SECTION 3

DESCRIPTION OF OPERATIONAL CONCEPTS

     The FBI CJIS Division will process the following seven types of fingerprint transactions from the three main service areas in its electronic environment:

Ten-Print Services

Electronic Ten-Print Submissions
Remote Ten-Print Searches

Latent Services

Electronic Latent Submissions
Remote Latent Searches
Latent Image Maintenance Requests

Image Services

Remote Requests for Fingerprint Images
Electronic Requests to Upgrade Fingerprint Images

Photo Services

Criminal Subject Photo Request
Criminal Subject Photo Delete Request
Criminal Subject Photo Response
Criminal Subject Photo Delete Response

Details of the individual types of transaction are provided in the paragraphs below.

3.1 Electronic Ten-print Submissions

     The processing flow for ten-print electronic submissions is illustrated in Figure 1, “Electronic Ten-Print Submission.” These submissions will originate from live-scan booking terminals or card scanners at either the federal, state or local level. Local submissions may be processed by a local AFIS and electronically transmitted to a state identification bureau for processing. If an identification is made at the state level, an Ident response will be transmitted back to the local agency, and if it is a criterion offense, it is to be forwarded to the FBI.

     If no identification is made, the data will be forwarded via the CJIS WAN to the FBI for processing by IAFIS. Transmitted data will be automatically edited and a subject search will be conducted. If no identification is effected through comparison of candidates resulting from subject search, a fingerprint search will be executed through the FBI’s AFIS. The fingerprint images of any resulting file candidates will be compared to the search fingerprint images by FBI

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Link to Text version of Figure 1

fingerprint examiners. Electronic responses² from IAFIS to the contributor will be electronically routed via the CJIS WAN through the State Identification Bureau (the ORI). Subsequent routing to the arresting agency is made by the State Ident Bureau using the CRI. Additional copies are routed by the State Ident Bureau using the SCO or other related information (see Appendices B and C for detailed ORI, SCO and CRI definitions).  

    Electronic criminal transactions will have a nominal 2-hour turnaround within IAFIS. Civil transactions, and card-based transactions, once received, will have a 24-hour nominal

2 Established procedures for sending unsolicited messages to state identification bureaus in response to fingerprint cards from Interstate Identification Index (III) participating states will not be affected.

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turnaround. The turnaround times are based on the type of transaction and are specified in Appendix A.

There are several types of ten-print electronic submissions that will be accepted by the FBI. The particular type of submission is identified in the Type of Transaction (TOT) Field in the Type-1 record that is used with each transaction. The following are the TOTs for ten-print submissions:

The FBI’s responses to electronic submissions will provide search results or indicate anerror via the following TOTs:

3.1.1Type of Transaction Definitions

3.1.1.1Criminal Ten-Print Submission (Answer Required) (CAR)    

 This transaction is a criminal arrest fingerprint submission for which the requester desires that a response be returned. It contains ten rolled and four plain impressions of all ten fingers, as well as information relative to an arrest or to custody or supervisory status and optionally may include up to 4 photos of the subject. The biographical data and fingerprint images are used to determine potential candidates with criminal records at the FBI. This TOT is also used for an inquiry on a criminal suspect or informant, in which case arrest, custody, or supervisory data may or may not be present (Retention Code set to "N"). Requirements for the use of the ASL and CSL fields in these cases is discussed in Appendix C. The fingerprint images of those candidates are then manually compared with those in the submission and an identification or non- identification decision is determined. The criminal records are updated (if the Retention Code is set to "Y") the photos are added to the file and a response is returned to the contributor. The response will always contain the Ident/Non-Ident decision, and will contain the electronic rap sheet if requested. Table D-1 gives the logical record layout for the CAR TOT.

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3.1.1.2 Criminal Ten-Print Submission (No Answer Necessary) (CNA)

     This transaction is a criminal arrest fingerprint submission for which the requester desires that no response be transmitted back. Otherwise, it is identical to the CAR request described above, containing ten rolled and four plain impressions, arrest, custody or supervisory status data, and optionally up to 4 photos of the subject. Processing is also identical except that no response is returned. However, a communication protocol acknowledgment will be returned to the contributor to confirm receipt of the transaction. The Retention Code for this transaction must be set to "Y". The CNA TOT is summarized in Table D-3. Edit specifications for the fields it uses may be found in Table C-1.

3.1.1.3 Federal Applicant (No Charge) (FANC)

     This transaction pertains to an individual who is fingerprinted in connection with applying for criminal justice employment with the Federal Government. When this TOT is used, there is no charge assessed to the contributor. Federal agencies which are considered "User Fee" contributors must not use this TOT, but use "FAUF" instead (see description below). The FANC TOT is summarized in Table D-3. Edit specifications for the fields it uses may be found in Table C-1.

3.1.1.4 Federal Applicant User Fee (FAUF)

     These submissions come from: (1) any of the branches of the U. S. military in connection with individuals enlisting or being considered for Officers’ Candidate School (OCS); and (2) federal agencies in connection with employment, security updates, or contract personnel. The FAUF TOT is summarized in Table D-3. Edit specifications for the fields it uses may be found in Table C-1. See also Section 1.6 for a discussion of the use of TCN and TCR in no-charge resubmittal of user-fee submissions that the FBI has rejected. Such resubmittals are allowed only when the fingerprint image quality of the original submission was unacceptable.

3.1.1.5 Non-Federal Applicant User Fee (NFUF)

     These submissions are for non-criminal justice and licensing purposes in which the contributor is charged a fee. Examples of the types of contributors of this type of transaction are: federal and state banking institutions, regulatory agencies (such as stock exchanges, bankers’ associations, securities dealers, Nuclear Regulatory Commission, Securities and Exchange Commission, racing or gaming control board, etc.). Their purpose for submitting such requests is to ascertain whether individuals who have applied for licensing or employment with their organizations have any past criminal histories. The NFUF TOT is summarized in Table D-3. Edit specifications for the fields it uses may be found in Table C-1. See also Section 1.6 for a discussion of the use of TCN and TCR in no-charge resubmittal of user-fee submissions that the FBI has rejected. Such resubmittals are allowed only when the fingerprint image quality of the original submission was unacceptable.

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3.1.1.6 Miscellaneous Applicant Civil (MAP)

     These no-charge submissions are for non-federal law enforcement and criminal justice employment. The MAP TOT is summarized in Table D-3. Edit specifications for the fields it uses may be found in Table C-1.

3.1.1.7 Known Deceased (DEK)

     These transactions are submitted for a deceased individual whose identity is known to the contributor. If the fingerprints are determined to be identical to those of a subject in the FBI’s criminal files, the subject’s FBI record will be marked as deceased. The ICO field in this submission must be filled with the text “DECEASED”. The DEK TOT is summarized in Table D-3. Edit specifications for the fields it uses may be found in Table C-1.

3.1.1.8 Unknown Deceased (DEU)

     This transaction is submitted with fingerprints taken from an individual who was deceased at that time but whose identity was not known to the contributor. If the fingerprints are determined to be identical to those of a subject in the FBI’s criminal files, the subject’s FBI record will be marked as deceased and the contributor will be notified of the results. Should no identification to a subject on file be effected, the subject will be added to the criminal file in order to be identified with missing persons reports. A search of the Civil File will be conducted following the Criminal File search if a "Y" is placed in the CSR field. The DEU TOT is summarized in Table D-3. Edit specifications for the fields it uses may be found in Table C-1.

3.1.1.9 Missing Person (MPR)

     These non-criminal submissions pertain to persons reported as missing. Their submission causes a search of the FBI files and may result in the placement of a “stop” in FBI automated files to create the possibility of a future fingerprint submission (of any type) hitting against the original set of fingerprints and establishing the person’s whereabouts. These subjects are added to the Criminal File. The Action to be Taken (ACN) field of the response will indicate if a “stop” has been established. The ICO field in this submission must be filled with the text “MISSING PERSON”. A search of the Civil File will be conducted following the Criminal File search if a "Y" is placed in the CAR field. The MPR TOT is summarized in Table D-3. Edit specifications for the fields it uses may be found in Table C-1.

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3.1.1.10 Amnesia Victim (AMN)

     These non-criminal submissions pertain to persons known to have amnesia who are unaware of their own identity. The submission causes a search of the FBI files and may result in the placement of a "stop" in FBI automated files to create the possibility of a future fingerprint submission (of any type) hitting against the original set of fingerprints and establishing the person’s identity. These subjects are added to the Criminal File. The ACN field of the response will indicate if a "stop" has been established. The ICO field in this submission must be filled with the text “AMNESIA VICTIM”. A search of the Civil File will be conducted following the Criminal File search if a "Y" is placed in the CSR field. The AMN TOT is summarized in Table D-3. Edit specifications for the fields it uses may be found in Table C-1.

3.1.1.11 Submission Results — Electronic (SRE)

     This transaction is returned by the FBI in response to ten-print submissions. The response will always contain the Ident/Non-Ident decision, and will contain the electronic rap sheet if requested. Table 3-1 describes which NAME, FBI number and State ID (SID) are returned in the SRE for Criminal, Civil and Humanitarian submissions, and for Non-Ident and Ident results. A non-matching NAME is returned in the electronic rap sheet (ERS), if one was requested. The following fields, which are not stored in IAFIS, are always returned exactly as submitted: ATN, SCO, EAD, OCP, RES, and TAA. A single electronic response will be sent to the contributor through the state identification bureau via the CJIS WAN. In the case that circumstances delay processing an EFTS request, the requestor will receive a preliminary electronic response coded as a Non-Ident with an ERS. The ERS will contain a report explaining results are not available due to a delay. When they complete processing, the FBI will print a Non-Ident or Ident response report and mail it to the requestor. Table D-2 gives the logical record layout for the SRE TOT. Edit specifications for the fields it uses may be found in Table C-1.

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Table 3-1. Values of NAM, FBI and SID Returned in the SRE

     Under certain circumstances, the SRE will contain Special Table Data (STD). For example, this would be included in an Non-Ident Report (NIDR) if an FBI number was submitted. It would be included in an Ident Report (IDRR) if a submitted FBI number did not match the FBI number in the Master File for subject. It would be included in an IDRR or NIDR, as appropriate, if the Master File FBI number was marked expunged, deleted, or consolidated.

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3.1.1.12 Ten Print Transaction Error (ERRT)

     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 ERRT TOT is summarized in Table D-3. Edit specifications for the fields it uses may be found in Table C-1. Currently defined error messages are detailed in Appendix M.

3.1.2 Requirements for Logical Record Types

     Submissions : The types and quantities of logical records required in an electronic ten-print submission are as follows:

• 1 - Type-1 Header Record
  
• 1 - Type-2 Record
  
• nominally 14 - Type-4 records as follows:
  

  - 10 Rolled Impressions

  - 4 Sets of Plain Impressions

•   0-4 - Type-10 Records containing photos may be submitted with CAR, CNA, AMN, DEK, DEU, and MPR transactions. Photos are not allowed with FANC, FAUF, MAP and NFUF transactions.
  

(See Appendix C writeup of the AMP field for how to handle submissions with fewer than 10 printable fingers.)

Responses: In response to an electronic ten-print submission, the following logical records will be returned:

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

3.2 Remote Ten-Print Searches

     To conduct a remote ten-print search of the FBI’s database, the sending agency will electronically transmit fingerprint images and classification information as required by the AFIS/FBI (i.e., the AMP, when needed), or remotely extracted fingerprint characteristics. Fingerprint characteristics include classification, fingerprint features, and any other derived data required by AFIS/FBI. If the originator is a local agency, the request will go through their State identification bureau. The subsequent FBI search will be conducted automatically with no additional manual editing or processing. If candidates are identified, up to 25 candidates’ FBI numbers are returned to the transmitting agency along with fingerprint images from the highest scoring candidate. The user can request specific finger images, up to all 14 fingerprint images, via the Fingerprint Number(s) Requested (FNR) field. This process differs from electronic ten-print submission processing in that there is no manual intervention on the part of the FBI.

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     The sender must designate the TOT in the Type-1 record to specify the type of search request. The following list of TOTs is applicable to remote ten-print searches transmitted to the FBI:

A hierarchical approach to ten-print searches must be adhered to. Searches submitted by local agencies must be processed by the local AFIS (if available) and electronically transmitted to a state AFIS (if available), before submitting a search to the FBI. If an identification is made at any of the previous levels, the Ident response will be transmitted to the originating agency and there will be no further processing of the request at a higher level.

     The processing flow for remote ten-print searches is shown in Figure 2, "Remote Ten-Print Search."

     All electronic transactions between the FBI and the originating state agency will be routed via the CJIS WAN. State and local agencies must handle the continuance of these transactions among themselves through the state network.

The following are the potential responses to remote ten-print fingerprint searches:

     The response to a valid remote ten-print search will include a candidate list and the fingerprint images of the highest scoring candidate who potentially matches the submitted fingerprints. Retrieval of the additional images is accomplished through separate image retrieval requests.

3.2.1 Type of Transaction Definitions

3.2.1.1 Ten-Print Fingerprint Image Searches (TPIS)

     The ten-print fingerprint images are transmitted along with any required fingerprint classification information and descriptors by the originator. The PAT field is to be included for every amputated or unprintable finger. The fingerprint characteristics will be automatically extracted from the image at the FBI with no human intervention. There will be no manual editing of fingerprint characteristics. The search process of the criminal fingerprint files is conducted and the results transmitted to the originator. The response consists of the match report including the identification of matching candidates and the corresponding fingerprint images of the candidate with the highest score. Images for the remaining candidates may be retrieved through separate image retrieval requests. The TPIS TOT is summarized in Table D-3. Edit specifications for the fields it uses may be found in Table C-1.

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3.2.1.2 Ten-Print Fingerprint Features Search (TPFS)

     The fingerprint characteristics, including classification, are extracted and transmitted by the originator along with search criteria. The search process uses this information to generate the candidate list. The response is similar to those for TPIS transactions. The TPFS TOT is summarized in Table D-3. Edit specifications for the fields it uses may be found in Table C-1.

(Note: The fingerprint characteristics referred to here are the native-mode fingerprint characteristics of the FBI’s AFIS; i.e., the fingerprint characteristics’ data transmitted will be in a format used or accepted by AFIS/FBI. The originating agency must have the capability to extract and encode fingerprint characteristics data in the FBI native mode in order to use this TOT.)

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3.2.1.3 Search Results — Ten-Print (SRT)

     This transaction is returned by the FBI in response to a remote ten-print search request. It includes a candidate list comprised of the names and FBI numbers of up to 25 subjects selected by AFIS/FBI as potential matches to the fingerprint images or features that were submitted. The fingerprint image(s) of the first candidate on the candidate list will also be included. The fingerprint images in the response may be specified by finger position in the search request. The SRT TOT is summarized in Table D-3. Edit specifications for the fields it uses may be found in Table C-1.

3.2.1.4 Ten-Print Transaction Error (ERRT)

     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 ERRT TOT is summarized in Table D-3. Edit specifications for the fields it uses may be found in Table C-1.

3.2.2 Requirements for Logical Record Types

Input: The types and quantities of logical records required to submit a remote ten-print search are as follows:

• 1 - Type-1 Header Record
  
• 1 - Type-2 Record
  
• 1 to 10 - Type-4 or Type-9 Fingerprint Image Records containing rolled impressions or features.
  

Response: In response to a remote ten-print search request, the following logical records will be returned:

• 1 - Type-1 Header Record
  
• 1 - Type-2 Record
  
• 0 to 14 - Type-4 fingerprint image records containing the requested fingerprint images of the first candidate.
  

     The remaining candidates’ fingerprints may be retrieved via a remote request for fingerprint image transaction.

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3.3 Electronic Submission of Latent Prints

     Electronic latent print submissions will originate from the agency having legal jurisdiction of the case, either federal, state or local. The crime scene evidence will be processed and the desired latent prints will be electronically captured. The term "latent prints" includes fingerprints, palm prints, toe prints, and footprints. Investigation of latent cases may also generate ten-prints used for comparison purposes (e.g., suspect, victim, other personnel with authorized access to the crime scene). The sender must designate the TOT in the Type-1 record to specify which process is to be followed. The following TOTs are applicable to electronic latent print submissions to the FBI:

     A hierarchical approach to AFIS searches must be adhered to. Submissions by local agencies must be processed by the local AFIS (if available) and electronically transmitted to a state AFIS (if available) before being submitted to the FBI. If an identification is made at any of the previous levels, the Ident response will be transmitted to the originating agency and there will be no further processing of the request at a higher level.

     All electronic transactions between the FBI and the originating agency will be routed via the CJIS WAN. State and local agencies must handle the continuance of these transactions among themselves through the state network.

     The processing flow for electronic latent transactions is illustrated in Figure 3, "Electronic Latent Submission."

The following are the responses to electronic latent submissions:

     The FBI’s response to a latent fingerprint image submission (i.e., LFS) contains a TOT of "LSR" (denoting "Latent Submission — Results") in the Type-1 Record. It includes the identification of a subject with matching fingerprints or a non-identification decision. If the

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response to an LFS transaction is a non-identification, the latent case may be stored in the Unsolved Latent File. If there is an error in the submittal, an ERRL response will be returned.

     The responses to ELR submissions contain a TOT of "NAR" (denoting "Notification of Action Response"). It defines the action taken based on the analysis of the submitted latent images. For an ELR submission, the NAR may indicate that a latent case will be established.

     There will be no IAFIS responses other than communication protocols acknowledgments for the transaction types CFS and MCS. However, a Latent Fingerprint Section (LFPS) Report may be generated and provided to the contributor. NOTE: This report is not an automated report and will not be transmitted electronically through IAFIS.

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3.3.1 Type of Transaction Definitions

3.3.1.1 Latent Fingerprint Image(s) Submission (LFS)

     A Latent Fingerprint Image Submission is intended solely for the purpose of executing an AFIS search, and is to be used by state, local, or other Federal agencies not able to extract IAFIS-compatible minutiae. The latent fingerprint images are transmitted along with the search criteria by the originator. Multiple fingerprint images may be submitted if the submitter believes the images are from a single subject. Multiple images also must be accompanied by a finger number for each image. Only this set of finger numbers will be searched. The FBI latent fingerprint specialists will execute a preliminary search (penetration query) to determine if the criteria exceeds the 30 percent threshold. If the search criteria exceeds that 30 percent limit, the search will be rejected. If the 30 percent limit is not exceeded, then FBI latent fingerprint specialists will submit the search for processing. Latent fingerprint specialists will perform comparisons of the search latent fingerprint image(s) against the candidate(s) selected and make the Ident/non-Ident decision. The Ident/non-Ident decision will be transmitted as a response (i.e., LSR), including the name and FBI Number of the identified subject. The LSR will include the full set of fourteen ten-print images if an identification has been made. The latent search image(s) will be temporarily stored in the Unsolved Latent File for fourteen days if requested in the submission by the originator. If the search results in a non-Ident, the addition of the latent image to the Unsolved Latent File will be confirmed. The LFS TOT is summarized in Table E-

1. Edit specifications for the fields it uses may be found in Table C-1.

3.3.1.2 Comparison Fingerprint Image(s) Submission (CFS) (For use by FBI only)

     This TOT provides for the transmission of ten-print fingerprint images or other known prints from individual(s) who could have caused the latent impressions associated with a case. The CFS is intended solely for internal FBI use. The comparison prints may consist of the following:

1.Suspect known prints

2.Victim known prints

3.Known prints from individuals being compared for purposes of elimination

4.Other individuals involved in the case

     The submittal may include all the fingerprints normally enclosed in a ten-print submittal plus optional additional prints (e.g., palm prints), if applicable. The known print images will be stored and accessible to the fingerprint specialist for comparison and analysis. Elimination prints for several individuals must be sent as individual submittals for each. No electronic response other than communication protocol acknowledgment of receipt is returned for this TOT. The CFS TOT is summarized in Table E-1. Edit specifications for the fields it uses may be found in Table C-1.

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3.3.1.3 Major Case Image(s) Submission (MCS) (For use by FBI only)

     This TOT provides for the submittal of fingerprints normally enclosed in a ten-print submittal plus additional images of the extreme tips, sides, and lower joints of the fingers, and surface and extreme sides of palms for possible use in comparisons for a case. The MCS is intended solely for internal FBI use. The submitted prints will be added to the Major Case Image File. In addition, the ten-prints may be searched against the criminal fingerprint databases, and providing that all required data is submitted, it may be used to establish a new record in the criminal subject databases or to update existing records on the subject. No electronic response other than communication protocol acknowledgment of receipt is returned for this TOT. The MCS TOT is summarized in Table E-1. Edit specifications for the fields it uses may be found in Table C-1.

3.3.1.4 Evaluation Latent Fingerprint Submission Request (ELR) (For use by FBI only)

     This is a transaction to be used solely for FBI purposes, including FBI field office consultations with the LFPS examiners. The contents of the submission are similar to a latent submission (i.e., LFS). The transaction will result in a reply (e.g., NAR) indicating the action to be taken. The action could be the establishment of a latent case, a request for additional information, or an evaluation of the case feasibility and recommendations for further actions. The ELR TOT is summarized in Table E-1. Edit specifications for the fields it uses may be found in Table C-1.

3.3.1.5 Latent Submission Results (LSR)

     This transaction is in response to a latent fingerprint submission (LFS transactions). It includes a Search Results Findings (SRF) field indicating an identification or non-identification decision and, if the LFS results in an identification, it returns a name, FBI Number, and full set of fourteen ten-print images of the identified subject. The LSR TOT is summarized in Table E-

1. Edit specifications for the fields it uses may be found in Table C-1.

3.3.1.6 Notification of Action Response (NAR)

     This transaction will be in response to an evaluation request (ELR transaction). The response may include a message field (MSG) indicating the results of the evaluation or recommendations for further actions included in the Action to be Taken field (ACN). The NAR TOT is summarized in Table E-1. Edit specifications for the fields it uses may be found in Table C-1.

3.3.1.7 Reserved

3.3.1.8 Latent Transaction Error (ERRL)

     This transaction is returned by the FBI in response to a transaction that contained errors such as search exceeding 30 percent threshold, missing or inadequate quality fingerprints, missing mandatory information, or invalid contents. The MSG field shall include additional

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information on the causes for the rejection. 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.

3.3.2 Requirements for Logical Record Types

     Submission: The types and quantities of logical records required in electronic latent submissions and requests are as follows:

• 1 - Type-1 Header Record
  
• 1 - Type-2 Record
  
• 1 to 14 - Type-4 Fingerprint Image Records. (1 to 10 records for latent submissions, 14 records for comparison ten-print fingerprint submissions, or an optional set of 14 images for major case submissions), or
  
• 1 or more - Type-7 records containing miscellaneous (e.g., palm prints as part of a CFS or MCS) or high resolution (greater than 500 dpi) latent images. The LFS and ELR submissions are limited to 10 Type-7 records. The MCS may have more than 10.
  

     Response: In response to a latent submission (LFS), the following logical records will be returned (in the LSR):

• 1 - Type-1 Header Record
  
• 1 - Type-2 Record
  
• 0 to 14 - Type-4 Fingerprint Image Records, containing the ten-print fingerprint images corresponding to the finger of positions of the submitted latent images. (optional for LSR responses at the discretion of the originator)
  

3.4 Remote Latent Fingerprint Searches

     An IAFIS user may transmit one or more latent fingerprint images or corresponding features sets, assumed to be from the same subject, to be searched against the FBI’s Ten-Print Criminal Features Master File (a Latent Cognizant search). This remote latent fingerprint search request will originate from the agency having legal jurisdiction of the case, either federal, state or local. The crime scene evidence will be processed and the desired latent fingerprints will be electronically captured. To conduct a remote latent fingerprint search, the originating agency will electronically transmit latent fingerprint images and/or FBI native-mode fingerprint features. These images or features may be stored in the Unsolved Latent File (ULF) through use of the ULF flag, which is included in the search request. If the ULF flag is set to”yes”, the submitted fingerprint image(s) and/or features will be temporarily added to the ULF file for fourteen days (the default setting of the ULF flag is “no”). The ULF flag is present in the Latent Fingerprint Image Search (LFIS), the Latent Fingerprint Features Search (LFFS), and the Latent Fingerprint Submission (LFS) messages. The descriptor data contained in the Type-2 records, T2LFFS and T2LFIS, are used as search parameters to narrow the search penetration so that the 30% maximum is not exceeded. The same descriptors may be submitted in a separate Latent Penetration Query, prior to initiating the search, to determine the penetration.

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     The remote latent fingerprint search process differs from the electronic latent submissions in that there will be no human intervention on the part of the FBI. The sender must designate the TOT to specify which process is to be followed. The following list of TOTs is applicable to remote latent fingerprint searches transmitted to the FBI:

     A hierarchical approach to AFIS searches must be adhered to. Transactions generated by local agencies must be processed by the local AFIS (if available) and electronically transmitted to a state AFIS (if available) before submitting a search to the FBI. If an identification is made as a result of processing at any of the previous levels, there will be no further processing of the request at a higher level.

     All electronic transactions between the FBI and the originating agency will be routed via the CJIS WAN. State and local agencies must handle the continuance of these transactions among themselves through the state network.

The following are the potential responses to remote latent fingerprint transactions:

TOT RESPONSE TRANSACTION

     The response to a valid remote latent search transaction will contain a TOT of "SRL" (denoting "Search Results - Latent") in the Type-1 Record. It will also include the (up to NCR) fingerprint image(s) of the finger(s) that potentially matches the latent fingerprint. If the remote latent search included more than one finger, the image corresponding to the highest matched score for each candidate will be returned. The search parameters must limit the search to no more than 30 percent of the population of the file being searched. A Latent Penetration Query may be sent to determine the percentage of repository penetration prior to initiation of a search. The results will be returned in a Latent Penetration Response. Any search request for the latent cognizant repository that does not include sufficient search parameters to limit the search to 30 percent will result in a Latent Transaction Error (ERRL) response. The response will include the (two digit) percentage of the repository penetration determined from the submitted parameters in the Status/Error Message (MSG) field of the Type-2 record. Detection of errors will also cause a Latent Transaction Error (ERRL) response.

     The ULM may be a delayed response to an LFFS or LFIS (Appendix L, Table L-4). If a ten-print submission made after an LFFS or LFIS that has added a latent fingerprint image to the Unsolved Latent File matches that latent print, a ULM will be sent to the latent print contributor.

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     The processing flow for remote latent fingerprint image transactions is illustrated in Figure 4, "Remote Latent Search".

3.4.1 Type of Transaction Definitions

3.4.1.1 Latent Fingerprint Image(s) Search (LFIS)

     The latent fingerprint image(s) are transmitted along with the search criteria by the originator. The fingerprint features will be automatically extracted from the images with no human intervention. There will be no manual editing of fingerprint characteristics. IAFIS will conduct a search of the Latent Cognizant repository and will transmit the results to the originator. In the event that images are of insufficient quality for AFIS/FBI to be able to extract features and perform a search, IAFIS will respond with a Latent Transaction Error message.

     Multiple fingerprint images may be searched if the submitter believes the images are from a single subject. Multiple images must be accompanied by a finger position for each image. Only this set of finger numbers will be searched.

     If, in submitting a single latent image, the finger position of the image is unknown, submitter may use the PAT (2.034) and FGP (2.074) fields and the FGN field of the Type-7 as follows to indicate that the position is unknown while allowing speculation on the finger position: (1) set the Finger Number subfield of PAT to “00", to indicate UNKNOWN, while supplying the Pattern Classification Code as usual; (2) in conjunction, submit one or more instances of the FGP field containing the finger position guesses; and (3) in the FGN field of the Type-7 record, send a binary “0". If many finger guesses for a single finger search are provided, the PAT/RCD1/RCD2 fields should be entered only for the first finger guess and will be automatically duplicated by IAFIS for all other finger guesses.

     Latent fingerprints submitted for remote searches may be added to the Unsolved Latent File as discussed in Paragraph 3.3.1.1. One or two Type-2 records may be submitted in the search message. IAFIS will automatically use the descriptive data in the first Type-2 record for the search. If originators desire to store descriptive data with the unsolved latent that is different from that provided for the purpose of limiting the search penetration of the Latent Cognizant repository, they may include a second Type-2 record. In either case, the first Type-2 received with the ULF flag set to “Y” will be used to add descriptors to the Unsolved Latent File.

     The LFIS TOT is summarized in Table E-1. Edit specifications for the fields it uses may be found in Table C-1.

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Link to text version of Figure 4

3.4.1.2 Latent Fingerprint Features Search (LFFS)

     The latent fingerprint features are extracted and transmitted along with the search criteria by the originator. The search process of the Latent Cognizant repository will be conducted and the results transmitted to the originator as described for the LFIS transaction. The fingerprint features referred to here are the native-mode fingerprint features of the FBI’s AFIS; i.e., the fingerprint features information transmitted will be in a format used or accepted by AFIS/FBI.

     Originators may add the latent features from a features search message and, if desired, the latent fingerprint images corresponding to those features, to the Unsolved Latent File as described in Paragraph 3.4.1.1 above. Multiple-finger searches, and searches where the finger position is not known, are to be treated in the same manner as the LFIS.

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     The originating agency must have the capability to extract and encode fingerprint features in the FBI native-mode in order to use this TOT. The LFFS TOT is summarized in Table E-1. Edit specifications for the fields it uses may be found in Table C-1.

3.4.1.3 Search Results - Latent (SRL)

     This transaction is returned by the FBI in response to a remote latent search request. It will include a candidate list comprised of names and FBI numbers of each candidate and the corresponding fingerprint image(s) of the number of candidates specified in the NCR field of the search message. Up to 99 candidates, their match scores, and the finger positions of the images on file that matched, may be included in the response. The SRL TOT is summarized in Table E-1. Edit specifications for the fields it uses may be found in Table C-1.

3.4.1.4 Unsolved Latent Match Response (ULM)

     This transaction is issued by IAFIS when a newly submitted criminal ten-print matches an unsolved latent case previously submitted by a state or local agency. This transaction is an unsolicited response to the sponsor of the unsolved latent fingerprint, not to the submitter of the ten-print fingerprint images. The response will include the FBI number, name, personal identifiers, and fingerprint images of the subject that was matched with the unsolved latent fingerprint and the images of the unsolved latent fingerprint. Up to 10 images can be returned in this transaction when a ten-print record hits against multiple latents in the ULF stored by a multi-finger search. The “owner” of the unsolved latent case is responsible for conducting the comparison. The ULM TOT is summarized in Table E-1. Edit specifications for the fields it uses may be found in Table C-1.

3.4.1.5 Latent Penetration Query (LPNQ)

     The Latent Penetration Query allows the user to receive a percentage of the Latent Cognizant repository that will be accessed by a latent fingerprint search. The query contains the search parameters that will be defined in either the LFIS or LFFS search request except for the Type-4 or -7 image or Type-9 features records. This will allow setting the search parameters to ensure that the maximum penetration allowed is not exceeded. Penetration tables developed by AFIS/FBI may be used as an aid to help the user determine expected penetration. This transaction applies only to a single finger even if the original transaction included multiple fingers. The LPNQ TOT is summarized in Table E-1. Edit specifications for the fields it uses may be found in Table C-1.

3.4.1.6 Latent Penetration Query Response (LPNR)

     The response to a penetration query will contain the estimated size for the repository search based on the transaction defined characteristics. The response will indicate the percent penetration to allow further refinement of the search criteria. The LPNR TOT is summarized in Table E-1. Edit specifications for the fields it uses may be found in Table C-1.

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3.4.1.7 Transaction Error (ERRL)

     This transaction is returned by the FBI to indicate a transaction error. It includes a message field (MSG) in dictating 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.

3.4.2 Requirements for Logical Record Types

     Requests : The types and quantities of logical records required to submit a remote latent search request are as follows:

• 1 - Type-1 Header Record
  
• 1 to 2 - Type-2 Record
  
• 1 to 10 - Type-4, Type-7, or Type-9 Record each containing the image of a latent fingerprint, or the native-mode characteristics of a latent fingerprint. (Type-4 and Type-7 records may not be combined in any single search message. However, either Type-4 or Type-7 records may accompany Type-9 records in a features search message.)
  

Note: The Latent Penetration Query (LPNQ) does not require the Type-4 or Type-9 submission.

     Response: In response to a remote latent search, the following logical records will be returned:

• 1 - Type-1 Header Record
  
• 1 - Type-2 Record
  
• 0 - NCR Type-4 Fingerprint Image Records, where NCR is the maximum number of candidate images the user has specified in the search message (see Appendix C regarding the NCR field - 2.079). The actual number of images returned may be fewer than NCR if fewer candidates resulted in the search. For example, if user submits three fingers to be searched against the repository, specifying NCR of 7 and only 5 candidates are returned, the user will receive 5 images: the top-scoring finger from each candidate. The image of the top-scoring latent match score fingers will be returned.
  

     The remaining candidates’ fingerprints may be retrieved via a remote request for fingerprint image transaction (i.e., IRQ).

     For the Latent Penetration Query Response, the penetration data will be in the Type-2 record.

For the Unsolved Latent Match (ULM),

• 1 - Type-1 Header Record
  
• 1 - Type-2 Record
  
• 1 - 10 - Type-4 record (containing the image(s) of the candidate’s finger that matched the latent print) and 0 - 10 Type-4 or Type-7 record (containing the latent image from the Unsolved Latent File, if it exists in IAFIS).
  

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