3.5 Latent File Maintenance Requests

     An IAFIS user will transmit file maintenance messages to specify transactions related to the unsolved latent file; specifically, an Unsolved Latent Record Delete Request (ULD), or an Unsolved Latent Add Confirm Request (ULAC). The processing flow for electronic requests to delete unsolved latent fingerprint records is illustrated in Figure 5, "Electronic Requests to Delete Unsolved Latent Fingerprint Records."

Link to text version of Figure 5

The following TOTs are latent file maintenance transactions transmitted to the FBI:

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The FBI's responses to latent maintenance transactions are as follows:

3.5.1 Type of Transaction Definitions

3.5.1.1 Unsolved Latent Record Delete Request (ULD)

     This TOT is used to request that unsolved latent file records be removed from the FBI’s Unsolved Latent files. If a set of unsolved latent images were added from a multi-finger latent search, the ULD applies to the entire set of images added. The ULD TOT is summarized in Table E-2. Edit specifications for the fields it uses may be found in Table C-1.

3.5.1.2 Unsolved Latent Add Confirm Request (ULAC)

     This TOT is used to request that unsolved latent file records be semi-permanently added (since the ULF is a FIFO) to the FBI’s Unsolved Latent files. This TOT must be received within fourteen days of receipt of the IAFIS response to a LFIS or LFFS transaction. If a set of unsolved latent images were added from a multi-finger latent search, the ULAC applies to the entire set of images added. The ULAC TOT is summarized in Table E-2. Edit specifications for the fields it uses may be found in Table C-1.

3.5.1.3 Unsolved Latent Add Confirm Response (ULAR)

     This transaction is used to provide confirmation that an unsolved latent file record has been permanently added to the FBI's Unsolved Latent files. The ULAR TOT is summarized in Table E-2. Edit specifications for the fields it uses may be found in Table C-1.

3.5.1.4 Unsolved Latent Delete Response (ULDR)

This transaction is used to indicate that a record has been deleted from the FBI's

Unsolved Latent files in response to a ULD message. The ULDR TOT is summarized in Table E-2. Edit specifications for the fields it uses may be found in Table C-1.

3.5.1.5 Unsolicited Unsolved Latent Delete (UULD)

This transaction is used to indicate that a record has been deleted from the FBI's

Unsolved Latent files because the FBI did not receive an Unsolved Latent Add Confirm Request (ULAC) transaction for that record within the fourteen days allowed, or because the Unsolved Latent File (ULF) (or a particular subfile of the ULF) contained the maximum number of allowable records when an attempt was made to add a record, and the record deleted was the

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oldest record in the file/subfile. If a set of unsolved latent images were added from a multi-finger latent search, the UULD applies to the entire set of images added. The UULD TOT is summarized in Table E-2. Edit specifications for the fields it uses may be found in Table C-1.

3.5.1.6 Reserved

3.5.1.7 Latent Transaction Error (ERRL)

     This transaction is returned by the FBI to indicate a transaction error. It includes a message field (MSG) indicating the type of error detected. Error responses are described in Section 3.8. The ERRL TOT is summarized in Table E-1. Edit specifications for the fields it uses may be found in Table C-1.

3.5.2 Requirements for Logical Record Types

     Request: The types and quantities of logical records required to submit an electronic request to perform maintenance in the Unsolved Latent Fingerprint file records are as follows:

• 1 - Type-1 Header Record
  
• 1 - Type-2 Record.
  

     Response: The response to an electronic request to perform maintenance in the Unsolved Latent Fingerprint file records will include the following logical records:

• 1 - Type-1 Header Record
  
• 1 - Type-2 Record.
  

3.6 Remote Requests For Fingerprint Images

     Remote fingerprint image services include a transaction for requesting fingerprint images on file at the FBI and to request updates of existing images (see Section 3.7, Electronic Request to Update Fingerprint Images).

     To initiate a remote request for fingerprint image(s) from the FBI’s database, the sending agency electronically transmits the FBI Number of the subject. This request will be routed to the FBI, processed, and returned to the requester through the CJIS WAN. If the requester is a local agency, the request and response will be interfaced with the CJIS WAN through the state law enforcement network. There will be no manual intervention on the part of the FBI.

     Remote requests for a set of fingerprint images will be submitted to the FBI under the TOT of "IRQ" (denoting Fingerprint Image Request) in the Type-1 Record. The FBI’s response will contain a TOT of "IRR" (denoting "Image Request Response") in the Type-1 Record. The processing flow for remote image requests is illustrated in Figure 6, “Remote Fingerprint Image Request.”

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Link to text version of Figure 6

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will respond with a Fingerprint Image Response Summary listing all requested FBI numbers and their response status. The FBI’s response will contain a TOT of “ISR” in the Type-1 Record.

The following TOTs are applicable for remote requests for fingerprint images:

TOT TRANSACTION

IRQ Fingerprint Image Request

The FBI's response to remote requests for fingerprint images are as follows:

TOT RESPONSE TRANSACTION

IRR Fingerprint Image Request Response
ISR Fingerprint Image Response Summary
ERRI Image Transaction Error

3.6.1 Type of Transaction Definitions

3.6.1.1 Fingerprint Image Request (IRQ)

     This transaction enables users to retrieve ten-print images from the FBI Criminal Ten-print Fingerprint Image Master File. This TOT provides for the request of fingerprint images from the FBI files so a comparison can be made by the requester at remote facilities. The requester identifies the FBI Number(s) of the subject(s) whose prints are being requested. Up to 1000 subjects’ ten-print fingerprint files may be requested per transaction. Specific fingerprint images or the complete set may be requested. The transaction will be processed, and requester-selected fingerprint images on file at the FBI will be transmitted in the response. Each FBI number in the request will be addressed in a separate Image Request Response (IRR). If the request contains any errors, an Image Error Response (ERRI) will be returned including the reason for the return in a message field (MSG). Errors associated with individual FBI numbers, such as an image set not being on file, will be reported in the Fingerprint Image Response Summary (ISR). The remaining valid FBI numbers will result in individual IRR responses. The Logical Record Layout for the IRQ TOT is given in Table I-1.

3.6.1.2 Reserved

3.6.1.3 Fingerprint Image Request Response (IRR)

     This transaction is returned by the FBI to provide requested fingerprint images on file at the FBI to the requester. Each FBI number in the request having images available causes a separate response. The response will include the FBI number and the requested Type-4 fingerprint images. The specified fingerprint images will be transmitted in the response. The Logical Record Layout for the IRR TOT is given in Table I-2.

     This transaction is returned by the FBI to summarize the results of the image request processing. Each FBI number in the original request is listed, along with its related process status. Status may be image request success, invalid FBI number, or requested image(s) not on file. The Logical Record Layout for the ISR TOT is given in Table I-6.

     The current IAFIS implementation will drop from the list, any candidate for which there is no image and will not generate any external error condition although there is an internal indicator that there may be an out-of-sync condition. The response process is not interrupted and there is currently no other indication of such a problem in the messaging. The only external indication that an out-of-sync condition exists is that the list of returned images differs from the request.

3.6.1.5 Image Transaction Error (ERRI)

     This transaction is returned by the FBI to indicate a transaction error. It includes a message field (MSG) indicating the type of error detected. Error responses are described in Section 3.8. The Logical Record Layout for the ERRI TOT is given in Table I-3.

3.6.2 Requirements for Logical Record Types

     Request: The types and quantities of logical records required to submit a remote fingerprint image request are as follows:

• 1 - Type-1 Header Record
  
• 1 - Type-2 Record.
  

     Response: The response to a remote fingerprint image request will include the following logical records:

• 1 - Type-2
  
• 1 to 14 - Type-4 Fingerprint Image Records in the IRR transaction only.
  

3.7 Electronic Requests To Upgrade Fingerprint Images

     Fingerprint image update transactions are to be used particularly by states participating in the National Fingerprint File (NFF) when they obtain fingerprints from subjects already on file that are of substantially better quality or include different characteristics than the existing ones, e.g., a new scar. The new fingerprints are submitted to the FBI for evaluation and inclusion in the FBI files.

     Fingerprint Image Submissions (FIS) will use a TOT of “FIS.” All 14 fingerprint images must be accounted for in the update request to verify identification and finger sequence. The FBI will determine whether to update the master fingerprint images. The processing flow for

to Upgrade Fingerprint Images.”     

The FBI’s responses to fingerprint image submissions will provide upgrade results or indicate an error as follows:

3.7.1 Type of Transaction Definitions

3.7.1.1 Fingerprint Image Submission (FIS)

     This transaction is used to submit electronic fingerprint images that are candidates for upgrading the FBI fingerprint image files. It is intended primarily for use by NFF states when it is determined that a second or subsequent arrest provides fingerprints of significantly better quality than those previously submitted to the FBI, or when it is determined there are new fingerprint characteristics such as a scars or amputations. The transaction submits the new fingerprints to the FBI for evaluation and possible inclusion in the FBI files. All 14 fingerprints, rolled and plain, must be accounted for to verify the identification and confirm fingerprint positions. The Logical Record Layout for the FIS TOT is given in Table I-4.

3.7.1.2 Fingerprint Image Submission Response (FISR)

     This transaction is returned by the FBI to acknowledge a valid fingerprint image submission and specify which finger image(s) were updated. The Logical Record Layout for the FISR TOT is given in Table I-5.

Link to text version of Figure 7

3.7.1.3 Image Transaction Error (ERRI)

     This transaction is returned by the FBI to indicate a transaction error. It includes a message field (MSG) indicating the type of error detected. Error responses are described in Section 3.8. The Logical Record Layout for the ERRI (Images) TOT is given in Table I-3.

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3.7.2 Requirements for Logical Record Types

     Submission: The types and quantities of logical records required to submit an electronic request to update fingerprint images are as follows:

• 1 - Type-1 Header Record
  
• 1 - Type-2 Record
  
• 14 - Type-4 Fingerprint Image Records.
  

Response: The response to an electronic request to update fingerprint images will include the following logical records:

• 1 - Type-1 Header Record
  
• 1 - Type-2 Record.
  

3.8 Error Message Format

     When a transmission is rejected because data field(s) do not pass internal editing criteria, an error response will be transmitted back to the submitting agency. Each reason(s) for rejection will be detailed in the Status/Message (MSG) field. Up to eleven errors for a transaction can be recorded in the MSG field. MSG will contain an error description relating to the specific discrepancy identified. If the error is related to a field which contained invalid data, the field tag and first 30 characters of the data in the invalid field will be returned.

     Errors in incoming transactions can be derived of many sources. IAFIS error handling capabilities will be an evolutionary product. In its initial version, IAFIS will recognize and deal with several hundred identified error conditions. Future versions of IAFIS will develop improved capabilities that support off-nominal or error conditions.

     IAFIS will validate all incoming data prior to its use within the system. That is, all received and parsable fields will undergo an appropriate edit check. If any mandatory data are missing the transaction will be rejected. If any mandatory data are included but in error, an attempt will be made to correct the value manually. If any optional data are in error, the data will be ignored.

     The error response will be included in the ERRT, ERRA, or ERRL transaction as appropriate. The following is a non-inclusive list of the type of error messages:

• Mandatory field missing
  
• Invalid field for transaction
  
• Field discrepancy
  
• Field out of range
  
• Request not on file
  
• Fingerprints do not allow extraction of characteristics
  
• Non-standard native mode fingerprint characteristics
  

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The following are four unique types of error responses:

• Ten-print Error Response (ERRT)
  
• Latent Error Response (ERRL)
  
• Image Error Response (ERRI)
  
• Administrative Error Response (ERRA)
  

Appendix M contains further details on contents of the MSG field for error conditions whose handlers have been designed to date.

3.9 Other Special Requirements For Communicating With IAFIS

3.9.1 Electronic Fingerprint Images

     Electronic fingerprint images must be captured and transmitted to the FBI in accordance with the standard for the electronic interchange of fingerprint information, “ANSI/NIST-CSL 1-1993, American National Standard For Information Systems - Data Format for the Interchange of Fingerprint Information,” dated November 22, 1993.

3.9.2 Fingerprint Image Compression/Decompression Algorithm

     IAFIS-IC-0010(V3), IAFIS Wavelet Scalar Quantization (WSQ) Grayscale Fingerprint Image Compression Specification, dated December 19, 1997 provides the definitions, requirements, and guidelines for specifying the FBI's WSQ compression algorithm. The document specifies the class of encoders required, decoder process, and coded representations for compressed image data. Latent images are not compressed.

     The specification provides an informative overview of the elements of the algorithm. Refer to it for details.

     ISO International Standard 10918-1, Information Technology - Digital Compression and Coding of Continuous Tone Still Images Part 1: Requirements and Guidelines, commonly known as the JPEG (The Joint Photographic Experts Group) algorithm has been requested for use by the UK’s Home Office in submitting fingerprint images to IAFIS.

     The FBI is responsible for maintaining a registry of approved compression algorithms and assigning a value to each. This value is to be used in the Type-4 Logical Record so the receiving agency can use the appropriate decompression algorithm to decode the image data. The Grayscale compression algorithm (CGA) field is a mandatory one-byte binary field used to specify the compression algorithm used (if any). A binary zero denotes no compression. The following table indicates the acceptable values for this field. The FBI expects Type-4 ten-print images to be compressed with compression algorithm type 1 (WSQ), with a nominal compression ratio of 15-to-1, and Type-10 photo images to be compressed with compression algorithm type 2 (JPEG). The table will be updated when new algorithms are approved by the FBI.

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3.9.3 Fingerprint Image Quality Specifications

The IAFIS Image Quality Specifications are provided in Appendix F.

3.9.4 Fingerprint Image Size Requirements

     The scanned fingerprint image sizes shown in the following table are consistent with standard fingerprint cards. To accommodate live-scan equipment, where the platen size can exceed these measurements, IAFIS will accept images larger than these. However, when oversize images are returned to a contributor, it is the receiver’s responsibility to manage the display of these oversize images. IAFIS will enforce an upper limit on a Type-4 (i.e., Ten-Print image) record: any submissions with any Type-4 image record larger than 200 kByte will be rejected by IAFIS.

MAXIMUM SIZES FOR FINGERPRINT IMAGES ³

3.10 Electronic Criminal Subject Photo Services

     Electronic criminal photo services include a transaction for requesting criminal photo sets on file at the FBI and a transaction to delete photo sets.

     To initiate a request for a photo set from the FBI’s database, the sending agency electronically transmits the FBI number and optionally a DOA of the subject. This request will be routed by way of the CJIS WAN to the FBI, processed, and returned to the requester through

³ Regarding acceptable image sizes, scanner systems/devices installed prior to the EFTS V6R2 publication date are grandfathered.

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the CJIS WAN. If the requester is a local agency, the request and response will be interfaced with the CJIS WAN through the state law enforcement network. There will be no manual intervention on the part of the FBI.

     Remote requests for a photo set will be submitted to the FBI under the TOT of “CPR” (denoting Criminal Subject Photo Request) in the Type-1 Record. The FBI’s response will contain a TOT of “PRR” (denoting “Photo Request Response”) in the Type-1 Record.

     Remote requests for the deletion of Criminal Subject Photo Sets are initiated through the CJIS WAN and returned through the same path. The request will be submitted to the FBI under the TOT of “CPD” (denoting Criminal Subject Photo Image Delete Request) in the Type-1 Record. The FBI’s response will contain a TOT of “PDR” in the Type-1 Record.

     The following TOTs are applicable for remote request for Criminal Subject Photo Images:

     The FBI’s response to remote requests for Criminal Subject Photo set images are as follows:

3.10.1 Type of Transaction Definitions

3.10.1.1 Criminal Subject Photo Request (CPR)

     This TOT of “CPR” transaction enables users to retrieve a photo set from the FBI Criminal Photo File. Each set of photos comprises from 1 to 4 photos of a subject posed from different views. Each photo set is linked to the subject by the Date of Arrest (DOA). The transaction will be processed, and requester-selected Photo set on file at the FBI will be transmitted in the response. If the request contains any errors, the response code (REC) will be set to “N”. This Response (PRR) will be returned including the reason for the rejection in a Response Explanation field (EXP). Table K-1 is the Logical Record Layout for the CPR TOT.

3.10.1.2 Criminal Subject Photo Delete Request (CPD)

     This TOT of “CPD” transaction enables users to delete a specific photo set associated with a DOA. Only owners of that photo set may delete it. The requester specifies the FBI number of the subject and the DOA. If the request contains any errors, the response code (REC)

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will be set to “N”. This response (PDR) will be returned including the reason for the rejection in a Response Explanation field (EXP). Table K-2 is the Logical Record Layout for the CPD TOT.

3.10.1.3 Photo Responses

     There are responses for each of the requests. The TOT of “PRR” is a response for a retrieve request and the TOT of “PDR” is the response for the delete request. The two responses are handled in the same way. The transaction is returned by the FBI to indicate the condition of each request. There are two fields in this Type-2 record that give the condition of the request. If the request contains any errors that cannot be parsed: IAFIS will return an FBI=0000000; CRI= xxxxxxxxx; REC=”N”; and a Response Explanation field, EXP= the translated message code of the first detected error. Tables K-3 and K-4 are the Logical Record Layouts for the “PRR” and “PDR” TOT’s.

3.10.2 Requirements for Logical Record Types

3.10.2.1 Photo Request

Request: The types and quantities of logical records required to submit a criminal photo request are as follows:

• 1 - Type-1 Header Record
  
• 1 - Type-2 Record. If the DOA is not supplied, the photo set with the latest “Date photo taken” will be sent.
  

Response: The response to a criminal photo request will include the following logical records:

• 1 - Type-1 Header Record
  
• 1 - Type-2 (TOT=PRR) Record
  
• 1 to 4 - Type-10 Image Records.
  

3.10.2.2 Photo Delete Request

Request: The types and quantities of logical records required to submit a criminal photo delete request are as follows:

• 1 - Type-1 Header Record
  
• 1 - Type-2 Record.
  

Response: The response to a criminal photo delete request will include the following logical records:

• 1 - Type-1 Header Record
  
• 1 - Type-2 (TOT=PDR) Record.
  

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3.11 Latent Administrative Queries, Requests and Responses

     Two types of administrative requests can be solicited by the users to improve the efficiency of their operations. They include the Latent Repository Statistics Query (LRSQ) and Latent Search Status and Modification Query (LSMQ). LRSQ provides the users with the statistical representation of the FBI Criminal Master File used to estimate Latent Cognizant Repository search penetration. The LSMQ will allow the users to determine the status of one fingerprint search or multiple searches previously submitted by the requestor's organization. The LSMQ also allows the user to adjust priorities or search order for performing the searches, or to cancel previously submitted search requests.

  The following Types of Transactions (TOTs) are included in the Latent Administrative Queries:

The following are the responses to the above transactions:

3.11.1 Type of Transaction Definitions

3.11.1.1 Latent Repository Statistics Query (LRSQ)

     The LRSQ requests the current statistics used to estimate the penetration of the Latent Cognizant Repository by a latent search based on the various input characteristics. This query will provide the users the data required to update the statistical representation used to estimate the repository penetration of a latent search without having to use the Latent Penetration Query defined in Section 3.4.1.6, above. The LRSQ TOT is summarized in Table E-2. Edit specifications for the fields it uses may be found in Table C-1.

3.11.1.2 Latent Search Status and Modification Query (LSMQ)

     The LSMQ requests the status of one or multiple previously submitted latent fingerprint searches, requests the priority or order of searches be changed, or requests searches be canceled. Reprioritization cannot be requested in the same message as either reordering or cancellation of searches, and should be requested if needed before reordering or cancellation. If the same message is used to both reorder and cancel searches, the entire reorder operation will be performed first, followed by the canceling operation. Therefore, if the canceled search date/time

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stamp is desired to be retained and exchanged with another search, the canceled search must be listed with the reordered searches as well as in the field listing searches to be canceled. To determine the current status of searches, the user will submit the case number(s) and extension(s) of the fingerprint search(es). The IAFIS response will include the AFIS segment process control number (SCNA) of the referenced search(es) and the estimated time(s) to complete the search(es). The LSMQ TOT is summarized in Table E-2. Edit specifications for the fields it uses may be found in Table C-1.

     For LSMQ information on multiple searches, the requester can define the depth of the query to be at the State level (defined as "S" in Field 2.004 (Query Depth of Detail (QDD)) in Table E-27); it will include all ORIs, all associated Case Numbers, and all associated Case Extension Numbers. The request can also be at the ORI level (defined as "O") including all Case Numbers and associated Extensions for a particular ORI, or at the Case level (defined as "C") including the case number and all associated Extensions. The response will include the segment control numbers and estimated times to complete for all requested submittals. This transaction can also be used to change the priority of previously submitted searches (see definition of PRI in Appendix C). This request will list the segment control numbers of the searches (determined by previous status query) and their new priorities. In addition, the LSMQ provides the capability to change the order in which the requested searches are processed. A modified rank order of these searches is submitted by including the SCNA of each search in the order in which they are to be searched. AFIS/FBI will reorganize its queue for the requestor for all searches that have not been completed or not currently being processed (i.e., only those searches still pending). Finally, the LSMQ provides the capability to cancel a previously submitted search request by including the Cancel Fingerprint Search field the SCNA of any search to be canceled.

3.11.1.3 Latent Repository Statistics Response (LRSR)

     LRSR to the LRSQ will provide the users the data required to update the statistical representation used to estimate the repository penetration of a latent search. The LRSR TOT is summarized in Table E-2. Edit specifications for the fields it uses may be found in Table C-1.

3.11.1.4 Latent Search Status and Modification Response (LSMR)

     The LSMR will provide the users with the list of previously submitted searches ranked in order for processing and their associated priorities in response to the request. A search already in progress will not be preempted. The LSMR will include the AFIS segment control number(s) (SCNA) of the referenced search(es) and the estimated time to complete the search(es).

     The LSMR will also provide notification that IAFIS has processed the cancellations. The SCNA of each search canceled will be returned in the CFS field. The LSMR TOT is summarized in Table E-2. Edit specifications for the fields it uses may be found in Table C-1.

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3.11.1.5 Administrative Transaction Error (ERRA)

     This transaction is returned by the FBI to indicate a transaction error. It includes a message field (MSG) indicating the type of error detected. Error responses are described in Section 3.8. The ERRA (Administrative) TOT is summarized in Table E-2. Edit specifications for the fields it uses may be found in Table C-1.

3.11.2 Requirements for Logical Record Types

Request: The types and quantities of logical records required to submit a latent administrative query are as follows:

• 1 - Type-1 Header Record
  
• 1 - Type-2 Record.
  

Response: The response to a latent administrative query will include the following logical records:

• 1 - Type-1 Header Record
• 1 - Type-2 Record.
  

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