Chapter 3

Criminal History

SECTION 01: SECURITY AND CONFIDENTIALITY I. A. DEFINITIONS SECURITY AND CONFIDENTIALITY

3 3 3 7 7 7 7 7 7 9 12 12 12 13 14 16 16 16 18 19 19 19 23 24 24 25 27 27 27 28 28 28 29 32 32
Chapter #3-1

SECTION 02: SYSTEM DESCRIPTION I. A. B. C. D. E. DEFINITIONS SYSTEM OVERVIEW RECORDS PROVIDED BY WASIS RECORDS PROVIDED BY THE FBI RECORDS PROVIDED BY PARTICIPATING STATES INDIVIDUAL ACCESS, REVIEW , AND CHALLENGE

SECTION 03: FIELDS AND EDITS I. A. B. C. DEFINITIONS MESSAGE KEYS NCIC 2000 III AND WASIS MESSAGE FORMAT REQUIREMENTS FIELDS AND EDITS

SECTION 04: INQUIRY I. A. B. II. A. B. C. D. E. F. DEFINITIONS INQUIRY MESSAGE FIELDS FOR QH INQUIRY PROCEDURE REQUIREMENTS FOR QH INQUIRY QH SEARCH AND MATCH CRITERIA EXAMPLE OF A QH INQUIRY NEGATIVE RESPONSE EXAMPLE QH INQUIRIES WITH POSITIVE RESPONSES EXAMPLE OF QH INQUIRY WITH A MULTIPLE MATCHING RECORD RESPONSE: QH INQUIRY RESPONSE CLARIFICATIONS

SECTION 05: QR RECORDS REQUESTS I. A. B. C. D. E. F. G. PROCEDURE QR RECORD REQUEST EXAMPLE OF A QR REQUEST MESSAGE FIELD CODES FOR THE QR REQUEST REQUIREMENTS FOR THE QR REQUEST WASIS RESPONSE TO A QR INQUIRY NCIC III RESPONSE WHEN RECORD WILL BE FURNISHED III ON-LINE RECORD RESPONSE

ACCESS Manual Revised 08/2011

Chapter 3

Criminal History

H. I. J. K. L. M. N. O. P. Q.

RESPONSE W HEN A PARTICIPATING STATE(S) PROVIDES CRIMINAL HISTORY RECORD(S) RESPONSE W HEN FBI RECORD CANNOT BE PROVIDED AUTOMATICALLY RESPONSES W HEN III IS UNABLE TO CONTACT RECORD HOLDER RESPONSES W HEN RECORD IS NOT INDEXED IN III REMOVAL FOR EXPUNGEMENT, DEATH, OR DELETION EXAMPLE OF ZR INQUIRY (ZR) MESSAGE FIELD CODES FOR ADMINISTRATIVE INQUIRY (ZR) REQUIREMENTS FOR ZR INQUIRY EXAMPLE ZR INQUIRY WITH NEGATIVE AND POSITIVE RESPONSES ZR RESPONSE FOR RECORDS THAT HAVE BEEN REMOVED

36 37 37 38 38 39 40 40 40 41 42 42 42

SECTION 07: ERROR MESSAGES I. A. PROCEDURE ERROR MESSAGES

ACCESS Manual Revised 08/2011

Chapter #3-2

Chapter 3

Criminal History

CHAPTER 03: ACCESS Manual Criminal History SECTION 01: Security and Confidentiality Procedure #: 03.01.000 Special Order: Supersedes: ACCESS Manual 2003 Edition Applies to: ACCESS Users I. DEFINITIONS A. Security and Confidentiality 1. Authorization to obtain records via the National Crime Information Center (NCIC) Interstate Identification Index (III) is governed by federal laws and state statutes approved by the U. S. Attorney General that are applicable to the U.S. Department of Justice, Federal Bureau of Investigation, and NCIC 2000. All state and local agencies participating in the NCIC 2000 System III File are required to adhere to the security guidelines as set forth in the publication, NCIC Computerized Criminal History Program Background, Concept and Policy and in Subparts A and C of the United States Department of Justice Regulations governing the dissemination of criminal records and criminal history information (Regulations) published in the Federal Register on May 20, 1975, and August 7, 1976 (Title 28, code of Federal Regulations, Part 20). Local agencies must also adhere to regulations contained in the Revised Code of Washington (RCW) 10.97 and 10.98 and the Washington Administrative Code (WAC) 43.43.730. 2. Operators must use the terminal only for those purposes that are authorized. 3. Copies of criminal history data obtained through the Washington State Identification System (WASIS) and III from terminal devices must be afforded security to prevent any unauthorized access to or use of the data. It is recommended that data be shredded or burned. 4. Criminal history records must be maintained in a secure records environment. Such storage of records may be for extended periods only when the criminal history records are key elements for the integrity/utility of the case files/criminal record files in which they are retained. Effective Date: March 30, 2006 See Also: CALEA:

ACCESS Manual Revised 08/2011

Chapter #3-3

Chapter 3

Criminal History

5. The criminal history shall not be used to access a record to be reviewed and/or challenged by the subject of the record. Record requests for this purpose must be submitted in writing either to the FBI Criminal Justice Information Services (CJIS) Division or to the Washington State Patrol Criminal Records Division (CRD). 6. Each agency must maintain a criminal history log for all inquiries made to the system. a. The criminal history logs must be retained for a minimum of one year. (1) Prior to January 1, 2011, each agency was required to maintain their own criminal history logs. (2) Beginning January 1, 2011, all criminal history logs are maintained in an automated format by the WSP. b. WSP will maintain a separate log for each ORI as required by the FBI. c. The logs must contain the following information: (1) Requestors first initial and last name or unique personnel number (2) The full name of the subject you are querying (3) The subjects date of birth (4) The correct purpose code (5) The date you are making the query (6) Identify the specific type of request (QH, QR, QI, etc.) (7) Provide a specific reason (i.e. DUI, Assault, Robbery, Criminal Justice Applicant or a case number) (8) If the request is made by State Identification Number (SID) or Federal Bureau of Investigation (FBI) number, that number must also be logged. d. Secondary disseminations (1) Agencies must continue to log secondary disseminations. (2) Include the specific person the information is given to, date, agency name, and case number or reason. (3) Agencies may disseminate criminal history rapsheets to defense attorney only if they complete the discovery process. They are otherwise not entitled to a rapsheet. (4) Agencies may disseminate to other criminal justice agencies as logn as they log the dissemination.

ACCESS Manual Revised 08/2011

Chapter #3-4

Chapter 3

Criminal History

e. Use the correct purpose code when inquiring for criminal history: (1) C Use this transaction for official duties in connection with the administration of criminal justice (i.e. crimes and also for non-applicant ride-alongs and contractors or vendors not involved in the administration of criminal justice. Use this transaction when backgrounding new criminal Justice employees or background re-investigating of current employees. Use this for applicant ride-alongs. Use this transaction for evidence returns of guns, firearm dealers and follow up for record verification on gun transfers when the purchaser has a valid Concealed Pistol License (CPL). Washington State Identification Numbers (SID) only). Use this transaction with a Housing Authority ORI. A Background check for this purpose has additional dissemination rules. Review the Housing Authority background check section of the ACCESS Manual prior to use and dissemination.

(2) J

(3) F

(4) H

f. Each agency will include the following information in a criminal history inquiry: (1) The Attention Field (ATN) must contain the following: (a) First initial and last name or unique identifier of the requestor that does not change throughout their career, like a personnel number. (b) Specific criminal justice reason 1. Good reasons: Theft, drugs, homicide, criminal justice applicant, case number 2. Bad reasons: investigation, criminal history, employment 3. If your agency chooses to use abbreviated reasons, they must be approved by your TAC and a list be made available during the ACCESS audit 4. Examples: ATN/J Smith 10-89745 ATN/B145 Burglary 5. The proper purpose code. Ensure you are using the proper purpose code for all inquiries. If you are uncertain, you may refer to the ACCESS Manual.
ACCESS Manual Revised 08/2011 Chapter #3-5

Chapter 3

Criminal History

7. Each agency will store all criminal history rapsheet information in secure case files or dispose of all rapsheet documents via shredding. 8. Each agency will accompany contracted personnel to the shredding truck and stand by while all sensitive paperwork is destroyed. OR 9. Each agency must maintain a current Security Addendum and verified fingerprint background checks for all contracted personnel that access agency facilities to remove sensitive paperwork (such as rapsheets) for shredding purposes. 10. All agency personnel must be apprised that criminal history data may only be used in the administration of criminal justice. It is strictly protected by state and federal law.

ACCESS Manual Revised 08/2011

Chapter #3-6

Chapter 3

Criminal History

CHAPTER 03: ACCESS Manual Criminal History SECTION 02: System Description Procedure #: 03.02.000 Special Order: Supersedes: ACCESS Manual 2003 Edition Applies to: ACCESS Users I. DEFINITIONS A. System Overview 1. Records available through the NCIC 2000 III are provided by WASIS, the FBI and participating state agencies. B. Records Provided by WASIS 1. WASIS is a computerized criminal history file of persons with a record in Washington State. The files are based on fingerprint cards that have been submitted to the Criminal Records Division (CRD). These records include criminal history on convicted criminals, persons who have been arrested but not charged with a crime, as well as personnel fingerprinted as a result of employment with a law enforcement agency. C. Records Provided by the FBI 1. The FBI provides the criminal history records for persons arrested by a federal agency, arrest data from states not currently participating in the NCIC 2000 III program, and arrest data that NCIC 2000 III participating states are unable to provide. Record responses from the FBI are furnished via NCIC 2000 lines. D. Records Provided by Participating States 1. A participating state file is a criminal history record system maintained by a designated agency in a state. A state referred to as a NCIC 2000 III participant provides records from its file upon receipt of notification from NCIC 2000 III. For a state to be an NCIC 2000 III participant, it must meet the minimum standards for participation.
ACCESS Manual Revised 08/2011 Chapter #3-7

Effective Date: March 30, 2006 See Also: CALEA:

Chapter 3

Criminal History

2. An authorized criminal justice agency can make an inquiry (QH) based on name and numeric identifiers (date of birth, social security number, etc.) to determine the existence of a criminal record matching the inquiry. A positive criminal history response contains additional identifying data to associate the record with the person of the inquiry (height, weight, race, fingerprint and/or pattern classification, tattoos, etc.). The response also identifies the database(s) maintaining the criminal history information. With this information, the agency can decide whether to conduct a record request (QR). 3. The III and WASIS provide a method for requesting a criminal history record once a person has been associated with an III record, or when the person has been positively identified with a prior record through fingerprint comparison at the local or state level. Requests made on-line via III result in automatic notification to the record holder(s) with sufficient information enabling the holder(s) to respond. If the record is maintained only by the FBI, it will be automatically returned on-line via NCIC 2000. If the record is maintained by one or more states participating in the III record exchange, the state(s) will respond via the National Law Enforcement Telecommunications System, Inc. (NLETS). When the record is on file in a participating state(s) and the federal offender and/or nonparticipating state data are on file at the FBI, the requester will receive multiple on-line responses (i.e., the FBI will furnish the federal and/or nonparticipating state data and the participating state[s] will furnish its data). 4. The Privacy Act of 1974 requires the FBI to maintain an audit trail of the purpose of each disclosure of a criminal history record and the recipient of that record. Therefore, inquiries and record requests transmitted to III must include the purpose for which the information is to be used. The purposes for which certain agencies may use III and the appropriate codes for use are the following:
PUR Code C J F H Description Forward to NCIC Yes Yes Yes Yes Conviction (C) or Non-Conviction (NC) Rapsheet C and NC C and NC C and NC C and NC

Criminal justice inquiries Criminal justice agency employment Weapons release Housing Authority (Use with Housing Authority ORI only)

ACCESS Manual Revised 08/2011

Chapter #3-8

Chapter 3

Criminal History

E. Individual Access, Review, and Challenge 1. In WASIS/WACIC a. Any individual has the right to inspect criminal history record information (CHRI) or dependency record information on file with CRD that refers to him/her. If the individual believes such information to be inaccurate or incomplete, he/she may request CRD to purge, modify, or supplement it and to advise such persons or agencies who have received his/her record and whom the individual designates to modify it accordingly. If CRD declines to act, the individual may appeal such decision to (1) the superior court in the county of residence; (2) the county from which the disputed record emanated; or, (3) Thurston County. b. The individual desiring to inspect his/her own CHRI may do so by appearing at CRD during normal business hours and completing the request form. The individual shall permit his/her fingerprints to be taken by CRD for identification purposes, if requested to do so. CRD, in its discretion, may accept other identification in lieu of fingerprints.

c. If the individual desiring to inspect CHRI appears at a local criminal justice agency, the agency may forward the request to CRD for processing. The request is to be submitted on a fingerprint applicant card, with the local agencys NCIC originating agency identifier (ORI number), indicating reason fingerprinted as RECORD REVIEW/CHALLENGE. There is no fee for this request. CRD will provide a transcript of all state CHRI relating to the individual requester to the criminal justice agency submitting the request. Upon receipt, the agency shall notify the individual requester that the CHRI is available for inspection during normal business hours. d. A reasonable period of time, not to exceed 30 minutes, shall be allowed each individual to examine his/her state CHRI. Retention or reproduction of the CHRI is not allowed unless for the purpose of challenge or correction of entries submitted by criminal justice agencies of the state of Washington. Visual examination only shall be permitted of the CHRI, unless the individual asserts his/her belief that the information is inaccurate, incomplete, or in violation of the law and unless he/she requests correction or completion of the information on a form supplied by CRD or requests expungement of the information. e. If any person who desires to examine his/her CHRI is unable to read or is otherwise unable to examine the information because of a physical disability, he/she may designate another person of his/her own choice to
ACCESS Manual Revised 08/2011 Chapter #3-9

Chapter 3

Criminal History

assist. The person about whom the CHRI pertains shall execute, with his/her mark, the form provided by the section, consenting to the inspection of the CHRI by another person for the purpose of it being read or otherwise described to him/her. Such designated person shall then be permitted to read or otherwise describe or translate the CHRI to the person about whom it pertains. 2. In NCIC a. If an individual has a criminal record maintained by the FBI and that record has been entered in the NCIC 2000 III, it is available to that individual for review upon presentation of appropriate identification and in accordance with applicable state and federal administrative and statutory regulations. b. The remote accessing of NCIC 2000 III for individual access and review is not allowed since states desire to follow individual state dissemination procedures for this purpose. c. To obtain information concerning his/her record, the subject of a record indexed in NCIC 2000 III may submit a written request directly to: Attention: Special Correspondence Unit, Module D-2 CJIS Division Federal Bureau of Investigation 1000 Custer Hollow Road Clarksburg, West Virginia 26306-0171 d. A set of rolled, inked fingerprint impressions, name, and date and place of birth must accompany the request. Appropriate identification ensures that he/she is the individual that he/she purports to be. The record on file will then be verified as his/hers through the comparison of fingerprints. The FBI will provide a copy of the Index record and the Federal Offender File (FOF) record, if such exists. If the record is indexed for a state(s), the FBI will provide the name and address of the appropriate state agency(s) to contact. When a record is indexed for a federal agency, the requester will be advised to comply with the procedures and fee provisions set forth in Attorney General Order 556-73. e. Should an individual desire to challenge the accuracy or completeness of any of the information received from the FBI, he/she may direct application for correction or updating to the agency that contributed the questioned information or to the Director of the FBI. The FBI will forward the challenge to the agency that submitted the data, requesting that the agency verify or correct the challenged entry. Upon receipt of official communication from the agency that contributed the original information,
ACCESS Manual Revised 08/2011 Chapter #3-10

Chapter 3

Criminal History

the FBI will make any necessary changes in accordance with the information supplied by that agency.

ACCESS Manual Revised 08/2011

Chapter #3-11

Chapter 3

Criminal History

CHAPTER 03: ACCESS Manual Criminal History SECTION 03: Fields and Edits Procedure #: 03.03.000 Special Order: Supersedes: ACCESS Manual 2003 Edition Applies to: ACCESS Users I. DEFINITIONS A. Message Keys 1. Below are the types of transactions available to all NCIC 2000 III and WASIS users. The following is an explanation of the five transactions available to all users. MKE QH QR Message Inquiry to determine the existence of an Index record. Request for a criminal history record from the FBI and/or the participating state(s) maintaining such record. Inquiry will search WASIS and NCIC 2000 III for criminal history information and WACIC and NCIC for hot file information. This inquiry performs the functions of both the QH criminal history inquiry and the QW wanted person inquiry. Inquiry by SID number will return name, date of birth, aliases, and other descriptive information only. Inquiry to determine if an FBI Number (FBI) or State Identification Number (SID) is indexed in the NCIC 2000 III. This inquiry accesses the NCIC III only, WASIS is not accessed. Effective Date: March 30, 2006 See Also: CALEA:

QWH

QI

ZR

ACCESS Manual Revised 08/2011

Chapter #3-12

Chapter 3

Criminal History

2. The QH response will provide an Index to either a single NCIC 2000 III record subject or multiple NCIC 2000 III record subjects matching the inquiry. Based on the response(s), the user will determine if the record subject matches the person who is the subject of the inquiry. 3. The NCIC 2000 III QH response will include information regarding where the record is maintained (individual state files and/or the FBI) and should be used as a table of contents to be attached on the top of the criminal history record(s) received (via a QR) so the user will know when the complete record is received. Without this, one states response may be considered inadvertently as a complete criminal history record. The WASIS response will provide the SID number and physical descriptors or zero hits found message. 4. A QR message is used for obtaining a specific criminal history record via the NCIC 2000 III and WASIS. Only the FBI Number or SID can be used to identify the record being requested. In either event, the criminal history inquiry will automatically generate notification to every database identified in the NCIC 2000 III record so that the most complete record possible will be requested. If the inquiring agency desires only a portion of the record or wishes to obtain the record by means other than the NCIC 2000 III (NLETS, mail, telephone, etc.), it may do so by using the identifiers from the NCIC 2000 III and WASIS QH response. The NCIC 2000 III does not provide a means whereby only a portion of a record can be requested. B. NCIC 2000 III and WASIS Message Format Requirements 1. Formats for NCIC 2000 III and WASIS messages have three basic requirements: a. When a message field code (MFC) is used, it must be followed by a slash (/). b. A period must be used to end each field of data in the message except the last field. c. Since the period is used as a field delimiter, it must never be used within a field of data.

ACCESS Manual Revised 08/2011

Chapter #3-13

Chapter 3

Criminal History

C. Fields and Edits 1. The field edit specifications presented in this subsection pertain to data fields used for criminal history inquiry and record messages. Additional field edits unique to a certain type of message are listed in the appropriate section. The following specifications apply to all III inquiries: Code ADR Field Street Address or Post Office Box Attention Building City and State Edits Free text.

ATN BLD CIS

Free text. Free text. Must include a comma between the city and state. At least one alphabetic character must precede the comma; an additional two alphabetic characters must follow the comma. Must be a valid Gregorian date (YYYYMMDD), between 1901 and the current year. Free text.

DOB

Date of Birth

DPT

Department or Agency name FBI Number

FBI

May be one to nine alphanumeric characters. May be up to seven numerics; or one to six numerics followed by an alphabetic character A through H; or one to six numerics followed by an alphabetic character J through Z, followed by one or two check digits; or one to six numerics followed by two alphabetics followed by one check digit. If the number contains one alphabetic character (J-Z), the check digit(s) will be 1 to 11 characters, the first cannot be B,G, I, O, Q, S, U, Y, or

ACCESS Manual Revised 08/2011

Chapter #3-14

Chapter 3

Criminal History

Code

Field

Edits Z; the second must be A, B, or C; and, the check digit will be 0 to 9. The alphabetic characters I and O are always invalid.

MNU

Miscellaneous Number

The first two characters must be alphanumeric and a valid NCIC 2000-assigned code as listed in Personal Descriptors, NCIC 2000 Code Manual. The third character must be a hyphen. The name may include alphabetics, numerics, a comma, hyphens, or spaces. The comma must follow the last name and one space may follow the comma. A hyphen cannot be in the first position or directly precede the comma. Must be a valid NCIC 2000- or ACCESS- assigned ORI.

NAM

Name

ORI

Originating Agency Identifier Purpose

PUR

The Purpose Code Field must contain a valid purpose code. Must be a valid NCIC 2000 assigned code. Must be F, M, or U. Maximum 10 characters. First two characters Identification will always be the two-letter state code that issued the number or holds the record. Must be a nine-digit numeric combination, except 123456789, 000000000, or 999999999. Must be five or nine numeric characters.

RAC

Race

SEX SID

Sex State

SOC

Social Security Number ZIP Code

ZIP

ACCESS Manual Revised 08/2011

Chapter #3-15

Chapter 3

Criminal History

CHAPTER 03: ACCESS Manual Criminal History SECTION 04: Inquiry Procedure #: 03.04.000 Special Order: Supersedes: ACCESS Manual 2003 Edition Applies to: ACCESS Users I. DEFINITIONS A. Inquiry 1. A criminal history inquiry message (QH) provides the capability to search NCIC 2000 III and WASIS using an individuals personal identifiers, assigned SID, or assigned FBI Number. The QH is used to determine if an index to a persons criminal history record is in the NCIC 2000 III and/or WASIS. A positive QH response will inform the inquirer how many record responses to expect if the QR message is used to request the specific criminal history record. The NCIC 2000 III QH response should be used as a table of contents to be attached on the top of a criminal history record(s) received later, so the requester will know when the complete record is received. Also, the QH response provides additional identifiers (aliases, additional dates of birth, etc.) which may not be included on the actual criminal history record response(s). 1. In response to a QH inquiry, the NCIC 2000 III will provide one of the following: a. An index for a single matching NCIC 2000 III record response. b. Index records for multiple matching NCIC 2000 III responses (up to a maximum of 15 subjects) and a caveat containing FBI numbers of additional subjects. Effective Date: March 30, 2006 See Also: CALEA:

ACCESS Manual Revised 08/2011

Chapter #3-16

Chapter 3

Criminal History

2. In response to a QH inquiry, WASIS will provide one of the following: a. An index for a single matching WASIS record response. b. Index records for multiple matching WASIS responses up to a maximum of 25 subjects. c. A No Record response. 3. The NCIC 2000 III NO RECORD response does not necessarily mean there is absolutely no criminal history record on the individual. Records for all offenders known to the FBI with a year of birth of 1956 or later, or arrested for the first time and reported to the FBI since July 1, 1974, and numerous older records are indexed in NCIC 2000 III. If a NO RECORD response is received, a fingerprint submission containing the persons rolled, inked fingerprints should be mailed or electronically transmitted to the FBI. In addition, there may be records at the local or state level for which arrest fingerprints are not on file with the FBI. 4. The positive QH response from NCIC 2000 III provides the requester with five types of information. a. The individuals name(s), physical descriptors, and numerical identifiers. b. The location of the database(s) maintaining the criminal history record information. c. The means to be used for obtaining the record(s). d. Registered sex offender notice when applicable. For example:

****NOTICE**** SUBJECT OF RECORD IS A REGISTERED SEX OFFENDER

ACCESS Manual Revised 08/2011

Chapter #3-17

Chapter 3

Criminal History

5. The positive QH response from WASIS provides the requestor with two types of information. a. The individuals name(s), physical descriptors, and numerical identifiers. b. The SID to be used for obtaining the record. 6. Here is an example of a QH inquiry: W;QH.your ORI. ATN/J LAW.NAM/SAMPLE, JOHN.SEX/M. RAC/W.DOB/19561125.PUR/C(Send) B. Message Fields for QH Inquiry
FIELD NAME HEADER REQUIREMENTS MANDATORY MESSAGE FIELD CODE HDR FIELD LENGTH 9-19 DATA TYPE ALPHABETIC, NUMERIC, SPECIAL CHARACTERS ALPHABETIC APPHABETIC, NUMERIC

MESSAGE KEY ORIGINATING AGENCY IDENTIFIER NAME DATE OF BIRTH SEX RACE SOCIAL SECURITY NUMBER MISCELLANEOUS NUMBER STATE IDENTIFICATION NUMBER FBI NUMBER PURPOSE CODE ATTENTION EXPANDED NAME SEARCH

MANDATORY MANDATORY

MKE ORI

2-2 9-9

*CONDITIONAL CONDITIONAL CONDITIONAL CONDITIONAL CONDITIONAL CONDITIONAL CONDITIONAL

NAM DOB SEX RAC SOC MNU SID

3-30 8-8 1-1 1-1 9-9 4-15 3-10

ALPHABETIC, NUMERIC, SPECIAL CHARACTERS NUMERIC ALPHABETIC ALPHABETIC NUMERIC ALPHABETIC, NUMERIC, SPECIAL CHARACTERS ALPHABETIC, NUMERIC

CONDITIONAL MANDATORY MANDATORY OPTIONAL

FBI PUR ATN ENS

1-9 1-1 3-30 1

ALPHABETIC, NUMERIC ALPHABETIC ALPHABETIC, NUMERIC, SPECIAL CHARACTERS Y FOR YES OR LEAVE BLANK

1. An inquiry can only be conducted if other conditional fields are included; i.e. NAM and DOB.

ACCESS Manual Revised 08/2011

Chapter #3-18

Chapter 3

Criminal History

II. PROCEDURE A. Requirements for QH Inquiry 1. The criminal history inquiry must contain the following: HDR, MKE,ORI, PUR, and the following groups of search fields: a. NAM, SEX, RAC, and DOB; b. NAM, SEX, RAC, DOB, and social security number (SOC); c. NAM, SEX, RAC, DOB, and Miscellaneous Number (MNU); d. NAM and SOC; e. NAM and MNU; f. SID or NAM and SID*; g. FBI or NAM and FBI*. 2. Each search field must be preceded by a message field code. 3. If known, the SID or FBI Number should be used as the search field. This will provide an exact hit and eliminate the possibility of multiple responses. B. QH Search and Match Criteria 1. Name (NAM) a. WASIS (1) The system phonetically converts all components (first, middle and last name) of the query name. A weighted score, based on the NCIC Soundex system, is assigned to each component based on whether there is an exact or phonetic match. Since all components of the name are scored, it is beneficial to include as much of the name as possible in the query. (2) A sum of the name score and date of birth score is calculated. The top thirty candidates are returned with the highest-scored candidates appearing first. Near matches are returned in an abbreviated format containing all necessary identifiers for subsequent searches.

ACCESS Manual Revised 08/2011

Chapter #3-19

Chapter 3

Criminal History

(3) In addition to these weighting factors used to narrow the search, other benefits of the name search routine are: (a) First and middle names are reversed and used in the search. (b) Common nicknames are converted to full names that are then searched. (c) Components of hyphenated last names are reversed and searched. Also, each component of hyphenated last names is used in the search. b. NCIC (1) A name included in a QH inquiry is compared for matching purposes against both the master name(s) and aliases included in the III. It is important that inquiries contain last name, first name, and middle name or initial when available. The first initial should be used only if the person does not have a given first name. In these cases, a positive response would result since the record on file would contain the first initial in lieu of the first name. (2) QH inquiries containing NAM and SOC, NAM and MNU, NAM and FBI, or NAM and SID will be searched on SOC, MNU, FBI, or SID only. The inclusion of NAM with FBI or SID is optional. (3) JANE DOE or JOHN DOE should not be used when the subject name is unknown. The III does not search these names and a NO RECORD response will be transmitted. (4) In the event an individual has a single name as his/her entire name, the name in the inquiry must be entered with the single name as the last name, comma, and XX as the first name. The III will search and match the records of persons using this same name at the time of arrest. (5) Generally, names in the III will be computer-coded according to a phonetic technique that treats all vowels equally and eliminates double consonants. Various other changes are made to letter combinations (e.g., if the first letters of the surname are PF, they are changed to FF; SCH is changed to SSS).

ACCESS Manual Revised 08/2011

Chapter #3-20

Chapter 3

Criminal History

(6) Surnames are grouped according to the resulting phonetic code beginning with the first character of the coded name. Depending on the length of the name, additional characters may be included. A phonetically coded surname may contain a maximum of six characters. (7) First names are grouped in a similar manner in the first name group codes. If the surname and first name group code is a common code (appears frequently, e.g., John Smith), the middle initial is added to the name code. Therefore, a full phonetically coded name may contain 11 characters. (8) Compound surnames such as SAENZ-PARADA-LOPEZ will be coded as SAENZPARADALOPEZ, SAENZ, PARADA, and LOPEZ so that an inquiry by any one of the possible surnames will be matched against the compound name. 2. SEX (SEX) a. WASIS (1) If search SEX is M and the candidate has a base record or alias SEX of F and does not have a base record or alias SEX of M, then the candidate shall not be returned from the CCH name search regardless of its score. If search SEX is F and the candidate has a base record or alias SEX of M and does not have a base record or alias SEX of F, then the candidate shall not be returned from the CCH name search regardless of its score. b. NCIC (1) SEX must be an exact match. An inquiry with M(male) in the SEX Field will match only III records of males, and inquiries with F (female) in the SEX Field will match only III records of females. An inquiry with U (unknown) will match III records of males and females. 3. Race (RAC) Code A Race Asian or Pacific Islander a person having origins in any of the original peoples of the Far East, Southeast Asia, the Indian subcontinent, or the Pacific Islands. Black a person having origins in any of the black racial groups of Africa.
Chapter #3-21

B
ACCESS Manual Revised 08/2011

Chapter 3

Criminal History

American Indian or Alaskan Native a person having origins in any of the original peoples of North America and maintaining cultural identification through tribal affiliations or community recognition. Unknown. White a person having origins in any of the original peoples of Europe, North Africa, or the Middle East.

U W

a. WASIS (1) If search RAC is W and the candidate has a base record or alias RAC of B and does not have a base record or alias RAC of W, then the candidate shall not be returned from the CCH name search regardless of its score. If search RAC is B and the candidate has a base record or alias RAC of W and does not have a base or alias RAC of B, then the candidate shall not be returned from the CCH name search regardless of its score. b. NCIC III (1) Race specified in an inquiry will search records containing any of the race codes. A matching record(s) will be provided regardless of race code provided the name and date of birth score sufficiently high. 4. Date of Birth (DOB) c. WASIS (1) A weighted score is also applied to the components (month, day, and year) of the query date of birth. (2) Any matched record with date of birth falling outside of plus or minus five years from the query date of birth will not be included in the candidate list. Exact matches result in a full record response.

ACCESS Manual Revised 08/2011

Chapter #3-22

Chapter 3

Criminal History

d. NCIC (1) When a complete date of birth is used in an inquiry, the search will provide records that score sufficiently high based on matching: (a) Name, sex, race; (b) The same complete date of birth; and (c) The same month and day of birth, and plus or minus three years from the year of birth. (d) An inquiry that contains an incomplete date of birth (e.g., 19600000, 19601200) will be rejected. C. Example of a QH Inquiry Negative Response W;QH.WA0000000.ATN/JOHN LAW.NAM/SAMPLE, MICHAEL.SEX/M. RAC/W.DOB/19561025.PUR/C (Send) 1. WASIS ATN/JOHN LAW BASED ON DESCRIPTORS PROVIDED ABOVE WASIS RESULTED IN THE FOLLOWING: SEARCH USING NAM/SAMPLE, MICHAEL DOB/19561025 RAC/W SEX/M ZERO HITS FOUND END OF SEARCH RESULT 2. NCIC III
WA0000000 NO IDENTIFIABLE RECORD IN THE INTERSTATE IDENTIFICATION INDEX(III) FOR NAM/SAMPLE, MICHAEL.SEX/M.RAC/W. DOB/19561025.PUR/C NOTICE - - THIS DOES NOT PRECLUDE THE POSSIBLE EXISTENCE OF MATCHING RECORDS IN LOCAL, STATE, OR FBI CJIS DIVISION FILES THAT ARE NOT INDEXED IN THE III. IF YOU DESIRE A SEARCH OF THE FBI CJIS DIVISION FILES, A FINGERPRINT CARD SHOULD BE SUBMITTED. END

ACCESS Manual Revised 08/2011

Chapter #3-23

Chapter 3

Criminal History

D. Example QH Inquiries with Positive Responses 1. Example of QH Inquiry with a Single Matching Record Response: a. WASIS
WWCIC TIME: 1330 DATE: 080206 TO: SP8H QH.WAWSP0007.ATN/H ANDERSON.NAM/WASHINGTON,IIITEST.SEX/M.RAC/W.DOB/19500101.PUR/C ATN/H ANDERSON BASED ON DESCRIPTORS PROVIDED ABOVE WASIS RESULTED IN THE FOLLOWING: SEARCH USING NAM/WASHINGTON,IIITEST DOB/19500101 RAC/W SEX/M SID NO NAME WA10150089 WASHINGTON,IIITEST DOB 01/01/1950 S R HT WT EYE M W 510 210 BRO SOC

E. Example of QH Inquiry with a Multiple Matching Record Response: 1. WASIS

QH.WA0000000.ATN/JOHNLAW.NAM/SAMPLE,JOHN.SEX/M.RAC/W.DOB/19561025. PUR/C BASED ON THE DESCRIPTORS PROVIDED ABOVE WASIS RESULTED IN THE FOLLOWING: SEARCH USING NAM/SAMPLE, JOHN DOB/19561025 RAC/W SEX/M SID NO WA12345678 WA23456789 NAME DOB *SAMPLE, JOHN PATRICK SAMPLE, JAMES S R HT WT EYE SOC 1956/12/15 M W 601 189 BLU 1956/10/25 M W 601 189 BLU

* indicates an alias record

2. NCIC III
NCIC TIME: 1331 DATE: 080206 TO: SP8H WAWSP0007 THIS NCIC INTERSTATE IDENTIFICATION INDEX RESPONSE IS THE RESULT OF YOUR INQUIRY ON NAM/WASHINGTON,IIITEST SEX/M RAC/W DOB/19500101 PUR/C NAME FBI NO. INQUIRY DATE WASHINGTON,IIITEST S 9028000 2006/08/02 SEX RACE BIRTH DATE HEIGHT WEIGHT EYES HAIR M W 1950/01/01 510 200 BRO BRO BIRTH PLACE WASHINGTON STATE PHOTO N

ACCESS Manual Revised 08/2011

Chapter #3-24

Chapter 3

Criminal History

FINGERPRINT CLASS PO PM AA 12 PO AA PM AA PO PM ALIAS NAMES WASHINGTON,IIITEST OTHER SCARS-MARKSBIRTH DATES TATTOOS 1947/01/15 MISS R EAR SC R EAR SOCIAL SECURITY 123-45-6767

IDENTIFICATION DATA UPDATED 2005/06/06 THE CRIMINAL HISTORY RECORD IS MAINTAINED AND AVAILABLE FROM THE FOLLOWING: WASHINGTON STA - STATE ID/WA10150089 THE RECORD(S) CAN BE OBTAINED THROUGH THE INTERSTATE IDENTIFICATION INDEX BY USING THE APPROPRIATE NCIC TRANSACTION. END

F. QH Inquiry Response Clarifications 1. The fingerprint class in the NCIC III response is furnished on two lines. The first line represents the fingerprint classification of the right hand; the second line represents the left hand. The pattern class is furnished on two or three lines representing the electronic classification for each finger. 2. Identification data updated in the NCIC III response provides the date of the latest addition, modification, or cancellation of data contained in the FBI record. 3. In NCIC III, the word DECEASED will appear in conjunction with a participating state SID when the record is multi-source and one of the states has received information that the individual is dead. 4. When a QH inquiry includes a SOC that contains an 8 or 9 in the first position and/or 00 in the fourth and fifth positions, a warning caveat will be appended to the QH response from NCIC III, immediately preceding the word END as shown below:
ATTENTION - - THE SOC USED IN YOUR TRANSACTION HAS NOT BEEN ASSIGNED BY THE SOCIAL SECURITY ADMINISTRATION. PLEASE CHECK FOR A DATA ENTRY ERROR IN YOUR QUERY AND RESUBMIT IF NECESSARY. END
ACCESS Manual Revised 08/2011 Chapter #3-25

Chapter 3

Criminal History

5. In a NCIC III multiple-record response, the end of the first record furnished is identified by END 1ST NCIC III RECORD OF MULTIPLE RESPONSE. The subsequent records will be numbered consecutively except for the final record which will be identified with END LAST NCIC III RECORD OF MULTIPLE RESPONSE. When the number of matching records exceeds 15, the last record furnished will be identified with END 15TH NCIC III RECORD OF MULTIPLE RESPONSE. The FBI number of the additional matching records will be provided in a caveat. For example:
END 15TH NCIC III RECORD OF MULTIPLE RESPONSE. THE RECORD(S) CAN BE OBTAINED THROUGH THE INTERSTATE IDENTIFICATION INDEX BY USING THE APPROPRIATE NCIC TRANSACTION. NOTICE: AS A RESULT OF YOUR INQUIRY, THE III PROVIDED A MAXIMUM OF 15 MATCHING RECORDS. TO OBTAIN ADDITIONAL MATCHING RECORD(S) USE A SEPARATE III INQUIRY(S) CONTAINING THE FOLLOWING FBI NUMBERS: 1234561, 1234562, 1234563 END

6. The examples in this section include a complete first name. If an inquiry is made using only the first initial of the first name, the following caveat would appear immediately preceding the word END in and NCIC response:
ATTENTION - - YOUR INQUIRY CONTAINED ONLY THE FIRST INITIAL OF FIRST NAME. A MORE COMPREHENSIVE RECORD SEARCH MAY BE POSSIBLE IF YOUR INQUIRY IS RESUBMITTED WITH COMPLETE NAME.

ACCESS Manual Revised 08/2011

Chapter #3-26

Chapter 3

Criminal History

CHAPTER 03: ACCESS Manual Criminal History SECTION 05: QR Records Requests Procedure #: 03.05.000 Special Order: Supersedes: ACCESS Manual 2003 Edition Applies to: ACCESS Users I. PROCEDURE A. QR Record Request 1. In order to obtain a specific criminal history record via the NCIC 2000 III or WASIS, a criminal history record request (QR) transaction containing either the FBI or SID must be used. The FBI or SID used in the record request may be obtained from the NCIC 2000 III or WASIS response to a QH inquiry or from other sources available to the inquiring agency (e.g., local investigative file). 2. Upon receipt and processing of a QR message, the NCIC 2000 III and WASIS will respond to the requesting agency with either a positive response or a negative response (record may exist but is not indexed in NCIC 2000 III or WASIS). The positive response will advise the requester which databases contain the requested criminal history record. 3. Based on a positive response from the criminal history inquiry, database(s) maintaining criminal history information will provide records as follows: a. A record provided by one or more state agencies participating in the NCIC 2000 III, will be transmitted via NLETS either immediately or an acknowledgment will be sent with a notice of when the record will be provided. Each state provides records via the NCIC 2000 III in the format that is used within the state. Should a user receive a state record that needs clarification, the state Criminal History HELP Files (SIR) available via NLETS include a state contact who can answer questions regarding that state record. b. A record to be provided by the FBI will be automatically returned on-line via NCIC 2000 III.
ACCESS Manual Revised 08/2011 Chapter #3-27

Effective Date: March 30, 2006 See Also: CALEA:

Chapter 3

Criminal History

c. A record to be provided by WASIS will be automatically returned on-line. B. Example of a QR Request W;QR.WA023035C.SID/WA9999996.PUR/C.ATN/A JOHNSON(Send) C. Message Field Codes for the QR Request
Data Element MKE ORI SID FBI PUR DPT BLD ADR CIS ZIP ATN Mandatory REQUIRED REQUIRED CONDITIONAL CONDITIONAL REQUIRED CONDITIONAL OPTIONAL CONDITIONAL CONDITIONAL CONDITIONAL REQUIRED

1. Conditional Fields a. Either the FBI number or the SID number must be used. b. If the department and address are used, all four fields (DPT, ADR, CIS, and ZIP) must be used. c. The BLD field is optional. D. Requirements for the QR Request 1. The record request must contain the following: ORI, FBI or SID, PUR, and ATN. The inquiry will search WASIS and NCIC 2000 III and return the criminal history record for the subject based on the FBI or SID and purpose code used.

ACCESS Manual Revised 08/2011

Chapter #3-28

Chapter 3

Criminal History

E. WASIS Response to a QR Inquiry

WWCIC TIME: 1320 DATE: 080206 TO: SP8H PAGE 1 QR.WAWSP0007.SID/WA10150089.PUR/C.ATN/H ANDERSON ATN/H ANDERSON WASHINGTON STATE CRIMINAL HISTORY RECORD FOR SID/WA10150089 WASHINGTON STATE PATROL IDENTIFICATION AND CRIMINAL HISTORY SECTION P.O. BOX 42633 OLYMPIA, WASHINGTON 98504-2633 ***************************************************************************** NOTICE THE FOLLOWING TRANSCRIPT OF RECORD IS FURNISHED FOR OFFICIAL USE ONLY. SECONDARY DISSEMINATION OF THIS CRIMINAL HISTORY RECORD INFORMATION IS PROHIBITED UNLESS IN COMPLIANCE WITH THE WASHINGTON STATE CRIMINAL RECORDS PRIVACY ACT, CHAPTER 10.97 RCW. POSITIVE IDENTIFICATION CAN ONLY BE BASED UPON FINGERPRINT COMPARISON. BECAUSE ADDITIONS OR DELETIONS MAY BE MADE AT ANY TIME, A NEW COPY SHOULD BE REQUESTED FOR SUBSEQUENT USE. WHEN EXPLANATION OF A CHARGE OR DISPOSITION IS NEEDED, COMMUNICATE DIRECTLY WITH THE AGENCY THAT SUPPLIED THE INFORMATION TO THE WASHINGTON STATE PATROL. ***************************************************************************** SID NUMBER WA10150089 NAME WASHINGTON,IIITEST FBI NUMBER 9028000 DOC NUMBER

============================================================================= PERSON INFORMATION ============================================================================= SEX RACE HEIGHT WEIGHT EYES HAIR PLACE OF BIRTH CITIZENSHIP M W 510 210 BRO BRO WA NAMES USED WASHINGTON,CHARLES WASHINGTON,HENRY WASHINGTON,TESTIII DATES OF BIRTH 01/01/1950 01/01/1946 01/15/1947 01/01/1945 SOC SEC NUMBER 111-22-3333 123-45-6767 444-55-6666 MISC NUMBER

DNA TAKEN: N DNA TYPED: N COMMENTS: THIS IS AN NCIC/III TEST RECORD ============================================================================= SCARS, MARKS, TATTOOS, AMPUTATIONS ============================================================================= LOCATION DESCRIPTION LOCATION DESCRIPTION SC L ARM SC R EAR ACCESS Manual Revised 08/2011 Chapter #4-29

Chapter 3

Criminal History

============================================================================= CONVICTION AND/OR ADVERSE FINDING SUMMARY ============================================================================= 1 FELONY(S) DISPOSITION DATE ASSAULT 1 FELONY 08/01/1995 2 GROSS MISDEMEANOR(S) DRIVING UNDER THE INFLUENCE 12/01/1993 DRIVING WHILE UNDER THE INFLUENCE 12/01/1993 0 MISDEMEANOR(S) 0 CLASSIFICATION(S) UNKNOWN ============================================================================= == SEX/KIDNAPPING OFFENDER REGISTRATION ============================================================================= == PROJECTED END REG DATE: 01/01/2099 DOC BULLETIN AVAILABLE: N EVENTS TYPE: RELIEVED OF DUTY TO REGISTER NAME USED: WASHINGTON,IIITEST DATE: 05/31/2001 CONTRIBUTING AGENCY: WAKCS0000 KING COUNTY SHERIFFS OFFICE LOCAL CLASSIFICATION: UNKNOWN LOCAL ID: 150089 | ADDRESS | REGISTRATION ADDRESS: | STREET #: 1 | ST NAME: TULIP | CITY: EVERETT | STATE: WA | ZIP CODE: 99999 | DATE SUBMITTED: 05/05/2001 | PHONE: 000 000-0000 TYPE: SEX/KIDNAPPING OFFENDER REGISTRATION | NAME USED: WASHINGTON,IIITEST | REGISTRATION ADDRESS: DATE: 05/05/2001 | STREET #: 10 CONTRIBUTING AGENCY: WA0310000 | ST NAME: SNOWDRIFT SNOHOMISH COUNTY SHERIFF | CITY: GRIZZLEY LOCAL CLASSIFICATION: UNKNOWN | STATE: AK CONVICTION:00612 - KIDNAPPING 1 | ZIP CODE: 99999 LOCAL ID: 123456 | DATE SUBMITTED: 04/02/2001 COMMENT: ATTEMPTED | PHONE: 000 000-0000 | TYPE: RELEASED TO FEDERAL AUTHORITY | REGISTRATION ADDRESS: NAME USED: WASHINGTON,IIITEST | STREET #: 1 DATE: 05/05/2001 | ST NAME: 1 FRENCH FRY CONTRIBUTING AGENCY: WA0310000 | CITY: GREASY SPOON SNOHOMISH COUNTY SHERIFF | STATE: WA LOCAL CLASSIFICATION: UNKNOWN | ZIP CODE: 98806 LOCAL ID: | DATE SUBMITTED: 03/03/2001 | PHONE: 000 000-0000 TYPE: MOVED OUT OF STATE | NAME USED: WASHINGTON,IIITEST | DATE: 04/05/2001 | CONTRIBUTING AGENCY: WAKCS0000 | KING COUNTY SHERIFFS OFFICE | LOCAL CLASSIFICATION: UNKNOWN | ACCESS Manual Revised 08/2011 Chapter #3-30

Chapter 3

Criminal History

| | TYPE: MOVED OUT OF STATE | NAME USED: WASHINGTON,IIITEST | DATE: 04/04/2001 | CONTRIBUTING AGENCY: WAKCS0000 | KING COUNTY SHERIFFS OFFICE | LOCAL CLASSIFICATION: UNKNOWN | LOCAL ID: | COMMENT: ALASKA | | ============================================================================= NO KNOWN APPLICANT DETAILS ============================================================================= ============================================================================= CRIMINAL HISTORY INFORMATION ============================================================================= THE ARRESTS LISTED MAY HAVE BEEN BASED ON PROBABLE CAUSE AT THE TIME OF ARREST OR ON A WARRANT. PROBABLE CAUSE ARRESTS MAY OR MAY NOT RESULT IN THE FILING OF CHARGES. CONTACT THE ARRESTING AGENCY FOR INFORMATION ON THE FORMAL CHARGES AND/OR DISPOSITIONS. ----------------------------------------------------------------------------ARREST 1 DATE OF ARREST: 01/17/1993 ----------------------------------------------------------------------------NAME USED: WASHINGTON,IIITEST CONTRIBUTING AGENCY: WAWSP0000 WASHINGTON STATE CONTROL TERMINAL LOCAL ID: TESTOCA003 PCN: N/A ----------------------------------------------------------------------------ARREST OFFENSES | DISPOSITION 02500 THEFT | CONTRIBUTOR OR RESPONSIBLE AGENCY: RCW: 9A.56.000 | WAWSP0000 WASHINGTON STATE CLASS UNKNOWN | CONTROL TERMINAL ORIGINATING AGENCY: WAWSP0000 | WASHINGTON STATE CONTROL TERMINAL | STATUS: NOT RECEIVED DISPO RESPONSIBILITY: WAWSP0000 | DATE OF OFFENSE: 02/01/1991 | | ----------------------------------------------------------------------------ARREST 2 DATE OF ARREST: 02/01/1993 ----------------------------------------------------------------------------NAME USED: WASHINGTON,IIITEST CONTRIBUTING AGENCY: WA0320000 SPOKANE COUNTY SHERIFF LOCAL ID: TESTOCA004 PCN: N/A ----------------------------------------------------------------------------ARREST OFFENSES | DISPOSITION O7644 DRIVING WHILE UNDER THE INFLUENCE | CONTRIBUTOR OR RESPONSIBLE AGENCY: RCW: 46.61.502(1) | WA0320000 SPOKANE COUNTY SHERIFF GROSS MISDEMEANOR | ORIGINATING AGENCY: WA0320000 | STATUS: NOT RECEIVED SPOKANE COUNTY SHERIFF | OIN: TESTOIN00004 | DISPO RESPONSIBILITY: WA0320000 | ACCESS Manual Revised 08/2011 Chapter #3-31

LOCAL ID:

Chapter 3

Criminal History

NCIC TIME: 1323 DATE: 080206 TO: SP8H WAWSP0007 THIS INTERSTATE IDENTIFICATION INDEX RESPONSE IS THE RESULT OF YOUR RECORD REQUEST FOR FBI/9028000. THE RECORD MAY BE OBTAINED FROM FILES WITHIN YOUR STATE. THE INTERSTATE IDENTIFICATION INDEX CONTAINS NO ADDITIONAL DATA. END

F. NCIC III response when record will be furnished

NCIC TIME: 1337 DATE: 080206 TO: SP8H WAWSP0007 THIS INTERSTATE IDENTIFICATION INDEX RESPONSE IS THE RESULT OF YOUR RECORD REQUEST FOR FBI/9021000. THE FOLLOWING WILL RESPOND TO YOUR AGENCY: IDAHO - STATE ID/ID00998877 END

1. The phrase EXCEPT FOR THOSE INDICATED AS DECEASED will be appended when a multi-source record contains a SID that has been flagged as deceased by the state. 2. In the example above, the last line AN ADDITIONAL RECORD MAY BE OBTAINED FROM FILES WITHIN YOUR STATE will be included only when a record request originated from the state whose SID is indexed in the subject record. NCIC END OF RAPSHEET G. III On-line Record Response
NLETS TIME: 1347 DATE: 080206 TO: ACCS7 CR.IDIII0000 13:35 08/02/2006 98528 13:35 08/02/2006 14933 WAWSP0007 TXT HDR/2L01SP8H V ATN/H ANDERSON PAGE 1 THE FOLLOWING RECORD IS IN RESPONSE TO YOUR INQUIRY ON FBI/9021000 - IDAHO CRIMINAL HISTORY THE SUBJECT OF THIS CRIMINAL HISTORY RECORD INQUIRY HAS BEEN CONVICTED OF A FELONY CRIME AS DEFINED BY IDAHO CODE 18-111 AND 18-111A. INDIVIDUAL MAY BE PROHIBITED FROM POSSESSING OR ACQUIRING A FIREARM OR AMMUNITION PURSUANT TO FEDERAL GUN CONTROL ACT OF 1968 AND IDAHO CODE 18-310 NAME STATE ID TEST,IMA ID00998877 SEX RACE DOB HEIGHT WEIGHT EYES HAIR SKIN FBI ACCESS Manual Revised 08/2011 Chapter #3-32

Chapter 3

Criminal History

M W 01-01-1966 510 190 BRO BRO MED 9021000 PLACE OF BIRTH NCIC PRINT CLASS IDAHO ID-TYPE NUMBER SCARS-MARKS-TAT. MISC DOB'S SOC 12345678 BLIND TAT FACE ALIAS DOB SEX RACE ARREST DATE: 04-30-2002 ORI: ID0010000 AGENCY: ADA COUNTY SO CASE: 0101 CHARGE: (M) INHUMAN TREATMT OF PRISONER COUNTS: 1 COURT: IDAHO SUPREME COURT 04-30-2002 CHARGE: (F) INHUMAN TREATMT OF PRISONER COUNTS: 1 SENT :NOT CONVICTED ARREST DATE: 04-30-2002 ORI: ID001015Y AGENCY: DLE - CIB (ILETS COMM CENTER) CASE: TEST CHARGE: (F) THEFT COUNTS: 1 CHARGE: (F) SEX EXPLOIT OF CHILD UNDER 18 COUNTS: 1 COURT: IDAHO SUPREME COURT 04-30-2002 CHARGE: (F) THEFT COUNTS: 1 SENT :WITHHELD-1 Y FINES-$500 COURT: DLE - CIB (ILETS COMM CENTER) 04-30-2002 CHARGE: (F) SEX EXPLOIT OF CHILD UNDER 18 COUNTS: 1 SENT :NOT CONVICTED ARREST DATE: 01-01-1998 ORI: ID0010000 AGENCY: ADA COUNTY SO CASE: 0 CHARGE: (F) BIGAMY COUNTS: 1 COURT: IDAHO SUPREME COURT 03-03-1998 CHARGE: (M) BIGAMY COUNTS: 1 SENT :DISMISSED ARREST DATE: 05-04-1968 ORI: ID001015Y AGENCY: DLE - CIB (ILETS COMM CENTER) CASE: 551 CHARGE: (M) FELONIOUS ADMIN OF DRUGS COUNTS: 1 THIS RECORD MAY BE USED ONLY FOR CRIMINAL JUSTICE PURPOSES AS DEFINED IN CFR TITLE 28. CR.IDIII0000.WAWSP0007.TXT HDR/2L01SP8H V ATN/H ANDERSON PAGE 4 THE FOLLOWING RECORD IS IN RESPONSE TO YOUR INQUIRY ON FBI/9021000 CONTINUED... EOR - END OF IDAHO HISTORY END OF RECORD

1. When a record is furnished, the first line after ATN will contain SID instead of FBI when the request is made using SID.

ACCESS Manual Revised 08/2011

Chapter #3-33

Chapter 3

Criminal History

2. When the QR record request contains Purpose Code J the following caveat will be inserted immediately prior to FBI IDENTIFICATION RECORD-:
THIS RECORD IS SUBJECT TO THE FOLLOWING USE AND DISSEMINATION RECTRICTIONS: UNDER PROVISIONS SET FORTH IN TITLE 28, CODE OF FEDERAL REGULATIONS (CFR), SECTION 50.12, BOTH GOVERNMENTAL AND NONGOVERNMENTAL ENTITIES AUTHORIZED TO SUBMIT FINGERPRINTS AND RECEIVE FBI IDENTIFICAITON RECORDS MUST NOTIFY THE INDIVIDUALS FINGERPINTED THAT THE FINGERPRRINTS WILL BE USED TO CHECK THE CRIMINAL HISTORY RECORDS OF THE FBI. IDENTIFICATION RECORDS OBTAINED FROM THE FBI MAY BE USED SOLELY FOR THE PURPOSE REQUESTED AND MAY NOT BE DISSEMINATED OUTSIDE THE RECEIVING DEPARTMENT, RELATED AGENCY OR OTHER AUTHORIZED ENTITY. IF THE INFORMATION ON THE RECORD IS USED TO DISQUALIFY AN APPLICANT, THE OFFICIAL MAKING THE DETERMINATION OF SUITABILITY FOR LICENSING OR EMPLOYMENT SHALL PROVIDE THE INFORMATION CONTAINED IN THE FBI IDENTIFICATION RECORD. THE DECIDING OFFICIAL SHOULD NOT DENY THE LICENSE OR EMPLOYMENT BASED ON THE INFORMATION IN THE RECORD UNTIL THE APPLICANT HAS BEEN AFFORDED A REASONABLE TIME TO CORRECT OR COMPLETE THE INFORMATION, OR HAS DECLINED TO DO SO. AN INDIVIDUAL SHOULD BE PRESUMED NOT GUILTY OF ANY CHARGE/ARREST FOR WHICH THERE IS NO FINAL DISPOSITION STATED ON THE RECORD OR OTHERWISE DETERMINED. IF THE APPLICANT WISHES TO CORRECT THE RECORD AS IT APPEARS IN THE FBIS IDENTIFICATION DIVISION RECORDS SYSTEM, THE APPLICANT SHOULD BE ADVISED THAT THE PROCEDURES TO CHANGE, CORRECT OR UPDATE THE RECORD ARE SET FORTH IN TITLE 28, CFR, SECTION 16.34.

3. When an FBI Identification Record contains more than 99 dates of arrest (DOAs), the 100th arrest will be numbered 00, the 101st will be numbered 01, etc. 4. Agency Case Number will appear when the information is available. When this information is not available, NAME USED will be shifted to this position. NAME USED will appear only when the arrest name is different from the name provided at the beginning of the record. 5. Wanted person data contained in an FBI Identification Record is obtained from the on-line interface with the NCIC 2000 Wanted Person File. Although there are various types of wants, the basic information provided is the same; however, only those wants based on an NCIC 2000 Wanted Person File transaction will have an NCIC number (NIC).

ACCESS Manual Revised 08/2011

Chapter #3-34

Chapter 3

Criminal History

6. When this data appears on the FBI Identification Record response, the requester should query the NCIC 2000 Wanted Person File using the NIC when present or the name and other identifiers. 7. When the record subject has been registered with the FBI as a sexual offender, the following special caveat will appear immediately prior to identification information included in the FBI Identification Record.
*****NOTICE***** SUBJECT OF RECORD IS A REGISTERED SEXUAL OFFENDER SEE END OF RECORD FOR MORE INFORMATION

8. More detailed information pertaining to the registration, as shown below, will appear immediately prior to the END OF RECORD.
SEXUAL OFFENDER REGISTRY INFORMATION THE SUBJECT OF THIS RECORD HAS REGISTERED AS A SEXUAL OFFENDER WITH THE FOLLOWING AGENCY: AGENCY STATE POLICE PITTSBURGH (PAPSP6700) AGENCY 333333 CASE NCIC NUMBER NIC/123456789 REGISTERED AS PUBLIC, JOHN Q DATE REGISTERED 1996/01/25 REGISTRY EXPIRATION NONEXP

9. When the record subject has been registered as a sexual offender in the state of Washington, the information will appear in the WASIS return after the Conviction and Failure to Appear Summary as follows:
SEX/KIDNAPPING OFFENDER REGISTRATION PROJECTED END REG DATE: 01/01/2099 DNA AVAILABLE: Y DOC BULLETIN AVAILABLE: Y CAUTION AND MEDICAL CONDITIONS: EPILEPSY EVENTS TYPE: SEX/KIDNAPPING OFFENDER REGISTRATION NAME USED: EXAMPLE, MARY Q DATE: 06/04/2001 CONTRIBUTING AGENCY: WA0280000 SAN JUAN COUNTY SHERIFFS OFFICE LOCAL CLASSIFICATION: II EMPLOYER NAME: ISLAND DRIVING RANGE STREET: 345 VINE CITY: FRIDAY HARBOR ACCESS Manual Revised 08/2011 ADDRESS REGISTRATION ADDRESS: STREET #: 123 ST NAME: MAIN ST N CITY: FRIDAY HARBOR STATE: WA ZIP CODE: 98123 DATE SUBMITTED: 06042001 PHONE 369 555 1212 Chapter #3-35

Chapter 3

Criminal History

STATE: WA ZIP CODE: 98123 CONVICTION: 00712 RAPE 1 00654 KIDNAPPING LOCAL ID: 123458

10. Although a participating state SID may be indexed in III for a particular record subject, the FBI will provide any wanted person and sexual offender registry information for the subject as part of the Identification Record. 11. When a participating state has caused its SID to be flagged as deceased, the word DECEASED will be appended to the SID in the ADDITIONAL CRIMINAL HISTORY RECORD . . . caveat. If the only SID to be provided in the caveat has been flagged as deceased, the caveat will be suppressed. H. Response When a Participating State(S) Provides Criminal History

Record(s)
WA0000000 THIS INTERSTATE IDENTIFICATION INDEX RESPONSE IS THE RESULT OF YOUR RECORD REQUEST FOR FBI/9001100. INDIVIDUALS RECORD WILL BE COMPLETE WHEN ALL RESPONSES ARE RECEIVED FROM THE FOLLOWING SOURCES EXCEPT FOR THOSE INDICATED AT DECEASED: NORTH CAROLINA STATE ID/NC0142658A DECEASED TEXAS - STATE ID/TX013456790 AN ADDITIONAL RECORD MAY BE OBTAINED FROM FILES WITHIN YOUR STATE.

1. The phrase EXCEPT FOR THOSE INDICATED AS DECEASED will be appended when a multi-source record contains SID that has been flagged as deceased by the state. 2. When Requesting Agencys State Repository Maintains the Only Record on the Subject:
WA0000000 THIS INTERSTATE IDENTIFICATION INDEX RESPONSE IS THE RESULT OF YOUR RECORD REQUEST FOR FBI/9007000. THE RECORD MAY BE OBTAINED FROM FILES WITHIN YOUR STATE THE INTERSTATE IDENTIFICAITON INDEX CONTAINS NO ADDITIONAL DATA. END

3. This response will be transmitted from NCIC when a record request is from a Washington State agency and the only SID indexed is from a Washington State agency held in WASIS.
ACCESS Manual Revised 08/2011 Chapter #3-36

Chapter 3

Criminal History

I. Response When FBI Record Cannot Be Provided Automatically 1. Occasionally, problems may be encountered that prevent the transmission of a response to an inquiry (QH, ZR,) or a record request (QR). Example:
WA0000000 THE FBI IS UNABLE TO PROVIDE A RESPONSE FOR FBI/9030300. FBI PERSONNEL WILL REASEARCH THE PROBLEM AND YOU WILL BE ADVISED. END

2. As appropriate, FBI will be replaced by SID. For QH responses FBI will be replaced with NAM and other search fields from the inquiry. J. Responses When III Is Unable To Contact Record Holder 1. There are instances when the computer system of the agency maintaining the record is temporarily out of service or otherwise unable to accept a record request from the III. When this occurs, there is a delayed response. The agency requesting the record should not make additional requests since this would result in the same record being provided several times when the affected system is back in service. 2. When a record request has been queued for more than five minutes, the following message will be transmitted to the requester advising of the delay.
WA0000000 THIS INTERSTATE IDENTIFICATION INDEX RESPONSE IS THE RESULT OF YOUR RECORD REQUEST FOR FBI/9001100. THE NCIC HAS BEEN UNABLE TO NOTIFY THE FOLLOWING BUT WILL CONTINUE TO RETRY: TEXAS END STATE ID/TX01346790

3. When a record request has been queued for four hours, it will be destroyed. The following message will be transmitted to the requester:
WA0000000 THIS INTERSTATE IDENTIFICAITON INDEX RESPONSE IS THE RESULT OF YOUR RECORD REQUEST FOR FBI/9001100. THE NCIC HAS BEEN UNABLE TO NOTIFY THE FOLLOWING AND WILL NO LONGER CONTINUE TO RETRY: TEXAS STATE ID/TX0346790

YOUR RECORD REQUEST MAY BE RESUBMITTED IF THE RECORD IS STILL NEEDED. END
ACCESS Manual Revised 08/2011 Chapter #3-37

Chapter 3

Criminal History

K. Responses When Record Is Not Indexed In III

WA0000000 NO IDENTIFIABLE RECORD IN THE INTERSTATE IDENTIFICATION INDEX (III) FOR FBI/9015174. PUR/C NOTICE - - THIS DOES NOT PRECLUDE THE POSSIBLE EXISTENCE OF MATCHING RECORDS IN LOCAL, STATE, OR FBI CJIS DIVISION FILES THAT ARE NOT INDEXED IN THE III. IF YOU DESIRE A SEARCH OF THE FBI CJIS DIVISION FILES, A FINGERPRINT CARD SHOULD BE SUBMITTED. END

Or
WA0000000 ATN/DET JOHN PUBLIC THIS INTERSTATE IDENTIFICATION INDEX RESPONSE IS THE RESULT OF YOUR RECORD REQUEST FOR FBI/9001100. SUBJECT RECORD WILL BE AUTOMATED AS A RESULT OF YOUR REQUEST AND WILL BE MADE AVAILABLE VIA INTERSTATE IDENTIFICATION INDEX 2 BUSINESS DAYS AFTER YOUR RECEIPT OF THIS MESSAGE END

L. Removal for Expungement, Death, or Deletion 1. The following type of response will be provided when the record has been removed from NCIC 2000 III due to its consolidation with another record, deletion, expungement, or subject death. This type of response will be provided only when the record request is made using FBI or NAM and FBI.
WA0000000 THIS NCIC INTERSTATE IDENTIFICATION INDEX RESPONSE IS THE RESULT OF YOUR RECORD REQUEST FOR FBI/9015174 PUR/C ATN/DET J Q PUBLIC RECORD NO LONGER ON FILE CONSOLIDATED WITH FBI/901283 19901201 END OR RECORD NO LONGER ON FILE DELETED 19901201 END OR RECORD NO LONGER ON FILE EXPUNGED 19901201 END OR

ACCESS Manual Revised 08/2011

Chapter #3-38

Chapter 3

Criminal History

RECORD NO LONGER ON FILE DECEASED PER POLICE DEPARTMENT SUMTER SC 19901201 END

2. Users should be aware that records can be deleted either permanently (e.g., record established in error; subject has reached 99 years of age) or temporarily (e.g., internal corrections needed and records will be reentered). To determine if the record still exists and will be available for dissemination, users should communicate directly with the FBI. 3. The following response will be provided by WASIS when the person has been reported deceased:
PERSON INFORMATION SEX RACE HEIGHT WEIGHT F W 502 115 NAMES USED EXAMPLE, QUEEN TEST, LITMUS DECEASED REPORTING AGENCY: DECEASED TYPE: EYES HAIR PLACE OF BIRTH CITIZENSHIP BRO BRO WA US SOC SEC 111-11-1111 MISC NUMBER

DATES OF BIRTH 05/05/1950

DATE REPORTED: 04/04/1998 WA0290100 ANACORTES POLICE DEPARTMENT REPORTED

M. Example of ZR Inquiry (ZR) 1. A ZR inquiry may be used to determine if the record corresponding to a particular FBI or SID is available via the III. The ZR response will advise whether or not the record is on file. The capability is provided primarily for administrative record maintenance purposes; however, it is available to all users. W;ZR.WA0000000.FBI/9015174.PUR/C (Send)

ACCESS Manual Revised 08/2011

Chapter #3-39

Chapter 3

Criminal History

N. Message Field Codes for Administrative Inquiry (ZR)

Data Element 1. MKE 2. FBI 3. SID
FIELD NAME REQUIREMENTS MESSAGE FIELD CODE

Mandatory Required Conditional Conditional

FIELD LENGTH DATA TYPE

MESSAGE KEY ORIGINATING AGENCY IDENTIFIER STATE IDENTIFICATIO N NUMBER FBI NUMBER PURPOSE CODE

MANDATORY MANDATORY

MKE ORI

2-2 9-9

ALPHABETIC ALPHABETIC, NUMERIC ALPHABETIC, NUMERIC ALPHABETIC, NUMERIC ALPHABETIC

CONDITIONAL

SID

3-10

CONDITIONAL OPTIONAL

FBI PUR

1-9 1-1

O. Requirements for ZR Inquiry 1. The ZR entry must contain the following: MKE, ORI, and FBI or SID. 2. The use of a purpose code is optional in a ZR inquiry. If the purpose code is not included, the transaction is considered to be for administrative purposes. If used, the purpose code must be either C (criminal justice), J (criminal justice employment), or A (administrative file maintenance). P. Example ZR Inquiry with Negative and Positive Responses 1. Negative Response WA0000000 FBI/9015174 NOT ON FILE 2. Positive Response WA0000000 FBI/9015174 ON FILE

ACCESS Manual Revised 08/2011

Chapter #3-40

Chapter 3

Criminal History

3. As applicable, the SID will replace the FBI. Q. ZR Response for Records That Have Been Removed 1. The following type of response will be provided when the record has been removed from III due to its consolidation with another record, deletion, expungement, or subject death. This type of response will be provided only when the inquiry is made using the FBI.
WA0000000 THIS NCIC INTERSTATE IDENTIFICATIN INDEX RESPONSE IS THE RESULT OF YOUR INQUIRY ON FBI/9015174 PUR/A RECORD NO LONGER ON FILE CONSOLIDATED WITH FBI/901283 19901201

or
RECORD NO LONGER ON FILE DELETED 19901201

or
RECORD NO LONGER ON FILE EXPUNGED 19901201

or
RECORD NO LONGER ON FILE - DECEASED PER POLICE DEPARTMENT SUMTER SC 19901201

2. Users should be aware that records delete either permanently (e.g., record established in error, subject has reached 99 years of age) or temporarily (e.g., internal corrections needed and records will be reentered). To determine if the record still exists and will be available for dissemination, users should communicate directly with the FBI.

ACCESS Manual Revised 08/2011

Chapter #3-41

Chapter 3

Criminal History

CHAPTER 03: ACCESS Manual Criminal History SECTION 07: Error Messages Procedure #: 03.07.000 Special Order: Supersedes: ACCESS Manual 2003 Edition Applies to: ACCESS Users Effective Date: March 30, 2006 See Also: CALEA:

I. PROCEDURE A. Error Messages 1. Contact the Information Technology Division, Customer Service Unit at (360) 705-5999 if you are unable to interpret an error message.

ACCESS Manual Revised 08/2011

Chapter #3-42