E. A NFF state shall not include in its III record response any 
out-of-state and/or federal criminal history record information 
maintained in its files.
    F. A NFF state's central criminal history record repository shall 
provide its indexed criminal history records in response to all 
authorized requests made through the NFF and III for criminal justice 
purposes and, when based on positive identification \6\, for 
noncriminal justice purposes as authorized by the Compact.
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    \6\ Responses to III name-based searches are permitted for 
noncriminal justice purposes utilizing purpose code ``X'' under the 
Compact Council Fingerprint Submission Requirements Rule.
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    G. In responding to a III record request for a noncriminal justice 
purpose, a NFF state shall provide the entire record it maintains on 
the record subject, except for information that is sealed in accordance 
with the definition of ``Sealed Record Information'' set out in Art. I 
(21) of the Compact.

IV. Accountability

    A. In NFF states that have ratified the National Crime Prevention 
and Privacy Compact, the Compact Officer shall be responsible for 
ensuring compliance with these qualification requirements.\7\
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    \7\ This requirement is inherent in the Compact itself as stated 
in Article III(b)(1)(B) that the state Compact Officer shall ensure 
that Compact provisions and rules, procedures, and standards 
established by the Council under Article VI are complied with.
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    B. In the event a state ceases to participate in the NFF for any 
reason, the state shall reasonably assist the FBI in reconstructing any 
fingerprint and arrest/disposition record deficiencies that otherwise 
would have been submitted to the FBI during the state's NFF 
participation.
    C. A NFF state shall have written procedures requiring thorough 
testing of upgrades or modifications to its computer system(s) to 
detect software errors and/or related procedural problems, particularly 
on-line testing of these changes to limit adverse effects to the NFF 
system operations. A NFF state shall demonstrate adherence to the 
procedures by documenting the test results in writing.

    Dated: May 12, 2005.
Donna M. Uzzell,
Compact Council Chairman.
[FR Doc. 05-12329 Filed 6-21-05; 8:45 am]
BILLING CODE 4410-02-P