Chapter 3 Criminal History

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Chapter 3 Criminal History

ACCESS Manual Chapter #3-1

Revised 08/2011

SECTION 01: SECURITY AND CONFIDENTIALITY 3

I. DEFINITIONS 3A. SECURITY AND CONFIDENTIALITY 3

SECTION 02: SYSTEM DESCRIPTION 7

I. DEFINITIONS 7A. SYSTEM OVERVIEW 7B. RECORDS PROVIDED BY WASIS 7C. RECORDS PROVIDED BY THE FBI 7D. RECORDS PROVIDED BY PARTICIPATING STATES 7E. INDIVIDUALACCESS,REVIEW, AND CHALLENGE 9

SECTION 03: FIELDS AND EDITS 12

I. DEFINITIONS 12A. MESSAGE KEYS 12B. NCIC2000III AND WASISMESSAGE FORMAT REQUIREMENTS 13C. FIELDS AND EDITS 14

SECTION 04: INQUIRY 16

I. DEFINITIONS 16A. INQUIRY 16B. MESSAGE FIELDS FOR QHINQUIRY 18II. PROCEDURE 19

A. REQUIREMENTS FOR QHINQUIRY 19B. QHSEARCH AND MATCH CRITERIA 19C. EXAMPLE OF A QHINQUIRYNEGATIVE RESPONSE 23D. EXAMPLE QHINQUIRIES WITH POSITIVE RESPONSES 24E. EXAMPLE OF QHINQUIRY WITH A MULTIPLE MATCHING RECORD RESPONSE: 24F. QHINQUIRY RESPONSE CLARIFICATIONS 25

SECTION 05: QR RECORDS REQUESTS 27

I. PROCEDURE 27

A. QRRECORD REQUEST 27B. EXAMPLE OF A QRREQUEST 28C. MESSAGE FIELD CODES FOR THE QRREQUEST 28D. REQUIREMENTS FOR THE QRREQUEST 28E. WASISRESPONSE TO A QRINQUIRY 29F. NCICIII RESPONSE WHEN RECORD WILL BE FURNISHED 32G. IIION-LINE RECORD RESPONSE 32


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H. RESPONSE WHEN A PARTICIPATING STATE(S)PROVIDES CRIMINAL HISTORY RECORD(S) 36I. RESPONSE WHEN FBIRECORD CANNOT BE PROVIDEDAUTOMATICALLY 37J. RESPONSES WHEN IIIIS UNABLE TO CONTACT RECORD HOLDER 37K. RESPONSES WHEN RECORD IS NOT INDEXED IN III 38L. REMOVAL FOR EXPUNGEMENT,DEATH, OR DELETION 38M. EXAMPLE OF ZRINQUIRY (ZR) 39

N. MESSAGE FIELD CODES FORADMINISTRATIVE INQUIRY (ZR) 40O. REQUIREMENTS FOR ZRINQUIRY 40P. EXAMPLE ZRINQUIRY WITH NEGATIVE AND POSITIVE RESPONSES 40Q. ZRRESPONSE FOR RECORDS THAT HAVE BEEN REMOVED 41

SECTION 07: ERROR MESSAGES 42

I. PROCEDURE 42A. ERROR MESSAGES 42


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5. The criminal history shall not be used to access a record to be reviewedand/or challenged by the subject of the record. Record requests for thispurpose must be submitted in writing either to the FBI Criminal JusticeInformation Services (CJIS) Division or to the Washington State PatrolCriminal Records Division (CRD).

6. Each agency must maintain a criminal history log for all inquiries made to thesystem.

a. The criminal history logs must be retained for a minimum of one year.

(1) Prior to January 1, 2011, each agency was required to maintain theirown criminal history logs.

(2) Beginning January 1, 2011, all criminal history logs are maintained inan automated format by the WSP.

b. WSP will maintain a separate log for each ORI as required by the FBI.

c. The logs must contain the following information:

(1) Requestors first initial and last name or unique personnel number(2) The full name of the subject you are querying(3) The subjects date of birth(4) The correct purpose code(5) The date you are making the query(6) Identify the specific type of request (QH, QR, QI, etc.)(7) Provide a speci f icreason (i.e. DUI, Assault, Robbery, Criminal Justice

Applicant or a case number)(8) If the request is made by State Identification Number (SID) or Federal

Bureau of Investigation (FBI) number, that number must also belogged.

d. Secondary disseminations

(1) Agencies must continue to log secondary disseminations.(2) Include the specific person the information is given to, date, agency

name, and case number or reason.(3) Agencies may disseminate criminal history rapsheets to defense

attorney onlyif they complete the discovery process. They areotherwise not entitled to a rapsheet.

(4) Agencies may disseminate to other criminal justice agencies as lognas they log the dissemination.


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e. Use the correct purpose code when inquiring for criminal history:

(1) C Use this transaction for official duties in connection with theadministration of criminal justice (i.e. crimes and also fornon-applicant ride-alongs and contractors or vendors not

involved in the administration of criminal justice.

(2) J Use this transaction when backgrounding new criminalJustice employees or background re-investigating ofcurrent employees. Use this for applicant ride-alongs.

(3) F Use this transaction for evidence returns of guns, firearmdealers and follow up for record verification on gun transferswhen the purchaser has a valid Concealed Pistol License(CPL). Washington State Identification Numbers (SID) only) .

(4) H Use this transaction with a Housing Authority ORI. ABackground check for this purpose has additionaldissemination rules. Review the Housing Authoritybackground check section of the ACCESS Manual priorto use and dissemination.

f. Each agency will include the following information in a criminal historyinquiry:

(1) The Attention Field (ATN) must contain the following:(a) First initial and last name or unique identifier of the requestor that

does not change throughout their career, like a personnel number.(b) Specific criminal justice reason

1. Good reasons: Theft, drugs, homicide, criminal justice applicant,case number

2. Bad reasons: investigation, criminal history, employment3. If your agency chooses to use abbreviated reasons, they must

be approved by your TAC and a list be made available duringthe ACCESS audit

4. Examples:

ATN/J Smith 10-89745

ATN/B145 Burglary

5. The proper purpose code. Ensure you are using the properpurpose code for all inquiries. If you are uncertain, you mayrefer to the ACCESS Manual.


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7. Each agency will store all criminal history rapsheet information in secure casefiles or dispose of all rapsheet documents via shredding.

8. Each agency will accompany contracted personnel to the shredding truck andstand by while all sensitive paperwork is destroyed.

OR

9. Each agency must maintain a current Security Addendum and verifiedfingerprint background checks for all contracted personnel that accessagency facilities to remove sensitive paperwork (such as rapsheets) forshredding purposes.

10. All agency personnel must be apprised that criminal history data may only be

used in the administration of criminal justice. It is strictly protected by stateand federal law.


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CHAPTER 03: ACCESS Manual Criminal HistorySECTION 02: System Description

Procedure #: 03.02.000

Special Order:

Supersedes:ACCESS Manual 2003 Edition

Applies to:ACCESS Users

Effective Date: March 30, 2006

See Also:

CALEA:

I. DEFINITIONS

A. System Overview

1. Records available through the NCIC 2000 III are provided by WASIS, the FBIand participating state agencies.

B. Records Provided by WASIS

1. WASIS is a computerized criminal history file of persons with a record inWashington State. The files are based on fingerprint cards that have beensubmitted to the Criminal Records Division (CRD). These records includecriminal history on convicted criminals, persons who have been arrested butnot charged with a crime, as well as personnel fingerprinted as a result of

employment with a law enforcement agency.

C. Records Provided by the FBI

1. The FBI provides the criminal history records for persons arrested by afederal agency, arrest data from states not currently participating in the NCIC2000 III program, and arrest data that NCIC 2000 III participating states areunable to provide. Record responses from the FBI are furnished via NCIC2000 lines.

D. Records Provided by Participating States

1. A participating state file is a criminal history record system maintained bya designated agency in a state. A state referred to as a NCIC 2000 IIIparticipant provides records from its file upon receipt of notification from NCIC2000 III. For a state to be an NCIC 2000 III participant, it must meet theminimum standards for participation.


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2. An authorized criminal justice agency can make an inquiry (QH) based onname and numeric identifiers (date of birth, social security number, etc.) todetermine the existence of a criminal record matching the inquiry. A positivecriminal history response contains additional identifying data to associate therecord with the person of the inquiry (height, weight, race, fingerprint and/or

pattern classification, tattoos, etc.). The response also identifies thedatabase(s) maintaining the criminal history information. With thisinformation, the agency can decide whether to conduct a record request(QR).

3. The III and WASIS provide a method for requesting a criminal history recordonce a person has been associated with an III record, or when the person hasbeen positively identified with a prior record through fingerprint comparison atthe local or state level. Requests made on-line via III result in automaticnotification to the record holder(s) with sufficient information enabling theholder(s) to respond. If the record is maintained only by the FBI, it will be

automatically returned on-line via NCIC 2000. If the record is maintained byone or more states participating in the III record exchange, the state(s) willrespond via the National Law Enforcement Telecommunications System, Inc.(NLETS). When the record is on file in a participating state(s) and the federaloffender and/or nonparticipating state data are on file at the FBI, therequester will receive multiple on-line responses (i.e., the FBI will furnish thefederal and/or nonparticipating state data and the participating state[s] willfurnish its data).

4. The Privacy Act of 1974 requires the FBI to maintain an audit trail of thepurpose of each disclosure of a criminal history record and the recipient ofthat record. Therefore, inquiries and record requests transmitted to III mustinclude the purpose for which the information is to be used. The purposes forwhich certain agencies may use III and the appropriate codes for use are thefollowing:

PURCode

Description Forward toNCIC

Conviction (C) orNon-Conviction (NC)

Rapsheet

C Criminal justice inquiries Yes C and NC

J Criminal justice agency employment Yes C and NC

F Weapons release Yes C and NC

H Housing Authority (Use with Housing Authority

ORI only)

Yes C and NC


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E. Individual Access, Review, and Challenge

1. In WASIS/WACIC

a. Any individual has the right to inspect criminal history record information

(CHRI) or dependency record information on file with CRD that refers tohim/her. If the individual believes such information to be inaccurate orincomplete, he/she may request CRD to purge, modify, or supplement itand to advise such persons or agencies who have received his/her recordand whom the individual designates to modify it accordingly. If CRDdeclines to act, the individual may appeal such decision to (1) the superiorcourt in the county of residence; (2) the county from which the disputedrecord emanated; or, (3) Thurston County.

b. The individual desiring to inspect his/her own CHRI may do so byappearing at CRD during normal business hours and completing the

request form. The individual shall permit his/her fingerprints to be taken byCRD for identification purposes, if requested to do so. CRD, in itsdiscretion, may accept other identification in lieu of fingerprints.

c. If the individual desiring to inspect CHRI appears at a local criminal justiceagency, the agency may forward the request to CRD for processing. Therequest is to be submitted on a fingerprint applicant card, with the localagencys NCIC originating agency identifier (ORI number), indicatingreason fingerprinted as RECORD REVIEW/CHALLENGE. There is no feefor this request. CRD will provide a transcript of all state CHRI relating to

the individual requester to the criminal justice agency submitting therequest. Upon receipt, the agency shall notify the individual requester thatthe CHRI is available for inspection during normal business hours.

d. A reasonable period of time, not to exceed 30 minutes, shall be allowedeach individual to examine his/her state CHRI. Retention or reproductionof the CHRI is not allowed unless for the purpose of challenge orcorrection of entries submitted by criminal justice agencies of the state ofWashington. Visual examination only shall be permitted of the CHRI,unless the individual asserts his/her belief that the information isinaccurate, incomplete, or in violation of the law and unless he/she

requests correction or completion of the information on a form supplied byCRD or requests expungement of the information.

e. If any person who desires to examine his/her CHRI is unable to read or isotherwise unable to examine the information because of a physicaldisability, he/she may designate another person of his/her own choice to


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assist. The person about whom the CHRI pertains shall execute, withhis/her mark, the form provided by the section, consenting to theinspection of the CHRI by another person for the purpose of it being reador otherwise described to him/her. Such designated person shall then bepermitted to read or otherwise describe or translate the CHRI to the

person about whom it pertains.

2. In NCIC

a. If an individual has a criminal record maintained by the FBI and that recordhas been entered in the NCIC 2000 III, it is available to that individual forreview upon presentation of appropriate identification and in accordancewith applicable state and federal administrative and statutory regulations.

b. The remote accessing of NCIC 2000 III for individual access and review isnot allowed since states desire to follow individual state dissemination

procedures for this purpose.

c. To obtain information concerning his/her record, the subject of a recordindexed in NCIC 2000 III may submit a written request directly to:

Attention: Special Correspondence Unit, Module D-2CJIS DivisionFederal Bureau of Investigation1000 Custer Hollow RoadClarksburg, West Virginia 26306-0171

d. A set of rolled, inked fingerprint impressions, name, and date and place ofbirth must accompany the request. Appropriate identification ensures thathe/she is the individual that he/she purports to be. The record on file willthen be verified as his/hers through the comparison of fingerprints. TheFBI will provide a copy of the Index record and the Federal Offender File(FOF) record, if such exists. If the record is indexed for a state(s), the FBIwill provide the name and address of the appropriate state agency(s) tocontact. When a record is indexed for a federal agency, the requester willbe advised to comply with the procedures and fee provisions set forth in

Attorney General Order 556-73.

e. Should an individual desire to challenge the accuracy or completeness ofany of the information received from the FBI, he/she may direct applicationfor correction or updating to the agency that contributed the questionedinformation or to the Director of the FBI. The FBI will forward thechallenge to the agency that submitted the data, requesting that theagency verify or correct the challenged entry. Upon receipt of officialcommunication from the agency that contributed the original information,


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


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CHAPTER 03: ACCESS Manual Criminal HistorySECTION 03: Fields and Edits


Special Order:




See Also:

CALEA:

I. DEFINITIONS

A. Message Keys

1. Below are the types of transactions available to all NCIC 2000 III and WASISusers. The following is an explanation of the five transactions available to allusers.

MKE Message

QH Inquiry to determine the existence of an Index record.

QR Request for a criminal history record from the FBI and/or theparticipating state(s) maintaining such record.

QWH Inquiry will search WASIS and NCIC 2000 III for criminalhistory information and WACIC and NCIC for hot fileinformation. This inquiry performs the functions of both theQH criminal history inquiry and the QW wanted personinquiry.

QI Inquiry by SID number will return name, date of birth,aliases, and other descriptive information only.

ZR Inquiry to determine if an FBI Number (FBI) or State

Identification Number (SID) is indexed in the NCIC 2000 III.This inquiry accesses the NCIC III only, WASIS is notaccessed.


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2. The QH response will provide an Index to either a single NCIC 2000 III recordsubject or multiple NCIC 2000 III record subjects matching the inquiry. Basedon the response(s), the user will determine if the record subject matches theperson who is the subject of the inquiry.

3. The NCIC 2000 III QH response will include information regarding where therecord is maintained (individual state files and/or the FBI) and should be usedas a table of contents to be attached on the top of the criminal historyrecord(s) received (via a QR) so the user will know when the complete recordis received. Without this, one states response may be consideredinadvertently as a complete criminal history record. The WASIS response willprovide the SID number and physical descriptors or zero hits foundmessage.

4. A QR message is used for obtaining a specific criminal history record via theNCIC 2000 III and WASIS. Only the FBI Number or SID can be used to

identify the record being requested. In either event, the criminal historyinquiry will automatically generate notification to every database identified inthe NCIC 2000 III record so that the most complete record possible will berequested. If the inquiring agency desires only a portion of the record orwishes to obtain the record by means other than the NCIC 2000 III (NLETS,mail, telephone, etc.), it may do so by using the identifiers from the NCIC2000 III and WASIS QH response. The NCIC 2000 III does not provide ameans whereby only a portion of a record can be requested.

B. NCIC 2000 III and WASIS Message Format Requirements

1. Formats for NCIC 2000 III and WASIS messages have three basicrequirements:

a. When a message field code (MFC) is used, it must be followed by a slash(/).

b. A period must be used to end each field of data in the message except thelast field.

c. Since the period is used as a field delimiter, it must never be used within afield of data.


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C. Fields and Edits

1. The field edit specifications presented in this subsection pertain to data fieldsused for criminal history inquiry and record messages. Additional field editsunique to a certain type of message are listed in the appropriate section. The

following specifications apply to all III inquiries:

Code Field Edits

ADR Street Address or Free text.Post Office Box

ATN Attention Free text.

BLD Building Free text.

CIS City and State Must include a comma between the cityand state. At least one alphabeticcharacter must precede the comma; anadditional two alphabetic charactersmust follow the comma.

DOB Date of Birth Must be a valid Gregorian date(YYYYMMDD), between 1901 and thecurrent year.

DPT Department or Free text.

Agency name

FBI FBI Number May be one to nine alphanumericcharacters. May be up to sevennumerics; or one to six numericsfollowed by an alphabetic character Athrough H; or one to six numericsfollowed by an alphabetic character Jthrough Z, followed by one or two checkdigits; or one to six numerics followed bytwo alphabetics followed by one check

digit. If the number contains onealphabetic character (J-Z), the checkdigit(s) will be 1 to 11 characters, thefirst cannot be B,G, I, O, Q, S, U, Y, or


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Code Field Edits

Z; the second must be A, B, or C; and,the check digit will be 0 to 9. Thealphabetic characters I and O are

always invalid.

MNU Miscellaneous The first two characters must beNumber alphanumeric and a valid NCIC

2000-assigned code as listed inPersonal Descriptors, NCIC 2000Code Manual. The third character mustbe a hyphen.

NAM Name The name may include alphabetics,numerics, a comma, hyphens, or

spaces. The comma must follow thelast name and one space may follow thecomma. A hyphen cannot be in the firstposition or directly precede the comma.

ORI Originating Must be a valid NCIC 2000- orAgency ACCESS- assigned ORI.Identifier

PUR Purpose The Purpose Code Field must contain avalid purpose code.

RAC Race Must be a valid NCIC 2000 assignedcode.

SEX Sex Must be F, M, or U.

SID State Maximum 10 characters. First twocharacters Identification will always bethe two-letter state code that issuedthe number or holds the record.

SOC Social Must be a nine-digit numericSecurity combination, except 123456789,Number 000000000, or 999999999.

ZIP ZIP Code Must be five or nine numeric characters.


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CHAPTER 03: ACCESS Manual Criminal History

SECTION 04: Inquiry


Special Order:




See Also:

CALEA:

I. DEFINITIONS

A. Inquiry

1. A criminal history inquiry message (QH) provides the capability to searchNCIC 2000 III and WASIS using an individuals personal identifiers, assignedSID, or assigned FBI Number. The QH is used to determine if an index to apersons criminal history record is in the NCIC 2000 III and/or WASIS. Apositive QH response will inform the inquirer how many record responses toexpect if the QR message is used to request the specific criminal historyrecord. The NCIC 2000 III QH response should be used as a table ofcontents to be attached on the top of a criminal history record(s) receivedlater, so the requester will know when the complete record is received. Also,

the QH response provides additional identifiers (aliases, additional dates ofbirth, etc.) which may not be included on the actual criminal history recordresponse(s).

1. In response to a QH inquiry, the NCIC 2000 III will provide one of thefollowing:

a. An index for a single matching NCIC 2000 III record response.

b. Index records for multiple matching NCIC 2000 III responses (up to amaximum of 15 subjects) and a caveat containing FBI numbers of

additional subjects.


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2. In response to a QH inquiry, WASIS will provide one of the following:

a. An index for a single matching WASIS record response.

b. Index records for multiple matching WASIS responses up to a maximum

of 25 subjects.

c. A No Record response.

3. The NCIC 2000 III NO RECORD response does not necessarily mean thereis absolutely no criminal history record on the individual. Records for alloffenders known to the FBI with a year of birth of 1956 or later, or arrested forthe first time and reported to the FBI since July 1, 1974, and numerous olderrecords are indexed in NCIC 2000 III. If a NO RECORD response isreceived, a fingerprint submission containing the persons rolled, inkedfingerprints should be mailed or electronically transmitted to the FBI. In

addition, there may be records at the local or state level for which arrestfingerprints are not on file with the FBI.

4. The positive QH response from NCIC 2000 III provides the requester with fivetypes of information.

a. The individuals name(s), physical descriptors, and numerical identifiers.

b. The location of the database(s) maintaining the criminal history recordinformation.

c. The means to be used for obtaining the record(s).

d. Registered sex offender notice when applicable. For example:

****NOTICE****

SUBJECT OF RECORD IS A REGISTERED SEX OFFENDER


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5. The positive QH response from WASIS provides the requestor with two typesof information.

a. The individuals name(s), physical descriptors, and numerical identifiers.

b. The SID to be used for obtaining the record.

6. Here is an example of a QH inquiry:

W;QH.your ORI. ATN/J LAW.NAM/SAMPLE, JOHN.SEX/M.RAC/W.DOB/19561125.PUR/C(Send)

B. Message Fields for QH Inquiry

FIELD NAME REQUIREMENTS MESSAGEFIELD CODE

FIELDLENGTH

DATA TYPE

HEADER MANDATORY HDR 9-19 ALPHABETIC, NUMERIC,SPECIAL CHARACTERS

MESSAGE KEY MANDATORY MKE 2-2 ALPHABETIC

ORIGINATING AGENCYIDENTIFIER

MANDATORY ORI 9-9 APPHABETIC, NUMERIC

NAME *CONDITIONAL NAM 3-30 ALPHABETIC, NUMERIC,SPECIAL CHARACTERS

DATE OF BIRTH CONDITIONAL DOB 8-8 NUMERIC

SEX CONDITIONAL SEX 1-1 ALPHABETIC

RACE CONDITIONAL RAC 1-1 ALPHABETIC

SOCIAL SECURITYNUMBER

CONDITIONAL SOC 9-9 NUMERIC

MISCELLANEOUSNUMBER

CONDITIONAL MNU 4-15 ALPHABETIC, NUMERIC,SPECIAL CHARACTERS

STATE IDENTIFICATIONNUMBER

CONDITIONAL SID 3-10 ALPHABETIC, NUMERIC

FBI NUMBER CONDITIONAL FBI 1-9 ALPHABETIC, NUMERIC

PURPOSE CODE MANDATORY PUR 1-1 ALPHABETIC

ATTENTION MANDATORY ATN 3-30 ALPHABETIC, NUMERIC,SPECIAL CHARACTERS

EXPANDED NAMESEARCH

OPTIONAL ENS 1 Y FOR YES OR LEAVE BLANK

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


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II. PROCEDURE

A. Requirements for QH Inquiry

1. The criminal history inquiry must contain the following: HDR, MKE,ORI, PUR,

and the following groups of search fields:

a. NAM, SEX, RAC, and DOB;

b. NAM, SEX, RAC, DOB, and social security number (SOC);

c. NAM, SEX, RAC, DOB, and Miscellaneous Number (MNU);

d. NAM and SOC;

e. NAM and MNU;

f. SID or NAM and SID*;

g. FBI or NAM and FBI*.

2. Each search field must be preceded by a message field code.

3. If known, the SID or FBI Number should be used as the search field. This willprovide an exact hit and eliminate the possibility of multiple responses.

B. QH Search and Match Criteria

1. Name (NAM)

a. WASIS

(1) The system phonetically converts all components (first, middle and lastname) of the query name. A weighted score, based on the NCICSoundex system, is assigned to each component based on whetherthere is an exact or phonetic match. Since all components of the nameare scored, it is beneficial to include as much of the name as possiblein the query.

(2) A sum of the name score and date of birth score is calculated. The topthirty candidates are returned with the highest-scored candidatesappearing first. Near matches are returned in an abbreviated formatcontaining all necessary identifiers for subsequent searches.


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(3) In addition to these weighting factors used to narrow the search, otherbenefits of the name search routine are:

(a) First and middle names are reversed and used in the search.

(b) Common nicknames are converted to full names that are thensearched.

(c) Components of hyphenated last names are reversed and searched.Also, each component of hyphenated last names is used in thesearch.

b. NCIC

(1) A name included in a QH inquiry is compared for matching purposesagainst both the master name(s) and aliases included in the III. It is

important that inquiries contain last name, first name, and middle nameor initial when available. The first initial should be used only if theperson does not have a given first name. In these cases, a positiveresponse would result since the record on file would contain the firstinitial in lieu of the first name.

(2) QH inquiries containing NAM and SOC, NAM and MNU, NAM and FBI,or NAM and SID will be searched on SOC, MNU, FBI, or SID only.The inclusion of NAM with FBI or SID is optional.

(3) JANE DOE or JOHN DOE should not be used when the subject nameis unknown. The III does not search these names and a NO RECORDresponse will be transmitted.

(4) In the event an individual has a single name as his/her entire name,the name in the inquiry must be entered with the single name as thelast name, comma, and XX as the first name. The III will search andmatch the records of persons using this same name at the time ofarrest.

(5) Generally, names in the III will be computer-coded according to aphonetic technique that treats all vowels equally and eliminates doubleconsonants. Various other changes are made to letter combinations(e.g., if the first letters of the surname are PF, they are changed to FF;SCH is changed to SSS).


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(6) Surnames are grouped according to the resulting phonetic codebeginning with the first character of the coded name. Depending onthe length of the name, additional characters may be included. Aphonetically coded surname may contain a maximum of six characters.

(7) First names are grouped in a similar manner in the first name groupcodes. If the surname and first name group code is a common code(appears frequently, e.g., John Smith), the middle initial is added to thename code. Therefore, a full phonetically coded name may contain 11characters.

(8) Compound surnames such as SAENZ-PARADA-LOPEZ will be codedas SAENZPARADALOPEZ, SAENZ, PARADA, and LOPEZ so that aninquiry by any one of the possible surnames will be matched againstthe compound name.

2. SEX (SEX)

a. WASIS

(1) If search SEX is M and the candidate has a base record or alias SEXof F and does not have a base record or alias SEX of M, then thecandidate shall not be returned from the CCH name search regardlessof its score. If search SEX is F and the candidate has a base recordor alias SEX of M and does not have a base record or alias SEX ofF, then the candidate shall not be returned from the CCH namesearch regardless of its score.

b. NCIC

(1) SEX must be an exact match. An inquiry with M(male) in the SEXField will match only III records of males, and inquiries with F (female)in the SEX Field will match only III records of females. An inquiry withU (unknown) will match III records of males and females.

3. Race (RAC)

Code Race

A Asian or Pacific Islander a person having origins in any ofthe original peoples of the Far East, Southeast Asia, theIndian subcontinent, or the Pacific Islands.

B Black a person having origins in any of the black racialgroups of Africa.


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I American Indian or Alaskan Native a person having originsin any of the original peoples of North America andmaintaining cultural identification through tribal affiliations orcommunity recognition.

U Unknown.

W White a person having origins in any of the originalpeoples of Europe, North Africa, or the Middle East.

a. WASIS

(1) If search RAC is W and the candidate has a base record or alias RACof B and does not have a base record or alias RAC of W, then thecandidate shall not be returned from the CCH name search regardlessof its score. If search RAC is B and the candidate has a base record

or alias RAC of W and does not have a base or alias RAC of B, thenthe candidate shall not be returned from the CCH name searchregardless of its score.

b. NCIC III

(1) Race specified in an inquiry will search records containing any of therace codes. A matching record(s) will be provided regardless of racecode provided the name and date of birth score sufficiently high.

4. Date of Birth (DOB)

c. WASIS

(1) A weighted score is also applied to the components (month, day, andyear) of the query date of birth.

(2) Any matched record with date of birth falling outside of plus or minusfive years from the query date of birth will not be included in thecandidate list. Exact matches result in a full record response.


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d. NCIC

(1) When a complete date of birth is used in an inquiry, the search willprovide records that score sufficiently high based on matching:

(a) Name, sex, race;

(b) The same complete date of birth; and

(c) The same month and day of birth, and plus or minus three yearsfrom the year of birth.

(d) An inquiry that contains an incomplete date of birth (e.g.,19600000, 19601200) will be rejected.

C. Example of a QH Inquiry Negative Response

W;QH.WA0000000.ATN/JOHN LAW.NAM/SAMPLE, MICHAEL.SEX/M.RAC/W.DOB/19561025.PUR/C (Send)

1. WASIS

ATN/JOHN LAWBASED ON DESCRIPTORS PROVIDED ABOVE WASIS RESULTED IN

THE FOLLOWING:

SEARCH USING NAM/SAMPLE, MICHAEL DOB/19561025 RAC/W

SEX/M

ZERO HITS FOUND

END OF SEARCH RESULT

2. NCIC III

WA0000000

NO IDENTIFIABLE RECORD IN THE INTERSTATE IDENTIFICATION

INDEX(III) FOR NAM/SAMPLE, MICHAEL.SEX/M.RAC/W.

DOB/19561025.PUR/C NOTICE - - THIS DOES NOT PRECLUDE THE

POSSIBLE EXISTENCE OF MATCHING RECORDS IN LOCAL, STATE, OR FBI

CJIS DIVISION FILES THAT ARE NOT INDEXED IN THE III. IF YOUDESIRE A SEARCH OF THE FBI CJIS DIVISION FILES, A FINGERPRINT CARD

SHOULD BE SUBMITTED.

END


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D. Example QH Inquiries with Positive Responses

1. Example of QH Inquiry with a Single Matching Record Response:

a. WASIS

WWCIC TIME: 1330 DATE: 080206 TO: SP8H

QH.WAWSP0007.ATN/H

ANDERSON.NAM/WASHINGTON,IIITEST.SEX/M.RAC/W.DOB/19500101.PUR/C

ATN/H ANDERSON

BASED ON DESCRIPTORS PROVIDED ABOVE WASIS RESULTED IN THE FOLLOWING:

SEARCH USING NAM/WASHINGTON,IIITEST DOB/19500101 RAC/W SEX/M

SID NO NAME DOB S R HT WT EYE SOC

WA10150089 WASHINGTON,IIITEST 01/01/1950 M W 510 210 BRO

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

1. WASIS

QH.WA0000000.ATN/JOHNLAW.NAM/SAMPLE,JOHN.SEX/M.RAC/W.DOB/19561025.

PUR/C

BASED ON THE DESCRIPTORS PROVIDED ABOVE WASIS RESULTED IN THE

FOLLOWING:

SEARCH USING NAM/SAMPLE, JOHN DOB/19561025 RAC/W SEX/M

SID NO NAME DOB S R HT WT EYE SOCWA12345678 *SAMPLE, JOHN PATRICK 1956/12/15 M W 601 189 BLU

WA23456789 SAMPLE, JAMES 1956/10/25 M W 601 189 BLU

* indicates an alias record

2. NCIC III

NCIC TIME: 1331 DATE: 080206 TO: SP8H

WAWSP0007

THIS NCIC INTERSTATE IDENTIFICATION INDEX RESPONSE IS THE RESULT OF

YOUR INQUIRY ON NAM/WASHINGTON,IIITEST SEX/M RAC/W DOB/19500101 PUR/C

NAME FBI NO. INQUIRY DATEWASHINGTON,IIITEST S 9028000 2006/08/02

SEX RACE BIRTH DATE HEIGHT WEIGHT EYES HAIR BIRTH PLACE PHOTO

M W 1950/01/01 510 200 BRO BRO WASHINGTON STATE N


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FINGERPRINT CLASS

PO PM AA 12 PO

AA PM AA PO PM

ALIAS NAMES

WASHINGTON,IIITEST

OTHER SCARS-MARKS-

BIRTH DATES TATTOOS SOCIAL SECURITY

1947/01/15 MISS R EAR 123-45-6767

SC R EAR

IDENTIFICATION DATA UPDATED 2005/06/06

THE CRIMINAL HISTORY RECORD IS MAINTAINED AND AVAILABLE FROM THE

FOLLOWING:

WASHINGTON STA - STATE ID/WA10150089

THE RECORD(S) CAN BE OBTAINED THROUGH THE INTERSTATE IDENTIFICATION

INDEX BY USING THE APPROPRIATE NCIC TRANSACTION.

END

F. QH Inquiry Response Clarifications

1. The fingerprint class in the NCIC III response is furnished on two lines. Thefirst line represents the fingerprint classification of the right hand; the secondline represents the left hand. The pattern class is furnished on two or threelines representing the electronic classification for each finger.

2. Identification data updated in the NCIC III response provides the date of thelatest addition, modification, or cancellation of data contained in the FBIrecord.

3. In NCIC III, the word DECEASED will appear in conjunction with aparticipating state SID when the record is multi-source and one of the stateshas received information that the individual is dead.

4. When a QH inquiry includes a SOC that contains an 8 or 9 in the first positionand/or 00 in the fourth and fifth positions, a warning caveat will be appendedto the QH response from NCIC III, immediately preceding the word END asshown below:

ATTENTION - - THE SOC USED IN YOUR TRANSACTION HAS NOT BEEN

ASSIGNED BY THE SOCIAL SECURITY ADMINISTRATION. PLEASE CHECK FOR

A DATA ENTRY ERROR IN YOUR QUERY AND RESUBMIT IF NECESSARY.

END


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5. In a NCIC III multiple-record response, the end of the first record furnished isidentified by END 1ST NCIC III RECORD OF MULTIPLE RESPONSE. Thesubsequent records will be numbered consecutively except for the final recordwhich will be identified with END LAST NCIC III RECORD OF MULTIPLERESPONSE. When the number of matching records exceeds 15, the last

record furnished will be identified with END 15TH NCIC III RECORD OFMULTIPLE RESPONSE. The FBI number of the additional matching recordswill be provided in a caveat. For example:

END15TH NCIC III RECORD OF MULTIPLE RESPONSE. THE RECORD(S) CAN

BE OBTAINED THROUGH THE INTERSTATE IDENTIFICATION INDEX BY USING

THE APPROPRIATE NCIC TRANSACTION.

NOTICE: AS A RESULT OF YOUR INQUIRY, THE III PROVIDED A MAXIMUM OF

15 MATCHING RECORDS. TO OBTAIN ADDITIONAL MATCHING RECORD(S) USE

A SEPARATE III INQUIRY(S) CONTAINING THE FOLLOWING FBI NUMBERS:

1234561, 1234562, 1234563

END

6. The examples in this section include a complete first name. If an inquiry ismade using only the first initial of the first name, the following caveat wouldappear immediately preceding the word END in and NCIC response:

ATTENTION - - YOUR INQUIRY CONTAINED ONLY THE FIRST INITIAL OF FIRST

NAME. A MORE COMPREHENSIVE RECORD SEARCH MAY BE POSSIBLE IF

YOUR INQUIRY IS RESUBMITTED WITH COMPLETE NAME.


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CHAPTER 03: ACCESS Manual Criminal HistorySECTION 05: QR Records Requests


Special Order:




See Also:

CALEA:

I. PROCEDURE

A. QR Record Request

1. In order to obtain a specific criminal history record via the NCIC 2000 III orWASIS, a criminal history record request (QR) transaction containing eitherthe FBI or SID must be used. The FBI or SID used in the record request maybe obtained from the NCIC 2000 III or WASIS response to a QH inquiry orfrom other sources available to the inquiring agency (e.g., local investigativefile).

2. Upon receipt and processing of a QR message, the NCIC 2000 III andWASIS will respond to the requesting agency with either a positive responseor a negative response (record may exist but is not indexed in NCIC 2000 III

or WASIS). The positive response will advise the requester which databasescontain the requested criminal history record.

3. Based on a positive response from the criminal history inquiry, database(s)maintaining criminal history information will provide records as follows:

a. A record provided by one or more state agencies participating in theNCIC 2000 III, will be transmitted via NLETS either immediately or anacknowledgment will be sent with a notice of when the record will beprovided. Each state provides records via the NCIC 2000 III in the formatthat is used within the state. Should a user receive a state record that

needs clarification, the state Criminal History HELP Files (SIR) availablevia NLETS include a state contact who can answer questions regardingthat state record.

b. A record to be provided by the FBI will be automatically returned on-linevia NCIC 2000 III.


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c. A record to be provided by WASIS will be automatically returned on-line.

B. Example of a QR Request

W;QR.WA023035C.SID/WA9999996.PUR/C.ATN/A JOHNSON(Send)

C. Message Field Codes for the QR Request

1. Conditional Fields

a. Either the FBI number or the SID number must be used.

b. If the department and address are used, all four fields (DPT, ADR, CIS,and ZIP) must be used.

c. The BLD field is optional.

D. Requirements for the QR Request

1. The record request must contain the following: ORI, FBI or SID, PUR, andATN. The inquiry will search WASIS and NCIC 2000 III and return thecriminal history record for the subject based on the FBI or SID and purposecode used.

Data Element Mandatory

MKE REQUIRED

ORI REQUIRED

SID CONDITIONAL

FBI CONDITIONAL

PUR REQUIRED

DPT CONDITIONAL

BLD OPTIONAL

ADR CONDITIONAL

CIS CONDITIONAL

ZIP CONDITIONAL

ATN REQUIRED


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E. WASIS Response to a QR Inquiry

WWCIC TIME: 1320 DATE: 080206 TO: SP8H

PAGE 1

QR.WAWSP0007.SID/WA10150089.PUR/C.ATN/H ANDERSON

ATN/H ANDERSON

WASHINGTON STATE CRIMINAL HISTORY RECORD FOR SID/WA10150089

WASHINGTON STATE PATROL

IDENTIFICATION AND CRIMINAL HISTORY SECTION

P.O. BOX 42633

OLYMPIA, WASHINGTON 98504-2633

*****************************************************************************

NOTICE

THE FOLLOWING TRANSCRIPT OF RECORD IS FURNISHED FOR OFFICIAL USE ONLY.

SECONDARY DISSEMINATION OF THIS CRIMINAL HISTORY RECORD INFORMATION IS

PROHIBITED UNLESS IN COMPLIANCE WITH THE WASHINGTON STATE CRIMINAL RECORDS

PRIVACY ACT, CHAPTER 10.97 RCW.

POSITIVE IDENTIFICATION CAN ONLY BE BASED UPON FINGERPRINT COMPARISON.

BECAUSE

ADDITIONS OR DELETIONS MAY BE MADE AT ANY TIME, A NEW COPY SHOULD BE

REQUESTED

FOR SUBSEQUENT USE. WHEN EXPLANATION OF A CHARGE OR DISPOSITION IS NEEDED,

COMMUNICATE DIRECTLY WITH THE AGENCY THAT SUPPLIED THE INFORMATION TO THE

WASHINGTON STATE PATROL.

*****************************************************************************

SID NUMBER NAME FBI NUMBER DOC NUMBER

WA10150089 WASHINGTON,IIITEST 9028000

=============================================================================PERSON INFORMATION

=============================================================================

SEX RACE HEIGHT WEIGHT EYES HAIR PLACE OF BIRTH CITIZENSHIP

M W 510 210 BRO BRO WA

NAMES USED DATES OF SOC SEC MISC NUMBER

WASHINGTON,CHARLES BIRTH NUMBER

WASHINGTON,HENRY 01/01/1950 111-22-3333

WASHINGTON,TESTIII 01/01/1946 123-45-6767

01/15/1947 444-55-6666

01/01/1945

DNA TAKEN: N DNA TYPED: N

COMMENTS: THIS IS AN NCIC/III TEST RECORD

=============================================================================

SCARS, MARKS, TATTOOS, AMPUTATIONS

=============================================================================

LOCATION DESCRIPTION LOCATION DESCRIPTION

SC L ARM SC R EAR


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=============================================================================

CONVICTION AND/OR ADVERSE FINDING SUMMARY

=============================================================================

1 FELONY(S) DISPOSITION

DATE

ASSAULT 1 FELONY 08/01/1995

2 GROSS MISDEMEANOR(S)

DRIVING UNDER THE INFLUENCE 12/01/1993

DRIVING WHILE UNDER THE INFLUENCE 12/01/1993

0 MISDEMEANOR(S)

0 CLASSIFICATION(S) UNKNOWN

=============================================================================

==

SEX/KIDNAPPING OFFENDER REGISTRATION

=============================================================================

==

PROJECTED END REG DATE: 01/01/2099 DOC BULLETIN AVAILABLE: N

EVENTS | ADDRESS

TYPE: RELIEVED OF DUTY TO REGISTER | REGISTRATION ADDRESS:

NAME USED: WASHINGTON,IIITEST | STREET #: 1

DATE: 05/31/2001 | ST NAME: TULIP

CONTRIBUTING AGENCY: WAKCS0000 | CITY: EVERETT

KING COUNTY SHERIFFS OFFICE | STATE: WA

LOCAL CLASSIFICATION: UNKNOWN | ZIP CODE: 99999

LOCAL ID: 150089 | DATE SUBMITTED: 05/05/2001

| PHONE: 000 000-0000

TYPE: SEX/KIDNAPPING OFFENDER REGISTRATION |

NAME USED: WASHINGTON,IIITEST | REGISTRATION ADDRESS:

DATE: 05/05/2001 | STREET #: 10

CONTRIBUTING AGENCY: WA0310000 | ST NAME: SNOWDRIFT

SNOHOMISH COUNTY SHERIFF | CITY: GRIZZLEY

LOCAL CLASSIFICATION: UNKNOWN | STATE: AK

CONVICTION:00612 - KIDNAPPING 1 | ZIP CODE: 99999

LOCAL ID: 123456 | DATE SUBMITTED: 04/02/2001

COMMENT: ATTEMPTED | PHONE: 000 000-0000

|

TYPE: RELEASED TO FEDERAL AUTHORITY | REGISTRATION ADDRESS:

NAME USED: WASHINGTON,IIITEST | STREET #: 1

DATE: 05/05/2001 | ST NAME: 1 FRENCH FRY

CONTRIBUTING AGENCY: WA0310000 | CITY: GREASY SPOON

SNOHOMISH COUNTY SHERIFF | STATE: WA

LOCAL CLASSIFICATION: UNKNOWN | ZIP CODE: 98806

LOCAL ID: | DATE SUBMITTED: 03/03/2001

| PHONE: 000 000-0000TYPE: MOVED OUT OF STATE |

NAME USED: WASHINGTON,IIITEST |

DATE: 04/05/2001 |

CONTRIBUTING AGENCY: WAKCS0000 |

KING COUNTY SHERIFFS OFFICE |

LOCAL CLASSIFICATION: UNKNOWN |


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LOCAL ID: |

|

TYPE: MOVED OUT OF STATE |

NAME USED: WASHINGTON,IIITEST |

DATE: 04/04/2001 |

CONTRIBUTING AGENCY: WAKCS0000 |

KING COUNTY SHERIFFS OFFICE |

LOCAL CLASSIFICATION: UNKNOWN |

LOCAL ID: |

COMMENT: ALASKA |

|

=============================================================================

NO KNOWN APPLICANT DETAILS

=============================================================================

=============================================================================

CRIMINAL HISTORY INFORMATION

=============================================================================

THE ARRESTS LISTED MAY HAVE BEEN BASED ON PROBABLE CAUSE AT THE TIME OF

ARREST OR ON A WARRANT. PROBABLE CAUSE ARRESTS MAY OR MAY NOT RESULT IN THE

FILING OF CHARGES. CONTACT THE ARRESTING AGENCY FOR INFORMATION ON THE FORMAL

CHARGES AND/OR DISPOSITIONS.-----------------------------------------------------------------------------

ARREST 1 DATE OF ARREST:

01/17/1993

-----------------------------------------------------------------------------

NAME USED: WASHINGTON,IIITEST

CONTRIBUTING AGENCY: WAWSP0000 WASHINGTON STATE CONTROL TERMINAL

LOCAL ID: TESTOCA003 PCN: N/A

-----------------------------------------------------------------------------

ARREST OFFENSES | DISPOSITION

02500 THEFT | CONTRIBUTOR OR RESPONSIBLE AGENCY:

RCW: 9A.56.000 | WAWSP0000 WASHINGTON STATE

CLASS UNKNOWN | CONTROL TERMINAL

ORIGINATING AGENCY: WAWSP0000 |

WASHINGTON STATE CONTROL TERMINAL | STATUS: NOT RECEIVED

DISPO RESPONSIBILITY: WAWSP0000 |

DATE OF OFFENSE: 02/01/1991 |

|

-----------------------------------------------------------------------------

ARREST 2 DATE OF ARREST:

02/01/1993

-----------------------------------------------------------------------------

NAME USED: WASHINGTON,IIITEST

CONTRIBUTING AGENCY: WA0320000 SPOKANE COUNTY SHERIFF

LOCAL ID: TESTOCA004 PCN: N/A

-----------------------------------------------------------------------------

ARREST OFFENSES | DISPOSITION

O7644 DRIVING WHILE UNDER THE INFLUENCE | CONTRIBUTOR OR RESPONSIBLE AGENCY:RCW: 46.61.502(1) | WA0320000 SPOKANE COUNTY SHERIFF

GROSS MISDEMEANOR |

ORIGINATING AGENCY: WA0320000 | STATUS: NOT RECEIVED

SPOKANE COUNTY SHERIFF |

OIN: TESTOIN00004 |

DISPO RESPONSIBILITY: WA0320000 |


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WAWSP0007

THIS INTERSTATE IDENTIFICATION INDEX RESPONSE IS THE RESULT OF YOUR

RECORD REQUEST FOR FBI/9028000. THE RECORD MAY BE OBTAINED FROM

FILES WITHIN YOUR STATE. THE INTERSTATE IDENTIFICATION INDEX CONTAINS

NO ADDITIONAL DATA.

END

F. NCIC III response when record will be furnished


WAWSP0007

THIS INTERSTATE IDENTIFICATION INDEX RESPONSE IS THE RESULT OF YOUR

RECORD REQUEST FOR FBI/9021000. THE FOLLOWING WILL RESPOND TO YOUR

AGENCY:

IDAHO - STATE ID/ID00998877

END

1. The phrase EXCEPT FOR THOSE INDICATED AS DECEASED will be

appended when a multi-source record contains a SID that has been flaggedas deceased by the state.

2. In the example above, the last line AN ADDITIONAL RECORD MAY BEOBTAINED FROM FILES WITHIN YOUR STATE will be included only whena record request originated from the state whose SID is indexed in the subjectrecord.

NCIC END OF RAPSHEET

G. III On-line Record Response

NLETS TIME: 1347 DATE: 080206 TO: ACCS7

CR.IDIII0000

13:35 08/02/2006 98528

13:35 08/02/2006 14933 WAWSP0007

TXT

HDR/2L01SP8H V

ATN/H ANDERSON

PAGE 1

THE FOLLOWING RECORD IS IN RESPONSE TO YOUR INQUIRY ON FBI/9021000

- IDAHO CRIMINAL HISTORY -

THE SUBJECT OF THIS CRIMINAL HISTORY RECORD INQUIRY HAS

BEEN CONVICTED OF A FELONY CRIME AS DEFINED BY IDAHO

CODE 18-111 AND 18-111A.

INDIVIDUAL MAY BE PROHIBITED FROM POSSESSING OR ACQUIRING A

FIREARM OR AMMUNITION PURSUANT TO FEDERAL GUN CONTROL ACT

OF 1968 AND IDAHO CODE 18-310

NAME STATE ID

TEST,IMA ID00998877

SEX RACE DOB HEIGHT WEIGHT EYES HAIR SKIN FBI


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M W 01-01-1966 510 190 BRO BRO MED 9021000

PLACE OF BIRTH NCIC PRINT CLASS

IDAHO

ID-TYPE NUMBER SCARS-MARKS-TAT. MISC DOB'S

SOC 12345678 BLIND

TAT FACE

ALIAS DOB SEX RACE

ARREST DATE: 04-30-2002 ORI: ID0010000 AGENCY: ADA COUNTY SO

CASE: 0101

CHARGE: (M) INHUMAN TREATMT OF PRISONER COUNTS: 1

COURT: IDAHO SUPREME COURT 04-30-2002

CHARGE: (F) INHUMAN TREATMT OF PRISONER COUNTS: 1

SENT :NOT CONVICTED

ARREST DATE: 04-30-2002 ORI: ID001015Y AGENCY: DLE - CIB (ILETS COMM

CENTER)

CASE: TEST

CHARGE: (F) THEFT COUNTS: 1

CHARGE: (F) SEX EXPLOIT OF CHILD UNDER 18 COUNTS: 1


CHARGE: (F) THEFT COUNTS: 1

SENT :WITHHELD-1 Y FINES-$500COURT: DLE - CIB (ILETS COMM CENTER) 04-30-2002

CHARGE: (F) SEX EXPLOIT OF CHILD UNDER 18 COUNTS: 1

SENT :NOT CONVICTED

ARREST DATE: 01-01-1998 ORI: ID0010000 AGENCY: ADA COUNTY SO

CASE: 0

CHARGE: (F) BIGAMY COUNTS: 1


CHARGE: (M) BIGAMY COUNTS: 1

SENT :DISMISSED

ARREST DATE: 05-04-1968 ORI: ID001015Y AGENCY: DLE - CIB (ILETS COMM

CENTER)

CASE: 551

CHARGE: (M) FELONIOUS ADMIN OF DRUGS COUNTS: 1

THIS RECORD MAY BE USED ONLY FOR CRIMINAL JUSTICE PURPOSES

AS DEFINED IN CFR TITLE 28.

CR.IDIII0000.WAWSP0007.TXT

HDR/2L01SP8H V

ATN/H ANDERSON

PAGE 4

THE FOLLOWING RECORD IS IN RESPONSE TO YOUR INQUIRY ON FBI/9021000

CONTINUED...

EOR - END OF IDAHO HISTORY

END OF RECORD

1. When a record is furnished, the first line after ATN will contain SID instead of

FBI when the request is made using SID.


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2. When the QR record request contains Purpose Code J the following caveatwill be inserted immediately prior to FBI IDENTIFICATION RECORD-:

THIS RECORD IS SUBJECT TO THE FOLLOWING USE AND DISSEMINATION

RECTRICTIONS:

UNDER PROVISIONS SET FORTH IN TITLE 28, CODE OF FEDERAL

REGULATIONS (CFR), SECTION 50.12, BOTH GOVERNMENTAL AND

NONGOVERNMENTAL ENTITIES AUTHORIZED TO SUBMIT FINGERPRINTS

AND RECEIVE FBI IDENTIFICAITON RECORDS MUST NOTIFY THE

INDIVIDUALS FINGERPINTED THAT THE FINGERPRRINTS WILL BE USED TOCHECK THE CRIMINAL HISTORY RECORDS OF THE FBI. IDENTIFICATION

RECORDS OBTAINED FROM THE FBI MAY BE USED SOLELY FOR THE

PURPOSE REQUESTED AND MAY NOT BE DISSEMINATED OUTSIDE THE

RECEIVING DEPARTMENT, RELATED AGENCY OR OTHER AUTHORIZED

ENTITY. IF THE INFORMATION ON THE RECORD IS USED TO DISQUALIFY AN

APPLICANT, THE OFFICIAL MAKING THE DETERMINATION OF SUITABILITY

FOR LICENSING OR EMPLOYMENT SHALL PROVIDE THE INFORMATION

CONTAINED IN THE FBI IDENTIFICATION RECORD. THE DECIDING OFFICIAL

SHOULD NOT DENY THE LICENSE OR EMPLOYMENT BASED ON THE

INFORMATION IN THE RECORD UNTIL THE APPLICANT HAS BEEN AFFORDED

A REASONABLE TIME TO CORRECT OR COMPLETE THE INFORMATION, OR

HAS DECLINED TO DO SO. AN INDIVIDUAL SHOULD BE PRESUMED NOT

GUILTY OF ANY CHARGE/ARREST FOR WHICH THERE IS NO FINAL

DISPOSITION STATED ON THE RECORD OR OTHERWISE DETERMINED. IF THE

APPLICANT WISHES TO CORRECT THE RECORD AS IT APPEARS IN THE FBIS

IDENTIFICATION DIVISION RECORDS SYSTEM, THE APPLICANT SHOULD BE

ADVISED THAT THE PROCEDURES TO CHANGE, CORRECT OR UPDATE THERECORD ARE SET FORTH IN TITLE 28, CFR, SECTION 16.34.

3. When an FBI Identification Record contains more than 99 dates of arrest(DOAs), the 100th arrest will be numbered 00, the 101st will be numbered 01,etc.

4. Agency Case Number will appear when the information is available. Whenthis information is not available, NAME USED will be shifted to this position.NAME USED will appear only when the arrest name is different from thename provided at the beginning of the record.

5. Wanted person data contained in an FBI Identification Record is obtained

from the on-line interface with the NCIC 2000 Wanted Person File. Althoughthere are various types of wants, the basic information provided is the same;however, only those wants based on an NCIC 2000 Wanted Person Filetransaction will have an NCIC number (NIC).


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6. When this data appears on the FBI Identification Record response, therequester should query the NCIC 2000 Wanted Person File using the NICwhen present or the name and other identifiers.

7. When the record subject has been registered with the FBI as a sexual

offender, the following special caveat will appear immediately prior toidentification information included in the FBI Identification Record.

*****NOTICE*****

SUBJECT OF RECORD IS A REGISTERED SEXUAL OFFENDER

SEE END OF RECORD FOR MORE INFORMATION

8. More detailed information pertaining to the registration, as shown below, willappear immediately prior to the END OF RECORD.

SEXUAL OFFENDER REGISTRY INFORMATION

THE SUBJECT OF THIS RECORD HAS REGISTERED AS A SEXUAL OFFENDER

WITH THE FOLLOWING AGENCY:

AGENCYSTATE POLICE PITTSBURGH (PAPSP6700)

AGENCY333333 CASE

NCIC NUMBERNIC/123456789

REGISTERED ASPUBLIC, JOHN Q

DATE REGISTERED1996/01/25

REGISTRY EXPIRATIONNONEXP

9. When the record subject has been registered as a sexual offender in the state

of Washington, the information will appear in the WASIS return after theConviction and Failure to Appear Summary as follows:

SEX/KIDNAPPING OFFENDER REGISTRATION

PROJECTED END REG DATE: 01/01/2099 DNA AVAILABLE: Y DOC BULLETIN AVAILABLE: Y

CAUTION AND MEDICAL CONDITIONS: EPILEPSY

EVENTS ADDRESS

TYPE: SEX/KIDNAPPING OFFENDER REGISTRATION REGISTRATION ADDRESS:

NAME USED: EXAMPLE, MARY Q STREET #: 123

DATE: 06/04/2001 ST NAME: MAIN ST NCONTRIBUTING AGENCY: WA0280000 CITY: FRIDAY HARBOR

SAN JUAN COUNTY SHERIFFS OFFICE STATE: WA

LOCAL CLASSIFICATION: II ZIP CODE: 98123

EMPLOYER NAME: ISLAND DRIVING RANGE DATE SUBMITTED: 06042001

STREET: 345 VINE PHONE 369 555 1212

CITY: FRIDAY HARBOR


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STATE: WA ZIP CODE: 98123

CONVICTION: 00712RAPE 1 00654KIDNAPPING

LOCAL ID: 123458

10. Although a participating state SID may be indexed in III for a particular recordsubject, the FBI will provide any wanted person and sexual offender registry

information for the subject as part of the Identification Record.

11. When a participating state has caused its SID to be flagged as deceased, theword DECEASED will be appended to the SID in the ADDITIONALCRIMINAL HISTORY RECORD . . . caveat. If the only SID to be provided inthe caveat has been flagged as deceased, the caveat will be suppressed.

H. Response When a Participating State(S) Provides Criminal HistoryRecord(s)

WA0000000

THIS INTERSTATE IDENTIFICATION INDEX RESPONSE IS THE RESULT OF YOURRECORD REQUEST FOR FBI/9001100. INDIVIDUALS RECORD WILL BE COMPLETE

WHEN ALL RESPONSES ARE RECEIVED FROM THE FOLLOWING SOURCES EXCEPT

FOR THOSE INDICATED AT DECEASED:

NORTH CAROLINASTATE ID/NC0142658ADECEASEDTEXAS - STATE ID/TX013456790

AN ADDITIONAL RECORD MAY BE OBTAINED FROM FILES WITHIN YOUR STATE.

1. The phrase EXCEPT FOR THOSE INDICATED AS DECEASED will be

appended when a multi-source record contains SID that has been flagged asdeceased by the state.

2. When Requesting Agencys State Repository Maintains the Only Record onthe Subject:

WA0000000

THIS INTERSTATE IDENTIFICATION INDEX RESPONSE IS THE RESULT OF

YOUR RECORD REQUEST FOR FBI/9007000. THE RECORD MAY BE OBTAINED

FROM FILES WITHIN YOUR STATETHE INTERSTATE IDENTIFICAITON INDEX

CONTAINS NO ADDITIONAL DATA.

END

3. This response will be transmitted from NCIC when a record request is from aWashington State agency and the only SID indexed is from a WashingtonState agency held in WASIS.


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I. Response When FBI Record Cannot Be Provided Automatically

1. Occasionally, problems may be encountered that prevent the transmission ofa response to an inquiry (QH, ZR,) or a record request (QR). Example:

WA0000000THE FBI IS UNABLE TO PROVIDE A RESPONSE FOR FBI/9030300. FBI

PERSONNEL WILL REASEARCH THE PROBLEM AND YOU WILL BE ADVISED.

END

2. As appropriate, FBI will be replaced by SID. For QH responses FBI will bereplaced with NAM and other search fields from the inquiry.

J. Responses When III Is Unable To Contact Record Holder

1. There are instances when the computer system of the agency maintaining the

record is temporarily out of service or otherwise unable to accept a recordrequest from the III. When this occurs, there is a delayed response. Theagency requesting the record should not make additional requests since thiswould result in the same record being provided several times when theaffected system is back in service.

2. When a record request has been queued for more than five minutes, thefollowing message will be transmitted to the requester advising of the delay.

WA0000000

THIS INTERSTATE IDENTIFICATION INDEX RESPONSE IS THE RESULT OF

YOUR RECORD REQUEST FOR FBI/9001100. THE NCIC HAS BEEN UNABLE TO

NOTIFY THE FOLLOWING BUT WILL CONTINUE TO RETRY:

TEXAS - STATE ID/TX01346790

END

3. When a record request has been queued for four hours, it will be destroyed.The following message will be transmitted to the requester:

WA0000000

THIS INTERSTATE IDENTIFICAITON INDEX RESPONSE IS THE RESULT OFYOUR RECORD REQUEST FOR FBI/9001100. THE NCIC HAS BEEN UNABLE TO

NOTIFY THE FOLLOWING AND WILL NO LONGER CONTINUE TO RETRY:

TEXAS - STATE ID/TX0346790

YOUR RECORD REQUEST MAY BE RESUBMITTED IF THE RECORD IS STILL

NEEDED.

END


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K. Responses When Record Is Not Indexed In III

WA0000000

NO IDENTIFIABLE RECORD IN THE INTERSTATE IDENTIFICATION INDEX (III) FORFBI/9015174. PUR/C

NOTICE - - THIS DOES NOT PRECLUDE THE POSSIBLE EXISTENCE OF MATCHING

RECORDS IN LOCAL, STATE, OR FBI CJIS DIVISION FILES THAT ARE NOT INDEXED

IN THE III. IF YOU DESIRE A SEARCH OF THE FBI CJIS DIVISION FILES, A

FINGERPRINT CARD SHOULD BE SUBMITTED.END

Or

WA0000000

ATN/DET JOHN PUBLICTHIS INTERSTATE IDENTIFICATION INDEX RESPONSE IS THE RESULT OF YOUR

RECORD REQUEST FOR FBI/9001100. SUBJECT RECORD WILL BE AUTOMATED AS A

RESULT OF YOUR REQUEST AND WILL BE MADE AVAILABLE VIA INTERSTATE

IDENTIFICATION INDEX 2 BUSINESS DAYS AFTER YOUR RECEIPT OF THIS

MESSAGEEND

L. Removal for Expungement, Death, or Deletion

1. The following type of response will be provided when the record has beenremoved from NCIC 2000 III due to its consolidation with another record,deletion, expungement, or subject death. This type of response will beprovided only when the record request is made using FBI or NAM and FBI.

WA0000000THIS NCIC INTERSTATE IDENTIFICATION INDEX RESPONSE IS THE RESULT OFYOUR RECORD REQUEST FOR FBI/9015174 PUR/C ATN/DET J Q PUBLIC

RECORD NO LONGER ON FILECONSOLIDATED WITH FBI/901283 19901201

END

OR

RECORD NO LONGER ON FILEDELETED 19901201

END

OR

RECORD NO LONGER ON FILEEXPUNGED 19901201

END

OR


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RECORD NO LONGER ON FILEDECEASED

PER POLICE DEPARTMENT SUMTER SC 19901201

END

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

3. The following response will be provided by WASIS when the person has beenreported deceased:

PERSON INFORMATION

SEX RACE HEIGHT WEIGHT EYES HAIR PLACE OF BIRTH CITIZENSHIP

F W 502 115 BRO BRO WA US

NAMES USED DATES OF SOC SEC MISC NUMBEREXAMPLE, QUEEN BIRTH 111-11-1111

TEST, LITMUS 05/05/1950

DECEASED DATE REPORTED: 04/04/1998

REPORTING AGENCY: WA0290100 ANACORTES POLICE DEPARTMENT

DECEASED TYPE: REPORTED

M. Example of ZR Inquiry (ZR)

1. A ZR inquiry may be used to determine if the record corresponding to aparticular FBI or SID is available via the III. The ZR response will advise

whether or not the record is on file. The capability is provided primarily foradministrative record maintenance purposes; however, it is available to allusers.

W;ZR.WA0000000.FBI/9015174.PUR/C (Send)


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N. Message Field Codes for Administrative Inquiry (ZR)

Data Element Mandatory

1. MKE Required

2. FBI Conditional3. SID Conditional

FIELD NAME REQUIREMENTS MESSAGE FIELDCODE

FIELD LENGTH DATA TYPE

MESSAGE KEY MANDATORY MKE 2-2 ALPHABETIC

ORIGINATINGAGENCYIDENTIFIER

MANDATORY ORI 9-9 ALPHABETIC,NUMERIC

STATEIDENTIFICATION NUMBER

CONDITIONAL SID 3-10 ALPHABETIC,NUMERIC

FBI NUMBER CONDITIONAL FBI 1-9 ALPHABETIC,NUMERIC

PURPOSECODE

OPTIONAL PUR 1-1 ALPHABETIC

O. Requirements for ZR Inquiry

1. The ZR entry must contain the following: MKE, ORI, and FBI or SID.

2. The use of a purpose code is optional in a ZR inquiry. If the purpose code isnot included, the transaction is considered to be for administrative purposes.If used, the purpose code must be either C (criminal justice), J (criminal

justice employment), or A (administrative file maintenance).

P. Example ZR Inquiry with Negative and Positive Responses

1. Negative Response

WA0000000FBI/9015174 NOT ON FILE

2. Positive Response

WA0000000

FBI/9015174 ON FILE


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3. As applicable, the SID will replace the FBI.

Q. ZR Response for Records That Have Been Removed

1. The following type of response will be provided when the record has been

removed from III due to its consolidation with another record, deletion,expungement, or subject death. This type of response will be provided onlywhen the inquiry is made using the FBI.

WA0000000

THIS NCIC INTERSTATE IDENTIFICATIN INDEX RESPONSE IS THE RESULT OF

YOUR INQUIRY ON FBI/9015174 PUR/A

RECORD NO LONGER ON FILECONSOLIDATED WITH FBI/901283 19901201

or

RECORD NO LONGER ON FILEDELETED 19901201

or

RECORD NO LONGER ON FILEEXPUNGED 19901201

or

RECORD NO LONGER ON FILE - DECEASED

PER POLICE DEPARTMENT SUMTER SC 19901201

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


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CHAPTER 03: ACCESS Manual Criminal History

SECTION 07: Error Messages


Special Order:




See Also:

CALEA:

I. PROCEDURE

A. Error Messages

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

Documents

Chapter 3 Criminal History