Toward a Manageable Criminal History System

Transcription

1 BJS/SEARCH Web Seminar Toward a Manageable Criminal History System BJS/SEARCH, The National Consortium for Justice Information and Statistics 1

2 Sponsored by The Bureau of Justice Statistics (BJS), U.S. Department of Justice SEARCH, The National Consortium for Justice Information and Statistics Presented by Robert L. Marx BJS/SEARCH, The National Consortium for Justice Information and Statistics 2

3 What is a Seminar? It s not a sales presentation It s not a collaboration It s not a conference It s not a staff meeting It s not a symposium A seminar is an attempt to plant a seed that will grow to a tree and bear fruit BJS/SEARCH, The National Consortium for Justice Information and Statistics 3

4 Who will Nurture the Seeds? Criminal History System (CHS) agency heads CHS management CHS oversight staff CHS audit staff Automated Fingerprint Identification System (AFIS) decision makers CHS software house decision makers CHS funding agency staff/management BJS/SEARCH, The National Consortium for Justice Information and Statistics 4

5 What is a Manageable CHS? Defined self-enforcing processes Robust quality measurement Completeness measurements Accuracy measurements Timeliness measurements Continual quality measurement Continual improvement BJS/SEARCH, The National Consortium for Justice Information and Statistics 5

6 Building the Future: One Subsystem* at a Time Big projects fail; small projects succeed. Big projects disrupt; small projects enable. Big projects are usually external; small projects are often internal. * Subsystem: A division of a system that, in itself, has the characteristics of a system. BJS/SEARCH, The National Consortium for Justice Information and Statistics 6

7 What Subsystems are There? Query-report subsystem Database subsystem Incarceration subsystem Supervision subsystem Judicial subsystem Prosecutorial subsystem Arrest subsystem Identification subsystem BJS/SEARCH, The National Consortium for Justice Information and Statistics 7

8 Which Subsystem gets Built First? A subsystem with well-defined edges A well-understood and stable subsystem An easily measurable subsystem A big-payoff subsystem A subsystem closer than the frontier BJS/SEARCH, The National Consortium for Justice Information and Statistics 8

9 And the Winner Is: The Identification Subsystem Well-defined edges: one source and a halfdozen destinations Well-understood: NIST, AFIS, Livescan Easily measurable: completeness, accuracy, timeliness Big payoff for ID during booking process Closer than the frontier: pathfinder state already in action BJS/SEARCH, The National Consortium for Justice Information and Statistics 9

10 Components of the Identification Subsystem ecard Reception and Edit Service (RES) Identification Transaction Controller (ITC) Name Search Service (NSS) Automated Fingerprint Identification System (AFIS) Analysis module External connectors BJS/SEARCH, The National Consortium for Justice Information and Statistics 10

11 ecard Reception and Edit Service (RES) Convert to ecards from paper Receive ecards from contributors and converters Edit ecards, reject for wrong mandatory fields, remove wrong optional fields Maintain First In, First Out (FIFO)-prioritized queues by type and age; release highest-oldest ecard to Internet Transfer Control (ITC) when asked BJS/SEARCH, The National Consortium for Justice Information and Statistics 11

12 Transaction Controller, Stage 1 Take highest-oldest ecard from RES Set up a transaction record Request Open Name Search (ONS) and Open Fingerprint Search (OFS) Receive and record ONS and OFS responses Calculate ONS category, OFS category and result zone BJS/SEARCH, The National Consortium for Justice Information and Statistics 12

13 What are Categories and Zones? Three ONS categories: high, medium, low score Three OFS categories: high, medium, low Two outcome types: same and different 3 * 3 * 2 = 18 result zones Each zone has assigned to it a specific strategy for moving toward a decision BJS/SEARCH, The National Consortium for Justice Information and Statistics 13

14 Transaction Controller, Stage 2 Closed Name Search (CNS) and Closed Fingerprint Search (CFS) cross-check stage- 1 results when ONS and OFS give different candidates Human verification provides final decisions in all zones originally Decisions-by-rule is available for some zones when/if CHS management deems it appropriate BJS/SEARCH, The National Consortium for Justice Information and Statistics 14

15 Transaction Controller, Stage 3 Update the NSS and AFIS and CH files, if appropriate Update the ecard and send to archive and the FBI s Integrated AFIS (IAFIS), if appropriate Update transaction record and send to analysis file Purge transaction record BJS/SEARCH, The National Consortium for Justice Information and Statistics 15

16 Name Search Server (NSS) Needed: A method that always delivers a single candidate is more accurate than most current name search methods can be adjusted in response to operational experience is statistically independent of the AFIS method BJS/SEARCH, The National Consortium for Justice Information and Statistics 16

17 NSS Characteristics No exclusion, only match-scoring Scoring based on Bayesian probability theory Self-evaluating to measure its own accuracy At least 1,000 times more computerintensive than older search methods BJS/SEARCH, The National Consortium for Justice Information and Statistics 17

18 NSS Mathematics R = Reliability, S = Selectivity, Raw Element Score = R/S Refined Element Score = INT (1000 * log (Raw Element Score)) Refined Row Score = SUM (Refined Element Scores) So A score of 6000 suggests that the candidate is a million times more likely to be a mate than a random candidate BJS/SEARCH, The National Consortium for Justice Information and Statistics 18

19 NSS Elements Last Name - initial and remainder First Name - initial and remainder Middle Name - initial and remainder Name Suffix Sex Race Birth- day, month, and year Social Security Number BJS/SEARCH, The National Consortium for Justice Information and Statistics 19

20 Name Search Provisional Scores LNI ca. 1000, LNR ca FNI ca. 1000, FNR ca MNI ca. 1000, MNR ca NS ca. 500 Sex ca. 200, Race ca. 200 Bday ca. 1500, Bmonth ca. 1000, Byear ca SOC ca BJS/SEARCH, The National Consortium for Justice Information and Statistics 20

21 Name File Flat file Single key = SID + Sequence One or more rows per SID Inquiry types = ONS, CNS Result always one row + score BJS/SEARCH, The National Consortium for Justice Information and Statistics 21

22 Conclusions about NSS NSS is ready for detail design It should be more accurate than present state of practice It will provide the needed manageability Risk factor: computational intensity BJS/SEARCH, The National Consortium for Justice Information and Statistics 22

23 Automated Fingerprint Identification System (AFIS) Capabilities needed: Open Fingerprint Search (OFS) yielding single candidate and score Closed Fingerprint Search yielding single candidate and score Substantial OFS workload increase Adequate problem reporting Ability to receive instructions from ITC and respond appropriately BJS/SEARCH, The National Consortium for Justice Information and Statistics 23

24 Analysis Module: Capabilities Calculate accuracy of name search, fingerprint search, and system Calculate revised values for R, S, element scores, name search category boundaries, fingerprint search category boundaries Calculate receipt-to-decision time for each ecard type Calculate ecard reject rates and causes Evaluate new strategies and tactics BJS/SEARCH, The National Consortium for Justice Information and Statistics 24

25 The Grand Summary A manageable CHS is a good thing A manageable CHS can begin with a manageable identification subsystem A manageable identification subsystem is being designed as we speak A manageable identification subsystem is scheduled to roll out in 2004 BJS/SEARCH, The National Consortium for Justice Information and Statistics 25

26 Seed Nurturing CHS agency heads could: Assign a person to track the pathfinder project and report to the management committee Assign a person to see how difficult it would be to isolate the identification function from the rest of the CHS software CHS management could: Launch a mini-project to get the name search detail design and test it Launch talks with an AFIS vendor BJS/SEARCH, The National Consortium for Justice Information and Statistics 26

27 Seed Nurturing (continued) CHS oversight staff could: Track the pathfinder project and consider briefing the oversight principals CHS audit staff could: Compare audit questions about timeliness, completeness, and accuracy to the pathfinder capabilities Consider endorsing implementation as part of system audit-ability BJS/SEARCH, The National Consortium for Justice Information and Statistics 27

28 Seed Nurturing (continued) AFIS decision makers could: Take the pathfinder concept to the AFIS user group Consider an in-afis transaction controller CHS software houses could: Consider an in-chs transaction controller Consider a Web-service name search service or a name search appliance BJS/SEARCH, The National Consortium for Justice Information and Statistics 28

29 Have a Question? Send your question by to webcast@search.org. We will respond by . We may provide your question and its answer to others, BUT all information concerning your name and organization will be stripped from the question and response, UNLESS you specifically request otherwise. BJS/SEARCH, The National Consortium for Justice Information and Statistics 29

30 Have a Comment or Suggestion? Send it by to webcast@search.org. We will acknowledge it by . If you use the subject line AGENCY COMMENT or AGENCY SUGGESTION, we will treat it as coming from the CHS agency head; otherwise, we will treat it as a personal comment or suggestion and will strip your name and affiliation. BJS/SEARCH, The National Consortium for Justice Information and Statistics 30

31 Acronym Glossary AFIS BJS CFS CHS CNS FIFO IAFIS ITC NIST NSS OFS ONS RES Automated Fingerprint Identification System Bureau of Justice Statistics Closed fingerprint search Criminal history system Closed name search First in, first, out Integrated Automated Fingerprint Identification System Identification transaction controller Internet Transfer Control National Institute of Standards and Training Name search service Open fingerprint search Open name search Reception and edit service BJS/SEARCH, The National Consortium for Justice Information and Statistics 31

32 This Concludes the Seminar We thank you for your time and attention. The Bureau of Justice Statistics, U.S. Department of Justice SEARCH, The National Consortium for Justice Information and Statistics Robert L. Marx BJS/SEARCH, The National Consortium for Justice Information and Statistics 32