Interstate Criminal History Transmission Specification

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the need for more uniform and readable State criminal history records. The content and format of such records are of increasing importance&All States having a common understanding that the standard rap sheet is important for criminal justice as well as for authorized noncriminal justice purposes. d 1 Technical advances in computers and networks have resulted in vast improvements both in speed of the exchange and the accuracy of the data. The increased use of open standards, such as Internet-like technology, has and will continue to leverage the technical advances to the benefit of both the data providers and end users. Several long-standing problems remain to be solved. They are: ? States and the FBI employ different formats and codes, which make the interstate exchange and interpretation of criminal history information difficult. ? ? ? Criminal records are used for many purposes. The inability to extract only the information that is needed creates problems for both data providers and the end users of this information. ? ? ? There is no method of combining or electronically collating criminal records from multiple sources (i.e., states and the FBI/III) into a single chronological record of events. ? A national task force, the Joint Task Force on Rap Sheet Standardization (JTF), composed of members representing the FBI's Criminal Justice Information Services Division (CJIS) and its Advisory Policy Board (CJIS APB), the National Law Enforcement Telecommunications System (NLETS), SEARCH, the National Consortium for Justice Information and Statistics and state and local criminal justice agencies was formed to address these problems. 2 The Joint Task Force on Rap Sheet Standardization has accomplished three major objectives: ? Developed an XML based standardized criminal history transmission format ? ? Developed a standard presentation format utilizing the XML transmission format ? ? Developed a concept of operations which combines criminal histories from multiple sources into a single criminal history ? 1 U.S. Department of Justice, Bureau of Justice Statistics, Increasing the Utility of the Criminal History Record: Report of the National Task Force, Criminal Justice Information Policy Series, by SEARCH Group, Inc. (Washington, D.C.: Government Printing Office, December 1995) hereafter, Utility of the Criminal History Record Task Force 2 Joint Task Force on Rap Sheet Standardization members are listed in Appendix F. Interstate Criminal History Transmission Specification 2 DRAFT The Concept of Operations provides that: ? Each state and the FBI transmit requested criminal history records to NLETS in a standardized transmission format. ? ? ? If there are multiple records for an individual, NLETS consolidates them into a single record before delivery. ? ? ? NLETS delivers the consolidated record to the requester in the transmission format or in a variety of available presentation formats as requested by the state. ? ? Implementation of this specification by all states and the FBI benefits the end user of criminal history records by providing information that is more easily understood, more complete and of higher accuracy than was heretofore possible. This is accomplished by ensuring that: ? All delivered records are in the same format, regardless of origin. ? ? ? The same format is always received, regardless of the method of request (e.g., fingerprint submission or terminal request). ? ? ? The end user receives a single record, regardless of whether the record is from a single state or multiple sources, such as a state and the FBI. ? ? ? At the option of the end user, the criminal record may be received in XML format (transmission format) for use in filling display screens, data entry screens, or databases or for state-created presentation formats. ? ? ? Upon request, the end user receives the record at an approved destination whether or not it is served by an intrastate criminal justice network. ? For states to respond to non-criminal justice requests with a standardized criminal history record, they must: ? Participate in the Interstate Identification Index (III) ? ? ? Have a TCP/IP interface to NLETS ? For states to participate for non-criminal justice requests, they must also: ? Be a participant in the National Fingerprint File (NFF) or ? ? ? Be a signatory to the National Crime Prevention and Privacy Compact ? Simultaneous implementation by all states and the FBI is not required. However, the potential benefit to the national criminal justice community and other criminal history records users will be lessened until all states and the FBI are participants. The detailed technical specification in this Joint Task Force Report provide the states with the necessary information to implement this Interstate Criminal History Transmission Specification 3 DRAFT capability. Additional information on the National Crime Prevention and Privacy Compact and an electronic version of this Joint Task Force Report 3 Interstate Criminal History Transmission Specification are available at: WWW.SEARCH.ORG WWW.LEO.GOV WWW.NLETS.ORG Interstate Criminal History Transmission Specification 4 DRAFT 1.0 Introduction 1.1 Background In 1995, the National Task Force on Increasing the Utility of the Criminal History Record recommended expanded data content, a presentation format (page layout) for the expanded content, and the creation of a transmission format for the interstate sharing of criminal history information. 3 The National Task Force included representatives from the Federal Bureau of Investigation (FBI), FBI Criminal Justice Information Services Advisory Policy Board (CJIS APB), National Law Enforcement Telecommunications System (NLETS), the National Center for State Courts, SEARCH, the National Consortium for Justice and Statistics. Its members were a diverse array of justice practitioners drawn from the judiciary, prosecution, court administration, local, state, and federal law enforcement, juvenile justice pre-trial services and state criminal records repositories. 4 In 1996, the Joint Task Force on Rap Sheet Standardization with representation from the FBI CJIS Division, the APB, NLETS, SEARCH and state and local law enforcement agencies, was formed to carry forward the work of the National Task Force by developing a standardized criminal history transmission format. 1.2 Joint Task Force Accomplishments The Joint Task Force on Rap Sheet Standardization has accomplished three major objectives: ?? Developed an XML based standardized criminal history transmission format ?? Developed a standard presentation format utilizing the XML transmission format ?? Developed a concept of operations which combines criminal histories from multiple sources into a single criminal history The Interstate Criminal History Transmission Specification provides a method by which an authorized user who requests an interstate criminal history record, regardless of the request method: ?? Will always 5 receive the same set of information 3 See Increasing the Utility of the Criminal History Record: Report of the National Task Force 4 Members of the National Task Force on Increasing the Utility of the Criminal History Record are listed in Appendix G 5 Now, responses to III requests use FBI-held information for non-III states and state data for III and NFF states. Responses to fingerprint submissions use FBI data for both non-III and III state 9s data. NFF states provide their data to the FBI for inclusion in responses to fingerprint submissions. This specification calls for use of state data for all responses for data held by III-states. The exception is for non criminal justice purpose codes, where use of state-held data is limited to those states that have signed the interstate National Crime Prevention and Privacy Compact or are III/NFF participants. Interstate Criminal History Transmission Specification 5 DRAFT ?? Will always receive a single record 6 for multi-source interstate criminal histories, in which the criminal justice event cycles are presented in date order ?? Upon request will receive the record in computer-readable format 7 for use in filling display screens, data entry screens or databases, or for editing or state-specific presentation formats ?? Upon request will receive the record in any of a variety of available presentation formats , tailored for a specific printer or mobile digital unit, for example. ?? Upon request will receive the record at an approved destination whether or not 8 it is served by an intrastate law enforcement network. 1.3 Interstate Criminal History Transmission Specification Release 1 3 ANSI/NIST Implementation A concept of operations and specification were produced by the Joint Task Force in July 1998 (Release 1.00), widely circulated to the states for review, and revised in December 1998 (Release 1.01). That specification was based on Data Format for the Interchange of Fingerprint, Facial, & Scar Mark & Tattoo (SMT) Information (ANSI/NIST-CSL 1-1993), a standard originally developed for transmitting fingerprint and related information. To date, no state or the FBI is sending NLETS the ANSI/NIST release of the Interstate Criminal History Transmission Specification. 1.4 Organization of Specification The specification has been divided into an Executive Summary, five sections, and seven appendices. The Executive Summary provides a high level description of the XML national sstandardized rap sheet project. This summary gives the reader an understanding of both the history of the project, the reasons for its creation, and the anticipated benefits. The sections following this detail specifications for the implementation of the XML national rap sheet. A brief description of each section follows: 1.0 Introduction 6 Now, the user receives several criminal history records if III/NFF state repositories are involved. 7 The first computer readable format is the transmission format. Others may be developed in the future. 8 For example, states and/or NLETS may provide facsimile servers and e-mail servers to get the record to the final destination. Interstate Criminal History Transmission Specification 6 DRAFT This section presents a brief background of the project since its inception. It also provides an abbreviated history regarding an earlier ANSI/NIST version. 2.0 Concept of Operations This section provides a general overview of the project and a detailed description of the process for using XML to support the exchange of rap sheets. It also describes how criminal records are merged and delivered. 3.0 Element Dictionary This section describes all of the data elements and their XML tags for the national rap sheet. 4.0 Rap Sheet Definition This section contains the full rap sheet definition including the structure of the rap sheet and the XML schema definition of the root rap sheet element and all its child elements. 5.0 Example Rap Sheet This section presents an example of an XML rap sheet. Appendix A XML Transformation This appendix provides a brief primer of the XML conventions adopted for use in defining the rap sheet. Appendix B XML Application This appendix provides a technical description of methods to use the XML rap sheet once it has been received by the state. This may include excerpting data and creating a presentation of a rap sheet for display. Appendix C Example Style Sheet This appendix provides an example of an XSLT style sheet that transforms the example rap sheet in Section 5 into HTML. Appendix D HTML This appendix shows the result of transforming the example rap sheet in Section 5 using the XSLT style sheet in Appendix C. Appendix E Resource Documents The final appendix presents a list of the source materials that were used to create this document. Appendix F Joint Task Force on Rap Sheet Standardization Participants Identifies past and present Joint Task Force members. Appendix G National Task Force on Increasing the Utility of the Criminal History Record (1993-1995) Interstate Criminal History Transmission Specification 7 DRAFT The National Task Force developed the concept of a presentation format for an interstate rap sheet. It 9s work provided the foundation for the Joint Task Force on Rap Sheet Standardization. This Appendix identifies the members of the National Task Force. Interstate Criminal History Transmission Specification 8 DRAFT 2.0 Concept of Operations 2.1 Overview A criminal history will be requested by a criminal justice agency, court or other authorized entity whose state or federal service provider will forward the request to the FBI. This request could be in the form of an FBI/Interstate Identification Index (III) QR transaction or via fingerprint submission. After determining the FBI record identification number for the requested information, the FBI will notify each of the states that have III responsibility for a portion (or all) of the criminal history record and NLETS. Each state and the FBI will send their criminal history record to NLETS in transmission format. When NLETS receives a criminal history in transmission format, it will determine if the record is single or multi-source based on the notification received from the FBI. If it is multi-state, NLETS will hold the portion until all portions are received or until a specified time period has elapsed. NLETS will then assemble the portions into a single, national criminal history. That criminal history will contain all of the information each respondent agency has provided and assembled in such a fashion that the same information received from more than one source is displayed only once. Events are ordered from earliest to latest regardless of the state (or federal authority responsible for the event) in which they occurred. For both single-state and multi-state criminal histories, NLETS will create a summary record as defined in this specification. Certain fields have been coded so they can be counted. For example, the Charge Severity field is coded so that separate counts can be kept for misdemeanors and felonies and court dispositions are coded to count convictions and non-convictions. NLETS will then determine the format of the criminal history response. This information may be contained in the original request for the criminal history or may be contained in a preference table maintained by NLETS. Finally, NLETS will send the response. In most cases, this will be to the state that will forward the response to a user on its state network. Other possibilities may include use of the Internet or fax servers. 2.2 Transition All states and the FBI will be participants when this Interstate Criminal History Transmission Specification is fully implemented. This may take several years and the Concept of Operations contemplates a gradual adoption of the specification over a transition period. NLETS will provide the bridge between participating and non-participating states/FBI during the transition period. Throughout the transition period, some states or the FBI may not be ready to send the transmission format and will send a plain text criminal history Interstate Criminal History Transmission Specification 9 DRAFT instead. When NLETS receives such a criminal history, it will simply pass it through without any processing. NLETS will also provide translation between the transmission format and the presentation format contained in the specification, both during and after the transition period. 2.3 Record Request Requests for rap sheets begin with a message requesting criminal history information to the FBI/III system, or a message to a state criminal history repository or with a fingerprint submission to the FBI. In any case, a national rap sheet may be generated and will be processed by NLETS. A request for a criminal history record is formulated as a QR transaction containing either the FBI number or a SID (State Identification Number). A fingerprint submission sent to the FBI may also generate a standardized rap sheet. Once the request is received by the FBI/III, the state repositories which hold the record portions will be notified electronically via $.A.CHR messages. Each $.A.CHR message describes the record to be retrieved and the destination of the rap sheet. The FBI/III will simultaneously notify NLETS with the same information using the standard notification sent to states, commonly known as the cEL01 d and cFL01 d messages. These messages contain an index of the state and/or federal records to be merged by NLETS. FBI/III responds to the requester via the National Crime Information Center (NCIC) telecommunications network with a message indicating that the response is being processed and the type of response the requester should expect: ?? A message header beginning with cF d indicates that FBI/III will be the sole respondent or one of multiple respondents, and provides the FBI number and the SID(s) of any state segments. FBI will provide a copy of this message to NLETS. ?? A message header beginning with cE d indicates that one or more states will respond but FBI/III will not, and provides the FBI number and the SID(s) of the state segments. FBI will provide a copy of this message to NLETS. ?? A message header beginning with cN d indicates that no record matching the QR query terms can be found and processing ceases. There is no need for NLETS to receive this message from the FBI. An NLETS request for an out-of-state criminal history is triggered by an NLETS IQ or FQ record request transaction, transmitted to the record-holding state via NLETS. Inquiries of this type are inherently single-state queries that do not require response-merging as do multi-state responses. No special handling at the time of inquiry is needed to process such a query. There are other, less common ways of triggering an out-of-state record request. Telephone calls and internet e-mail messages are examples. Inquiries of this type are inherently single-state queries that do not require response-merging as do multi-state Interstate Criminal History Transmission Specification 10 DRAFT responses. No special handling at the time of inquiry is possible or needed to process such a query. The FBI type cF d response format is shown in the following example. The critical elements of the message, on which successful processing depends, are shown underscored. FL01HEADERXXXX01234 AKAST0100 THIS INTERSTATE IDENTIFICATION INDEX RESPONSE IS THE RESULT OF YOUR RECORD REQUEST FOR FBI/901100 . INDIVIDUAL 9S RECORD WILL BE COMPLETE WHEN ALL RESPONSES ARE RECEIVED FROM THE FOLLOWING SOURCES EXCEPT FOR THOSE INDICATED AS DECEASED: FBI - FBI/901100 NORTH CAROLINA - STATE ID/NC0142585A - DECEASED TEXAS - STATE ID/TX01346790 END The FBI type cE d response format is shown in the following example. The critical elements of the message, on which successful processing depends, are shown underscored. EL01HEADERXXXX01234 AKAST0100 THIS INTERSTATE IDENTIFICATION INDEX RESPONSE IS THE RESULT OF YOUR RECORD REQUEST FOR FBI/901100 . INDIVIDUAL 9S RECORD WILL BE COMPLETE WHEN ALL RESPONSES ARE RECEIVED FROM THE FOLLOWING SOURCES EXCEPT FOR THOSE INDICATED AS DECEASED: NORTH CAROLINA - STATE ID/NC0142585A - DECEASED TEXAS - STATE ID/TX01346790 END For both type cE d and type cF d responses, the critical format items are as follows. The field AKAST0100 , which must appear as the first line, is the requester ORI. If an FBI number preceded by FBI/ is in the narrative block, it will be used to determine whether state records received are part of this merge operation. If an SID number preceded by SID/ is in the narrative block, it 4 along with the other SID numbers in the record 4 will be used to determine whether state records received are part of the merge operation. The individual state or FBI responses are compared to these numbers to select records for the merge operations. The processing of responder lines depends on the leading space character, the presence of a space-surrounded hyphen, the STATE ID/ or FBI/ tag, and the optional word DECEASED preceded by a space-surrounded hyphen. The requester and FBI or SID numbers comprise the unique key for the merge-tracking entry. For this reason, a requester cannot have more than one request for the same FBI or SID numbers active at any one time. If this restriction is violated, results are somewhat Interstate Criminal History Transmission Specification 11 DRAFT unpredictable and will probably result in a single response being issued by NLETS and duplicate responder state rap sheets being ignored. 2.4 Criminal History Transmission to NLETS Regardless of the request method, a time comes when a criminal history is generated and prepared for transmission. In cases where the FBI/III holds the entire record, it will transmit the record using the NLETS network. In cases where one or more states hold the record or portions thereof (FBI/III may also hold a part of the record), each holder will transmit its portion to the requester using the NLETS network. If the requesting state also holds a record on the subject, it may opt to send its record to NLETS to be merged with the other records . To facilitate this, the FBI will include, in all EL01 and FL01 messages, a listing of all states that hold a record on the subject rather than just a notification that the requesting state also may have a record on the subject. In these instances, the state of inquiry will also receive a $.A.CHR message. This is necessary so that the state can transmit its response to NLETS so that the record-merge operation described in Section 2.5 can take place. Rap sheets sent by the holder in any format other than the transmission format are sent as normal text-based NLETS messages and go directly to the requester without any merge processing at NLETS. Criminal histories sent in the Interstate Criminal History Transmission Specification format in response to a III QR transaction and IQ or FQ requests carry the transaction type of STDRAP . The notification messages from the FBI/III to NLETS described in this section cause database entries to be made that control merge processing described in Section 2.5. Because of transmission delays, rap sheets may arrive at NLETS prior to the notification message being processed. In this case, the early rap sheets are sent directly to the requesting agency without merging. 2.5 Merge Processing This section describes processing for criminal history responses coming from states as a result of the FBI/III notification. NLETS maintains a Rap-Merge table containing control information regarding national criminal history merge processing. Entries in the table are created when NLETS is notified by FBI/III (via a message with a header starting with cE d or cF d) that it is about to receive multiple rap sheets for further delivery. Each Rap- Merge entry, built from the notification message, shows the SIDs and possibly the FBI number for the various portions, the ORI of the requesting agency, and the time of notification. NLETS also retains information regarding each criminal history responder, including whether it will be in transmission format or presentation format, and what format the receiver desires. Interstate Criminal History Transmission Specification 12 DRAFT When the criminal history arrives, NLETS checks the Rap-Merge table to determine if it is part of an expected multi-state criminal history. If there is no entry in the Rap-Merge table, NLETS forwards the criminal history directly to the recipient. This can happen if the rap sheet: a) Arrives before the notification message from FBI/III is processed, b) Arrives late and the merged rap sheet has already been sent to the receiving agency, or c) is a single-state rap sheet. If the criminal history is a portion of a multi-state criminal history, it is merged with previously received portions. Merging means that duplicate items in the Introduction, Identification and Index segments are suppressed, and Event segments (arrests and dispositions) are kept intact but sequenced in date order. The result of the merge is a new composite criminal history in transmission format. The Rap-Merge table is updated to show the merge. Log entries are made for criminal histories merged into the composite result. These entries contain only identifying information, not detailed criminal history contents. If the newly received criminal history portion is the last portion, NLETS will send the merged criminal history to its destination and removes the transaction from the Rap- Merge table. At fixed periods, the Rap-Merge table is checked to determine if a time threshold has been exceeded for any merge in progress. If the time has been exceeded and nothing has been received, the Rap-Merge table is cleared. If the time has been exceeded and some portion of the multi-state criminal history has been received and merged, a caveat is inserted into the Introduction record stating which part is missing. The incomplete rap sheet is then transmitted to its destination and the Rap-Merge table entry is cleared. If a missing record portion arrives later, it is treated as a single-state criminal history. 2.6 Content Merging Rules The contents of a single cycle are never subdivided; cycles are ordered by the Event Date field with the earliest cycle first. For elimination of duplicate data within a merged multi-state criminal history, the general rule is that every subfield of an element must be identical in both versions for the element to be a duplicate. Exceptions are made for those subfields that contain the reporting agency or the reporting date for a field value. For multiple occurrences of data elements within the Identification segment of a merged record, the order of occurrences has no significance. Interstate Criminal History Transmission Specification 13 DRAFT 2.6.1 Introduction Element Introduction caveats <caveatInfo> may include either a narrative text or a set of codes. Caveat text supplied by different responding states is not checked for duplicates. The order of presentation of the caveat i nformation is determined by the order of receipt of the individual rap sheets. Table 1 details the contents of the <introduction> element. Field ID Field Name Merge Action <request> Rap Sheet Request Reference: ? FBI Number ? State Identification Number ? Name ? Purpose Code ? Attention Reference Each occurrence of this element is checked for duplicates. If found, duplicates are suppressed. All the elements must match exactly to be considered a duplicate. Up to 100 Rap Sheet Request References may be accommodated. If multiple values of any of the above items exist after merging, they are retained. The FBI Number should never be multi-valued and the State Identification Number should normally be multi-valued. Purpose Code and Attention Reference should not be multi-valued. <caveatInfo> Record Caveat Information ? State ? Caveat ? Index This field is not checked for duplicates. Up to 20 Record Caveats may be accommodated. Each Record Caveat consists of two information items, the state reporting the caveat and either a narrative caveat or an index code corresponding to a fixed caveat. Table 1 2.6.2 Identification Element Fields in this element are merged, with duplicates removed. In some cases, fields that are required to be single-valued (such as eye color) for contributors may take on multiple values in the composite merged criminal history. Table 2 details the contents of the identification element. Field ID Field Name Merge Action <subjectName> Subject 9s Name: ? Last ? First ? Middle ? Suffix Each occurrence of this element is checked for duplicates. If found, duplicates are suppressed. All items must match exactly for an element to be considered a duplicate. Up to 100 Names may be accommodated. <fbiNumber> FBI Number Only one FBI number is specified per criminal history. Interstate Criminal History Transmission Specification 14 DRAFT <sidNumber> State Identification Number Each occurrence of this element is checked for duplicates. If found, duplicates are suppressed. Up to 10 State Identification Numbers may be accommodated. <ssn> Social Security Number Each occurrence of this element is checked for duplicates. If found, duplicates are suppressed. Up to 10 Social Security Numbers may be accommodated <miscid> Miscellaneous ID Number: ? Type of Number ? Number Each occurrence of this element is checked for duplicates. If found, duplicates are suppressed. The Number and, if specified, the Type of Number must match to be considered a duplicate. If the Type of Number is specified, it is retained. Up to 20 Miscellaneous ID Numbers may be accommodated. <driversLicense> Drivers License Number: ? State ? Number Each occurrence of this element is checked for duplicates. If found, duplicates are suppressed. Both items must match exactly to be considered a duplicate. Up to 5 Drivers License Numbers may be accommodated. <birthplace> Place of Birth Each occurrence of this element is checked for duplicates. If found, duplicates are suppressed. Up to 20 Places of Birth may be accommodated. <citizenship> Country of Citizenship Each occurrence of this element is checked for duplicates. If found, duplicates are suppressed. Up to 20 Countries of Citizenship may be accommodated. <birthdate> Date of Birth Each occurrence of this element is checked for duplicates. If found, duplicates are suppressed. Up to 10 Dates of Birth may be accommodated. <sex> Sex Each occurrence of this element is checked for duplicates. If found, duplicates are suppressed. Up to 3 Sexes may be accommodated. <race> Race Each occurrence of this element is checked for duplicates. If found, duplicates are suppressed. Up to 5 Races may be accommodated. Interstate Criminal History Transmission Specification 15 DRAFT <heightInfo> Height Information: ? Height ? Date Each occurrence of this element is checked for duplicates. If found, duplicates are suppressed. Only the Height must match to be considered a duplicate. If the Date is specified, it is retained. If the Date conflicts with a duplicate Height, then the most recent Date will be retained. Up to 10 Height Informations may be accommodated. <weightInfo> Weight Information: ? Weight ? Date Each occurrence of this element is checked for duplicates. If found, duplicates are suppressed. Only the Weight must match to be considered a duplicate. If the Date is specified, it is retained. If the Date conflicts with a duplicate Weight, then the most recent Date will be retained. Up to 10 Weight Information may be accommodated. <eyeColorInfo> Eye Color Information: ? Color ? Date Each occurrence of this element is checked for duplicates. If found, duplicates are suppressed. If either item matches, it is considered a duplicate. Up to 10 Eye Color Informations may be accommodated. <hairColorInfo> Hair Color Information: ? Color ? Date Each occurrence of this element is checked for duplicates. If found, duplicates are suppressed. If either item matches, it is considered a duplicate. Up to 10 Hair Color Informations may be accommodated. <fpPatternClass> FP Pattern Classification Each occurrence of this element is checked for duplicates. If found, duplicates are suppressed. Up to 5 FP Pattern Classifications may be accommodated. <photo> Photo Available: ? Agency ORI ? Agency Name ? Format ? Date Each occurrence of this element is checked for duplicates. If found, duplicates are suppressed. Only the Agency ORI or Agency Name must match for this record to be considered a duplicate. If the Date is specified, it is retained. If the Date conflicts with a matching ORI, then the most recent Date will be retained. Up to 10 Photos Available may be accommodated. Interstate Criminal History Transmission Specification 16 DRAFT <dna> DNA Each occurrence of this element is checked for duplicates. If found, duplicates are suppressed. Up to 20 DNAs may be accommodated. <smtInfo> Scars, Marks, Tattoos Information: ? Agency ORI ? Agency Name ? SMT ? Code ? Date Each occurrence of this element is checked for duplicates. If found, duplicates are suppressed. Both SMT/Text and Agency ORI are used to identify duplicates. If the Date is specified, it is retained. If the Date conflicts with another matching entry, then the most recent Date will be retained. Up to 100 Scars, Marks, Tattoos Informations may be accommodated. <employment> Employer: ? Occupation ? Employer ? Date Each occurrence of this element is checked for duplicates. If found, duplicates are suppressed. All items must match to be considered a duplicate. Up to 20 Employments may be accommodated. <residence> Residence: ? Address ? Date Each occurrence of this element is checked for duplicates. If found, duplicates are suppressed. The Address and, if provided, the Date are used to identify duplicates. If the Date is specified in only one case, it is retained. Up to 20 Residences may be accommodated. <cautionInfo> Caution Information: ? Caution ? Date ? State This field is not checked for duplicates. Up to 5 Caution Informations may be accommodated. <iffsDisqualified> IFFS Disqualified Each occurrence of this field is merged with other occurrences. Prior to May 13, 2001, the precedence is cF d > cX d > cM d. After May 13, 2001, the precedence is cD d> dX d> dC d. <offenderNoticeInfo> Offender Caveat or Notice Information: ? Offender Notice ? Index ? State This field is not checked for duplicates. Up to 20 Offender Notice Informations may be accommodated. <commentsInfo> Comments Information: ? Comment ? State This field is not checked for duplicates. Up to 10 Comments Information may be accommodated. Table 2 Interstate Criminal History Transmission Specification 17 DRAFT 2.6.3 Cycle Element Cycle elements are merged into sorted order by Earliest Event Date <earliestDate>. Elements within a Cycle Element are not merged; therefore, no cycle layouts are provided in this Content Merging Rules section. 2.6.4 Agency Information Element These items are sorted by Agency ORI <agencyORI> and duplicates, identified by Agency ORI, are removed. If the same ORI appears in more than one individual responder 9s rap sheet, contact information for the first occurrence is used. Table 3 details the content of Agency Information element element. Field ID Field Name Merge Action <agencyInfo> Agency Information: ? Agency ORI ? Agency Name ? Agency Address ? Agency Phone ? Agency Fax ? Agency Internet Address Each occurrence of this element is checked for duplicates. If found, the duplicate is suppressed. If the mandatory Agency ORI matches exactly, it is considered a duplicate. Up to 100 Agency Informations may be accommodated. Table 3 2.6.5 Summary Element Since this record is generated by NLETS as a result of delivery processing, no actual merging operation takes place. Table 4 details the contents of summary element. Field ID Field Name Merge Action <cautionInfo> Caution Information: ? Caution ? Date This element contains all of the caution entries for all contributing states. <iffsDisqualified> IFFS Disqualified This field contains the highest level encountered in Felon Identification in Firearms Sales (FIFS)/Identification for Firearm Sales Disqualifier (IFS) values. Prior to May 13, 2001, cF d if any felony FIFS flags, cX d if no cF d values and at least one cX d reported, cM d if no cF d or cX d values and at least one cM d reported. After May 13, 2001, cD d if any disqualified IFFS flags, cX d if no cD d values and at least one cX d reported and cC d if no cD d or cX d reported and at least one cC d reported. Interstate Criminal History Transmission Specification 18 DRAFT Field ID Field Name Merge Action <total Arrests> Total Reported Arrests This field is set by counting the number of cycles in which an Arresting Agency Segment appears. <total Charges> Total Reported Charges: ? Felony ? Misdemeanor ? Local Ordinance ? Other ? Unknown This field is set by accumulating counts by arrest Charge Severity (Felony, Misdemeanor, Local Ordinance, Other and Unknown). This information comes from the Arrest Charge element and Charge Severity element. The charge count does not involve the item called Counts. Thus, a charge on multiple counts is counted as a single charge. <total Convictions> Total Reported Convictions: ? Felony ? Misdemeanor ? Local Ordinance ? Other ? Unknown This field is set by accumulating counts by Charge Severity (Felony, Misdemeanor, Local Ordinance, Other and Unknown) where the Court Action Type is c310, d meaning cConvicted d. This information comes from the Court Charge element. Each occurrence of the Court Charge contains a Charge Severity element and a Court Action type element. The conviction count does not involve the item called Counts. Thus, a conviction on multiple counts is counted as a single conviction. <totalFailuresTo Appear> Total Reported Failures to Appear This field is calculated by compiling the number of c401 d codes in the Court Action Type element. <totalRevocations> Total Reported Revocations This field is calculated by compiling the number of c501 d through c d504 d codes from the Court Action Type element. <lastEventDate> Date of Last Reported Event Set to the most recent Earliest Event Date for all cycles. <firstEventDate> Date of First Reported Event Set to the oldest Earliest Event Date for all Cycles. Table 4 2.7 Criminal History Delivery The criminal history delivery process consists of a well-formed XML document transmitted by NLETS to the receiving state. It is expected that NLETS will develop a wrapper or envelope for the criminal history record. For example, the Simple Object Access Protocol (SOAP) provides this model: <Envelope> <Header> &NLETS-specific message-key, routing and message-identification content </Header> <Body> <rapSheet> Interstate Criminal History Transmission Specification 19 DRAFT &actual content of the criminal history record </rapSheet> </Body> </Envelope> The criminal history delivery process is the same whether the criminal history is generated as a result of a fingerprint submission, an NLETS query or an FBI/III query. The steps in delivery processing are as follows. ?? If the receiving state has opted to receive in transmission format, the criminal history is sent to the receiving state in that format. The final record in the transmission is always a summary record created by NLETS. This summary record gives conviction counts of felonies, misdemeanors and violations. ?? If the receiving state has opted to receive in presentation format, the XML criminal history is converted to presentation format and sent to the requester as a standard NLETS text message. A summary of conviction counts is generated as part of the presentation format. ?? Delivery of a criminal history is logged by NLETS. These log entries contain only identifying information (originating and destination agency IDs, type of transaction, date/time stamps), not detailed criminal history contents. The specification does not limit the number of occurrences of any particular data element or complex. Therefore, there is no fixed maximum number of <arrestCycle> elements that can be included in a subject 9s record. NLETS may, however, regulate the total maximum size of a transmitted document. Interstate Criminal History Transmission Specification 20 DRAFT 3.0 Element Dictionary The element dictionary defines the contents of the elements. The <rapSheet> element itself has two attributes. First, a standard XML name space should (but need not) be specified. This gives a reference to the origin of the definition for the <rapSheet> element. The second attribute, which must be present, is the version of the rap sheet definition to which the document conforms. This must have the value c2 .00 d. Example: <rapSheet xmlns="http://www.nlets.org/formats/rapsheet" version="2.00"> """ </rapSheet> The first namespace in the above example is coded as a default name space. It applies to all elements within the <rapSheet> element. 3.1 Introduction (<introduction>) The <introduction> element contains reference information gathered from the inquiry transaction (e.g., IQ, FQ, or CHR) and also special caveats relating to use and dissemination of the criminal history record. Rap Sheet Request Reference ( <request> ): Information contained in each element is derived from the request transaction (e.g., QR, IQ or FQ) to which the response corresponds. FBI Number ( <fbiNumber> ): The FBI Number element is mandatory in the absence of a State Identification Number element. The element contains the subject 9s FBI Number. (EFTS 2.014) State Identification Number ( <sidNumber)> ): The SID Number element is mandatory in the absence of an FBI Number element. The element contains the subject 9s SID from request (e.g., QR, IQ, FQ). (EFTS 2.015) Name ( <name> ): This element contains the name of the subject used in the request for the criminal history record. (EFTS 2.018) Purpose Code ( <purposeCode> ): The element contains a code identifying the purpose for which the rap sheet will be used. (EFTS 2.XXX) Valid values are: A 3 Administrative file maintenance C 3 Criminal justice D 3 Domestic violence and stalking, civil and criminal court cases F 3 Firearms-related background checks H 3 Public housing background checks I 3 Interstate approved non- criminal justice licensing and employment background checks J 3 criminal justice employment background checks Interstate Criminal History Transmission Specification 21 DRAFT S 3 National security background checks V 3 Visa applications initiated by US Department of State X 3 Caregiver background checks, exigent circumstances Attention Reference ( <attention> ): This element contains identification of the person or entity to whose attention the rap sheet response will be directed. Example: <request> <fbiNumber>900660</fbiNumber> <sidNumber>CA99999978</sidNumber> <name>Jones, John P</name> <purposeCode>C</purposeCode> <attention>AL 911137</attention> </request> Record Caveat Information ( <caveatInfo> ): Record Caveat Information elements must specify either a <caveat> or an <index> element but not both. State ( <state> ): This element contains the NCIC State two-letter code for the State that supplied the caveat. Caveat ( <caveat> ) : This element contains a definition of the conditions pertaining to the use and dissemination of the rap sheet being provided. Index ( <index> ) : The element contains a code corresponding to a fixed caveat. The corresponding caveat will be displayed in the rap sheet. States will be allowed to enter codes and associated caveats into the central Index maintained by NLETS. Valid codes and their corresponding caveats are yet to be determined. Example: <caveatInfo> <state>CA</state> <caveat> This record is provided in response to your requ est. Use of the information contained in this record is governed by state and federal law. </caveat> </caveatInfo> 3.2 Identification (<identification>) The identification element contains information about the criminal history record subject 9s identity. Subject 9s Name ( <subjectName> ): This element should include all names for the record subject, including all known AKAs. Last ( <last> ): This element contains the record subject 9s last or surname. The last name must be supplied but the remaining elements are all optional. First ( <first> ): This element contains the record subject 9s first or given name. Interstate Criminal History Transmission Specification 22 DRAFT Middle ( <middle> ): This element contains the record subject 9s middle name. Suffix ( <suffix> ): This element contains additional components of the record subject 9s name and generational suffixes, for example, Jr., Sr., III, etc., corresponding to the record subject. Example: <subjectName> <last>Jones</last> <first>John</first> <middle>P</middle> <suffix>Jr</suffix> </subjectName> FBI Number ( <fbiNumber> ): The FBI Number element is mandatory without an SID Number element ( <sidNumber> ). The field contains the subject 9s FBI Number. (EFTS 2.014) Example: <fbiNumber>62660CA12</fbiNumber> State Identification Number ( <sidNumber> ): The SID Number field is mandatory without an FBI Number field ( <fbiNumber> ). The element contains the subject 9s SID Number assigned by the responding state(s). (EFTS 2.015) Example: <sidNumber>CA99999978</sidNumber> Correctional Number (<correctionalNumber>) : This element contains a correctional subject 9s identification number for a given state. Number ( <number> ): The element contains the subject 9s correctional number from the state that issued it. State ( <state> ): The element contains the NCIC State two-letter code of the state that assigned the correctional number. Example: < correctionalNumber> <number>IL742786</number> <state>IL</state> </correctionalNumber > Social Security Number ( <ssn> ): This element contains the subject 9s social security number. This number will be entered as nine consecutive numeric characters with no embedded punctuation or special characters. (EFTS 2.016) Example: <ssn>220565860</ssn> Miscellaneous ID Number ( <miscId> ): Interstate Criminal History Transmission Specification 23 DRAFT Type of Number ( <type> ): The element contains a description of the type or origin of the miscellaneous number provided in the second element, for example, cArmy Serial Number, d cPassport Number, d or cCanadian Social Insurance. d Number ( <number> ): This element contains an identification number, other than social security number, assigned to the record subject, such as a military ID number, or passport number. Example: <miscId> <type>Army Serial</type> <number>24680357</number> </miscId> Drivers License Number ( <driversLicense> ): Number ( <number> ): The element contains the subject 9s driver 9s license number from the state that issued it. State ( <state> ): The element contains the NCIC State two-letter code of the state that issued the license. Example: <driversLicense> <number>220565860</number> <state>CA</state> </driversLicense> Place of Birth ( <birthplace> ): The place of birth will be identified as the state (Mexico, United States), territorial possession, province (Canada), or country of birth. The place of birth must be represented by the appropriate two-letter abbreviations listed in the NCIC 2000 Code Manual or comply with the criteria identified below. (EFTS 2.020) If the following condition exists: Enter Code: POB listed as state AND country and applicable code not contained in Code Table; OR city can be ascertained as not being located In the United States; Or foreign POB and applicable code not contained in Code Table&&&&&&&&&&&&&&&&&&&&&&&&&..Y POB stated as only city AND city can be Ascertained as being located in the United States&&&&&&&&&&&US POB is Mexico or any Mexican state or province Not in Code Table&&&&&&&&&&&&&&&&&&&&&&&MM Interstate Criminal History Transmission Specification 24 DRAFT POB is cMexico, Mexico d&&&&&&&&&&&&&&&&&&&&.MX POB is unknown&&&&&&&&&&&&&&&&&&&&&&&&XX Example: <birthplace>CA</birthplace> Date of Birth ( <birthdate> ): Each birthdate element contains a date of birth in the eight- digit date format CCYYMMDD associated with the record subject. The element may contain the format attribute giving the date format used in the element. The only legal value for the attribute is cCCYYMMDD d and it is the default. (EFTS 2.022) Example: <birthdate format= dCCYYMMDD d>19530212</birthdate> Country of Citizenship ( <citizenship> ): The element contains the name of the country of which the subject is a citizen. Example: <citizenship>US</citizenship> Sex ( <sex> ): This element contains the record subject 9 s sex. Valid values are: Male; Female; Unknown. Example: <sex>Female</sex> Race ( <race> ) : This element contains the record subject 9s race. Use the predominant race code from the following table. (Categories are the same as EFTS 2.025, code values are different) If Subject is Enter Code Chinese, Japanese, Filipino, Korean, Polynesian, Indian, Indonesian, Asian Indian, Samoan, or any other Pacific Islander Asian A person having origins in any of the racial groups of Africa Black American Indian, Eskimo, or Alaskan native, or a person having origins in any of the 48 contiguous states of the United States or Alaska who maintains cultural identification through tribal affiliation or community recognition Native American Of indeterminate race Unknown Caucasian, Mexican, Puerto Rican, Cuban, Central or South American, or other Spanish culture or origin, regardless of race White Example: <race>White</race> Height Information( <heightInfo> ): Height ( <height> ): This element contains the record subject 9s height. The element may contain the unit attribute giving the measurement units of the height. The legal values of the attribute are cinches d and cfeetinches d and the default is cfeetinches. d If reported in feet and inches, the first (leftmost) digit is used to show feet while the two rightmost characters are used to show the inches between 00 and 11. Interstate Criminal History Transmission Specification 25 DRAFT Date ( <date> ): This element contains the date on which the associated height was reported in the format CCYYMMDD. The element may contain the format attribute giving the date format used in the element. The only legal value for the attribute is cCCYYMMDD d and it is the default. Example: <heightInfo> <height unit= dfeetinches d>601</height> <date>19940704</date> </heightInfo> <heightInfo> <height unit="inches">75</height> <date>19960311</date> </heightInfo> Weight Information( <weightInfo> ): Weight ( <weight> ): This element contains the record subject 9s weight in pounds as a three-character numeric. If weight is unknown, enter 000. The element may contain the unit attribute giving the measurement units of the weight. The only legal value of the attribute is cpounds d and it is the default. (EFTS 2.029) Date ( <date> ): This element contains the date on which the associated weight was reported in the format CCYYMMDD. The element may contain the format attribute giving the date format used in the element. The only legal value for the attribute is cCCYYMMDD d and it is the default. Example: <weightInfo> <weight unit="pounds">180</weight> <date>19970321</date> </weightInfo> Eye Color Information ( <eyeColorInfo> ): Eye Color ( <eyeColor> ): This element contains the subject's eye color. Use an eye color from the following table. Eye Color Black Hazel Blue Maroon Brown Multicolored Gray Pink Green Unknown Date ( <date> ): This element contains the eight-digit date format on which the associated eye color was reported in the format CCYYMMDD. The element may contain Interstate Criminal History Transmission Specification 26 DRAFT the format attribute giving the date format used in the element. The only legal value for the attribute is cCCYYMMDD d and it is the default. Example: <eyeColorInfo> <eyeColor>Blue</eyeColor> <date>19880321</date> </eyeColorInfo> Hair Color Information ( <hairColorInfo> ): Hair Color ( <hairColor> ): This element contains the subject 9s hair color. Use a hair color from the following table. Hair Color Bald Partially Gray Black Red Blonde Auburn Strawberry Blonde Sandy Brown White Gray Green Orange Pink Purple Unknown Date ( <date> ): This element contains the eight-digit date on which the associated hair color was reported in the format CCYYMMDD. The element may contain the format attribute giving the date format used in the element. The only legal value for the attribute is cCCYYMMDD d and it is the default. Example: <hairColorInfo> <hairColor>Brown</hairColor> <date>19890704</date> </hairColorInfo> Skin Tone (<skinTone>): This element contains the subject 9s skin tone (complexion). Use a skin tone from the following table. Skin Tone Albino Medium Black Medium Brown Interstate Criminal History Transmission Specification 27 DRAFT Dark Olive Dark Brown Ruddy Fair Sallow Light Yellow Light Brown Example: <skinTone> Albino</skinTone> FP Pattern Classification ( <fpPatternClass> ): The element contains the subject 9s fingerprint classification, and may include the classification technique employed. Example: <fpPatternClass>LLLWLAWWRA</fpPatternClass> Palm Prints Available ( <palmPrints> ): Entries should only be made in this element if an agency is known to have palm prints corresponding to the record subject. Agency ORI ( <agencyORI> ): This element contains the ORI of the Agency that maintains palm prints of the record subject. If the Agency Name element is not transmitted, the Agency ORI is mandatory. Agency Name (<agencyName>) : The entry of an ORI number in the AgencyORI element is preferred over the entry of the Agency Name; however, in the situation that an Agency ORI is not available for entry, the Agency Name is mandatory. Format ( <format> ): This element describes the format in which the palm prints are available. (e.g., NIST, HC (for hardcopy), TIFF, etc.) Link ( <link> ): This element contains information about how to acquire images of the palm prints. It may be in the form of a Universal Resource Locator (URL) or it may be narrative instructions. Date ( <date> ): This element contains the eight-digit date on which the associated palm prints were obtained in the format CCYYMMDD. The element may contain the format attribute giving the date format used in the element. The only legal value for the attribute is cCCYYMMDD d and it is the default. Example: <palmPrints> <agencyORI>CA0000041</agencyORI> <format>HC</format> <link> http://www.nlets.org/image/123.jpg </link> <date>19920704</date> </palmPrints> Interstate Criminal History Transmission Specification 28 DRAFT Photo Available ( <photo> ): Entries should only be made in this element if an Agency is known to have a photograph(s) of the record subject. Agency ORI ( <agencyORI> ): This element contains the ORI of the Agency maintaining a photograph of the record subject. If the Agency Name element is not transmitted, the Agency ORI is mandatory. Agency Name (<agencyName>) : The entry of an ORI number in the AgencyORI element is preferred over the entry of the Agency Name; however, in the situation that an Agency ORI is not available for entry, the Agency Name is mandatory. Format ( <format> ): This element describes the format in which the palm prints are available. E.g., NIST, HC (for hardcopy), TIFF, etc. Link ( <link> ): This element contains information about how to acquire the images. It may be in the form of a URL or it may be narrative instructions. Date ( <date> ): This element contains the eight-digit date on which the associated photo was obtained in the format CCYYMMDD. The element may contain the format attribute giving the date format used in the element. The only legal value for the attribute is cCCYYMMDD d and it is the default. Example: <photo> <agencyORI>CA0000012</agencyORI> <format>NIST</format> <link> Fax request including SID. Indicate photos are requested, and supply name of requester, agency, purpose, and return fax number. </link> <date>19920704</date> </photo> DNA ( <dna> ): Entries should only be made in this element if an Agency is known to have a DNA sample of the record subject. Agency ORI ( <agencyORI> ): This element contains the ORI of the Agency maintaining DNA of the record subject. If the Agency Name element is not transmitted, the Agency ORI is mandatory. Agency Name (<agencyName>) : The entry of an ORI number in the AgencyORI element is preferred over the entry of the Agency Name; however, in the situation that an Agency ORI is not available for entry, the Agency Name is mandatory. Format ( <format> ): This element describes the format in which the DNA samples are available. E.g., NIST, HC (for hardcopy), TIFF, etc. Link ( <link> ): This element contains information about how to acquire images of the DNA data. It may be in the form of a URL or it may be narrative instructions. Date ( <date> ): This element contains the eight-digit date on which the associated DNA was obtained in the format CCYYMMDD. The element may contain the format Interstate Criminal History Transmission Specification 29 DRAFT attribute giving the date format used in the element. The only legal value for the attribute is cCCYYMMDD d and it is the default. Example: <dna> <agencyORI>CA0000012</agencyORI> <format>HC</format> <date>19920704</date> </dna> Scars, Marks, and Tattoos ( <smtInfo> ): Specify either an <smt> or an <code>. Agency ORI ( <agencyORI> ): This element contains the ORI of the Agency having more specific information associated with the scar, mark or tattoo, possibly a photo or digital image. If the Agency Name element is not transmitted, the Agency ORI is mandatory. Agency Name (<agencyName>) : The entry of an ORI number in the AgencyORI element is preferred over the entry of the Agency Name; however, in the situation that an Agency ORI is not available for entry, the Agency Name is mandatory. SMT ( <smt> ): This element contains description of a scar, mark or tattoo present on the subject. The element contains a free-text description. Code ( <code> ): This element contains the appropriate NCIC code. (EFTS 2.026) Format ( <format> ): This element describes the format in which any SMT images are available. E.g., NIST, HC (for hardcopy), TIFF, etc. Link ( <link> ): This element contains information about how to acquire images of the SMT data. It may be in the form of a URL or it may be narrative instructions. Date ( <date> ): This element contains the eight-digit date on which the scar, mark or tattoo was recorded in the format CCYYMMDD. The element may contain the form

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