Automated Fingerprint Identification Systems (AFIS) (eBook)

COVER 1
CONTENTS 7
FOREWORD 13
CHAPTER 1 INTRODUCTION 15
1.1 Welcome 15
1.2 Fingerprints 17
1.3 What Is AFIS? 18
1.4 Identification Practices Prior to AFIS Systems 22
1.5 Current Identification Practices 24
1.6 Why Fingerprint-Based Checks Are Important 26
1.7 From Paper to Paperless 27
1.7.1 Paper: The Fingerprint Card 27
1.7.2 Paperless: Livescan 27
1.8 The Impact of AFIS Systems 29
1.9 Other AFIS Issues 30
1.10 Why This Book Was Written 32
1.11 Who This Book Is Intended For 34
1.12 Chapter Overview 37
1.12.1 Chapter 2 History of Automated Fingerprint Identification System 38
1.12.2 Chapter 3 Fingerprints Are Unique 38
1.12.3 Chapter 4 AFIS Summary„How the System Works 38
1.12.4 Chapter 5 From Print to Identification 39
1.12.5 Chapter 6 Current Issues 39
1.12.6 Chapter 7 Buying an AFIS System: The Basic Documents Needed 40
1.12.7 Chapter 8 Standards and Interoperability 40
1.12.8 Chapter 9 Contractual Issues Regarding the Purchase of an Automated Fingerprint Identification System 40
1.12.9 Chapter 10 Case Study„Diamonds in the Rough: Increasing the Number of Latent Print Identifications 41
1.12.10 Appendices 41
CHAPTER 2 HISTORY OF AUTOMATED FINGERPRINT IDENTIFICATION SYSTEM 43
2.1 Early Prints 43
2.2 Moving Beyond a Single Database 46
2.3 Fingerprint (Tenprint) Cards 47
2.4 Latent Print Processing 50
2.5 The First AFIS System 51
2.6 Growth and Development of AFIS Systems 53
2.7 IAFIS: The AFIS That Changed the World of Fingerprint Automation 55
2.7.1 Transmission Standard 60
2.7.2 FBI and Other Implementations of the ANSI Standard 61
2.7.3 Image Quality Specifications 62
2.7.4 Compression Standard 63
2.7.5 Conclusion 64
2.7.6 Current Challenges 64
CHAPTER 3 FINGERPRINTS ARE UNIQUE 67
3.1 Names 67
3.2 Identification Documents 68
3.2.1 Driver’s License 69
3.2.2 Passport 71
3.3 Photographs 73
3.4 DNA 75
3.5 Fingerprints 75
3.5.1 Physical Characteristics 75
3.5.2 Proven Uniqueness? 76
3.5.3 Image Quality 78
3.6 Classification Systems 80
3.6.1 The NCIC System 80
3.6.2 The Henry and American Classification Systems 82
3.6.3 Filing Systems 84
CHAPTER 4 AFIS SUMMARY„HOW THE SYSTEM WORKS 87
4.1 Databases 87
4.2 Processing Overview 90
4.2.1 Tenprint 90
4.2.2 The Latent Print Process 94
4.2.3 Unsolved Latent Search 97
4.2.4 Latent/Latent Search 98
4.3 Why AFIS Systems Work 98
4.4 Why Are Some Identifications Missed? 100
CHAPTER 5 FROM PRINT TO IDENTIFICATION 103
5.1 AFIS Components 103
5.1.1 Physical Layout of AFIS 104
5.1.2 AFIS Hardware 104
5.1.3 Coders 107
5.1.4 RAID Storage 109
5.1.5 Matchers 110
5.2 Fingerprint Cards and Images 112
5.2.1 Past Practices 113
5.2.2 Current Practices 116
5.2.3 Importance of High-Quality Images 118
5.2.4 Inked Images versus Livescan Images 120
5.2.5 Image Capture Processes 120
5.3 AFIS Name and Minutiae Searches 122
5.4 Types of AFIS Searches 126
5.4.1 Tenprint to Tenprint (TP/TP) Searches 126
5.4.2 Latent to Tenprint (LT/TP) Searches 128
5.4.3 Latent to Latent Searches 129
5.5 AFIS Reports 130
5.5.1 Tenprint Reports 131
5.5.2 Latent Print Reports 132
CHAPTER 6 CURRENT ISSUES 135
6.1 SWOT Analysis 135
6.1.1 AFIS Strengths 136
6.1.2 AFIS Weaknesses 137
6.1.3 AFIS Opportunities 142
6.1.4 AFIS Threats 146
6.2 DNA and Fingerprints 148
6.3 The Move from Forensic to Civil Applications 150
6.4 Other Frontiers 154
6.4.1 Multiple Agencies Sharing AFIS Technology: WIN 154
6.4.2 Multiple Nations Sharing AFIS Systems: Eurodac 155
CHAPTER 7 BUYING AN AFIS SYSTEM: THE BASIC DOCUMENTS NEEDED 159
7.1 Introduction 159
7.2 The Need for a Disciplined Approach 159
7.3 Overall Strategy 161
7.4 Pre-acquisition Phase 162
7.4.1 Concept of Operations Document 162
7.4.2 Acquisition Strategy Document 164
7.4.3 Benchmarking 165
7.5 Acquisition Phase 168
7.5.1 Source Selection Plan 169
7.5.2 Statement of Work (SOW) 169
7.5.3 Requirements Specification 170
7.6 Development and Deployment Phase 172
7.7 Conclusion 174
CHAPTER 8 STANDARDS AND INTEROPERABILITY 175
8.1 System Challenges to Interoperability 175
8.2 Electronic Fingerprint Transmission Specification (EFTS) 180
8.3 Wavelet Scalar Quantization 181
8.4 Management Challenges to Interoperability 181
8.4.1 Security 184
8.4.2 Type of Search Permitted 185
8.4.3 Indemnification 186
8.4.4 Agreement to Maintain Records 186
8.4.5 Charges 186
8.4.6 Suspension of Services and Agreement Termination 186
8.5 A Case Study: The Issue of Hit Rate for Latent Prints 186
8.5.1 Obtaining Latent Prints 188
8.5.2 The Search Database 194
8.5.3 Counting Latent Print Identifications 196
8.5.4 New York State Survey 198
CHAPTER 9 CONTRACTUAL ISSUES REGARDING THE PURCHASE OF AN AUTOMATED FINGERPRINT IDENTIFICATION SYSTEM 205
9.1 Introduction 205
9.2 Preparing to Acquire an AFIS 206
9.3 Special Considerations for Public Procurement 207
9.3.1 General Requirements for Governmental Action 208
9.3.2 Requirements Imposed on the Actions of Governmental Employees 209
9.4 Types of Public Procurement 210
9.4.1 Competitive Procurement 211
9.4.2 Non-competitive Procurement 212
9.4.3 Things to Consider When Evaluating the Competitive versus Non-competitive Models 212
9.4.4 AFIS Procurement Flowchart 214
9.5 Statutory and Regulatory Requirements 215
9.5.1 Public Procurements in General 215
9.5.2 Technology Procurements in Particular 216
9.5.3 Additional Requirements Based on the Intended Use of the Technology 217
9.6 Identification of Funding Sources 217
9.6.1 Location and Identification of the Funding Source 218
9.6.2 Determination If the Funding Source Imposes Additional Obligations 219
9.7 Legal Considerations When Developing the Public Procurement Solicitation 222
9.7.1 Introduction and Background 224
9.7.2 General Information and Response Format 224
9.7.3 AFIS Specifications and Scope of Work Requirements 226
9.7.4 Evaluation Criteria and Relative Weights of the Criteria 237
9.7.5 Contractual Terms and Conditions 244
9.7.6 Other Suggested Contractual Issues to Address in the RFP 245
9.8 What Can Go Wrong in the Process 251
9.9 How Problems and Complaints Are Made Known 253
9.10 Conclusion 254
CHAPTER 10 CASE STUDY„DIAMONDS IN THE ROUGH: INCREASING THE NUMBER OF LATENT PRINT IDENTIFICATIONS 257
10.1 Introduction 257
10.2 Plan for Increased Latent Print Identifications 258
10.3 Review of UL File Procedures 259
10.4 System-wide Upgrade 260
10.5 Opportunities for Increasing UL File Identifications 261
10.6 Summary 263
APPENDIX A GLOSSARY 265
APPENDIX B INTERNATIONAL ASSOCIATION FOR IDENTIFICATION„1998 IAI AFIS COMMITTEE REPORT ON CROSS-JURISDICTIONAL USE OF AFIS SY 283
APPENDIX C NCHIP FUNDING, 1995–2003 299
INDEX 301