421 lines
20 KiB
Plaintext
421 lines
20 KiB
Plaintext
July 1991
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IDENTIFICATION: A MOVE TOWARD THE FUTURE
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By
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Bruce J. Brotman
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Special Agent and Section Chief
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Automation, Research and Development Section
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FBI Identification Division
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and
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Rhonda K. Pavel
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Computer Systems Analyst
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Automation, Research and Development Section
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FBI Identification Division
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No one in law enforcement today could deny that the years
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ahead will bring many changes and challenges to the profession.
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Witness the transformation that has already taken place with
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regard to economics, demographics, politics, and technology.
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Each of these factors has already had major implications for law
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enforcement. And there is every reason to believe their impact
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will continue to have a profound effect.
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Current trends and developments indicate that in the years
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to come, fingerprint identification will play a much wider role
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in law enforcement. This is why the FBI's Identification
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Division is pursuing a strategic plan to rebuild and improve
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essential services for its criminal justice users. By 1995,
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the FBI will have in operation a new system providing greatly
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expanded fingerprint identification services that will provide
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immeasurable benefits to law enforcement and other users
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nationwide.
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AUTOMATED FINGERPRINT IDENTIFICATION--AN EVOLVING TECHNOLOGY
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In the early 1960s, the FBI realized that the future of its
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Identification Division would be closely tied to its ability to
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incorporate automated technology into fingerprint processing
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operations. The subsequent research and development (R&D)
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initiatives of the Identification Division produced some of the
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first steps toward fingerprint automation.
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During the ensuing years, commercial companies ventured
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into the field of fingerprint automation. Fingerprint
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identification technology flourished and grew more
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sophisticated. Several manufacturers developed automated
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fingerprint identification systems (AFIS) integrating automated
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10-print and latent processing capabilities into one system. By
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the 1990s, these and other companies introduced the concept of
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"live-scan technology," a revolutionary new process requiring
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neither inked cards nor chemicals.
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Many of the Identification Division's contributors
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capitalized on these emerging technologies to initiate their own
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automation projects and acquired their own AFISs. However, the
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simple expansion of automated capabilities did not provide a
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cure-all for the problems that have traditionally plagued
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criminal identification efforts.
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While these technological improvements afford law
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enforcement with newer, more advanced tools for performing their
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jobs, the ability to execute fast and efficient nationwide
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criminal searches remains deficient. Primarily, there are no
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guiding standards to ensure compatibility among dissimilar AFISs
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manufactured by competing commercial vendors. And although many
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States have automated systems, their inability to communicate
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with incompatible AFISs severely limits their effectiveness.
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Factors Precipitating Improvements
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The Identification Division realized the need for a
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more cohesive system to link local, State, and Federal law
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enforcement agencies. Subsequently, division personnel began to
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examine their own operations to identify those areas that needed
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to be upgraded.
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When first implemented, the technological developments
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pioneered by the Identification Division were state-of-the-art.
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However, in the intervening years, the industry made great
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strides toward producing equipment that was even more responsive
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to the specialized needs of the law enforcement community. But,
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unfortunately, the division was not able to obtain these latest
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technological innovations. Therefore, the acquisition of new
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hardware with improved capabilities emerged as a major factor in
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the division's strategic planning.
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In addition, enacted legislation also influenced the
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division's long-range planning efforts. Pursuant to the
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Anti-Drug Abuse Act of 1988, the Attorney General mandated the
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FBI to ensure that the data in its automated systems were
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complete, accurate, and immediately available in order to
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identify felons who attempt to purchase firearms. Also, the
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Airports Security Act and recently enacted banking laws required
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screening of applicants for criminal histories. Implementation
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of these capabilities impacted considerably on the FBI's already
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overburdened automated system.
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Methodology for Achieving Improvements
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In June 1989, the FBI took steps to improve its essential
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identification services to its users by enlisting the assistance
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of the NCIC Advisory Policy Board (APB) to review the
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Identification Division's strategies and plans for automation
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and to make recommendations. Together, the Identification
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Division and the Identification Services Subcommittee of the
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NCIC APB produced a conceptual road map for "revitalization" of
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the division.
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Essentially, the plan reflects a partnership between
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Federal, State, and local law enforcement to ensure that the
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Identification Division will be in a position to meet the
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increasing needs of its users into the 21st century. It focuses
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on the development and implementation of a complete Integrated
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Automated Fingerprint Identification System (IAFIS). The basis
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of this new national concept is an on-line image transmission
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network that interfaces law enforcement agencies nationwide.
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Besides updating processes and technology, the greatest
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benefit would be accrued by relocating the division. Primarily,
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it would not be possible to install new technology in the
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Identification Division's current facilities at FBI
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Headquarters, while simultaneously maintaining current
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operations. Therefore, the total plan for improvements has
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become one of revitalization and relocation.
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To this end, the FBI conducted a relocation study, which
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led to the selection of a site in Clarksburg, West Virginia, as
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the location for a new facility to house IAFIS equipment and
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operations. The design for the planned, multilevel building
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allows for the entire division to be housed within one location.
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More importantly, however, it will provide for the required
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expandability and flexibility to accommodate the new IAFIS.
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IAFIS: THE INTEGRATION OF NEW TECHNOLOGIES AND CAPABILITIES
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The envisioned future system of the Identification Division
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is the IAFIS, which will be developed using as its main premise
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the electronic or "paperless" submission of fingerprint cards
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and related documents. Basically, the system allows a suspect
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to be fingerprinted at the booking station using live-scan
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technology, thereby eliminating fingerprint cards and documents
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at every step of the process. Then, the fingerprint images and
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personal data will be processed by a local AFIS and
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electronically transmitted to a State identification bureau for
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processing. If no identification is made, the data will be
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forwarded to the FBI's Identification Division. There, it will
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be processed by a highly advanced AFIS, allowing for an
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electronic response to the booking station within hours.
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The IAFIS will be developed using integrated architecture,
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modular design, and integrated implementation. Primarily,
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implementation of IAFIS will involve the integration of three
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new automation efforts:
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* An Image Transmission Network (ITN) for paperless
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fingerprint submission and processing,
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* Acquisition of a new advanced AFIS, and
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* An upgraded Interstate Identification Index (III).
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The Image Transmission Network
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The Image Transmission Network (ITN) will eliminate the
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submission of hard-copy fingerprint cards and other documents.
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To accomplish this, live-scan fingerprinting technology will be
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used at the local level to create and to transmit electronic
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fingerprint images for processing. The fingerprint images and
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related data may either be processed by a local AFIS,
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transmitted directly to the State identification bureau, or if
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no identification is made at the State level, transmitted
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electronically and processed through the FBI's AFIS.
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Ultimately, the ITN system will process the equivalent of
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over 70,000 fingerprint card submissions per day and
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electronically return a response to a criminal inquiry within 2
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hours of the division's receipt of the request. The ITN should
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be fully operational by June 1995. Full operation will be
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achieved through a three-phased integration of ITN functions.
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Integrating the functions
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The first phase involves designing and building a prototype
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system at FBI Headquarters to demonstrate and test a paperless
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environment for processing live-scan and hard-copy submissions
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and various document receipts. States participating in this
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effort will be identified by the Identification Services
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Subcommittee of the NCIC Advisory Policy Board. Using a
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prototype approach allows the FBI to develop the ITN while
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maintaining the flexibility necessary for successful integration
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into the IAFIS. The prototypes final design will lead to
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detailed specifications for the ITN.
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These specifications will form the basis for the second
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phase, in which pilot States will be selected to submit
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electronic 10-print transactions. The final phase involves
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expanding the pilot and installing it at the new facility in
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West Virginia.
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Storing and retrieving automated fingerprint images
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A successful paperless environment depends heavily on an
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Image Storage and Retrieval (ISR) system to capture, store, and
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retrieve electronic fingerprint images. The Image Transmission
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Network will incorporate an ISR system to store both rolled and
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plain impressions in digital form in an image data base.
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Replacing the Identification Division's current manual
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filing system with the ISR system offers several advantages.
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Essentially, problems inherent in a file the size and complexity
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of the Identification Division's--out-of-file conditions, large
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numbers of misfiled prints, and heavy consumption of time and
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labor for manual filing and refiling--will be eliminated. In
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addition, these fingerprint images can be transmitted to remote
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users over the NCIC telecommunications network.
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Eliminating paper with hardware
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It is anticipated that not all contributors will be
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submitting data electronically by the beginning of ITN
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operations. Therefore, some hard-copy processing will still be
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required. To support this requirement, the paper cards and
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documents will be converted, upon receipt, to an electronic
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format identical to that of electronic submissions. This
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conversion process will use new technology, specifically
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fingerprint card and document scanners and an Intelligent
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Character Recognition (ICR) system to provide electronic imaging
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capabilities for ITN.
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The ICR system will convert text into computer processable
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characters for direct entry into the data base, thereby reducing
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the amount of manual data entry. The resulting increase in
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productivity will decrease the turnaround time to contributors.
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For the most part, these three subsystems (fingerprint card
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scanners, document scanners, and the ICR system) will constitute
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the hardware solution to the final step in eliminating paper
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from fingerprint processing. Their use will provide a
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more-efficient identification and criminal recordkeeping service
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to the law enforcement community.
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Providing communication among AFISs
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In addition to the new hardware, the Image Transmission
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Network will use a standard to provide a common interface for
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all AFISs. This standard is being developed as an American
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National Standards Institute standard in conjunction with the
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National Institute of Standards and Technology, AFIS and
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live-scan users, and equipment vendors.
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Several benefits will be realized from the use of this
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standard. First, an acceptable standard fulfilling all the
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information requirements of the current system will support the
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direct, on-line submission of fingerprint image and
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identification data. It will also specify image compression
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algorithms for storage and transmission that will reduce costs
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for all agencies. Finally, it will establish a universal means
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of communication among all AFISs, allowing for enormous gains in
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productivity.
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An Advanced AFIS
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The minutiae-based AFIS will include a 10-print system for
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searching incoming fingerprint requests, as well as a latent
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fingerprint subsystem. Its objectives are to accelerate the
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processing of 10-print search requests and to improve
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identification of latent fingerprints through the use of
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advanced technology.
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The Identification Division's current method of searching
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fingerprint characteristics requires full NCIC fingerprint
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classification (NCIC-FPC). This procedure, which necessitates
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extensive training, will be replaced by one that requires only
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pattern-level classification. In this regard, a set of hardware
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and software requirements to classify fingerprints at the
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pattern level (e.g., arch, tented arch, right loop, whorl, etc.)
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automatically will be researched. Since manual fingerprint
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classification is labor-intensive and time-consuming, its
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elimination will directly affect the Identification Divisions
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responsiveness to its contributors.
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New minutiae matchers will be required to efficiently
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satisfy the total projected processing requirements for
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fingerprint matching in the new AFIS. In addition, the AFIS
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will employ newer latent fingerprint processing technology and
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features not in the Identification Divisions current system.
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Use of current technology will yield better quality data with
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which to work. This, in turn, will equate to higher accuracy
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rates. AFIS will also search new 10-print records against a
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file of previously unidentified latents, as well as searching
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latents against other latents.
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The Interstate Identification Index
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The current Interstate Identification Index (III) will be
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upgraded to expand its on-line services for its 62,000 users.
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These improvements include implementation of the National
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Fingerprint File (NFF) concept; access to more criminal history
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data; the capability to transmit, store, and retrieve on-line
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electronic images of mug shots; and an upgrade of the technology
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base of III for supporting the overall workload.
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The National Fingerprint File
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The National Fingerprint File (NFF) concept to decentralize
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the Nation's criminal history records system is being
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incorporated into the current system and interfaced with III.
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Participating States submit to the FBI only their first arrest
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fingerprint card for each subject. The Identification Division
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then establishes pointers identifying those States in which a
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person has an arrest record. When III receives an on-line
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request for a criminal history that contains such a pointer, it
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notifies the appropriate State to transmit the record to the
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requesting agency. As more States participate in this concept,
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it will reduce the criminal fingerprint processing workload of
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the Identification Division while increasing the balance of
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responsibilities at the State level.
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On-line criminal history records
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Presently, the Identification Division has 8.8 million
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individual criminal history records that are not available for
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immediate identification of felons because only their personal
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descriptor data are automated. The arrest data for those who
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are currently active will also be automated. III users now have
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direct access to arrest histories of 14 million individuals.
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This effort will greatly increase that number.
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Access to mug shots
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The FBI is also exploring the integration of an Interstate
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Photo System (IPS) into III to provide users the capability to
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enter, maintain, and retrieve a subject's photograph. The intent
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is to allow an individual's mug shot to be sent to a police
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station or another designated location for visual confirmation
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of the person's identity by the officer on the scene.
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Crosschecking between indices
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Enhancements will be made to III to provide full
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interaction between the NCIC wanted persons index and the III
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name index. As a result, any inquiry into one index will
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initiate an automatic inquiry of the other. Such crosschecking
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will increase the number of III on-line inquiries from the
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current volume of 77,000 per day to 600,000 per day, over a
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sevenfold increase.
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Expansion of hardware
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New hardware employing upgraded technology will be acquired
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to expand or replace portions of the III system. This equipment
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upgrade will provide an adequate, but expandable, baseline of
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processing power to satisfy the projected requirements for users
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and for the integrated systems that are part of IAFIS. Users
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will have on-line access through the NCIC telecommunications
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system, and on-line operations will be maintained without
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interruption.
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A COOPERATIVE SYSTEM
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In addition to its coordination with State and local
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entities, the Identification Division is also working with other
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Federal agencies that have embarked on their own automated
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efforts. For example, the division is fully supportive of the
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U.S. Immigration and Naturalization Services (INS) initiative to
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establish live-scan stations at U.S. ports of entry to
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communicate on-line with a central AFIS. One INS goal is to
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identify individuals with prior illegal entry arrests before
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they gain entry into the country. Design of IAFIS will include
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INS's specialized requirements.
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The U.S. Secret Service and U.S. Postal Service also have
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specialized identification needs. The Identification Division
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is cooperating with these agencies to ensure that their ultimate
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systems are compatible with, and any particular requirements
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they have are incorporated into, IAFIS. This will eliminate
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duplication of effort and ultimately result in a savings to the
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Government.
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The Identification Division has also undertaken a
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collaborative technical effort with the United Kingdom (U.K.)
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Home Office. The technical staffs of both organizations will
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pool their resources into a joint effort to achieve the
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development of a faster, more improved AFIS. The cooperative
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U.S. and U.K. scientific and technological programs leading to
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development of AFIS will support both organizations efforts to
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further worldwide fingerprint searching and identification. The
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fruits of this labor will support all of law enforcement, from
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local police agencies to national and international
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organizations.
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CONCLUSION
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The goal of the FBI's Identification Division is to rebuild
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and to improve essential identification services to its criminal
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justice users. This includes meeting not only the needs of the
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users but also the challenge of technological advances that have
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created incompatible State automated fingerprint identification
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systems.
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IAFIS will return enormous dividends to a society plagued
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by violent crimes committed by repeat offenders. It will become
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a valuable tool to law enforcement officers attempting to
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identify sophisticated criminals who prey upon society. The
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safety of the public will be served by the expeditious removal
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of these felons from the streets.
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To achieve this, the Identification Division is cooperating
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with Federal, State, and local agencies to weave their
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requirements into the design of IAFIS. Doing so will ensure
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that the FBI is in a position to meet the law enforcement
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community's growing needs. In essence, IAFIS will provide the
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impetus required to propel the Identification Division and all
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of law enforcement into the 21st century.
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