APPENDIX B

DESCRIPTORS AND FIELD EDIT SPECIFICATIONS

FOR TYPE-1 LOGICAL RECORDS

     The following paragraphs describe the data contained in fields for the Type-1 logical record. Each field shall begin with the number of the record type, followed by a period, followed by the appropriate field number, followed by a colon. Multiple information items within a field or subfield shall be separated by the separator, multiple subfields shall be separated by the separator, and information fields shall be separated by the separator. Immediately following the last information field in the Type-1 logical record, an separator character shall be used to separate it from the next logical record. The information in this Appendix has been taken directly from the ANSI Standard, Data Format for the Interchange of Fingerprint Information (ANSI/NIST-CSL 1-1993) and its Addendum, Data Format for the Interchange of Fingerprint, Facial & SMT Information (ANSI/NIST-ITL 1a-1997). Any information that is underlined is the FBI-specific requirements.

1.01 Logical Record Length (LEN) This mandatory ASCII field shall contain the total count of the number of bytes in this Type-1 logical record. Field 1.01 shall begin with "1.01:", followed by the length of the record including every character of every field contained in the record and the information separators. The number of characters added to the record by the LEN field itself shall be included in calculating the value of LEN

1.02 Version Number (VER) This mandatory four-byte ASCII field shall be used to specify the version number of the ANSI Standard, Data Format for the Interchange of Fingerprint Information, implemented by the software or system creating the file. The format of this field shall consist of four numeric characters. The first two characters shall specify the major version number. The last two characters shall be used to specify the minor revision number. The initial revision number for a version shall be "00". The entry in this field for this 1993 approved standard shall be "0200". The original 1986 standard would be considered the first version or "0100". With the addition of the Type-10 logical record by the Addendum to the ANSI

Standard, Data Format for the Interchange of Fingerprint, Facial & SMT Information (ANSI/NIST-ITL 1a-1997), the entry in this field shall be “0201".

1.03 File content (CNT) This mandatory field shall list each of the logical records in the logical file by record type. It also specifies the order in which the remaining logical records shall appear in the logical file. It shall consist of one or more subfields. Each subfield shall contain two information items describing a single logical record found in the current logical file. The subfields shall be entered in the same order in which the logical records shall be transmitted. When more than one subfield is used, the RS separator character shall be entered between the subfields. With the addition of the Type-10 record, the first information item of each subfield may now be a one- or two-digit integer (giving the logical record type.) The remaining edit specifications pertaining to CNT are unchanged.

The first subfield shall relate to this Type-1 transaction record. The first information item within this subfield shall be the single character indicating that this is a Type-1 record consisting of header information (the numeral "1" selected from the ANSI Standard Table 1).

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The second information item of this subfield shall be the sum of the Type-2 plus Type-3 plus Type-4 plus Type-5 plus Type-6 plus Type-7 plus Type-8 plus Type-9 plus Type-10 records contained in this logical file. This number is also equal to the count of the remaining subfields of Field 1.03. The separator character shall be entered between the first and second information items.

The remaining subfields of Field 1.03 pertaining to Type-2, Type-3, Type-4, Type-5, Type-6, Type-7, Type-8, Type-9 and Type-10 records contained in the file shall each be comprised of two information items. The first information item shall be one or two characters chosen from one of the following: the ANSI Standard Table 1, or from the Addendum to the ANSI Standard Table 8, which states the record type. The second information item shall be the IDC associated with the logical record pertaining to that subfield. The IDC shall be a positive integer equal to or greater than zero. The character shall be used to separate the two information items. (Only

Type-1, Type-2, Type-4, Type-7 Type-9 and Type-10 records will be accepted by the FBI.)

1.04 Type of Transaction (TOT) This mandatory field shall contain an identifier, designating the type of transaction and subsequent processing that this logical file should be given. Test and operational environments will be supported by IAFIS. A suffix of “T” added to the three- or four character TOT in the Type-1 record will immediately identify the environment as being a “test”. For example, CART specifies that a test of the Criminal Ten-print transaction (CAR) is being submitted. If there is no suffix of “T” then the TOT is operational.

1.05 Date (DAT) This mandatory field shall contain the date that the transaction was initiated. The date shall appear as eight digits in the format CCYYMMDD. The CCYY characters shall represent the year of the transaction; the MM characters shall be the tens and units values of the month; and the DD characters shall be the day in the month. For example, 19920601 represents June 1, 1992. The complete date shall not exceed the current date.

1.06 Transaction Priority (PRY) When this field is used, it shall contain a single information character to designate the urgency with which a response is desired. The values shall range from 1 to 4, with "1" denoting the highest priority. The default value shall be "4" if no value is indicated.

1.07 Destination Agency Identifier (DAI) This mandatory field shall contain the identifier of the administration or organization designated to receive the transmission. The size and data content of this field shall be defined by the user and be in accordance with the receiving agency.

This field shall be a nine-byte alphanumeric field.

1.08 Originating Agency Identifier (ORI) This mandatory field shall contain the identifier of the administration or organization originating the transaction. The size and data content of this field shall be defined by the user and be in accordance with criteria specified by the receiving agency. For EFTS purposes, this field shall be a nine-byte alphanumeric field. The first two characters shall be a valid POB code, and the entire ORI shall validate to an NCIC-authorized

ORI. Note: In a submission to the FBI, the submitting agency (usually the State CTA) is the ORI and the FBI is the DAI, while the FBI’s response to the submission will show the FBI as

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the ORI and the submitting agency as the DAI. (See also Appendix C for the definition of

CRI.)

1.09 Transaction Control Number (TCN) This mandatory field shall contain the Transaction Control Number as assigned by the originating agency. A unique control number shall be assigned to each transaction. For any transaction that requires a response, the respondent shall refer to this number in communicating with the originating agency. This field shall be a ten-to-forty byte alphanumeric-special (ANS) field.

1.10 Transaction Control Reference (TCR) This field shall be used in responses only to refer to the Transaction Control Number of a previous transaction involving an inquiry or other action that required a response. This field is mandatory for such responses. This field shall be a ten-to-forty byte alphanumeric-special (ANS) field.

1.11 Native Scanning Resolution (NSR) This mandatory field shall specify the nominal scanning resolution of the AFIS or other image capture device supported by the originator of the transmission. This field permits the recipient of this transaction to send respond data at a transmitting resolution tailored to the NSR (if it is able to do so) or to the minimum scanning resolution. This field shall contain five bytes specifying the native scanning resolution in pixels per millimeter. The resolution shall be expressed as two numeric characters followed by a decimal point and two more numeric characters (e.g., 20.00). This field is needed because the interchange of fingerprint information between systems of the same manufacturer may, in some instances, be more efficiently done at a transmitting resolution equal to the native scanning resolution of the system rather than at the minimum scanning resolution specified in this standard. This field applies only to fingerprint image data. For those logical files that contain only Type-10 image records, this field shall be set to “00.00"

Nominal transmitting Resolution (NTR) This mandatory field shall specify the nominal transmitting resolution for the image or images being transmitted. This field shall contain five bytes specifying the transmitting resolution in pixels per millimeter. The resolution shall be expressed as two numeric characters followed by a decimal point and two more numeric characters (e.g., 20.00). The transmitting resolution shall be within the range specified by the transmitting resolution requirement. This field applies only to fingerprint image data. For those logical files that contain only Type-10 image records, this field shall be set to “00.00"

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TABLE B-1. FIELD LIST FOR TYPE-1 (TRANSACTION) LOGICAL RECORDS

Under the condition column: O = Optional; M = Mandatory; C = Conditional, see notes Under the character type column: A = Alpha; B = Binary; N = Numeric; S = Special Characters

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