STATE OF ABC
DEPARTMENT OF PUBLIC SAFETY
AUTOMATED  FINGERPRINT
IDENTIFICATION  SYSTEM
USER  REQUIREMENTS  SPECIFICATION

 

 

Initial Release

Month Day, Year

 


TABLE OF CONTENTS

 

1. INTRODUCTION........................................................................................

1.1 Purpose.....................................................................................................

1.2 Scope..........................................................................................................

1.3 Organization.......................................................................................

1.4 Definitions.............................................................................................

1.6 Applicable References..................................................................

1.7 Use of Shall, Will, Must, Should, and May.........................

1.8 Work Requirements.......................................................................

2. SYSTEM FUNCTIONALITY...................................................................

2.1 AAFIS Overview and Operational Concept......................

2.1.1 AAFIS Overview...................................................................................

2.1.2 AAFIS Operational Concept.............................................................

2.1.2.1 Central Site............................................................................................

2.1.2.2 Remote FAST Sites...............................................................................

2.1.2.3 Remote Terminal (RT) Sites..................................................................

2.2 AAFIS Operational Workweek................................................

2.2.1 Hours of Operation – Tenprints........................................................

2.2.2 Hours of Operation –  Latent Prints................................................

2.3 External Interfaces.....................................................................

2.3.1 Western Identification Network (WIN)............................................

2.3.2 Federal Bureau of Investigation (FBI)...........................................

2.3.3 ABC Computerized Criminal History (ACCH) Database............

2.4 AAFIS Processing...............................................................................

2.4.1 General AAFIS Requirements...........................................................

2.4.2 System Databases................................................................................

2.4.3 Record Modification and Purge.......................................................

2.4.3.1 Record Modification of Tenprints........................................................

2.4.3.2 Record Modification of Latent Prints...................................................

2.4.3.3 On-Line Confirmation...........................................................................

2.4.3.4 ADPS Latent Validation........................................................................

2.4.3.5 Latent Entry Constraints.......................................................................

2.4.4 Tenprint Processing............................................................................

2.4.4.1 RT Site and FAST Site Tenprint Processing.........................................

2.4.4.2 Central Site Tenprint Processing...........................................................

2.4.4.3 General Tenprint Processing Requirements..........................................

2.4.4.4 Record Identification Number...............................................................

2.4.4.5 Tenprint Throughput............................................................................

2.4.4.6 Tenprint Data Element Description......................................................

2.4.4.7 Data and Image Entry for TP/TPID Search...........................................

2.4.4.8 TP/USL Search Initiation.......................................................................

2.4.4.9 Tenprint Record Deletion and Retrieval................................................

2.4.4.9.1 Deletion by SID Number, and/or AAFIS Record Number.................

2.4.4.9.2 Record Retrieval.................................................................................

2.4.4.10 TP/TPID Search and Match Verification............................................

2.4.4.11 TP/TPID Central Site Validation.........................................................

2.4.4.12 Single Finger Image Substitution..........................................................

2.4.4.13 TP/USL Verification............................................................................

2.4.5 Latent Processing................................................................................

2.4.5.1 General Latent Processing Requirements..............................................

2.4.5.2 Latent Data Element Description..........................................................

2.4.5.3 Data and Image Entry for LT/TPLC Search (Authorized Central, FAST, or Remote Terminal AAFIS Workstations).......................................................................................

2.4.5.4 Latent Throughput................................................................................

2.4.5.5 LT/TPLC Search and Match Verification..............................................

2.4.5.6 LT/UL Search and Match Verification..................................................

2.4.5.7 Latent Case Deletion and Retrieval.......................................................

2.4.5.7.1 Deletion by ORI/Case/Lift Number and Batch..................................

2.4.5.7.2 Record Retrieval.................................................................................

2.4.5.8 Latent Edit and LT/TPLC Relaunch......................................................

2.4.6 Candidate Lists....................................................................................

2.4.7 Side-by-Side Candidate Verification..............................................

2.4.8 Image Display......................................................................................

2.4.9 Queue Display to Workstation Operator........................................

2.4.10 System Operations............................................................................

2.4.10.1 Purge from System Queues.................................................................

2.4.10.2 Automated Transaction Processing.....................................................

2.4.10.3 Processing Queues and Priorities.........................................................

2.4.10.4 Queue Display by System Operator...................................................

2.4.10.5 System Security and Access Control..................................................

2.4.10.6 Management Reports and Logging......................................................

2.4.10.6.1 Database Statistics Reports..............................................................

2.4.10.6.2 System Transaction Monitoring and Reports..................................

2.4.10.6.3 System Logging.................................................................................

2.4.10.7 On-Line Transaction Recovery and Data Backup...............................

2.4.10.8 Off-Line Backup, Restoration, and Recovery of System Data...........

2.4.10.8.1 Backup..............................................................................................

2.4.10.8.2 Restoration.......................................................................................

2.4.10.8.3 Recovery...........................................................................................

2.4.10.8.4 Database Reorganization..................................................................

2.4.10.9 Off-Site Storage and Restoration of System Software........................

2.4.10.10 System Diagnostics and Utilities.......................................................

2.4.10.11 Ease of Use........................................................................................

2.4.10.12 Poor Print Threshold Adjustment.....................................................

2.4.11 Name Search......................................................................................

2.5 Livescan Device Requirements.................................................

2.6 Documentation Requirements...............................................

3. SYSTEM DESIGN.....................................................................................

3.1 Workstation......................................................................................

3.1.1 Workstation Characteristics, Display Resolution and Gray Levels               

3.1.2 Ease of Use............................................................................................

3.2 System Configuration..................................................................

3.2.1 Expansion.............................................................................................

3.2.2 Remote Communications to System Workstations........................

3.2.3 Communications with ACCH............................................................

3.2.4 Communications Between Subsystems............................................

3.2.5 Limitational Downtime......................................................................

3.2.6 End-to-End Downtime........................................................................

3.2.7 Update Access......................................................................................

3.2.8 Automatic Record Purge....................................................................

3.3 System Development Standards...........................................

4.  PERFORMANCE AND CAPACITY.....................................................

4.1 Daily Search Throughput..........................................................

4.2 Response Times...................................................................................

4.3 Image Retrieval Response Times.............................................

4.4 Database Capacity........................................................................

5. ACCURACY...............................................................................................

5.1 Search Accuracy.............................................................................

6. SYSTEM INSTALLATION.....................................................................

6.1 Site Preparation..............................................................................

6.2 Floor Plan............................................................................................

6.3 Environmental Requirements.................................................

6.4 Installation Sites..........................................................................

6.5 Battery Backup................................................................................

6.6 Installation — Remote Site.....................................................

6.7 System Reconfigurability..........................................................

6.8 Data Storage Across Physical Storage Devices.........

7. SYSTEM ACCEPTANCE PERIOD........................................................

8.  CARD CONVERSION............................................................................

9. MAINTENANCE........................................................................................

9.1 Maintenance Facilities...............................................................

9.2 On-Call Maintenance Service..................................................

9.3 Phone Notification.........................................................................

9.4 Service Report....................................................................................

9.5 Remedial Maintenance................................................................

9.6 Additional Equipment..................................................................

9.7 Reliability Improvement Notices..........................................

9.8 Replacement and Spare Parts................................................

9.9 Software Maintenance..............................................................

9.10 Performance Standards..........................................................

10. TRAINING...............................................................................................

10.1....................................................................................................................

10.2....................................................................................................................

10.3....................................................................................................................

10.4....................................................................................................................

11. PERSONNEL REQUIREMENTS.........................................................

11.1....................................................................................................................

11.2....................................................................................................................

12. SECURITY CHECK REQUIREMENTS...............................................

12.1....................................................................................................................

12.2....................................................................................................................

12.3....................................................................................................................

12.4....................................................................................................................

13. PROJECT PLAN....................................................................................

13.1....................................................................................................................

13.2....................................................................................................................

13.3....................................................................................................................

13.4....................................................................................................................

 

 


1.              Introduction

1.1            Purpose

This User Requirements Specification will be used to document the understandings between the ABC Department of Public Safety (DPS) and VENDOR, Inc. (Vendor).  This document includes all of the user-defined specifications for the ABC Automated Fingerprint Identification System (AAFIS) and provides the user-level technical specifications for the ABC AFIS.

The requirements contained in this document incorporate the requirements provided in RFP #00000 and the Vendor Proposal.

1.2            Scope

The user requirements identified in this document apply to primary functions, major supporting functions, processes, and operations of the ABC AFIS.

1.3            Organization

This document is organized as follows:

Section 1

Introduction:  Identifies the purpose, scope, document format, basic definitions, and applicable documents for this specification

Section 2

System Functionality:  Describes in detail the required system functions, data elements, and search criteria

Section 3

System Design:  Describes the workstation design requirements and system configuration

Section 4

Performance and Capacity:  Provides data on daily and peak throughput, response times, and database capacity

Section 5

Accuracy:  Defines accuracy requirements for latent to tenprint, tenprint to tenprint, and tenprint to unsolved latent searches

Section 6

System Installation:  Describes power and environmental facilities available for system installation

Section 7

System Acceptance Period:  Defines system readiness and describes the procedures that will be followed during the system acceptance period

Section 8

Card Conversion:  Describes the requirements necessary for successful conversion of the ABC Department of Public Safety tenprint card database

Section 9

Maintenance:  Describes the hardware and software maintenance requirements of the ABC AFIS including: required service reports, remedial maintenance, maintenance of additional equipment, replacement of spare parts, and performance standards

Section 10

Training:  Describes the type, level, frequency, and general content of training that will be provided by VENDOR

Section 11

Personnel Requirements:  Describes requirements for VENDOR Project Manager and the Department of Public Safety Project Coordinator.

Section 12

Security Check Requirements:  Describes requirements for obtaining security clearance from the Department of Public Safety for all employees, subcontractors, or materialmen having access to restricted areas.

Section 13

Project Plan:  Describes how VENDOR will conduct the complete AAFIS project. It defines the major project phases and the tasks making up each phase.

1.4            Definitions

This document includes a number of terms, acronyms, and abbreviations that may be unique to fingerprint identification. For example, the term LT/TPLC search refers to the process of comparing a latent print to the fingerprint records in the XL AAFIS tenprint/latent cognizant database.

The following terms, acronyms, and abbreviations are used in this document:

AAFIS

ABC Automated Fingerprint Identification System.  Also referred to as the ABC AFIS.

AAFIS

For the purposes of this document the acronym AAFIS (Automated Fingerprint Identification System) may be used when referring to the ABC AFIS.

ACCH

ABC Computerized Criminal History.

ACJIS

ABC Criminal Justice Information System.

AFIS

Automated Fingerprint Identification System.

ASCII

American Standard Code for Information Interchange.

ACCEPTANCE TEST

The tests intended to determine that all the equipment and software comply with the contract and to determine the reliability of the system.

ACCURACY

Identification reliability.  It refers to the capability of the matching algorithms to discriminate between matches and non-matches of fingerprint images.

ADDITION

Inclusion of fingerprint information into a database.

ADJACENT FINGER TYPE

The pattern type for a finger adjoining the finger that is under examination.

AAFIS RECORD NUMBER (ARN)

See Automated Fingerprint Identification System Record Number.

APPLICANT FINGERPRINT TYPE

A tenprint fingerprint card submitted by authorized agencies for criminal history record information on individuals applying for a license or noncriminal justice/private agency employment; or, applying for employment with a criminal justice agency.

AAFIS RECORD NUMBER (ARN)

A Tenprint Record will have either a SID Number or an AAFIS RECORD NUMBER.  AAFIS RECORD NUMBERs are generated by the AAFIS (as opposed to SID Number that is generated by the ACCH and passed to the AAFIS).  AAFIS RECORD NUMBERs are attached to non-criminal tenprint records.  Tenprint records in the AAFIS that have an AAFIS RECORD NUMBER will, in virtually every case, not be found in the ACCH database.

ARCH, PLAIN

Ridges enter on one side of the impression and flow or tend to flow out the other with a rise or wave in the center.

ARCH, TENTED

Most of ridges enter upon one side of the impression and flow or tend to flow out upon the other side, as in the plain arch type; however, the ridge(s) at the center do not. There are three types of tented arch patterns:

1.        Ridges at center from a definite angle, i.e. 90 degrees or less.

2.        One or more ridges at the center form an up thrust (an ending ridge or any length rising at a sufficient degree from the horizontal plane; i.e., 45 degrees or more).

3.        A ridge approaching the loop type, possessing two (2) of the basic or essential characteristics of the loop, but lacking the third.

ABC AUTOMATED FINGERPRINT IDENTIFICATION SYSTEM (AAFIS)

The automated fingerprint identification system for the State of ABC that includes the ABC Department of Public Safety Central State Repository and Latent Print Unit, the Full Access System Terminal (FAST) sites (and optionaly, at the discretion of the AAFIS System Manager, Remote Terminal (RT) sites).  The Department of Public Safety is the central site where the central processing unit is to be located in the computer operations facility.

ABC COMPUTERIZED CRIMINAL HISTORY (ACCH)

A file on the ABC Criminal Justice Information System network comprised of arrest and disposition information on subjects with criminal history records maintained at the ABC Central State Repository.

ABC CRIMINAL JUSTICE INFORMATION SYSTEM (ACJIS)

A network operated and maintained by the ABC Department of Public Safety to provide a variety of criminal justice information to authorized users.

ARREST FINGERPRINT CARD

A tenprint card submitted by a law enforcement agency and used to record fingerprints and information about criminal charge(s) against the subject whose fingerprints are on the card.

AUDIT

A method for documenting any transaction from its input to its output.

AUTOMATED FINGERPRINT IDENTIFICATION SYSTEM

A computerized system for the reading, encoding, classify­ing, searching, and matching of fingerpri­nts and the storage and retrieval of fingerprint images, including any ancillary identification functions.

AUTOMATED FINGERPRINT IDENTIFICATION SYSTEM RECORD NUMBER (ARN)

A unique ten-character alpha/numeric computer-generated number assigned to an AAFIS record that does not meet the criteria for assignment of an SID Number.

AVAILABILITY

The duration of time in which the ABC AFIS functions are capable of processing transactions.

 

BACKUP

The periodic writing of AAFIS files to tape or other removable medium to ensure their reconstruction in the event of master file damage, and to ensure reliability, integrity and security of the system.

BAUD

A unit of signal speed roughly equivalent to one bit per second.

BENCHMARK

A test to evaluate the performance of an AFIS, to verify VENDOR’s response to the request for proposal.

BIFURCATION

The forking or dividing of one (1) ridge into two (2) or more ridges.

BINARY IMAGE

The representation of an image such that one pixel is represented by one bit.  Images are bilevel, usually black and white.

 

CANDIDATE LIST

An ordered set of scores and identifiers generated by a matching algorithm.

CANDIDATE PRINT

A file print selected during the matching function.

CANDIDATE RANKING

The relative position of a file candidate among those selected by the matching functions.

CARD FORMAT

The physical layout of a fingerprint card including dimensions and location of images and descriptive data.

CARD SCANNER

A device that converts fingerprint images from a card to digital form for subsequent computer processing and image and data storage.

CENTRAL FINGERPRINT REPOSITORY

The entity within the central state repository of the ABC Department of Public Safety where tenprint fingerprint processes and the ABC AFIS tenprint database will be maintained.

CENTRAL STATE REPOSITORY

ABC Department of Public Safety; designated by State statute to maintain criminal records for the State of ABC.

CENTRAL SITE

The ABC Department of Public Safety location(s) where the ABC AFIS centralized tenprint and latent print functions will be performed.

CHARTING

The terminal function that allows operators to draw lines from minutiae on fingerprints of a split screen and assign the same numbers to corresponding minutiae points on the search and file prints.

COLD SEARCH

A latent print search conducted with no known suspect(s), and may contain minimum search delimiters.

COLOR REVERSAL

The ability to convert an image from negative to positive and from positive to negative.  See “reverse video.”

COMPUTERIZED CRIMINAL HISTORY

A database containing criminal history records.

CONFIGURATION

The set of AFIS components and subsystems, etc., consisting of hardware and software required to process the mix of ABC AFIS transactions.

CONNECTIVITY

Connectivity is defined as, when directed by the AAFIS operator, and upon completion of a search within the ABC AFIS system, a search is continued within another AFIS system without additional manual duplication of process.  The search results shall be received at the originator’s workstation.

CONTRACTOR

Vendor, Inc.

CONVERSION

The process of transforming data from one format to another, e.g., from manual tenprint cards to AAFIS database.

CRIMINAL FINGERPRINT

Tenprint cards submitted by law enforcement agencies and used to record fingerpri­nts and information about a suspected criminal.

 

DOB

Date of Birth.

DPS

Department of Public Safety; also known as the ABC Department of Public Safety.

DATABASE

A storage scheme for fingerprint or other data.  Also refers to the data sorted by the scheme.

DEGRADED TIME

Any period of time during which an AFIS continues to operate but at less than full capacity.

DELETION

The removal of a record(s) from an AFIS database.

DEMOGRAPHIC DATA

Data elements consisting of non fingerprint information, such as but not limited to, name, date of birth, etc.

All non-image data that is part of an AFIS record.

DEMONSTRATION

A performance of required AFIS capabilities.

DEPARTMENT

Synonymous with the Department of Public Safety.

DIRECT READ FINGERPRINT

A fingerprint image produced by scanning a live finger and recording an image of the friction ridges. refer to Direct Reader.

DIRECT READER

A device capable of scanning fingerprint images directly from a person’s fingers.  Commonly used as an input device for booking workstations, etc.

DOCUMENTATION

All AFIS related textual material delivered by VENDOR.

DOWNTIME

When the system is not capable of performing the intended functions, at the discretion of the State, excluding agreed upon scheduled downtime.

The time during which a computer system is not capable of operational use.

 

EBCDIC

Extended Binary Coded Decimal Interchange Code.  An industry standard for the encoding and storage of data.

EDITING

Modification of data, e.g., update or change of a database record.

ENCODING

The process of translating data from a fingerprint image into code for inclusion in a database.

ENTRY

Synonymous with input; every single step from the time a tenprint card or latent print (lift) is received for input until it is registered in the AFIS.

EQUIPMENT

An all inclusive term that refers either to an individual or set of hardware; may refer to a complete system including software, etc.

 

FAST

Full Access System Terminal.

FAILURE

Any malfunction in the equipment that precludes the accomplishment of its intended function.

FBI Format

For the purposes of this document, the term FBI format, when used in reference to electronic transmission of images or data, refers to the FBI mandatory portion of the final draft of the ANSI/NIST-NCSL 1-199X Standard, when released.

FILE MAINTENANCE

Procedures to ensure the integrity of an AFIS database and its contents.  Also, the deleting or updating of elements stored in the databases.

FILE PRINT

A fingerprint stored in the image storage and retrieval database.

FILE NUMBER

Indicates a specific finger by number, starting with the index finger on the right hand as number one (1) and progressing through the little finger on the left hand as number ten (10).  Synonymous with finger number.

FINGERPRINT CHARACTERISTICS

Refers to minutiae and other features such as pattern type.

FINGERPRINT IMAGE

A representative reproduction of an actual fingerprint.

FINGERPRINT MATCHER

A high speed computing device that compares data from rolled or latent impressions to those in the appropriate database.

FINGERPRINT MATCHING

Mathematical procedures for the algorithm comparison of data from rolled or latent fingerprint impressions against data from impressions stored in a database.  Matching algorithms order candidates in terms of probability of identity.

FINGERPRINT TECHNICIAN

A person responsible for classifying and identifying fingerprints using the Henry Fingerprint System or other related methods.

FISCAL YEAR

The State of ABC’s budget year beginning July 1 and ending on June 30 of the following calendar year.

FLAG

An electronic alpha/numeric designator that indicates the type of record within an ABC AFIS database.

FULL ACCESS SYSTEM TERMINAL (FAST) SITE AGENCY

A law enforcement agency designated by the AAFIS Advisory Board that, in addition to being responsible for entering and searching its own agency’s tenprints and latent prints through the centralized AAFIS databases at the Department of Public Safety, is also required to process tenprints and latents for all other law enforcement agencies (except Remote Terminal site agencies) within the county in which the FAST site agency is located.  Necessary hardware and software capable of performing both tenprint and latent print functions is provided to FAST site agencies by the State of ABC.  FAST site maintenance costs are also paid by the State.  Staffing is the responsibility of the FAST site agency.

FUNCTION

A comprehensive set of actions provided by equipment and/or personnel.

 

GOODS

Materials and/or equipment sold by Vendor.

GRAY LEVEL IMAGE

A digital representation of more than two shades of light and dark (contrasting) areas of a fingerprint image.

 

HIT

See Identification.

 

IAFIS

FBI Integrated Automated Fingerprint Identification System.

IDENT

See Identification.

IDENTIFICATION

Confirmation of identity resulting from a search and verification of matching tenprint or latent prints with any fingerprint(s) in the ABC AFIS.

IDENTIFICATION DATABASE(S)

The collection of rolled impressions and latent images against which searches are conducted.

IMAGE

A processed or stored representation of a fingerprint.

IMAGE DATABASE(S)

Collection of rolled and latent fingerprint images for all fingerprints represented in the tenprint, latent cognizant, and unsolved latent databases.

IMAGE ENHANCEMENT

The reading and interpretation of an image by machine with the objective of improving the quality of that image.

IMAGE PROCESSING

In an AFIS, a set of tasks that includes the reading of an image, converting that image to digital (electronic) format, detecting features of that image which can be used for classification and identification and compressing that image for the most efficient storage and/or transmission.

IMAGE REVERSAL

An image in which the right and left orientation has been reversed.

IMAGE STORAGE AND RETRIEVAL SUBSYSTEM

A subsystem that provides for the storage and retrieval of images that have been processed.

INPUT

Synonymous with entry; every single step from the time a tenprint card or latent print (lift) is received, or ready to enter, until it is registered in the AAFIS.

INPUT PRINT

See search print.

INQUIRY

The process of searching a database with a specified fingerprint(s) and may include search delimiters.

INSTALLATION

The delivery and physical hookup of the equipment by Vendor as required to maintain the equipment in acceptable working order.

INTEGRATED AUTOMATED FINGERPRINT IDENTIFICATION SYSTEM

The Federal Bureau of Investigation (FBI) computerized fingerprint-based criminal history record and identification system comprised of the Interstate Identification Index (III), an Identification Tasking and Networking segment (ITN), and an automated fingerprint identification subsystem.

ISRS

Image Storage and Retrieval Subsystem.

 

JOURNAL FILE

A file containing information about all changes to the database.  This information is used during a recovery procedure.

 

LATENT CASE

All fingerprints assigned a single Case Number.

LATENT CASE RECORD

An electronic record derived from the images and alphanumeric data associated with a specific latent case.

LATENT COGNIZANT DATABASE

Collection of encoded fingerprint data and other descriptors related to all ten fingerprints from tenprint fingerprint cards against which latent prints will be compared.

LATENT DATABASE

Synonymous with unsolved latent database in the ABC AFIS.

LATENT/LATENT SEARCH

The comparison of a latent fingerprint against the latent prints in the unsolved latent database.

LATENT PRINT (LT)

Fingerprint impression(s) taken from a crime scene for identification comprised of partial prints recorded by photograph, video, laser or lifted powder on a card.

LATENT PRINT EXAMINER

A person responsible for latent print processing, e.g., encoding, verification, court testimony.

LATENT PRINT UNIT

An entity within the Department of Public Safety responsible for latent print functions.

LATENT INQUIRY

The function that searches the latent cognizant database.

LATENT REINQUIRY

A function that permits another search with different demographic information without having to reenter the latent print.  A request of the AFIS to search its fingerprint database(s) again using data previously obtained from a latent fingerprint.  See re-inquiry.

LATENT/TENPRINT SEARCH

The comparison of a latent print to the rolled impressions in the latent cognizant database.

LATENT VERIFICATION WORKSTATION

Equipment for encoding all latent case data elements, including minutiae points, demographic data, search parameters, etc.

LIFT

Transfer tape or a photograph bearing a latent print impression developed from a crime scene.

LIVESCAN

A device capable of capturing all demographic data and, directly from a subject’s fingers, image data necessary to produce a complete set of fingerprint cards at the same site at which the device is located.  Livescan devices also have the capability to electronically forward the image and demographic data to the central AAFIS processing site; i.e., this device must appear to the central AAFIS site as a remote tenprint input device.  Livescan devices must also be capable of producing a hard copy tenprint card on a laser printer in (at least) sixteen (16) shades of gray per finger image.

LOG

A file that stores information on AFIS activities for use in file recovery, statistical reporting, or as an audit trail.

LOOP, RADIAL

A loop type pattern in which the direction of flow is toward the index finger as it appears on the hand.

LOOP, ULNAR

A loop type pattern in which the direction of flow is toward the little finger as it appears on the hand.

 

MAINTENANCE DIAGNOSTICS ROUTINES

System diagnostic programs used to test equipment or the system for proper functioning and reliability.

MAINTENANCE SERVICE

The parts and services supplied by Vendor as required to maintain the equipment in good working order and to ensure that the equipment continues to satisfy all performance requirements.

MASTER FINGERPRINT FILE

Permanent collection of tenprint fingerprint cards, usually the first set received on a subject with an arrest record at the Central State Repository at the Department of Public Safety.  This manual file is arranged by Henry Fingerprint Classification.

MATCHER

Special purpose processor that compares fingerprint topological features, e.g., minutia, and determines a list of probable candidates.

MATCHING PROCESS

Comparing a search print against file (database) prints and producing a candidate list with the highest matching scores.

MATCHING SCORE

The numerical result of comparing the features of two (2) fingerprints.

MATCHING SUBSYSTEM

An integrated group of hardware and software that allows the comparison of fingerprints.

MINUTIAE

A generic term for features of fingerprint images including ridge endings and bifurcations.

MINUTIAE DATA

Data representing minutiae extracted from fingerprint images.

MINUTIAE DETECTION

The process of analyzing and extracting minutiae from a fingerprint image.

MISS

Occurrence of a true match scoring below the numerical threshold separating match from mismatch.  It is not recognized as a match candidate.

 

NIST

The National Institute of Standards and Technology.

NO HIT THRESHOLD SCORE

Score below which a candidate is considered not to match a submitted print.

 

OFFEROR

A vendor who responds to a request for proposal.

OPERATIONAL

A term that describes the state of the system when it is capable of processing transactions.

OPERATOR FUNCTIONS

Tasks or sets of tasks that require or allow human interaction with system processes.

OPERATIONAL USE TIME

The time during which the system is available for use.  Synonymous with the term availability.

OPERATOR ID

An identifying code entered during identification log-on.  It is used as a security measure.

OPTICAL DISC

A medium for the economical storage of very large quantities of image and/or demographic data.

ORI

Originating agency identifier.  A nine alpha/numeric character identifier assigned by the FBI to a criminal justice agency that has met the established qualifying criteria for ORI assignment to identify the agency in transactions on the National Crime Information Center (NCIC) system and the ABC Criminal Justice Information System (ACJIS). DPS adds one additional alpha/numeric character (10th) for use as “contributor” ORI number in AAFIS processing. ORI numbers are used also as a criminal justice agency identifiers in the ABC AFIS. See also “Pseudo-ORI.”

 

PATTERN TYPE

Classification given to a fingerprint denoting its primary characteristics (loop, whorl, arch, etc.).

PCN

Processing Control Number.  An internally-assigned number that the AAFIS uses to track transactions or records within the system.

PERFORMANCE

A measurable attribute of the system, subsystem, or component normally associated with acceptance testing of the AFIS.

PERIPHERAL

Any device attached to a system through a direct local connection.

PERSONAL DESCRIPTIVES

Descriptive information appearing on a fingerprint card including name, sex, height, weight, eye and hair color, involvement type, and date of birth, etc.

PIXEL/PICTURE ELEMENT

A digitized representation of a fingerprint image consists of “pixels” or “picture elements.”  These pixels are the numeric gray level representa­tions of each element of the fingerprint image.  When displayed on a monitor each pixel corresponds to a “dot” of varying intensity.

PREVENTIVE MAINTENANCE

Any task routinely performed as part of a scheduled program of maintenance designed to keep the system in proper operating condition.

PRINCIPAL PERIOD OF MAINTENANCE

The days of the week and the hours of the day that on-call remedial maintenance is provided under the terms and conditions of the equipment maintenance agreement.

PRIORITY

The executing sequence or precedence among jobs or tasks.

PROCESSING TIME

The actual time the system is operational and is being used to process work.

PURGING

The deletion of records from a database.

 

QUALITY CONTROL CHECKING

An examination of a tenprint record by an AAFIS operator to ensure that mandatory demographic information is on the tenprint card and has been correctly entered, along with pertinent image data, into the AAFIS databases.  This examination may include confirmation of a “Hit” or “No-Hit” declared by another AAFIS operator.

Quality control checking will be conducted by the Central Site on all FAST site and Remote Terminal site tenprint submissions when AAFIS becomes operational and will continue until it is determined that a submitting ORI’s accuracy rate is 98 percent or more.  At that time, quality control checking of that ORI’s tenprint submissions will be done only on a random sampling basis, unless the accuracy rate falls below 98 percent.  In that event, the Central Site will be obligated to re institute quality control checking of all submissions until such time as the ongoing accuracy rate for that ORI again reaches 98 percent or better.

QUEUE

Input and output items waiting until processing can occur.

 

REINQUIRY

Searching a search print against the database again without having to re-encode the fingerprint data.  See latent reinquiry and tenprint reinquiry.

REMEDIAL MAINTENANCE

Any task performed to remedy a malfunctioning system component.

REMOTE BOOKING TERMINAL SITE

An arrest booking facility that is equipped with a livescan device directly connected to the central AAFIS computer, or to the AAFIS equipment at a FAST site or Remote Terminal site, to electronically search fingerprint databases located at the central fingerprint repository.

 

REMOTE TERMINAL SITE AGENCY

An approved law enforcement agency in any county that acquires its own fully compatible AAFIS equipment that is directly interconnected to the central site AAFIS computer at the Department of Public Safety.  A Remote Terminal (RT) site agency has the same tenprint and latent print processing capability as a FAST site, but is required to pay all costs associated with AAFIS processing at the remote terminal site.  A Remote Terminal site agency is responsible for entering and searching only its own agency’s tenprints and latent prints through the centralized AAFIS databases at the Department of Public Safety.  At its option, with approval of the AAFIS System Manager, a Remote Terminal site agency may execute a formal intergovernmental agreement (IGA) to provide AAFIS services for another law enforcement agency.

Except where specifically stated otherwise, the terms FULL ACCESS SYSTEM TERMINAL SITE AGENCY and REMOTE TERMINAL SITE AGENCY are interchangeable within this document with respect to requirements, workloads, throughputs, specifications, etc.

REVERSE VIDEO

When viewing images of data on a reverse field cathode-ray tube (CRT), the reversal of background and image.  For purpose of clarifying the print impression for minutiae detection and verification, it is often necessary to reverse the black ridges on a white background to white ridges on a black background. See also “Color Reversal.”

ROLLED PRINT SUBSTITUTION

A user function that replaces one or more fingerpri­nts on a card registered in a database with corresponding fingerprints from an input card.

 

SEARCH PRINT

The subject of a fingerprint inquiry.  It is the fingerprint that will be compared against database prints.  Also called input print.

SEX OFFENDER REGISTRATION PRINTS

Fingerprints on a subject residing in the State of ABC who has registered as a convicted sex offender pursuant to ABC Revised Statute 00-0000.

SEX OFFENDER REGISTRATION TRACKING (SORT)

The computerized database on the ABC Criminal Justice Information System network, housing demographic data on registered sex offenders in the State of ABC.

SCHEDULED DOWNTIME

Scheduled downtime is system downtime for preventative maintenance, software upgrades, hardware upgrade, etc. that cause the system to be unavailable for any processing.  This downtime is scheduled prior to the beginning of each month and agreed to by both the VENDOR and DPS.  If the downtime was not scheduled prior to the beginning of the month, it will be considered as downtime chargeable to system availability.

SID

State Identification Number.

SOFTWARE

The executable programs, routines, and subroutines of an AFIS.  Includes operating system software and application programs.

SORT

Sex Offender Registration Tracking.

SORT

The sorting of any selected data in a database in a report in ascending order for management report purposes.

SPLIT SCREEN

A feature that allows the side by side display of two (2) fingerprint images.

STATE

The State of ABC, its agencies, officers, employees and/or consultants; also, throughout this request for proposal the term “the State” may refer to the ABC Department of Public Safety.

STATE IDENTIFICATION NUMBER

The alpha/numeric number assigned to an individual with an arrest record on file with the ABC Central State Repository that is supported by fingerprints.

SUBSTITUTION

The replacement of a single fingerprint with another.

SUBSYSTEM

An integrated functional group of end items that operate as a stand alone set of equipment.

SYSTEM

The total complement of Vendor subsystems, including software, support documents and central processor that comprises the AAFIS.

 

TENPRINT

A term that refers to any fingerprint card with up to ten fingerprints; also refers to a search of the database housing tenprint data in AFIS.

TENPRINT/IDENTIFICATION (TPID) DATABASE

A database that contains minutia data for only the two index fingers from tenprint records; it is used for quick searches to determine whether a newly input tenprint record corresponds to one that already exists.

TENPRINT/LATENT COGNIZANT (TPLC) DATABASE

A database that contains minutia data for all ten fingers from tenprint records; it is used to conduct all latent to tenprint and other, more extensive, searches.

TENPRINT RECORD

An electronic record derived from the images and alphanumeric data on a tenprint card or from live-scanned images.

TENPRINT/LATENT UNSOLVED SEARCH

A function that provides for the search of new tenprint impressions against the unsolved latent database.

TENPRINT DELETION

A user function that eliminates stored data for a specified tenprint card from the database.

TENPRINT REINQUIRY

A request of the AFIS to search its fingerprint database(s) again using data previously obtained from a tenprint.  See reinquiry.

TENPRINT/TEN-PRINT SEARCH

The comparison of a new tenprint card to the rolled impressions in the AFIS databases.

TERMINAL

Device consisting of a display and keyboard through which an operator interacts with an AFIS.

TRACING

The interactive process provided in some systems of specifying the location of latent fingerprint minutiae and other features to improve readability.

TRANSACTION

An individually distinct input that is processed by user requested system functions.

 

UNIQUE IDENTIFYING NUMBER

A maximum of ten (10) alpha/numeric characters used for identification, i.e., local law enforcement case number, FBI number.

UNSOLVED LATENT DATABASE

Storage area for (unidentified) unsolved latent fingerprint data.  It is used for matches against other latents and incoming tenprint records.

UNSOLVED LATENT (UL)

A latent fingerprint lifted from the scene of a crime that has been processed through AAFIS, but for which no identification has been made.

UPDATE

Change to data in a database.

 

VERIFICATION

The comparison of two (2) sets of fingerprint images to establish positively they are from the same individual.

 

WHORL, ACCIDENTAL

A pattern type consisting of a combination of two (2) different types of patterns, with the exception of the plain arch, with two (2) or more deltas; or a pattern that possesses some of the requirements for two (2) or more different types; or a pattern that conforms to none of the definitions.

WHORL, CENTRAL POCKET LOOP

A pattern that has two (2) deltas and at least one (1) ridge that makes or tends to make a complete circuit.  The circuit may be spiral, oval, circular, or any variant of a circle.  An imaginary line drawn between the two (2) deltas must not touch or cross any recurving ridges within the inner pattern area.  A recurring ridge, however, that has an appendage connected with it in the line of flow and on the delta side cannot be construed as a circuit.  An appendage connected at that point is considered to spoil the recurve on that side.

WHORL, DOUBLE LOOP

A pattern consisting of two (2) separate loop formations with two (2) separate and distinct sets of shoulders, and two (2) deltas.

WHORL, PLAIN

The “plain whorl” consists of the simplest form of whorl construction and is the most common of the whorl subdivisions.  It is designated by the symbol “W” for both general classification and extension purposes.

The plain whorl has two deltas and at least one ridge making a complete circuit, that may be spiral, oval, circular, or any variant of a circle.  An imaginary line drawn between the two deltas must touch or cross at least one of the recurving ridges within the pattern area.  A recurving ridge, however, that has an appendage connected with it in the line of flow cannot be construed as a circuit.  An appendage connected at that point is considered to spoil the recurve on that side.

WORKSTATION

The set of equipment components used by an AFIS operator for the acquisition, encoding, and comparison of image and textual data.  A physical area in which are performed operator (person) related tasks, e.g., inquiry, data entry, and verification.

For more definitions of the fingerprint categories, terms, and abbreviations used in this document, please refer to the American National Standard for Forensic Identification—Automated Fingerprint Identification Systems—Glossary of Terms and Acronyms, International Association for Identification, Alameda, California, 94501-2423.


1.6            Applicable References

The following sources were used to compile the requirements contained in this specification:

·         ABC Department of Public Safety Request for Proposal for an Automated Fingerprint Identification System (AFIS) - RFP #00000

·         Amendments 01 - 04 to the ABC Department of Public Safety Request for Proposal for an Automated Fingerprint Identification System (AAFIS)

·         ABC AFIS Advisory Board Resolution dated Month Day, Year

·         Response to the RFP and Addendums (Vendor Proposals)

·         Technical discussions between DPS and Vendor personnel

·         ANSI/NIST-NCSL 1-199X Standard

1.7            Use of Shall, Will, Must, Should, and May

For the purposes of this document, the words shall, will and must are used to express a provision that is binding. Should and may are used to express non-mandatory provisions.

1.8            Work Requirements

VENDOR shall furnish all equipment, software, material, services, cabling, wiring and install and maintain an operational automated fingerprinting system in accordance with the paragraphs incorporated herein.

2.              System Functionality

2.1            AAFIS Overview and Operational Concept

2.1.1            AAFIS Overview

2.1.1.1  The ABC Automated Fingerprint Identification System (AAFIS) shall be comprised of a central fingerprint repository within the Department of Public Safety (DPS) and two Full Access System Terminal (FAST) sites, pursuant to ABC Revised Statute 41-2411, and five Remote Terminal (RT) sites.  One FAST site will be at the ABC County Sheriff’s Office, and the other FAST site will be at the GHI Police Department in DEF County.  The XYZ Police Department, the XYZ Police Department, the ABC Police Department, the DEF Police Department and the GHI Police Department will be the initial Remote Terminal (RT) site agencies. As needs are identified, Remote Terminal sites will be authorized for other law enforcement agencies within the state.

2.1.1.2  FAST site agencies will provide AAFIS access services for all other law enforcement agencies (except Remote Terminal site agencies) within their respective counties.  AAFIS processing for agencies that are not designated as FAST sites or Remote Terminal sites will be provided by the Department of Public Safety. Additionally, the Department of Public Safety will provide a quality control function on remote FAST site and Remote Terminal site AAFIS processes, by reverifying a certain number of tenprints processed by the FAST sites and Remote Terminal sites.

2.1.1.3  It is desired that remote, direct livescan devices will eventually tie at least one remote booking terminal site in each county to AAFIS.  The livescan devices at these sites will permit an arrest booking facility to electronically transmit fingerprint information directly - or via a FAST or RT site - to the centralized AAFIS databases at the Department of Public Safety.

2.1.1.4  System design plans also specify that the ABC Computerized Criminal History (ACCH) database on the ABC Criminal Justice Information System (ACJIS) network will be automatically updated when arrest fingerprint information is transmitted to the central fingerprint repository.

2.1.1.5  The system shall include hardware, software, and services necessary to support the ABC AFIS as described in this User Requirements Specification.

2.1.1.6  The Department of Public Safety is also interested in establishing communications to the Western Identification Network (WIN) and the Federal Bureau of Investigation (FBI) Integrated Fingerprint Identification System (IAFIS).  It is also highly probable that additional ABC law enforcement agencies will be purchasing AFIS equipment within the next few years.


2.1.2            AAFIS Operational Concept

2.1.2.1         Central Site

2.1.2.1.1           The purpose of this section is to describe the processes currently used to meet the-fingerprint identification responsibilities of the Criminal Justice Information Services (CJIS) Division and the Latent Print Unit within the ABC Department of Public Safety.  The Criminal Justice Information Services Division is responsible for collection, storage and dissemination of criminal history record information in ABC.  The Fingerprint Unit within the Criminal Justice Information Services Division has the responsibility for fingerprint identifications and verifications.  The Latent Print Unit within the Scientific Analysis Division of the ABC Department of Public Safety has the responsibility of providing latent print services as an investigative aid for suspect identification.

2.1.2.1.2           The Criminal Justice Information Services Division serves as the central state repository of fingerprint-based criminal record information in ABC.  The Department of Public Safety is required by legislative mandate (ABC Revised Statute 41-1750) to maintain information relative to arrests and convictions of individuals who come in contact with the ABC criminal justice system. Additionally, fingerprint cards are processed by the Department of Public Safety for authorized agencies that require criminal history information for noncriminal justice licensing and employment purposes.

2.1.2.1.3           It is the Criminal Justice Information Services Division’s responsibility to collect, store, and maintain manual and computerized ABC offender files.  Arrest records are established and appended on the basis of fingerprints received.

2.1.2.1.4           The Criminal Justice Information Services Division is also responsible for the entry of manual records into the ABC Computerized Criminal History (ACCH) file.  The ACCH database is a computer file within the ABC Criminal Justice Information System (ACJIS) network that electronically stores offender record information.  Original source documents are maintained in manual file folders that also serve as backup to the computerized files.  The Criminal Justice Information Services Division is responsible for maintaining and updating both automated and manual offender files.

2.1.2.1.5           The Fingerprint Unit has primary responsibility for identification of persons through fingerprints.  ABC criminal justice agencies and other authorized agencies submit criminal and/or noncriminal fingerprint documents that are manually fingerprint searched and/or verified against previously submitted fingerprints maintained within the Department of Public Safety fingerprint file or offender file folder.

2.1.2.1.6           The Latent Print Unit within the Scientific Analysis Division provides latent print comparison and related services to medical examiners, courts, law enforcement and other criminal justice agencies of ABC. Analysis of physical evidence and latent print examinations (known and unknown suspects) are conducted in four regional laboratories located in ABC, DEF, GHI, and JKL.  The Latent Print Unit, within the Department of Public Safety, will provide AAFIS latent print services for law enforcement agencies outside of ABC County and DEF counties.


2.1.2.2         Remote FAST Sites

The purpose of this section is to describe the processes currently used to meet the fingerprint identification responsibilities of the identification section of a FAST site.  The identification section is responsible for fingerprint identification and verification as it relates to the subject’s identification.  The section also has the responsibility for providing latent print services as an investigative aid for suspect identification.

The identification section has primary responsibility for identification of persons through fingerprints. Fingerprints of persons booked at the FAST site and noncriminal fingerprint documents that are submitted to the section are manually fingerprint classed, searched and/or verified against previously submitted fingerprints maintained within the master fingerprint file or the offender file jacket.

The identification section provides latent print comparison and related services to the medical examiners, courts, law enforcement and criminal justice agencies in the jurisdiction of the FAST site and ABC.  Analysis of physical evidence and latent print examinations (known or unknown suspect) are conducted by the section.

The ABC County Sheriff’s Office will operate as the remote FAST site, providing latent print services for law enforcement agencies within ABC County.

The DEF Police Department will operate as the remote FAST site, providing AAFIS latent services for law enforcement agencies within DEF County.

2.1.2.3         Remote Terminal (RT) Sites

The identification and latent sections of Remote Terminal (RT) sites have the same responsibilities as those of the FAST sites.

2.2            AAFIS Operational Workweek

2.2.1            Hours of Operation – Tenprints

2.2.1.1  Central Site – Department of Public Safety Fingerprint Unit; seven (7) days per week; ten  (10) hours per day (0700 hours - 1700 hours).

2.2.1.2  FAST site – ABC County Sheriff’s Office; seven (7) days per week; ten (10) hours per day (0700 hours - 1700 hours).

2.2.1.3  FAST site –DEF Police Department; seven (7) days per week; ten (10) hours per day (0700 hours - 1700 hours).

2.2.2            Hours of Operation –  Latent Prints

2.2.2.1  Central Site – Department of Public Safety Latent Print Unit; seven (7) days per week; sixteen (16) hours per day (0700 hours - 2300 hours).

2.2.2.2  FAST site – ABC County Sheriff’s Office; seven (7) days per week; sixteen (16) hours per day (0700 hours - 2300 hours).

2.2.2.3  FAST site – DEF Police Department; seven (7) days per week; sixteen (16) hours per day (0700 hours - 2300 hours).

2.3            External Interfaces

Regarding the issue of interface/connectivity, as stated in paragraphs 1, 2, and 3 below.  The central AAFIS must be provided with the capability to prioritize and/or queue and reinitiate the incoming transactions in order to control resource utilization.  All interfacing shall be in full compliance with the American National Standard ANSI/NIST-CSL 1-199X (as defined in the National Institute of Standards and Technology document NIST-CSL 1-921901, “Data Format for the Interchange of Fingerprint Information” and the Department of Justice, Federal Bureau of Investigation, Criminal Justice Information Services Electronic Fingerprint Transmission Specification document IAFIS-IC-0010 (V2), and shall be capable of being modified at little or no cost to the state to comply with subsequent approved revisions to these standards.

2.3.1            Western Identification Network (WIN)

Connectivity with the WIN, NEC AFIS System is required. Connectivity is defined as, when directed by the AAFIS operator, and upon completion of a search within the ABC AFIS system, a search is continued within the WIN AFIS System without additional manual duplication of process.  The search results shall be returned to the appropriate AAFIS search result queue(s).


2.3.2            Federal Bureau of Investigation (FBI)

Connectivity with the FBI IAFIS system is required.  Connectivity is defined as, when directed by the AAFIS operator, and upon completion of a search within the ABC AFIS system, a search is continued within the FBI AFIS system without additional manual duplication of process.  The search results shall be returned to the appropriate AAFIS search result queue(s).

2.3.3            ABC Computerized Criminal History (ACCH) Database

2.3.3.1  Connectivity with ACCH on the ACJIS network is required.  The specified method shall offer the capability of effecting the interface without multiple entries of the same data by the operator.

2.3.3.2  Connectivity with ACCH on the ACJIS network must be fully operational at the time of the System Acceptance Test.

2.4            AAFIS Processing

2.4.1            General AAFIS Requirements

2.4.1.1  The system shall have a built-in image enhancement feature that includes the capability of operator-selected enlargements.

2.4.1.2  The system shall be capable of operating unattended so that previously encoded prints may be run automatically with no operator presence required.

2.4.1.3  The viewing screen shall have split record screen capabilities.

2.4.1.4  Tenprint and latent print records shall be on-line with direct access, eliminating manual loading of file volumes.  The hardware shall be capable of being located separate from the input monitor and latent inquiry consoles, having its own environment according to appropriate specifications.

2.4.1.5  The system shall be capable of generating and scanning personal automated assigned identification numbers for each tenprint.

2.4.1.6  The software shall be able to sort by operator selected demographic data, (SID number, or AAFIS Record Number; sex code, date of birth, print type, name, contributor ORI number, other unique number (local, FBI, DOC, etc.), class of crime, lift number, date of crime, agency case number, AAFIS processing identifying number, operator identification number).

2.4.1.7  A rating scheme for tenprint quality shall be provided.

2.4.1.8  The system shall cause a print to be flagged as “needs quality control” when the system image processor subsystem determines that the image is below a default threshold; this threshold can be adjusted by the System Administrator.

2.4.1.9  The Latent Print Unit (Central Site), FAST sites and Remote Terminal sites must have the capability to initiate tenprint searches for identification purposes.

2.4.2            System Databases

2.4.2.1  The databases shall provide on-line direct access to the fingerprint cards and latent prints.  Single image storage and indexing shall be provided by unique identification number and finger/lift number.

2.4.2.2  The system shall store both tenprint and latent case data, including:

·         Images stored in compressed format with up to 256 levels of gray and a decompressed image size of 512 x 512 elements with a resolution of 520 elements per inch

·         Minutiae used for searching

·         Alphanumeric data, including demographics and search criteria and free text area

·         Cards will be stored with up to nine unreadable fingers.  Such cards will not degrade search performance unless both index fingers are bandaged and/or missing

2.4.2.3              Tenprint card data, consisting of criminal cards and non-criminal cards, shall originate from both the converted tenprint card database and operator input on the XL system. Latent case data shall be originated by operators on the XL system.

2.4.3            Record Modification and Purge

The AAFIS will track the history of records within the AAFIS databases.  Data that will be tracked for all records includes id of operator who created the record, date of creation, id of operator(s) who modified the record, and date(s) of record modification.

2.4.3.1         Record Modification of Tenprints

The software shall be able to purge the database by unique identification numbers, tenprint card type, and/or tenprint card type and date of birth, and/or tenprint card type and age of record, and have the capability to provide off-line storage of purged records.  The central site for tenprint operations at the Criminal Justice Information Services Division shall be the sole entity capable of purging records in the ABC AFIS.  An exception is that latent operations at all sites can purge latent prints if they are the contributing ORI of the latent case.  Any AAFIS site operator shall be able to select records for a report of purged records.

2.4.3.2         Record Modification of Latent Prints

The software shall be able to purge latent prints from the database using the following demographic data as search arguments:

ORI Number –

Removes all latents with an ORI number equal to the search argument ORI Number entered.

Agency Case –

Removes all latents with an Agency Case Number equal to the search argument Agency Case Number entered.

Agency Case Number and Lift Number –

Removes all latents with an Agency Case Number and a Lift Number that are both equal to the search argument Agency Case Number entered and Lift Number entered.

Crime Class and Date of Crime

Removes all latents with a Crime Class equal to the search argument Crime Class whenever the latent’s Date of Crime is prior to the search argument Date of Crime entered.

(Note:   Date of Crime should include century indicator.)

2.4.3.3         On-Line Confirmation

On-line confirmation prompts shall be used in file updating or deleting records whereby the terminal operator is required to confirm the requested update or deletion is desired.

2.4.3.4         ADPS Latent Validation

The ABC Department of Public Safety, as system manager, will conduct a validation program on AAFIS latent print records.  Latent records will be removed from the system by the Department of Public Safety when:

Identification is made;

The record is no longer valid;

The contributor fails to validate the record; or

Priority for retention changes occur.

2.4.3.5         Latent Entry Constraints

Major contributors may have additional constraints placed upon them regarding latent entry based on volume capacity in the unsolved latent database.

2.4.4            Tenprint Processing

The AAFIS will process criminal and noncriminal arrest tenprint card identifications at the Central Site (Tenprint Operations), at FAST sites, and at Remote Terminal (RT) sites.  Tenprint processing at RT and FAST sites will be the same.  The Central Site tenprint operations will differ slightly from that of RT or FAST site processing.

2.4.4.1         RT Site and FAST Site Tenprint Processing

RT and FAST sites will process tenprints in the same manner. As a general overview, the processing logic will cover the following steps; 1) the tenprint card will be received at the RT or FAST site; 2) the card will be checked to determine if the AAFIS required data is written on the card; 3) the card will be input into AAFIS via a Full-Function Workstation (WSF) – both demographic and image data necessary for a tenprint-to-tenprint (TP/TPID SEARCH or “technical” search) will be entered at this point; 4) upon completion of data entry, the AAFIS will automatically initiate a TP/TPID SEARCH—the TP/TPID SEARCH may result in a “NO CANDIDATES FOUND” message or a candidate list; and, 5) if the system TP/TPID SEARCH is verified as “no-hit” or the TP/TPID SEARCH results in “NO CANDIDATES FOUND,” the system will automatically initiate a TP/USL search.  Tenprint to Unsolved Latent processing requests will also be initiated by the RT and FAST site workstations.

Wherever the term “contributing ORI” is used in this User Requirements Specification, it shall be understood to include those agencies that have signed an AAFIS FAST Site User Agreement authorizing the ABC Department of Public Safety or a FAST site to perform AAFIS transactions on their behalf.

Diagram 2.4.4.1.1 (RT Site and FAST Site Tenprint Processing Logic) and Diagram 2.4.4.1.2 (RT Site and FAST Site Tenprint to Unsolved Latent Processing Logic) illustrate the FAST and RT processing logic that is expected of the AAFIS.


Diagram 2.4.4.1.1: RT Site and FAST Site
Tenprint Processing Logic


Diagram 2.4.4.1.2: RT Site and FAST Site
Tenprint to Unsolved Latent Processing Logic

 


2.4.4.2         Central Site Tenprint Processing

Central Site tenprint processing is nearly identical to RT site and FAST site tenprint processing.  The following points highlight the additional processing that will take place as a result of tenprint processing requests from the Central Site:

Tenprint verification lists are immediately queued for second verification at the Central Site[1]


 

 

 

Diagram 2.4.4.2.1: Central Site Tenprint Processing Logic


Diagram 2.4.4.2.2: Central Site Tenprint
 to Unsolved Latent Processing Logic


2.4.4.3         General Tenprint Processing Requirements

2.4.4.3.1           The system shall be capable of operator assisted encoding of minutiae to process inked fingerprints.

2.4.4.3.2           The system shall be capable of providing (via video terminal display and printer hard copy) a list of respondents ranked by a threshold scoring system in descending order of probability of the correct match for both latent and tenprint searches.  The system shall also have the capability to utilize a threshold scoring system.

2.4.4.3.3           All workstations shall have the capability of receiving a list of match candidates via video display terminal with the capability of producing hard copy for manual verification.

2.4.4.3.4           The system shall be capable of adding new records and changing pertinent data (including addition of a SID number) within the tenprint records .  Records entered by the central site, a FAST site, or a Remote Terminal site shall become immediately available for subsequent searches and verifications by ABC AFIS sites.

2.4.4.3.5           When FAST or Remote Terminal records are transmitted to the central site AAFIS, the data is to be stored temporarily in the permanent tenprint database with a flag to indicate that the data requires quality control checking by the central site tenprint operations personnel.  This data is considered incomplete until the quality control function is done, upon receipt of the tenprint card.  The temporarily stored remote entry data will be purged automatically if the tenprint card is not received for the quality control check at the AAFIS Central site after thirty (30) days of the system record entry.

2.4.4.3.6           The system shall be able to select the best quality print for each individual in situations where duplicate records exist and, on operator intervention, substitute that print/card.

2.4.4.3.7           During a record addition into the ABC AFIS, an automated quality check is required of the system.  A flag is to be set for any finger(s) not meeting the established criteria.  A record is to be automatically put in a quality control queue if any fingers are flagged and the contributing operator will periodically check the status of the poor quality print queue.

2.4.4.3.8           The system is to be capable of replacing one (1), or any number of individual fingerprint images on the subject, if another tenprint card is available for the subject.

2.4.4.3.9           The system is to provide, upon request by the operator, an on screen print image of any previously maintained print that was replaced.

2.4.4.3.10          The system shall provide the capability to change search parameters, such as; priority and pattern, and reinitiate a search of the tenprint file without rereading the card.

2.4.4.3.11          The system shall allow cancellation of a search transaction from the search queue, or to delete search results awaiting verification.

2.4.4.3.12          The system shall provide the ability to request a finger image display by SID number, unique AAFIS Record Number, or internal PCN.  Selection by finger number within the SID number, or by finger number within the AAFIS Record Number, or PCN is also required.

2.4.4.3.13          The system shall allow operators to review tenprint inquiry results on a verification screen by either requesting “next result” or requesting the results of a specific candidate.

2.4.4.3.14          All tenprints will be searched against the tenprint database.  All “no matches” will be searched against the unsolved latent print database, automatically launched, for off-line search, resulting in an on-line response.  The system shall provide the capability to make an inquiry (search) of the unsolved latent database, whenever a record is added to the databases.

2.4.4.3.15          The system shall have the capability to allow the operator upon request to search a primary and/or secondary pattern type for search.

2.4.4.3.16          Vendor shall establish an automated interface between the AAFIS and the ACCH database within the ACJIS network.  The ACCH database environment consists of an HDS EX/80 running ADABAS.  Software protocols include CICS/VS, MVS/XA, ACF/NCP, and SNA 3270/SDLC.

2.4.4.3.17          The SID in each AAFIS record will provide a path to the print subject’s identity, description, and criminal history records contained in the ACCH database.   For new print activity after the implementation of the ABC AFIS, Department of Public Safety procedures will require a print search and verification of identity prior to indexing the subject into the ACCH database as an arrested person entry.  If no match is found, it also indicates that the print subject has not been indexed into the ACCH database.  If no match is found and the print subject is an arrested person, the print subject is indexed with the SID assigned by the ABC AFIS.  The prints can now be registered into the AAFIS with the proper SID as a primary key for ACCH access and as a secondary key for AAFIS access.  The print cards for post AAFIS subjects will be stored in ascending order by SID number and the Henry class codes will no longer be used.

2.4.4.3.18          If in the above situation the subject was a noncriminal entry the same procedure will apply except that the ABC AFIS will assign a unique AAFIS Record Number instead of a SID number.

2.4.4.3.19          The system shall be capable of performing a batch TP/TPID search, consisting of a TP permanent record extraction followed by a search.

2.4.4.4         Record Identification Number

There will be three (3) types of unique record identification numbers (AAFIS Record Number, SID Number, and PCN) that will be used within the AAFIS to designate a specific tenprint record.  These three types of (unique) numbers will be used to track different types of records as follows:

 

 

AAFIS-Only Tenprint Record

ACCH-Tracked Criminal Card

AAFIS Record Number

PCN

AAFIS Record Number

SID Number

PCN

2.4.4.5         Tenprint Throughput

The system shall be capable of processing the tenprint operations throughput as specified below:

Workload Per Site

 

TP Input

Quality Check

TP/TP Ver

TP/UL View

QC

Central

578

247

578

555

83

ABC

9

 

9

9

2

DEF

12

 

12

12

2

GHI

82

 

82

79

12

JKL

12

 

12

12

2

MNO

9

 

9

9

2

PQR

66

 

66

64

10

STU

58

 

58

56

9

Totals:

826

247

826

796

122

2.4.4.6         Tenprint Data Element Description

In addition to any internal Vendor required data elements such as a PCN, at least the following elements shall be stored as part of the AAFIS record:

a.     State Identification Number(SID):  Ten (10) characters alpha/numeric; or, if not an arrest, AAFIS Record Number (AAFIS computer generated): Ten (10) characters alpha/numeric;

b.   Sex Code:  One (1) alpha/numeric character (F or M);

c.   Date of Birth: Eight (8) numeric characters; CCYYMMDD (Century/Year/Month/Day);

d.   Print type:  Up to two (2) alpha characters to indicate type of print document (i.e., juvenile,[2] suspect, applicant, ACCH arrest, ACCH non-arrest, etc.);

e.   Name:  Up to thirty (30) characters; last name, first name, middle name.

f.    Contributor ORI#:  Nine (9) alpha/numeric characters; valid Department of Public Safety assigned number identifying the contributing agency.

g.   Other unique #:  Up to fifteen (15) alpha/numeric characters (i.e., local, FBI, Department of Corrections (DOC), etc.).

h.   Fingerprint images:  A representative reproduction of an actual fingerprint.

i.    Operator ID#:  AAFIS operator identification number; up to five (5) alpha/numeric characters (system generated).

j.    Class of Crime:  Four (4) numeric characters; must be code used by FBI - uniform offense classification (NCIC code).

k.   PCN

l.    Year of Birth (YOB):  Four (4) numeric characters; CCYY (Century/Year).

m.  Agency Code.

 

The following data will be sent to ACCH (if the tenprint transaction deals with an ACCH-retainable arrest):

 

n.  Date Of Arrest (DOA):  Eight (8) numeric characters; CCYYMMDD (Century/Year/Month/Day).

 

o.  Originating Case number (OCA):  Fifteen (15) characters (arresting agency case number)

 

p.  Felony Arrest Indicator:  One (1) character (F-elony or M-isdemeanor)

2.4.4.7         Data and Image Entry for TP/TPID Search

2.4.4.7.1           For tenprint entry, from an authorized workstation, the system shall:

·         Allow the operator to enter alphanumeric data, and selected search criteria

·         Encode tenprints automatically

2.4.4.7.2           To maximize the probability of matching newly-input tenprints, the system shall provide on-screen editing tools to assist with image entry.  The operator shall be given the option to abort an acquisition prior to completion.  The operator will also be able to select the following search control parameters: threshold on or threshold off with candidate list length, and search priority.

2.4.4.7.3           It shall be possible to acquire and search tenprint images from live-scan devices, photocopies, photographs and Group III or better facsimile.

2.4.4.7.4           The State of ABC’s AFIS shall be an operator interactive system for searching tenprints against the existing database of tenprint cards on file.  The system shall provide a list of subjects based upon print minutiae and operator selected descriptors, listing the respondents in order of decreasing probability of match.  The AAFIS shall be capable of handling the present workload and anticipated expansion without the redesign or replacement of the proposed hardware/software units.

2.4.4.7.5           Tenprint examiners, when requesting a tenprint inquiry, shall be able to specify the number of candidate images to be returned or turn on the “” threshold feature.  If these options are not specified, the system shall use default values.

2.4.4.7.6           The search results shall be stored, protected, and available for initial verification at the submitting ORI for a period of not less than 96 hours from time of search initiation.  In addition, the search results shall be stored, protected, and available for a second verification at the central site for a period of not less than 30 days from the time of search initiation.

2.4.4.7.7           The system shall provide the ability to request a finger image display by SID number, AAFIS Record Number or AAFIS PCN plus finger number.

2.4.4.8         TP/USL Search Initiation

All tenprint record search “no matches” will be searched against the unsolved latent print database, automatically launched, for off-line search, resulting in an on-line response.  Also, whenever a tenprint record is added to the database, the system shall provide the operator with an option to search the unsolved latent database.  If a search of the unsolved latent database is performed, the system will search every finger of the tenprint card against the unsolved latent database.

2.4.4.9         Tenprint Record Deletion and Retrieval

2.4.4.9.1       Deletion by SID Number, and/or AAFIS Record Number

From an authorized workstation, the operator shall be able to purge tenprint records, individually or in batches, from the database by specifying the SID or AAFIS Record Number(s).  The system shall prompt the operator for confirmation of the purge.  The system shall provide a means to identify SIDs by query of the tenprint database with data element delimiters.

2.4.4.9.2       Record Retrieval

From an authorized workstation, the system shall provide the ability to request a single finger image display at any workstation by SID and finger number without conducting a search.  All tenprint finger images will be obtainable by requesting and displaying each of the fingers individually.

2.4.4.10       TP/TPID Search and Match Verification

2.4.4.10.1          After the operator enters a tenprint, the system shall initiate a search in which the two index fingers are compared to the two-finger tenprint records of known individuals in the tenprint database.  The system shall permit entry of search criteria to reduce the database search.

2.4.4.10.2          If the system produces candidates from the search, they will be consolidated and placed in a queue for verification.  If the operator verifies an Identification, all images from the identified tenprint record may be searched against the unsolved latent database to detect if other unsolved crimes are linked to the identified individual.

2.4.4.10.3          If the system does not detect a potential match (all fingerprint comparisons yield match probabilities that fall below the system threshold), or if the system detects a match but the operator does not verify an Identification, the tenprint record shall be treated as a new entry.  The operator shall then be able to insert the record into the two-finger tenprint identification database and the ten-finger latent cognizant database.  In addition, unless prevented by the operator, the system will automatically initiate a tenprint to unsolved latent search.

2.4.4.10.4          It shall be possible to modify search elements and relaunch a TP/TPID search without re-scanning the finger images from the tenprint card.

2.4.4.10.5          The software shall be able to produce an image of a tenprint finger and simultaneously an image of a single fingerprint of a matched subject.  The image shall be of clear and readable quality, and include other pertinent demographic data so that a technician/examiner may decide whether or not there is an identification.

2.4.4.10.6          The software shall be able to generate an image on the terminal of any one (1) or all of the images on a tenprint card upon operator request.  The image shall be clear and readable, so that a technician/examiner may identify minutiae and other pertinent data.

2.4.4.10.7          When all tenprint candidate list scores are below the tenprint “no-hit” threshold score, a “no-hit” response shall be provided to the verification screen.

2.4.4.10.8          Verification terminals shall have zoom capability on fingerprint images.

2.4.4.10.9          Search parameters shall be a part of the search response.

2.4.4.10.10        The system shall have the capability to produce hard-copy image no smaller than the actual size print maintained in the ABC AFIS (candidate print) and the search print.

2.4.4.10.11        Requests for an image by specifying a name, or an AAFIS PCN or SID number, or AAFIS Record Number, case number, or case number and latent lift number, and having that image routed to a screen or printer without conducting a search shall be provided.

2.4.4.10.12        The system must use a threshold score for producing candidate lists as a result of tenprint searching.  When candidate list scores are below the “no hit” threshold score, a “no hit” response shall be provided to the verification screen.  The system shall have the capability to use different threshold scores for each type of search; these threshold values will be set by a VENDOR system technician.

2.4.4.11       TP/TPID Central Site Validation

2.4.4.11.1          Tenprint Verification of FAST or Remote Terminal sites’ identification:

The Central Site will verify tenprint processing done at FAST or Remote Terminal sites as a quality control measure.  Tenprints searched by FAST or Remote Terminal sites that result in either an identification or a non-identification will be verified by the Central Site operator, upon receipt of the cards, by requesting the system to bring up the candidate list (with images) that the FAST or Remote Terminal site operator previously verified as an identification or non-identification in AAFIS.

2.4.4.11.2          Batch Processing of FAST or Remote Terminal sites’ verifications:

The Central Site System Administrator will have the capability to instruct the AAFIS to mark all FAST or Remote Terminal sites’ verifications as “Verified” (i.e., the second-step verification check will be marked as “Verified”).

2.4.4.11.3          The AAFIS will not add a tenprint record permanently into the database until the Central Site operator has made the second validation.  In any case, the record will be available for searching after the record has been initially verified as a “No-Hit” and added to the database.

2.4.4.11.4          The system requirement for a second validation of the TP/TPID results by a Central Site operator may be “turned off” by the AAFIS System Administrator for any ORI.  This feature will be used to eliminate the need to perform a second verification of TP/TPID candidate lists from those ORI’s that, by virtue of past performance and in the opinion of the System Administrator, have been consistent and accurate in their evaluation of candidate list results.

2.4.4.11.5          During the second TP/TPID verification process, it shall be possible for the Central Site operator to change demographic information and relaunch the TP/TPID search.

2.4.4.11.6          The outcome of the verification of each candidate by the initial operator and any operator performing a second verification (or VALIDATION) will be automatically recorded by the system.  All decisions will be logged into the database management system and will be available for reports and/or statistics tracked by the system.

2.4.4.12       Single Finger Image Substitution

2.4.4.12.1          If the tenprint/tenprint search produces candidates, they shall be consolidated and queued for verification.  If the operator verifies an Identification and the tenprint record that was marked as an “Identification” has fingers that are of poor quality, the searched tenprint record shall be completely coded and, if the new finger records are of better quality than the “old” tenprint record, finger images from the new record will be substituted for corresponding finger images in the old tenprint record.  If a Non-identification is declared, the tenprint search record will be queued for possible addition to the permanent tenprint database.

2.4.4.12.2          Updates of individual prints will be tracked automatically to enable the former (replaced) prints to be reinstated at a later date if necessary.

2.4.4.13`      TP/USL Verification

2.4.4.13.1          If the tenprint/unsolved latent search produces candidates, they shall be consolidated and queued for verification.

2.4.4.13.2          If the tenprint/unsolved latent search produces candidates, the candidate list(s) will be processed as follows;

a.     The TP/USL candidate list will be queued and made available to the ORI that launched the TP/USL search.

b.     The operator(s) at the ORI that launched the TP/USL search will view the TP/USL candidate list(s).  All TP/USL search finger records and corresponding USL “Hit” records will be made available to the ORI(s) that contributed the USL data Unless prevented by the operator from the ORI that launched the TP/USL search.[3]  If the operator at the ORI that launched the TP/USL search does not want the ORI-contributing agency to be aware of the “Hit,” the TP/USL search operator will mark all candidates as “No-Hit” (in order to keep all USL records in the USL database) and mark the TP/USL candidate list as “VERIFICATION COMPLETE.”  When the verification candidate is marked as completed, the candidate list will be discarded by the system.

c.     If the operator at the ORI that “contributed” the USL verifies a TP/USL “Hit,” the unsolved latent file print shall be “solved” and deleted.

2.4.4.13.3          If the tenprint/unsolved latent search produces candidates, and an ORI latent print examiner (from the USL-contributing ORI) indicates that there is a “Hit,” a notification of the “Hit” will automatically be sent to the ORI that submitted the tenprint for the TP/USL search.

2.4.5            Latent Processing

2.4.5.1         General Latent Processing Requirements

2.4.5.1.1           The system shall be capable of operator assisted encoding of minutiae to process inked fingerprints.

2.4.5.1.2           The system shall be capable of providing (via video terminal display and printer hard copy) a list of respondents ranked by a threshold scoring system in descending order of probability of the correct match for latent searches.  The system shall also have the capability to utilize a threshold scoring system.

2.4.5.1.3           All workstations shall have the capability of receiving a list of match candidates via video display terminal with the capability of producing hard copy for manual verification.

2.4.5.1.4           The system shall be capable of adding new records and changing pertinent data within the latent case records.  Records entered by a FAST or Remote Terminal site shall become immediately available for subsequent searches and verifications by all ABC AFIS sites.

2.4.5.1.5           The system shall provide the capability to change search parameters, such as; priority and/or pattern, and reinitiate a search of the tenprint latent cognizant file without rereading the latent.

2.4.5.1.6           The system shall allow cancellation of a search transaction from the search queue, or to delete search results awaiting verification.

2.4.5.1.7           The system shall provide the ability to request an unsolved latent image display by ORI# + case number + Lift# or PCN plus finger number..

2.4.5.1.8           The system shall allow operators to review latent search results on a verification screen by either requesting “next result” or requesting the results of a specific candidate.

2.4.5.1.9           The system shall provide the capability to make an inquiry (search) of the unsolved latent database, whenever a latent record is added to the databases.

2.4.5.1.10          The system shall have the capability to allow the operator, upon request, to search a primary and/or secondary pattern type for search.

2.4.5.1.11          Wherever the term “contributing ORI” is used in this User Requirements Specification, it shall be understood to include those agencies that have signed an AAFIS FAST Site User Agreement authorizing the ABC Department of Public Safety or a FAST site to perform AAFIS transactions on their behalf.

2.4.5.2         Latent Data Element Description

In addition to any internal Vendor required data elements, at least the following elements shall be stored as part of the AAFIS record:

a.     Contributor ORI#:  Nine (9) alpha/numeric characters; valid Department of Public Safety assigned number identifying the contributing agency.

b.     Class of crime:  Four (4) numeric characters; must be code used by FBI - uniform offense classification.

c.     Fingerprint images:  A representative reproduction of an actual fingerprint.

d.     Lift #:  Up to two (2) alpha/numeric characters to identify the lift number with a maximum of twenty five (25) lifts per case.

e.     Date of crime:  Eight (8) numeric characters to indicate the century/month/day/year the crime took place.

f.      Agency case number:  Up to fourteen (14) alpha/numeric characters.

g.     Operator ID#:  AAFIS operator identification number; up to five (5) alpha/numeric characters (system generated).

The Contributor ORI#, Agency Case #, and Lift # will define a particular latent within the Unsolved Latent database; these numbers, displayed in the above order, will be printed on the candidate list.

2.4.5.3         Data and Image Entry for LT/TPLC Search (Authorized Central, FAST, or Remote Terminal AAFIS Workstations)

2.4.5.3.1           For latent case entry, from an authorized workstation, the system shall:

·         Allow the operator to enter alphanumeric data, selected search criteria, and multiple latent lifts within the case

·         Encode latent prints either automatically, semi-automatically, or manually

2.4.5.3.2           To maximize the probability of matching newly-input latents, the system shall provide on-screen editing tools to assist with image entry.  The workstation image editing tools shall include:

·         Image zoom

·         Image reversal of light and dark areas

·         Definition and contrast enhancement

·         Ridge detail highlighting

2.4.5.3.3           The system shall also provide mouse-controlled image enhancement tools that provide two- and four-times magnification in operator-selected areas.

2.4.5.3.4           The operator shall be given the option to abort an acquisition prior to completion.  The operator will also be able to select the following search control parameters; threshold on or threshold off with candidate list length, and search priority.

2.4.5.3.5           The operator shall be able to specify either a full 360 degree rotation for search or a restricted rotation.  The operator shall have the option to edit minutiae on any latent prints.

2.4.5.3.6           It shall also be possible to enter latent images from photocopies, photographs and Group III or better facsimile.

2.4.5.3.7           The State of ABC’s AFIS shall be an operator interactive system for searching latent prints against the existing database of tenprint cards on file.  The system shall provide a list of subjects based upon print minutiae and operator selected descriptors, listing the respondents in order of decreasing probability of match.  The AAFIS shall be capable of handling the present workload and anticipated expansion without the redesign or replacement of the proposed hardware/software units.

2.4.5.3.8           Latent print examiners, when requesting a latent inquiry, shall be able to specify the number of candidate images to be returned or use a “no-hit” threshold feature.  If these options are not specified, the system shall use default values.

2.4.5.3.9           The search results shall be stored, protected, and available for verification for a period of not less than 96 hours from time of search initiation.

2.4.5.3.10          The system shall provide the ability to request a finger image display by ORI#+case number+Lift#.

2.4.5.3.11          The system shall permit multiple latent prints to be assigned to a single case number.


2.4.5.4         Latent Throughput

The system shall be capable of functioning in the latent operations environment as specified below:

Workload Per Site

 

LT Input

LT Ver

TP/USL Ver

LT-USL Ver

Central

28

28

111

21

ABC

11

11

41

8

DEF

17

17

65

12

GHI

72

72

286

52

JKL

6

6

22

4

MNO

9

9

35

7

PQR

16

16

61

12

STU

44

44

175

32

Totals:

203

203

796

148

2.4.5.5         LT/TPLC Search and Match Verification

2.4.5.5.1           After the operator enters all latent prints for the case, the system shall initiate a search in which each latent fingerprint is compared to the fingerprint records of known individuals in the tenprint/latent cognizant database.  The system shall permit entry of search criteria to reduce the database search.  Search shall be 360 degree rotation, unless restricted by the operator at entry.

2.4.5.5.2           If the system produces candidates from the search, they will be consolidated and placed in a queue for verification.

2.4.5.5.3           If the system does not detect a potential match (all fingerprint comparisons yield match probabilities that fall below the system threshold), or if the system detects a match but the operator does not verify an Identification, the latent record shall be treated as a new entry.  The operator shall then be able to insert the record into the unsolved latent database.

2.4.5.5.4           It shall be possible to modify search elements and relaunch a LT/TPLC search.

2.4.5.5.5           The software shall be able to produce an image of a search latent fingerprint and simultaneously an image of a single fingerprint of a matched subject.  The image shall be of clear and readable quality, and include other pertinent demographic data so that a technician/examiner may decide whether or not there is an identification.

2.4.5.5.6           The software shall be able to generate an image on the terminal of any one (1) or all of the tenprints on a tenprint card upon operator request.  The image shall be clear and readable, so that a technician/examiner may identify minutiae and other pertinent data.

2.4.5.5.7           When all tenprint latent cognizant candidate list scores are below the latent no hit threshold score, a “no hit” response shall be provided to the verification screen.

2.4.5.5.8           Verification terminals shall have zoom capability on fingerprint images.

2.4.5.5.9           Search parameters shall be a part of the search response.

2.4.5.5.10          The system shall have the capability to produce hard-copy image no smaller than five times the actual size print maintained in the ABC AFIS (candidate print) and the search print.

2.4.5.5.11          Requests for an image by specifying a name, or an AAFIS PCN or SID number, or ORI# + case number + Lift#, or AAFIS Record Number and latent lift number, and having that image routed to a screen or printer without conducting a search shall be provided.

2.4.5.5.12          The system must use a threshold score for producing candidate lists as a result of latent print searching.  When candidate list scores are below the “no hit” threshold score, a “no hit” response shall be provided to the verification screen.  The system shall have the capability to use different threshold scores for each type of search; these threshold values will be set by a VENDOR technician (see Section 2.4.4.10.12).

2.4.5.6         LT/UL Search and Match Verification

2.4.5.6.1           After the search of the tenprint/latent cognizant database, the operator shall be able to compare the latent to the fingerprints already in the unsolved latent database regardless of whether a match was verified as an Identification or a Non-identification.

2.4.5.6.2           The verification operator shall be able to declare an Identification or a Non-identification.

2.4.5.7         Latent Case Deletion and Retrieval

2.4.5.7.1       Deletion by ORI/Case/Lift Number and Batch

The operator shall be able to purge either single latents or entire latent cases by specifying the ORI number, case number and lift number, crime type, or date of crime.  The system shall prompt the operator for confirmation of the purge prior to the actual purge.  The system shall also permit batch deletion of latents by delimiters.

2.4.5.7.2       Record Retrieval

2.4.5.7.2.1         The system shall provide the ability to request a latent print image display by ORI number, case number and lift number.

2.4.5.7.2.2         The ABC AFIS shall provide optical disk storage of individual fingerprint images (latents) extracted either from mylar copies, photocopies, high resolution fax, photographs/videos/lasers, latent prints and one or more existing live-scan products that meet the FBI acceptance criteria.

2.4.5.7.2.3         The system shall be capable of capturing of gray-level print images and storage of same.

2.4.5.7.2.4         Single image storage and indexing shall be provided by unique identification number and finger number.

2.4.5.7.2.5         Respondent retrieval from optical storage shall be generated by the search processor during the match operations.

2.4.5.7.2.6         Images shall be retrievable via match reports (respondent lists), under interactive control by keyboard entry of name, SID or other unique AAFIS number, finger number, and batch processing.

2.4.5.7.2.7         The system shall provide a high resolution image display on a video monitor with hard copy capability.

2.4.5.7.2.8         The system shall have the ability to allow color image reversal (black/white reversal) during latent input.

2.4.5.7.2.9         The system will provide “charting” for latent and tenprint processing.

2.4.5.8         Latent Edit and LT/TPLC Relaunch

The system shall permit users to extract a Latent from the unsolved latent database, edit the minutia and then relaunch the Latent against the tenprint latent cognizant and, optionally, followed by a search against the unsolved latent data base.  No re-entry of the Latent is required.

2.4.6            Candidate Lists

2.4.6.1  For each search, the system shall provide a list of candidates ranked in descending order of the relative probability of a match.  Search results shall be available to any requesting terminal, subject only to user authorization.  It shall be possible to remove a pending verification from a queue without modifying the system databases.  Tenprint candidate information shall include the candidate’s name and SID number (or AAFIS Record Number); latent candidates shall include the ORI, case and lift numbers.

2.4.6.2  For TP/TPID and LT/TPLC searches, the length of the candidate list shall be modified by the candidate list length and threshold indicator provided at search entry.  Thresholding sensitivity shall be optimally set by Vendor - upon consensus between Vendor and DPS - during system installation.  For TP/USL and LT/UL searches, when no overrides are entered at entry, the candidate list length shall be controlled by the system console default.

2.4.6.3  If no candidates are found for TP/TPID, LT/TPLC, and LT/UL searches, the system shall display a NO CANDIDATES FOUND message (or other such indication) rather than a candidate list.  TP/USL verification results may be optionally viewed by the search initiator.  It shall be possible to make hard copy printouts of any candidate list.

2.4.7            Side-by-Side Candidate Verification

2.4.7.1  As each search is completed, the results shall be queued for verification.  Operators must consult the verification queues to begin match verification.

2.4.7.2  Candidate image retrieval from optical storage shall be generated by the search processor during matching operations and a candidate list shall be presented to the operator.  Candidate images shall be selectable from the candidate list by either direct indication or by selecting the next candidate of highest probability.

2.4.7.3  The system shall provide a side-by-side split-screen display of the search print and each candidate print for comparison by the operator during verification.  The system shall display the applicable alphanumeric data screen for each candidate image when the image is viewed alongside the search print.

2.4.7.4  Images shall be of clear and readable quality, so that a technical examiner may be able to make an Identification.  The system shall also provide a zoom function to enlarge an operator specified area of the search image and the candidate image simultaneously.

2.4.7.5  During verification, the system will provide twin-locked cursors, one for each fingerprint, in the side-by-side display.  During normal operation, these two cursors will move together, and the link between them will automatically compensate for differences in image orientation due to rotation and displacement.  The two cursors may also be used to highlight corresponding minutia points on the two images with contrasting color flags.

2.4.8            Image Display

2.4.8.1  Images displayed during verification or tenprint and latent acquisition shall be displayed as a size of 512 pixels by 512 pixels with 128 levels of gray.

2.4.8.2  Lateral (mirrored) reversal of scanned images will be available for operator selection.

2.4.8.3  The brightness and contrast of images displayed during latent acquisition and minutiae QC shall be controlled by on-screen “slider bar” controls.

2.4.9            Queue Display to Workstation Operator

The system shall provide a display at the workstation of the activity of transactions in the system queues, subject to user access controls.

2.4.10          System Operations

2.4.10.1       Purge from System Queues

The system shall purge a transaction within a queue at the discretion of the system operator.  The system operator will be able to purge a transaction either from the system console or by remotely logging in to the system controller from a workstation (central or remote).

2.4.10.2       Automated Transaction Processing

The system shall be capable of operating unattended so that searches on previously encoded prints may be run automatically without operator presence.

2.4.10.3       Processing Queues and Priorities

2.4.10.3.1          The system shall use queues for temporary storage of records and images during processing.  Transactions shall be queued according to priority and released for processing automatically as required by the system controller.  The system shall process transactions when they are entered, and shall handle each request on a first-in, first-out basis within each priority level.  Priorities must be modifiable by the system operator while the system is running.

2.4.10.3.2          There will be a separate priority structure for tenprint-tenprint search queues, latent-tenprint search queues, and tenprint-unsolved latent or latent-unsolved latent search queues.

2.4.10.3.3          The software and subsystem components at each site shall be able to create and store daily process queues to meet the maximum daily throughput of the site as defined in this document.

2.4.10.3.4          The queues for all sites shall automatically release the latent prints and tenprint sets for processing by the computer.

2.4.10.3.5          The central site shall have the ability to prioritize these queues, as well as the ability to prioritize the latent prints and tenprint sets within the queues and the ability to allow these queries at any time.  In the event of a processor malfunction all queues shall be saved and shall be able, upon request, to reinitiate the match from the point of interruption.

2.4.10.3.6          The system shall provide inquiry about any queue’s status, either for the entire queue or for any individual queue entry at each site.

2.4.10.3.7          The system shall provide a means by which the results of search requests can only be viewed by the ORI that originated (submitted) the request; the determination of an authorized recipient will be determined by the identification of the operator at log-on.  An authorized recipient can log-on to a workstation at another ORI and still have access to his/her candidate list information.  Candidate lists will be grouped by contributor within the verification queue.

2.4.10.3.8          Seven (7) priority queues are required for searching (tenprint and unsolved latents); these are:

a.     AAFIS Manager Override:  Requires specific approval of Manager of ABC AFIS Systems.

b.     Expedite:  Officer waiting with Subject in custody.

c.     High Priority Latent Print

d.     Routine Criminal Tenprint

e.     Routine Latent Print—Persons Crime

f.      Routine Latent Print—Property Crime

g.     Applicant Print:  Criminal Justice or Noncriminal Justice


2.4.10.3.8.1       Priority queues by type of search are as follows:

a.     Tenprint-to-Tenprint Searches

1.     AAFIS Manager Override.

2.     Expedite.

3.     Routine Criminal Tenprint.

4.     Applicant Tenprint.

b.     Latent-to-Tenprint Searches

1.     AAFIS Manager Override.

2.     High Priority Latent.

3.     Routine Latent:  Persons Crime.

4.     Routine Latent:  Property Crime.

c.     Latent-to-Latent and Tenprint-to-Latent Searches

1.     AAFIS Manager Override.

2.     Expedite.

3.     Routine Criminal Tenprint.

4.     Applicant Tenprint.

2.4.10.3.9          The system shall provide the feature whereby the authority to assign particular priority levels can be restricted by individual operators.

2.4.10.3.10        The system shall provide the feature whereby the Central Site System Supervisor has the authority to change the priority level of any search in queue.

2.4.10.4       Queue Display by System Operator

The system shall provide a display of the transaction activity of the system queues.

2.4.10.5       System Security and Access Control

2.4.10.5.1          VENDOR shall provide system security procedures and security mechanisms, i.e. password capability, etc. used in the AAFIS.

2.4.10.5.2          The system shall provide at least the minimum access control provisions as follows:

·         Access to each principal functions and database updates by authorized users

·         Access to database updates by authorized agency

·         Access to system functions by individual operator log-on identification, whether at the central or at remote sites.   Login access shall be controlled with a unique user login name plus password.  Password shall be modifiable by each user

·         System will require a re-definition of passwords on a periodic basis

·         The System Administrator shall be able to add and delete users and/or require update of password(s)

2.4.10.6       Management Reports and Logging

The AAFIS system functionality shall include a 4GL graphically-oriented report writer facility that can be used by an operator, having little computer experience, to generate ad-hoc reports of the operator’s design.  A listing of AAFIS data elements that can be used in such reports shall be available on-line to the operator in order to assist the operator in the generation of reports and/or database queries.

2.4.10.6.1     Database Statistics Reports

2.4.10.6.1.1       The system shall provide statistics for analyzing database contents such as card number, type of card, etc. and to print the content of the database.  The DMS report generator shall also permit creation of specific reports.  It shall be possible to perform these analyses while the system is running.

2.4.10.6.1.2       Reports shall be provided for administrative monitoring, budgetary, and historical data.

a.     The system shall provide statistics that shall include the total file size, number of fingerprint card entries, tenprint card searches, latent searches, breakdown of latent searches by agency identifier provided, and identifications verified, including position verified.

b.     The system shall maintain a log of activity and system statistics on usage for a period of twelve (12) months, plus current year, of which the previous month will be on-line.

2.4.10.6.2     System Transaction Monitoring and Reports

It shall be possible to produce the following type of reports:

·         Tenprint

·         Latent

·         Other

·         System Administrator

2.4.10.6.2.1   Tenprint

The Tenprint option of REPORTS provides access to a set of sub-options as follows:

TP Detail

TP Stats

Alphanumeric

Patterns

Print Quality

Finger Distribution

Block Distribution

Tenprint Performance

2.4.10.6.2.2   Latent

The Latent option of REPORTS provides access to a set of sub-options as follows:

UL Detail

UL Statistics

UL Performance

2.4.10.6.2.3   Other

The Other option of REPORTS provides access to a set of sub-options as follows:

Operator Performance

Search Results

Transaction Audit

System Activity

Logon Audit

Monthly Transaction Workload

Ad Hoc Reports

2.4.10.6.2.4   SA (System Administrator)

The System Admin option provides access to three sub-menus:

Control : The CONTROL option of SA provides access to a set of sub-options as follows:

Configure

User

Subsystem

Site

Agency

Startup

Shutdown

Utilities: The UTILITIES option of SA provides access to a set of sub-options as follows:

Backup

Admin Database

Logs Database

TP Database

UL Database

Purges Database

All Databases

Restore

Admin Database

Logs Database

TP Database

UL Database

Purges Database

All Databases

Batch Processing

Search for TP Duplicates

UL Purges

TP Purges

Load Database

DB Maint:         The DATABASE MAINTENANCE option of SA provides access to a set of sub-options as follows:

Purge Logs

Check DB Consistency

2.4.10.6.2.5       The DMS report generator shall also permit creation of specific reports with the use of the Ad Hoc Report option.

2.4.10.6.3     System Logging

2.4.10.6.3.1       Logs shall contain detailed information regarding transactions being performed.  Logs shall also report errors.  Report generation and log review shall be accessible while the system is running and shall not interrupt any ongoing logging of information.

2.4.10.6.3.2       All transactions received by the database management system shall be journalled.  The system shall have the capability to store or transfer journal data to magnetic tape.

2.4.10.6.3.3       The system shall provide for the logging of AIX-generated hardware and software error reports.  These AIX reports shall be journalled to magnetic tape and shall be made available to the System Administrator in an easy-to-read format that clearly states the nature and extent of the hardware and/or software problem reported.

2.4.10.7       On-Line Transaction Recovery and Data Backup

2.4.10.7.1          The system will create on-line mirror (backup) copies of all dynamic portions of image and minutia databases, as well as transactions waiting in queues.

2.4.10.7.2          After entering the system queues, transactions shall not be lost if a system anomaly occurs that requires system restart.  When the system is restarted, previously queued transactions shall start with little or no system administrator interaction.  System transaction statistics shall not be reset unless reset by the system operator.  During downtime, the remote operators shall be able to continue acquisition, subject to the workstation’s acquisition queue capacity.

2.4.10.7.3          The system shall operate twenty-four (24) hours/day, seven (7) days/week (excluding scheduled downtime such as preventive maintenance, that shall not exceed sixteen (16) hours per calendar month).  Excluding scheduled downtime, system availability shall be a minimum of ninety-eight percent (98%).  System availability shall be measured by calendar month.  To determine system availability, adjusted availability shall first be determined by deducting scheduled downtime hours from total hours available for the month.  Unscheduled downtime hours shall then be deducted from the adjusted availability hours to determine actual operational use hours.  The actual operational use hours for the measured month shall then be divided by the adjusted availability hours to determine the system availability percentage.

2.4.10.8       Off-Line Backup, Restoration, and Recovery of System Data

2.4.10.8.1     Backup

Off-line backup will consist of backing up alphanumeric and minutia data from both dynamic and static magnetic databases on to tape.  The image database will be backed up automatically on a duplicate optical disk, that will also contain an additional copy of all alphanumeric and minutia records.  Duplicate optical disks and back-up tapes may be stored off-site to safeguard data in the event of major system failure.

2.4.10.8.2     Restoration

Restoration may be required when data is corrupted during processing or when a magnetic disk fails.  The system will provide the capability to restore data in two ways:

1.        For dynamic data.  If the information on a magnetic disk has become unavailable, it shall be restored by replacing the failed disk (if necessary) and copying the data from the corresponding backup volumes.

2.        For dynamic and static data.  If the information in the master and, if applicable, the mirror volume has become unavailable, it shall be restored by copying the data from the backup tape.

The restoration process will recreate the database as it existed at the time of the last backup.

2.4.10.8.3     Recovery

The recovery procedure will recreate all data and minutia records since the last backup.  Data will be obtained from optical disk.

2.4.10.8.4     Database Reorganization

It shall be possible to reorganize minutia databases.  Reorganization will not inhibit remote workstation acquisition activities and will be performed by VENDOR personnel off line.  Central system downtime will be limited to no more than three days for database reorganization.

2.4.10.8.5          Vendor shall provide procedures/methodologies and train Department of Public Safety operators to backup image and minutiae databases, and recover from media and equipment failures.

2.4.10.8.6          The system shall have a process to recover minutiae database disks from mirrored secondary storage or the reprocessing of previously journalled update transactions.  Recovery shall not require re-reading of cards.

2.4.10.8.7          Transactions in process during a system failure shall be automatically re-introduced or continued from a previous checkpoint.

2.4.10.9       Off-Site Storage and Restoration of System Software

Application software and operating system software that may be available for off-site storage shall be loadable on to system hardware.

2.4.10.10     System Diagnostics and Utilities

The system shall be capable of providing error logs and system status information in response to system operator requests.  This information shall provide intelligible assistance in the diagnosis of problems.  Additional utilities shall permit access to database records and records-in-queue for review and analyses, such as database integrity checks.  The system shall provide several operating system utilities for extensive file manipulation, such as copy, delete, dumping, merging, etc.

2.4.10.11     Ease of Use

The primary AAFIS system operations functionality such as system startup and shutdown, password control, and access control shall be menu-driven with clear instructions and messages presented to the user.  Additional stand-alone special maintenance and monitoring utilities shall be available to access system databases.  The system shall only need one operator knowledgeable in computer systems and AFIS to perform system operations.

2.4.10.12     Poor Print Threshold Adjustment

Poor fingerprint (quality control) threshold shall be adjustable from the system console.  The threshold level shall be set at installation at the level that optimizes search accuracy, yet yields a low quality control rate.


2.4.11          Name Search

2.4.11.1            A Name search capability must exist within the AAFIS –  as opposed to the ACCH – because the AAFIS will contain tenprint records that are not kept in the ACCH database (such as non-criminal records, applicant records, etc.).  The name search algorithm(s) employed by the AAFIS will produce the same result as the ACCH system using the same name search database and search parameters.

2.4.11.2            If the AAFIS name search produces no candidates, the AAFIS will return a “NO CANDIDATE FOUND” message to the operator.

2.4.11.3            If the AAFIS does produce name search candidates, the AAFIS will queue the tenprint card images of the candidates and display these images as requested via a name search image display function.  A finger image quality profile will be displayed for the candidate record.  Based on the data in the image quality profile, the operator may elect to attempt to replace fingers in the saved tenprint record database with finger images from the “new” tenprint card.  In this event, the new tenprint card will be submitted as a tenprint to tenprint search request—it is assumed that the tenprint record found in the name search should also be found if a technical search is conducted.  Finger images will be substituted using the normal finger substitution processes subsequent to a technical search “Hit.”

2.5            Livescan Device Requirements

2.5.1     Live Scan equipment and software provided for the electronic exchange of fingerprint images and other identification data with the AAFIS Central Site shall be in full compliance with the American National Standard ANSI/NIST-CSL 1-199X (as defined in the National Institute of Standards and Technology document NIST-CSL 1-921201, “Data Format for the interchange of Fingerprint Information”), and shall be capable of being modified at little or no cost to the state to comply in a timely manner with subsequent approved revisions to this standard.

2.5.2     The equipment/software shall provide instant video display of finger images to facilitate precise positioning of core and deltas prior to image capture.

2.5.3     The equipment/software shall provide the capability to print standard tenprint cards in local (local to the FAST or RT sites), state and federal formats.

2.5.4     The equipment/software shall provide for capability to download fingerprints and demographic information directly into the State host AAFIS without further re-entry.

2.5.5     The equipment/software shall provide the capability to transmit fingerprints and demographic information to remote printing stations utilizing voice grade lines at a minimum 19.2k baud transfer rate.

2.5.6     The equipment/software shall provide “tip to crease” and “side to side” capture of print usage.

2.5.7     The equipment/software shall produce tenprint card images in a minimum of sixteen (16) shades of gray.

2.5.8     If the State elects to acquire live scan capability, the equipment/software shall have the capability to interface to the AAFIS database.  With regard to the required interface between the live scan device and the AAFIS tenprint database, when the live scan equipment and software is installed, the equipment shall be capable of supporting the communications protocol(s) in current use within the State.  The State communications system will support the NFS (Network File System) protocol.

2.5.9     The live scan equipment shall be capable of sending fingerprint images and other identification data in order to effect an interface between the live scan device and the AAFIS tenprint database.  The system shall be capable of effecting the interface without multiple entries to the same data by operator.  Live scan installations that are configured with a verification station (attaching the live scan device to the AAFIS), will be capable of receiving verification lists in response to the live scan search input data.

2.5.10   All images transmitted via electronic transmission or scanner-produced printed fingerprint cards, between the AAFIS Central Site and other intrastate AAFIS sites, and between the AAFIS Central Site and other AFIS systems shall be in full compliance with the ANSI-NIST Type 4 image specification, and shall be capable of being modified at little or no cost to the state to comply with subsequent approved revisions to this standard.

2.6            Documentation Requirements

2.6.1     Each workstation shall have a complete set of all books and reference materials, pertaining to that workstation that are required for training and operations.  VENDOR shall provide these materials.

2.6.2     Two (2) complete additional sets, for each AAFIS site, of all reference materials and books for the ABC AFIS, both for training and operations, shall be provided by VENDOR.

2.6.3     VENDOR shall supply updates to the software and current training documentation for the duration of the contract at no additional cost.  The Department of Public Safety will determine which updates shall be applied.

3.              SYSTEM DESIGN

3.1            Workstation

3.1.1            Workstation Characteristics, Display Resolution and Gray Levels

3.1.1.1  All workstation screens shall have sufficient resolution and contrast to reproduce a fingerprint at 512 X 512 pixels on the display screen.  The screens shall have a gray scale storage capability of 256 levels of gray to enable display of fingerprint images at 128 levels of gray.  It shall be possible to generate a printout of any image displayed on a workstation screen.  Printouts shall reproduce up to 256 levels of gray through “dithering” (overlaying and combining between 128 gray levels to achieve 256 levels).  Printouts shall be automatically sent to the local printer associated with the workstation. Printouts shall be approximately 6.5 X 6.25 inches square.

3.1.1.2  There shall be sufficient workstations to handle the transaction volumes.

3.1.1.3  All workstation terminals shall have sufficient resolution and contrast to reproduce a fingerprint on the display screen.

3.1.1.4  The keyboard shall have a separate ten (10) key numeric pad and the keyboard shall be detachable from the screen.

3.1.1.5  The system shall have a minimum of one (1) alpha/numeric nine (9) dot-matrix capable of near letter quality at 40 cps or data processing quality of 200 cps.

3.1.1.6  The system shall have a minimum of one (1) eight (8) color high resolution image printer with a maximum capability of no less than 300 dots-per-inch.  The average print time shall not exceed 100 seconds.

3.1.1.7  The display screen shall have split screen capabilities.

3.1.1.8  The light intensity and display screen contrast shall be adjustable.

3.1.1.9  The display screen shall be capable of displaying color reversals (i.e., black to white and white to black) during both verification and latent or tenprint input.

3.1.1.10            The system shall have the capability for auxiliary video input to allow for the capture of an image from a live scan device or a hard-copy printout from a high resolution fax (group four (4) or equivalent).

3.1.1.11            Vendor will provide an appropriate number of prewired workstations with all AAFIS components for the standard electrical power system and a separate 110 service line consisting of a duplex plug wired into a conventional power supply at the site.

3.1.1.12            Vendor will provide a barcode scanner device at each workstation and barcode printer at each tenprint input site.

3.1.1.13            Inactive workstations will be automatically logged-out after a predetermined period (set by the System Administrator).  This log-out will occur in a controlled manner so that no work in progress is lost.

3.1.2            Ease of Use

3.1.2.1  The workstation shall provide menu-driven operation with on-screen help prompts available.

3.1.2.2  The system will have a context sensitive help facility that will be available for all workstation operations normally performed.

3.1.2.3  Graphical images will be displayed in windows that can be sized and moved under operator control.

3.2            System Configuration

3.2.1            Expansion

The system design shall permit incremental expansions in database capacity, central and remote workstation communications, and system performance through addition of system components without software redesign.  The system shall be able to accept additional remote latent or tenprint workstations with communication rates ranging from a 19.2 kbps lineup to a T1-capacity dedicated line.

3.2.2            Remote Communications to System Workstations

3.2.2.1  The system shall support direct communications with either Ethernet (locally) or a substantially equivalent media.  Vendor shall connect all system components -- database subsystems, input subsystems, FAST sites, Remote Terminal sites, etc. -- as described in the AAFIS Implementation Plan.

3.2.2.2  VENDOR shall provide all interfaces required to connect all system components; database subsystems, input subsystems, FAST sites, Remote Terminal sites, etc.

3.2.2.3  The system shall guarantee delivery of a response to any transaction that has been accepted, unless deleted by an operator.

3.2.2.4  The system must be capable of providing a message to the central control operator indicating that one of the workstations is not operational.  The system must be capable of providing a message to the remote operators indicating that the central file is not operational.


3.2.3            Communications with ACCH

The interface to the DPS computer system is to be accomplished via an Ethernet gateway to a channel attached device.  Optionally, VENDOR may propose a gateway through the IBM 3745 with an Ethernet adapter.  The channel attached device will be supplied by VENDOR as will any optional connection through the 3745.  Software for the AAFIS side of the interface will be supplied by VENDOR.

3.2.4            Communications Between Subsystems

Communications between subsystems shall be via Ethernet or substantially similar media.

3.2.5            Limitational Downtime

It shall be possible to limit operational downtime during a physical relocation or computer room shutdown to only system shutdown and startup, plus time to physically relocate, set up applicable hardware and/or verify hardware and operating system integrity.  In-process transactions in system queues shall be restartable after power-up.

3.2.6            End-to-End Downtime

The system shall permit complete shutdown of hardware and software and restart to full functionality within a 20 minute period of time.

3.2.7            Update Access

Each tenprint record or latent record will be available for update or manual processing at only one workstation at any time.

3.2.8            Automatic Record Purge

The system will provide a facility whereby tenprint and latent records can be automatically purged from the system database(s) unless that particular record is removed from the purge list.  This facility will use record demographics[4] as the basis for purge.  This facility will be under the control of the System Administrator.

3.3            System Development Standards

Vendor will implement rigorous procedures in Source Control and Release management in order to insure that AAFIS system downtime is minimized and that updates are applied efficiently and correctly.

Any incident reports received from a site will be reviewed by VENDOR Tacoma for routing and resolution.  A response may be a clarification, solution, (temporary) work-around and/or the creation of an Engineering Change Request (ECR).  In the case of an ECR, the problem may be resolved by VENDOR or forwarded to Vendor Development in France.  VENDOR is directly responsible for making enhancements to the AAFIS software for changes that are not part of the standard XL system release.

VENDOR Tacoma will manage Source Control and Release Management for the AAFIS.  Any updates made by Vendor Development in France will be transmitted to VENDOR.  After VENDOR source control is updated with the new sources from Vendor Development, the XL system will be built at VENDOR and the deliverable software will be tested by VENDOR Quality Assurance before being sent to all sites that require the update.

4.              Performance and Capacity

4.1            Daily Search Throughput

4.1.1     System sizing will be based on the database sizes and throughput volumes shown, and based upon an anticipated daily workday of 7:00 A.M. - 5:00 P.M. for tenprint operations and 7:00 A.M. - 11:00 P.M. for latent print operations.

4.1.2     The average elapsed time for tenprint-to-tenprint and tenprint-to-latent searches to complete shall not exceed four (4) minutes for 95% of the tenprint-to-tenprint searches completed within any given workday (0700 through 1700 hours).  The average elapsed time shall be based upon the time the first card has been entered to the time all candidate lists generated in any given workday are retrieved from storage and entered into queue for subsequent review.  All tenprint-to-latent searches will be completed within any given workday (0700 through 1700 hours).  The tenprint-to-tenprint and tenprint-to-latent search processes shall not be considered completed until the final candidates’ fingerprint images and associated identifying data are queued and available for immediate viewing.

4.1.3     The throughput measurement for tenprint-to-tenprint and tenprint-to-latent searches is daily from 0700 to 1700 hours, and shall be based from the time a card has been entered to the time the candidate(s) for all searches are retrieved from storage and entered into queue for subsequent review.  The process shall not be considered completed until the final candidates’ images and associated identifying data are queued and available for immediate viewing.

4.1.4     The average elapsed time for tenprint-to-tenprint and tenprint-to-latent additions or deletions shall not exceed four (4) minutes during any given workday (0700 to 1700 hours).  This measurement is daily, and shall be based from the time a transaction is entered to the time a process completion confirmation is returned to the input terminal.  All tenprint transactions shall process concurrent with the latent transactions described below.

4.1.5     All latent-to-tenprint searches shall be completed within the specified latent print workday (0700 to 2300 hours).  This measurement shall be based from the time a latent print is entered, including machine time, through the time all candidate(s) are retrieved and sent to a queue for subsequent review.  The process shall not be considered complete until the final candidates’ fingerprint images and associated identifying data are queued and available for immediate viewing.

4.1.6     The longest response time to complete a latent to latent search, from the time the latent is entered, including machine encoding, to the time the candidate(s) are retrieved and enter a queue for review shall be four (4) hours.  The process shall not be considered complete until the final candidates’ fingerprint images and associated identifying data are queued and available for immediate viewing.

4.1.7     System throughput and accuracy tests will be conducted against a complete converted database of approximately 660,000 tenprint cards during the acceptance test period and shall be based upon the accuracy requirements, penetration rates, and throughput requirements specified in this User Requirements Specification document.  Vendor shall be responsible for supplying, loading, and removing the additional data and the safety of the Department of Public Safety conversion data throughout the acceptance test period.

4.1.8     The system shall be able to perform the following entry and verification throughputs each workday (0700 hours through 1700 hours for tenprint operations, and 0700 hours through 2300 hours for latent print operations):

Workload Per Site

 

TP input

 

Quality Check

TP/TP

 Ver

TP-USL View

TP-USL Ver

LT

Input

LT

 Ver

LT-USL Ver

QC

Central

578

247

578

555

111

28

28

21

83

ABC

9

 

9

9

41

11

11

8

2

DEF

12

 

12

12

65

17

17

12

2

GHI

82

 

82

79

286

72

72

52

12

JKL

12

 

12

12

22

6

6

4

2

MNO

9

 

9

9

35

9

9

7

2

PQR

66

 

66

64

61

16

16

12

10

STU

58

 

58

56

175

44

44

32

9

Totals:

826

247

826

796

796

203

203

148

122

 

4.1.9     Search throughput calculations shall be based upon a typical selection of search criteria, representing an average database search percentage of 3.1% for TP/TPID search, 25.8% for LT/TPLC search, 30% for TP/UL search, and 39.4% for LT/UL search.

4.1.10   The throughput volumes and processing times listed in Specification 4, and the system accuracy listed in Specification 5, will be tested in a “Typical Workday” test.  The specified transactions listed above will be input from each site as listed over a ten (10) hour period for all tenprint transactions and, concurrently, the latent transactions will be input over a sixteen (16) hour time period on the same day.  All transactions must be completed, meeting the minimum specified accuracy levels, within the sixteen (16) hour “Typical Workday.”


4.1.11   For test purposes, the latent workload will have the following pattern type and known finger profile (sex will be unknown for all latent searches):

Pattern

% in DB

Finger Known Within:

% of Latents

/

32.00%

One finger

30.0%

\

32.00%

Two fingers

10.0%

w

30.00%

Three fingers

5.0%

a (all types)

6.00%

Four fingers

2.5%

unknown

0.10%

Five fingers

2.5%

 

 

Ten fingers

50.0%

 

% time pattern is known:

80%

% time pattern is not known:

20%

% time core and/or axis is not known:

20%

 

4.1.12   The system shall be able to perform the following search throughputs each workday (0700 hours through 1700 hours for tenprint operations, and 0700 hours through 2300 hours for latent print operations):

TP/TP searches 825 per day
TP/UL searches 528 per day
LT/TP searches 200 per day
LT/UL searches 144 per day

 

4.2            Response Times

Every latent search launched for a single day shall be completed within 16 hours with results available for verification, unless authorized otherwise through a low priority setting.  Every tenprint search launched for a single day shall be completed within 10 hours with results available for verification, unless authorized otherwise through a low priority setting.

4.3            Image Retrieval Response Times

The time required to retrieve anticipated images for the purpose of verification at a central site workstation shall be approximately five seconds.  The time required to retrieve anticipated images for the purpose of verification at a remote workstation is dependent on the communication line speed.


4.4            Database Capacity

The system databases shall be sized to meet the following five year requirements:

Item

Quantity

Maximum number of tenprint records

1,250,000

Initial tenprint record load

760,000

Maximum number of UL records

20,000

Maximum number of fingerprints in a tenprint record

10

Maximum number of latent lifts in a case

25

Initial batch TP to search[5]

760,000

 

5.              Accuracy

5.1            Search Accuracy

Search accuracy will be verified by re-running the benchmark test search data (450 latent searches and 416 tenprint searches) on the operational system.  Search accuracy shall meet or exceed the following:[6]

5.1.1     No less than 95 percent of the tenprint-to-tenprint searches with matching file records must produce the correct match within the first five (5) candidates on the tenprint-to-tenprint candidate lists.

5.1.2     No less than 71 percent of the latent-to-tenprint searches with matching file records must produce the correct match within the top ten (10) candidates on the latent-to-tenprint candidate lists.

5.1.3     No less than 71 percent of the tenprint-to-latent searches with matching file records must produce the correct match in the top ten (10) positions on the tenprint-to-latent candidate lists.

6.              System Installation

6.1            Site Preparation

Site preparation requirements and associated costs for the complete system shall be furnished as part of the system installation.  The system shall be installed in such a manner as to ensure that the equipment shall operate efficiently and be adequately protected from fire and water damage.

6.2            Floor Plan

VENDOR shall submit a detailed floor plan showing equipment sizes, clearances, and suggested arrangement for each ABC AFIS site.

6.3            Environmental Requirements

VENDOR shall provide all specifications for power, air conditioning, humidity, grounding, and/or elevated flooring requirements for each ABC AFIS site.  All sites’ specifications must comply with all federal, state and local law.

6.4            Installation Sites

The installation is to be at the nine sites listed below:

All equipment, services and software purchased for the ABC AFIS will be housed at the following locations.

Central site:

XYZ

Remote Full Access System Terminal (FAST) site:

XYZ

Installation shall be in accordance with applicable laws, codes, ordinances and industry standards and conform to existing electrical system and wiring of the above referenced sites.

6.5            Battery Backup

The system shall make use of existing available UPS power resources.


6.6            Installation — Remote Site

The installation of the AAFIS shall be performed in accordance with the AAFIS Detailed Project Implementation Plan.  The installed system shall include all equipment necessary to support remote operations except communication lines.

6.7            System Reconfigurability

The system shall minimize, with the exception of the system controller, the extent and scope of system downtime for the purpose of system maintenance such as hardware maintenance or upgrade and addition of system components (such as matchers).

6.8            Data Storage Across Physical Storage Devices

The system shall permit system database and index files to be spread across physical storage devices.

7.              System Acceptance Period

See Attacment 8 for specific requirements of system acceptance and acceptance test period.

8.              CARD CONVERSION

Card conversion of the ADPS and City of ABC tenprint card database(s) will be performed in accordance with the AAFIS Conversion Plan.

9.              Maintenance

9.1            Maintenance Facilities

Vendor is required to have existing maintenance facilities with sufficient parts inventory and trained technicians experienced in providing quality service of the equipment specified.  Maintenance facilities are subject to inspection by the State to determine adequacy.

9.2            On-Call Maintenance Service

Vendor, during warranty and maintenance contract period, will provide on-call maintenance services with on-site response time not to exceed four (4) hours from the time trouble is reported within ABC and/or DEF counties.  On-site response time shall be no longer than eight (8) hours from the time trouble is reported outside ABC or DEF county.  Service time shall be seven (7) days per week, twenty-four (24) hours per day.

9.3            Phone Notification

An initial phone call response shall be received from the Vendor within a half-hour after notification by the using agency of a service requirement.

9.4            Service Report

Vendor shall furnish a service incident report to the State upon completion of each maintenance call and maintain a service record for each piece of equipment serviced.  The report as a minimum shall include the following:

1.        Date and time notified

2.        Type and time of arrival

3.        Type and model number(s) of machine(s)

4.        Time spent for repair

5.        Time repair completed

6.        Service completed

7.        Description of malfunction

8.        List of parts replaced

9.        Action taken to prevent recurrence

10.     Signature of site representative


9.5            Remedial Maintenance

9.5.1     If, during the performance of remedial maintenance, the maintenance representative has not completed repair and effected return of the system within eight (8) hours of arrival on-site, he shall take the necessary steps to obtain supplemental maintenance personnel and/or complete subsystem replacements to effect repair and return of the system to an operational state.

9.5.2     It shall be noted that no additional charges shall be accrued by the State for additional maintenance personnel and/or for subsystem equipment replacement.

9.6            Additional Equipment

Vendor must maintain any and all Vendor supplied additional equipment that may be ordered/installed during the term of agreed contract at prices that may be less than or equal to but not exceed those contained in the published maintenance price lists in effect during the term of the contract.

9.7            Reliability Improvement Notices

All reliability improvements that are released by Vendor for the same type of equipment as being maintained under the terms of a maintenance contract shall be made with the consent of and without additional charge to the State during the period of any maintenance contract.

9.8            Replacement and Spare Parts

Vendor must maintain an adequate inventory of spare parts to ensure expedient repair of equipment within the time frame identified in this proposal.

9.9            Software Maintenance

Vendor shall provide maintenance support to include:

1.        All software updates

2.        Program temporary fixes

3.        New documentation

4.        Remote hot-line support twenty-four (24) hours a day, seven (7) days a week to provide technical assistance for any software and database problems

9.10          Performance Standards

Vendor is required to submit the standards of performance and reliability for the central processing unit and equipment proposed.  Standards shall address the following issues:

9.10.1   The system shall operate twenty-four (24) hours/day, seven (7) days/week (excluding scheduled downtime such as preventive maintenance, that shall not exceed sixteen (16) hours per calendar month).  Excluding scheduled downtime, system availability shall be a minimum of ninety-eight percent (98%).  System availability shall be measured by calendar month.  To determine system availability, adjusted availability shall first be determined by deducting scheduled downtime hours from total hours available for the month.  Unscheduled downtime hours shall then be deducted from the adjusted availability hours to determine actual operational use hours.  The actual operational use hours for the measured month shall then be divided by the adjusted availability hours to determine the system availability percentage.

9.10.2   Percentage of credit adjustment to compensate for nonavailability of equipment.  This adjustment shall be concurrent with standard time and material rates per hour and shall be credited against the next billing period.  If an outage occurs during the warranty period, the credits shall accumulate until the first paid maintenance cycle.

10.           Training

10.1         

Vendor shall provide training to ABC AFIS personnel to assure proper operation and utilization.  This training must include initial training, ongoing training, system expansion and software enhancement training.

10.2         

Vendor shall provide on-going training as required during the warranty period.  After the warranty period has expired, Vendor will provide training as part of the maintenance contract.

10.3         

This system shall be used by clerks, experienced typists, and technical personnel.  This system shall be easy to use for all ranges of operators.  Some operators shall receive intensive training and use the system daily.  Others shall receive minimal training and use it infrequently.

10.4         

The system shall be easy to use with minimal training.  Sufficient training shall be provided for operation of the system.  Minimal training is considered to be four (4) hours.  Vendor shall specify training required for each function, at each ABC AFIS site.  Vendor shall prepare a detailed training curriculum, that must be approved by the State, that will consist of the following requirements at a minimum:

A.    Brief course description, including subject title, objectives, course length of time, and number of sessions at each AAFIS site.  In addition, the number of recommended students for each class, and recommended student background/skill level necessary for satisfactory completion of the course.

B.    Course schedule to identify starting and completion dates for training at each ABC AFIS site.

C.    Subjects of training shall include, but are not limited to:

1.     Encoding.

2.     Tenprint search/verification.

3.     Latent search/verification.

4.     Record updating.

5.     Record deleting.

6.     System operations (i.e. system console operation, diagnostic routines, backup and recovery functions).

D.    Vendor shall provide hands-on training at each ABC AFIS site.

E.     Vendor shall provide handout/reference material needed for each student at no additional cost.

F.     The State requires training on shifts, covering the hours of 0700 - 2300 hours at each ABC AFIS site.

G.    The training shall begin during installation of equipment for each ABC AFIS site and through the system acceptance period for:

1.     Technical hardware and software personnel.

2.     Computer programmers, system analysts, and computer operations personnel for operations support functions.

3.     Personnel responsible for tenprint processing and/or latent search/verification/record update requests.

4.     Supervisory personnel, responsible for training new employees in the future.

H.    Central site - estimated number of personnel requiring training:

1.     Three (3) technical hardware/software personnel.

2.     Three (3) computer programmers, system analysts, and computer operations personnel.

3.     Twelve (12) processing clerks/fingerprint technicians.

4.     Ten (10) latent operators.

5.     Twelve (12) supervisory personnel.

I.      Remote FAST site - ABC County Sheriff’s Office - estimated number of personnel requiring training:

1.     Zero (0) technical hardware/software personnel.

2.     Zero (0) computer programmers, system analysts, and computer operations personnel.

3.     Thirteen (13) processing clerks/fingerprint technicians.

4.     Twelve (12) latent operators.

5.     Four (4) supervisory personnel.

J.     Remote FAST site - DEF Police Department - estimated number of personnel requiring training:

1.     Two (2) technical hardware/software personnel.

2.     Two (2) computer programmers, system analysts, and computer operations personnel.

3.     Twenty-seven (27) processing clerks/fingerprint technicians.

4.     Eighteen (18) latent operators.

5.     One (1) supervisory personnel.

P.     Vendor shall supply ongoing training on a regular basis, and as may be necessary to support enhancements to the systems installed.

11.           Personnel Requirements

11.1         

VENDOR shall provide a Project Manager whose project management responsibilities shall include:

1.     Planning and monitoring project activities.

2.     Working with the Department of Public Safety Project Coordinator to resolve actual and/or potential problems.

3.     Reporting on project status.

4.     Providing analytical and technical expertise as required by the project.

5.     Obtaining and scheduling the use of required VENDOR resources.

11.2         

The Department of Public Safety shall provide a Project Coordinator whose project coordination responsibilities shall include:

1.     Planning and monitoring project activities.

2.     Working with VENDOR Project Manager to resolve actual and/or potential problems.

3.     Obtaining and scheduling the use of required State resources.

4.     Coordination with the AAFIS Technical Committee, and remote FAST site management staff as required to resolve policy and business issues impacting the project.

12.           SECURITY CHECK Requirements

12.1         

VENDOR is responsible for obtaining security clearance from the Department of Public Safety for all employees, subcontractors, or materialmen having access to restricted areas.  The State of ABC reserves the right to change the restricted areas as the work progresses or as police operations may dictate.

12.2         

VENDOR grants the right to the Department of Public Safety to conduct background checks of all employees, subcontractors, and materialmen entering designated restricted areas.  The background checks will be conducted prior to any employee, subcontractor, or materialmen entering in a restricted area and will be based upon information provided to the Department of Public Safety including, but not limited to, name and date of birth.  The information will be provided only to the police department’s representative at least 24 hours in advance of the need for access.  In no case shall the security check be conducted by any person other than the designated department representative.  The State of ABC may in its sole discretion refuse to allow an employee, subcontractor, or materialmen access to a restricted area for any of the following reasons:

1.     Conviction of a felony.

2.     Conviction of a misdemeanor (not including traffic or parking violation and petty offenses).

3.     A person is under current investigation or pending trial involving criminal activity.

4.     Any outstanding warrants (including traffic and parking violations).

5.     A person currently on parole or probation.

12.3         

VENDOR shall include the processing of this paragraph in any subcontract that it may enter into for performance of the work on this project.

12.4         

There will be no additional payment for this procedure, the cost will be included in the lump sum/unit prices in the contract.

13.           PROJECT PLAN

The State of ABC requires a Project Plan that is a document that describes how VENDOR plans to conduct the complete AAFIS project.  It must define the major project phases and the tasks making up each phase.  Tasks must be time phased in weekly segments and must clearly define the resources, both VENDOR and State, required to meet the commitment.  The plan must clearly define what is to be accomplished, by whom, and when it will be performed.  A cost for each task must also be provided.

13.1         

Specifically, the Project Plan shall accomplish the following:

1.     Provide high level summary for executive review.

2.     Provide VENDOR’s Project Manager and Department of Public Safety’s Project Coordinator with a detailed plan from start to end for monitoring progress and allocating resources.

3.     Provide executive summary with the same insight and progress monitoring ability.

4.     Be baselined with State approval milestones and updates as required throughout the project.

13.2         

The essential elements that the Project Plan must include are the following:

1.     A summary of the project that can be read and understood by a non-technical reader.  It must clearly identify the deliverable end products so that they can be checked off against the plan when produced.

2.     A list of specific and measurable milestones identified so that there can be no doubt as to whether they were achieved.

3.     A specification of the review process for each deliverable or milestone: who reviews, when, for what purpose, and the acceptance criteria.

4.     An interface plan that shows how the State and VENDOR staff organizations communicate within the project.

5.     A workplan that includes goals, specific objectives for each goal, and specific tasks for each objective.  The workplan is to include the responsible person for each task, the reporting point, and the cost associated with each task.

6.     A list of key project personnel (VENDOR and State) and their assignments in relation to the work plan.

7.     An activity network that shows the time sequence of the task elements and how they are related.  This network can be produced from the work plan and the list of milestones.  For example, it will show which work elements can be done in parallel and that can start only when others are completed.

13.3         

The plan will be developed jointly by the State of ABC and VENDOR before being made part of the contractual agreement.

13.4         

VENDOR shall prepare weekly written status reports that track progress to the Project Plan.  In addition, VENDOR shall address the AAFIS Technical Committee monthly describing tasks completed during the reporting period.  The report shall include discussion of any schedule variance from the Project Plan and any outstanding problems or concerns.

 


 



[1]  This second verification (or VALIDATION) function must be capable of being disabled by the System Administrator for any operator or ORI using the AAFIS.  The System Administrator may elect to bypass the VALIDATION step in the verification process for all tenprint cards entered at the Central Site.  Nevertheless, the VALIDATION requirement may be "turned on" for a particular operator at the Central Site as desired by the System Administrator.

[2]  ‘J’ ð Juvenile Non-Arrest; ‘JC’ ð Juvenile ACCH-Qualified

[3]  If a tenprint finger produces a TP/USL candidate list that has more than one USL in the candidate list, the TP/USL candidate list(s) sent to USL-contributing ORIs will be “broken” into separate TP/USL candidate lists – one candidate list for every ORI contributor of a USL that appears on the candidate list for a particular tenprint finger.  The candidate list available to a particular ORI will not have USL candidates listed from other ORI's.

[4]  In this case, “record demographics” includes the time stamp of the record.

[5]  This search will be run as a batch process on the operational AAFIS.  It's purpose is to search for duplicates in the converted database.

[6]  Please refer to ABC AFIS Advisory Board Resolution, August 11, 1993, Exhibit “C.”