CALIFORNIA DEPARTMENT OF JUSTICE. Guidelines for Submitting Applicant Live Scan Transactions

Transcription

1 CALIFORNIA DEPARTMENT OF JUSTICE Guidelines for Submitting Applicant Live Scan Transactions RECORD IMPROVEMENT & FIELD LIAISON SECTION MAY 2007

2 TABLE OF CONTENTS A. Valid Photo Identification B. Request for Live Scan Service Form (BCII 8016) C. Applicant Processing Fees D. Method of Payment E. Processing Fee Collection F. Entering Applicant Information into the Live Scan Device G. Helpful Information Regarding Entry of Billing Data and Fee Collection H. Verifying the Live Scan Transaction before Scanning Applicant s Fingerprints I. Scanning the Applicant s Fingerprints J. Completion of Applicant Live Scan Transaction K. Corrections to Specific Live Scan Transaction Errors after Submission to the DOJ L. Logging the Fingerprint Transaction M. Proper Handling and Storage of Applicant Information N. Validation Table Updates O. Attorney General s Internet Site P. Applicant Follow-Up to Live Scan Transaction Appendices A. Request for Live Scan Service Form (BCII 8016) B. Live Scan Billing Information C. Capturing Quality Live Scan Fingerprint Images D. Correction to Live Scan Transmission Form (BCII 8017) E. Internet Site Request Form F. Applicant Communication Network Relevant Statutes & Regulations G. 15 Basic Steps for Submitting a Live Scan Transaction H. RISP Field Representative Assignments

3 Guidelines for Submitting Applicant Live Scan Transactions Prior to initiating a live scan transaction, a Live Scan Operator must ensure that the Applicant (the person being fingerprinted) has all of the following: a valid form of photo identification, a completed Request for Live Scan Service form (BCII 8016) and an acceptable method of payment. A. Valid Photo Identification The Live Scan Operator is responsible for confirming the validity of an Applicant s photo identification. Accepting forms of identification other than ones listed below places sole liability upon the Live Scan Agency. Recently, the National Crime Prevention and Privacy Compact Council, a 15-member body of local, state, and federal governmental officials issued a guide for use in determining what a Valid ID constitutes outlined in primary & secondary forms of identification. The DOJ requires Live Scan operators accept only current, valid, and unexpired picture identification documents as a primary valid identification. As such, a Live Scan Operator must examine the photo identification presented to ensure all of the following: The personal descriptor information (name, gender, date of birth, etc.) matches the information provided on the Request for Live Scan Service form (BCII 8016); The expiration date has not elapsed; and, The photograph reasonably resembles the Applicant s physical appearance. Acceptable Primary forms of photo identification include any of the following: California Driver s License Department of Motor Vehicles Identification Card Out-of-State Driver s License However, in the absence of a primary form of identification, a Live Scan Operator may accept one or more of the following as Secondary forms of Identification, but only with the supplemental documents noted on the next page: State Government Issued Certificate of Birth U.S. Active Duty/Retiree/Reservist Military Identification Card ( ) U.S. Passport Federal Government Personal Identity Verification Card (PIV) Department of Defense Common Access Card U.S. Tribal or Bureau of Indian Affairs Identification Card Social Security Card Court Order for Name Change/Gender Change/Adoption/ Divorce Marriage Certificate (Government Certificate Issued) U.S. Government Issued Consular Report of Birth Abroad 3

4 Foreign Passport with Appropriate Immigration Document(s) Certificate of Citizenship (N560) Certificate of Naturalization (N550) INS I-551 Resident Alien Card Issued Since 1997 INS Temporary Resident Identification Card INS I-688B, I-766 Employment Authorization Card Please note: When validating the authenticity of secondary identification documents and forms, the data and information need to be supported by at least two of the following Supplemental documents: Utility Bill (Address) Jurisdictional Voter Registration Card Vehicle Registration Card/Title Paycheck Stub with Name/Address Jurisdictional Public Assistance Card Spouse/Parent Affidavit Cancelled Check or Bank Statement Mortgage Documents When supplemental documentation does not support the validation of the original identification documents, the Live Scan Operator should not accept the form of identification and fingerprint the applicant. When a Live Scan Operator has a reason to believe an applicant has presented fraudulent information, you should contact local law enforcement. No attempt should be made to detain or pursue the person. 4

5 5 B. Request for Live Scan Service Form (BCII 8016) The standard form available from the DOJ for requesting live scan service is the Request for Live Scan Service Form (BCII 8016), but there are variations of this form which have been created by some agencies to meet their specific needs. Although each form generally contains the same information, the forms may vary in style and format. The Request for Live Scan Service Form (BCII 8016) contains an applicant s personal descriptor information along with the requesting applicant agency s related data. The information contained on the Request for Live Scan Service Form (BCII 8016), along with an applicant s fingerprint images, are necessary for a live scan transaction to be submitted to the DOJ. There are six Sections to the Request for Live Scan Service (BCII 8016) form (see Appendix A). The first five sections of the form (labeled A-E on the sample in Appendix A) are completed by the requesting employer or regulatory agency prior to arrival of the Applicant at the live scan site. (See Appendix A for a detailed explanation of each Section). All information must be fully completed on the Request for Live Scan Service Form (BCII 8016), with the following exceptions: Section B Mail Code (only for agencies that receive responses electronically) Contact Name (mandatory only for school submissions and/or applicant s requiring Child Abuse Central Index (CACI) check) Section C Alias (only if applicable) Misc. No. BIL (only if the processing fees are billable to the requesting agency) Misc. No. (only if the Applicant does not have a California driver s license) SOC (optional, but recommended) Section D Your Number (may be used by requestor for their own unique identifier) If resubmission, list Original ATI No. (used only when a transaction is being resubmitted due to reject by DOJ or FBI). Section E Applies only to certain employers or agencies, and may be left blank. Section F Must be completed by the Live Scan Operator after the live scan transaction has been completed. A Live Scan Operator should not initiate a live scan transaction in which the information provided on the Request for Live Scan Service Form (BCII 8016) form is missing or incomplete. If the BCII 8016 form is incomplete, the applicant should be instructed to return to the requesting employer or regulatory agency for completion. The omission of mandatory data will result in a rejected submission or a delay in the processing of the Applicant s background check.

6 C. Applicant Processing Fees There are two types of fees associated with each live scan fingerprint transaction: Processing fees are those fees charged by the DOJ for conducting the State and Federal level (if required) criminal offender record information check and if applicable, a Child Abuse Central Index and/or Firearms check. Processing fees are determined by the Applicant type and the level of service required. The system software within the live scan device contains validation tables that designate the specific fee that is required for each Applicant type. In some cases, the processing fees are billed to, and are paid by, the requesting agency, and in other cases, the processing fees are the responsibility of the Applicant. Rolling fees are those fees charged by the Live Scan Agency for rolling the Applicant s fingerprint images and submitting the live scan transaction to the DOJ. The amount of the rolling fee is determined by the Live Scan Agency. In general, rolling fees can vary greatly from site to site. Rolling fees are generally the responsibility of the Applicant. D. Method of Payment The Live Scan Agency determines what method(s) of payment they are willing to accept for live scan services. A Live Scan Agency may accept cash, checks, credit cards, money orders or any combination of the above. E. Processing Fee Collection Processing fees are either collected from the Applicant at the time of service or are billed to the applicant agency requesting the service. In those cases where the requesting applicant agency provides an agency billing code number on the Request for Live Scan Service Form (BCII 8016) (Misc. No. BIL), the requesting applicant agency is billed for all of the applicable processing fees. When the Misc. No. BIL (Section C of the BCII 8016) in the Request for Live Scan Service Form (BCII 8016) form is left blank, the live scan operator must collect the processing fees from the Applicant. In those cases where a Live Scan Agency collects the processing fees from the Applicant, the Live Scan Operator will enter the Live Scan Agency s own assigned billing code number in the Misc. No. BIL field. The Live Scan Agency will then be subsequently billed for these fees by the DOJ. The Live Scan Agency then must remit payment to DOJ for the processing fees collected directly from the Applicant. This does not include any rolling fee assessed by the Live Scan Agency. The total amount of the processing fees is entered into the Amount Collected/Billed field by the Live Scan Operator after the live scan transaction has been completed. Rolling fees charged by the Live Scan Agency are not included in the Amount Collected/Billed field. 6

7 F. Entering Applicant Information into the Live Scan Device The Live Scan Operator must first verify the information on the Request for Live Scan Service (BCII 8016) form before entering data into the live scan device ensuring the information entered into the live scan device is exactly the same as the information provided on the Request for Live Scan Service (BCII 8016) form. Inaccurately entered data (misspelled name, incorrect mail code, etc.) can result in rejected submissions and significant processing delays for the Applicant. A Live Scan Operator may not alter, add or delete any information provided on the Request for Live Scan Service Form (BCII 8016) form by the requesting applicant agency. In some cases, the live scan device will automatically populate one or more data fields. Examples of data fields populated automatically include Mail Code and/or Agency Billing Number. A Live Scan Operator may not alter any information in a data field that is automatically populated. In addition, whenever an ORI on the Request for Live Scan Service Form (BCII 8016) begins with an X or a Z, the Live Scan Operator must manually type in the applicant agency s literal (or actual) name (Not to exceed 25 characters, spaces included). Also, the city will need to be manually entered. Not entering the ORI literal and city will result in a rejected transaction. G. Helpful Information Regarding Entry of Billing Data and Fee Collection All inquiries or questions regarding live scan billing should be directed to (916) (See Appendix B for additional Live Scan Billing Information) A billing code number is required for each transaction. All billing code numbers must have six digits and begin with a one (1). When applicant processing fees are collected from the Applicant, enter your Live Scan Agency s billing code number in the Misc. No. Bill field. If you are not provided with complete information on the Request for Live Scan Service Form (BCII 8016), the Applicant should not be fingerprinted. If there is no billing number provided in the Misc. No. Bill field on the Request for Live Scan Service Form (BCII 8016) and the Applicant will not pay for services, the Applicant should not be fingerprinted. Do not submit any live scan transaction more than once without DOJ authorization. Duplicate submissions cause additional workload for the DOJ and you may be billed. In Type Of Payment field, select ACC if fees are to be billed to the requesting applicant agency. If the Applicant is paying the applicant processing fees, enter your assigned billing code number and one of these codes for the method of payment: CK for check, MO for money order, VIS for Visa, MC for Master Card, or CAS for cash. 7

8 H. Verifying the Live Scan Transaction before Scanning Applicant s Fingerprints Prior to scanning the Applicant s fingerprints, a Live Scan Operator should check the screen and verify that all information entered into the live scan device is accurate and the same as the information provided on the Request for Live Scan Service Form (BCII 8016) form. I. Scanning the Applicant s Fingerprints The Live Scan Operator should consider the care of the live scan device platen (the area where the Applicant s fingers are placed to capture the fingerprint image) prior to scanning the Applicant s fingerprints. The platen should be clean and free of dirt and oil prior to scanning an Applicant s fingerprints. Normally, the platen needs cleaning after each transaction. Occasionally, however, an Applicant s fingers or hands are abnormally sweaty or oily and the platen requires cleaning between the scanning of each individual fingerprint. Only those products recommended by the vendor should be used to clean the live scan platen. When scanning the Applicant s fingerprints, the Live Scan Operator should ensure that the correct finger is being scanned; The finger should be placed in the center of the platen, then rolled from either side from nail to nail. It is important to capture the entire fingerprint image, including the first crease, also known as the line of fissure. The "plain," "slapped" or "flat" impressions should be captured according to your vendor s recommended procedures; The live scan device is sensitive to pressure. When excessive pressure is applied, the fingerprint image captured on a live scan device will look smeared and detail will be lost. However, when insufficient pressure is applied, the image will appear with broken or dotted lines; When necessary, proper annotations must be made when fingers are scarred, deformed, bandaged, missing, or amputated; An image that does not meet the minimum requirements for quality as indicated on the live scan screen must be re-taken. In some cases where the image is acceptable, but the Live Scan Operator believes that a better quality image could be captured, the image should be deleted and scanned again. The Live Scan Operator is encouraged to submit the best possible fingerprint images to the DOJ, as high quality images help avoid delays in processing, avoid re-printing due to rejected prints and assist in maintaining the integrity of California s criminal history record repository. (For additional information, see Appendix C titled Capturing Quality Live Scan Fingerprint Images ) Failure to maintain minimum levels of quality submissions may result in termination of the Live Scan Agency s ability to transmit live scan transactions to the DOJ. 8

9 J. Completion of Applicant Live Scan Transaction All Applicant Live Scan transactions must be transmitted to DOJ within 24 hours from the time the fingerprint images are obtained from the Applicant. Failure to timely transmit Applicant Live Scan submissions to the DOJ may result in termination of the Live Scan Agency s ability to transmit live scan transactions to the DOJ. The Live Scan Operator must complete the bottom portion of the Request for Live Scan Service form (Section F in the sample form in Appendix A). The Live Scan Operator s name must be clearly printed on the Name of Operator line. The Applicant Tracking Identifier (ATI), a unique ten character identifier generated by the live scan device, must be entered on the ATI No. line. The Live Scan Operator must enter the date on which the transaction was performed and enter the total amount of the processing fees associated with the transaction, whether billed to the requesting agency or collected from the Applicant. This amount does not include the rolling fee assessed by the Live Scan Agency. Also, the live scan identification number of the device or LSID number, a unique three character identifier assigned to the Live Scan Agency s device, must be entered along with the name of the Transmitting Agency. The Live Scan Operator provides two copies of the Request for Live Scan Service form to the Applicant and retains the original for record keeping purposes. 9

10 K. Corrections to Live Scan Transactions after Submission to the DOJ If, after the transmission of a live scan transaction, it is discovered that there has been incorrect information submitted due to an error on the part of the Live Scan Operator, the Live Scan Operator must immediately complete and send a Request for Correction to Live Scan Submission (BCII 8017) form (Appendix D) to the DOJ. The Live Scan Operator may be notified of this error by the Applicant, by the DOJ, by a message received by the live scan device or may discover the error him/herself. It should be noted, every request is handled on an individual basis. Depending upon the applicant agency and extenuating circumstances, the DOJ may still request a re-submission. When preparing the Request for Correction to Live Scan Submission (BCII 8017) form, the Live Scan Operator must check the Live Scan Transmitting Agency box, and complete the following sections: Contact Person Telephone No# Transmitting Agency Name Applicant s Name DOB (of Applicant) ATI No. Date Transmitted The Live Scan Operator also must fill in at least one of the error correction sections and each of these lines must be completed: Field Incorrect Information Correct Information When the form is completed, the Live Scan Operator may either send the form via U.S. Mail, or fax the form to the DOJ: Mailing Address Bureau of Identification and Information Applicant Processing Program P.O. Box Sacramento, CA Fax Number (916) The Live Scan Operator should retain a copy of the Request for Correction to Live Scan Submission (BCII 8017) form for no more than 60 days, at which time it should be destroyed by cross-cut shredding. 10

11 L. Logging the Fingerprint Transaction A record of every fingerprint transaction performed by the Live Scan Agency must be maintained on a Fingerprint Transaction Log. The log must clearly identify the name of the Live Scan Operator who performed the transaction, the date the Applicant was fingerprinted, the name of the Applicant, the type of photo identification presented and verified by the Live Scan Operator and the Applicant Tracking Identifier (ATI) number associated with the transaction. Each fingerprint transaction entry on the log must be initialed by the Live Scan Operator who performed the transaction. The Fingerprint Transaction Log must be maintained for a minimum of one year from the date services were provided and the Live Scan Operator or Live Scan Agency must make the log available to DOJ upon demand. Access to the log shall be controlled at all times by the DOJ approved Live Scan Agency. M. Proper Handling and Storage of Applicant Information Applicant information is confidential and the use of the information for any purpose other than the purpose for which it was provided by the Applicant is strictly prohibited. Applicant information shall not be replicated, sold, shared, modified, archived, stored or used to supplement any existing data base, file, record or report, or create any new data base, file, record or report. Applicant information shall not be collected or transmitted outside of the State of California unless officially approved by the DOJ. Applicant fingerprint transaction records may be temporarily retained within the live scan device, pending successful transmission of the record to DOJ, but no fingerprint image or record can be retained, in electronic or hard copy form, for longer than 30 calendar days from the date of the initial transmission. Every person who collects, processes, facilitates, or supports the transmission of Applicant fingerprints to DOJ, or who manages, administers, accesses, develops or maintains the systems supporting the Live Scan Agency is required to sign a DOJ Security and Disclosure Certification form acknowledging that they understand their responsibilities for protecting confidential Applicant information, the restrictions concerning the use of such information and the penalties for misuse. A copy of the DOJ Security and Disclosure Certification form should be retained and must be made available to the DOJ upon request. The Live Scan Agency shall retain a copy of each Request for Live Scan Service (BCII 8016) form for a period of 12 months. The copies shall be stored in a locked storage medium accessible by those that have a legitimate need and shall be destroyed by cross-cut shredding after 12 months. N. Validation Table Updates The Live Scan Agency is responsible for ensuring that DOJ validation tables remain current and updated within a reasonable time after they are released by the DOJ. For some live scan device models, table updates are preformed automatically every time the device is turned on; some models are updated by the Live Scan Operator per vendor instructions; some models are updated remotely by the vendor; and some models require a site visit by the vendor field engineer in order to be updated. The Live Scan Agency should work closely with their vendor to insure that their tables are updated and are kept current. 11

12 O. Attorney General s Internet Site Each Live Scan Agency has the option of posting their location, hours of operation, applicable rolling fee and the acceptable forms of payment they will accept on the Attorney General s (AG) Internet Site ( Please find attached, the Internet Form (Appendix E) required to establish your Live Scan Agency on the AG s Internet Site. To initiate this process, please contact the Record Improvement and Field Liaison section Field Representative assigned to your county (Appendix H). P. Applicant Follow-Up to Live Scan Transaction The results of the background check are returned to the requesting applicant agency. Any inquiries regarding the results of the background check should be directed to the applicant agency who requested the background check. The Applicant should be informed that he or she can also check the status of the response by calling the DOJ Automated Voice Response System at (916) , which is available 24-hours a day from any touch-tone telephone. The ATI number and applicant s date of birth are required in order to utilize the Automated Voice Response System. 12

13 APPENDIX A Request for Live Scan Service (BCII 8016) 13

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15 Explanation of Request for Live Scan Service (BCII 8016) form (For Live Scan Operators) SECTION A MANDATORY? COMMENT 1 ORI YES 2 Type of Application YES 3 Job Title or Type of License, Certification or Permit YES The requesting applicant agency s unique identifier. Examples: Peace Officer, State Employee, Employment, License This should match the DOJ drop-down list of applicant types specified for the requesting applicant agency. SECTION B MANDATORY? COMMENT 4 Agency Address Set Contributing Agency YES The Authorized Agency s Information 5 Mail Code NO 6 Contact Name YES/NO 7 Contact Telephone Number YES/NO Mail Code applies to those agencies requesting their responses be returned via electronic or FAX. If this line is blank, do not enter anything Mandatory for schools submissions and/or applicant s requiring a Child Abuse Central Index (CACI) check Mandatory for schools submissions and/or applicant s requiring a CACI check SECTION C MANDATORY? COMMENT 8 Name of Applicant & Personal Descriptors 9 Misc, No. BIL YES W/Exceptions BCII 8016 NO Submission YES 10 Home Address YES/NO Enter Applicant s Full Name & Personal Descriptor Information. Exceptions: Alias, Misc. NO. & SOC If requesting applicant agency will be billed, the BCII 8016 should have billing code number on it. If the applicant is paying at your device, enter your billing code number. Mandatory for applicant s requiring a CACI check and when State Statute mandates a dual response to the applicant. SECTION D MANDATORY? COMMENT 11 Your Number NO 12 Level of Service YES 13 Original ATI NO NO For re-submissions only Unique number assigned to this applicant by the requesting applicant agency. If this line is blank, do not enter anything The applicant agency should have checked the appropriate boxes, which correspond to the applicant types chosen. SECTION E MANDATORY? COMMENT 14 Employer NO Only required if a dual response is required by State Statute SECTION F MANDATORY? COMMENT 15 Live Scan Transaction Completed By BCII 8016 NO After Submission YES 15 Must be completed by live scan operator after the live scan transaction has been completed

16 APPENDIX B Live Scan Billing Information 16

17 Live Scan Billing Information All inquiries or questions regarding live scan billing, should be directed to (916) Billing Cycle/Invoices The live scan billing cycle reflects a full calendar month. However, if an applicant fingerprint is received by the DOJ at the end of the month, the may be billed for the transaction in the following month. Invoices are sent via U.S. mail in the middle of each month. Itemized billing details may be provided upon request. Billing Code Requirement A billing code is required on every live scan fingerprint transmission. If the transaction is not billable to the requesting applicant agency, the s billing code number must be used. If the Request for Live Scan Service (BCII 8016) form contains no billing code number and the Applicant is unable or unwilling to pay the required processing fees, the Live Scan Operator should not fingerprint the applicant, as the will be billed by DOJ for processing the transaction, and will be liable for payment. Billing Inquiries/Discrepancies All telephone inquiries regarding live scan billing, including discrepancies, should be directed to DOJ s Live Scan Billing Support Unit at (916) The automated telephone system will allow you to leave specific information regarding your inquiry which will be directed to the appropriate DOJ staff person for resolution. You may also inquiries to: [email protected]. Invoice Payment The following information will ensure your payment is properly applied to your account and will facilitate the payment process: DOJ Invoices include a tear-off section at the bottom. When remitting your payment to DOJ, please include this section to ensure that your payment is posted to the correct invoice. To pay several invoices with one check, specify the dollar amount, services being paid, invoice month and invoice number for each invoice (e.g., $64, 2-California, March 2000, Invoices and $560, 10-California, 10-FBI, April 2000, Invoice ). Duplicate Submissions The Live Scan Operator should not submit a live scan transaction more than one time without the authorization of the DOJ. Duplicate submissions cause additional workload for the DOJ and the may be billed for a duplicate submission. 17

18 Common Live Scan Operator Errors Which Result in Billing Problems The following are common errors made by Live Scan Operators which might result in billing problems: Billing code number is omitted from the Live Scan transmission or entered incorrectly. The Live Scan Operator must verify that the billing code number is entered, and is the same as on the Request for Live Scan Service (BCII 8016) form before the live scan transaction is submitted. An incorrect billing code number may cause the Live Scan Provider to be billed for a transaction that they should not be billed for. Incorrect Originating Agency Identifier (ORI) number is entered. The Live Scan Operator must verify that the ORI is entered, and is the same as on the Request for Live Scan Service (BCII 8016) form before the live scan transaction is submitted. An incorrect ORI number may cause the agency to be billed for a transaction that they should not be billed for. 18

19 APPENDIX C Capturing Quality Live Scan Fingerprint Images 19

20 Capturing Quality Live Scan Fingerprint Images Please Note: It is extremely important to maintain the live scan equipment per the manufacturers guidelines, to ensure the quality and integrity of the fingerprint images. Section I. Introduction The purpose of this guide is to provide information regarding the nature of fingerprints and outline techniques for taking legible fingerprints. Obtaining quality fingerprint impressions can be a matter of using proper techniques. Even though the methods of recording fingerprints may differ, the techniques for obtaining quality fingerprints are very similar. Section II. Fingerprint Pattern Types Fingerprints are the result of minute ridges and valleys found on the hand of every person. In the fingers and thumbs, these ridges form patterns of loops, whorls and arches. TENTED ARCH In a tented arch pattern there is a significant upthrust where a plain arch does not. Each of the four pattern types have focal points which are used for classification. In the Loop pattern there are two focal points: the Core, or the center of the loop, and the delta. The Delta is the area of the pattern where there is a triangulation or a dividing of the ridges. When recording fingerprints, the delta and the area between the delta and the core must be completely recorded. 20

21 A Whorl pattern will have two or more deltas. For a whorl pattern, all deltas and the areas between them must be recorded. The Arch pattern has no delta or core; but, it too, must be fully recorded so that its individual characteristics can be readily distinguished. The Tented Arch If you compare the two images, arch and tented arch, you can see that while the arch tends to flow rather easily through the pattern with no significant changes, the tented arch does make a significant change and does not have the same "easy" flow as the plain arch. 21

22 CENTRAL POCKET LOOP LATERAL POCKET LOOP Double Loop Accidental Section III. Fingerprint Impression Types There are two types of impressions involved in taking fingerprint images. The upper ten impressions are taken individually, thumb, index, middle, ring, and little fingers of each hand. These are referred to as the "rolled" impressions because the fingers are rolled from one side of the fingernail to the other, in order to obtain all available ridge detail. The impressions at the bottom are taken simultaneously without rolling, imaging all of the fingers of each hand at a forty-five degree angle and then the thumbs. These are referred to as "plain," "slapped," or "flat" impressions. The plain impressions are used to verify the sequence and accuracy of the rolled impressions. Section V. Steps for Capturing Fingerprint Images The recommended height for the fingerprinting device should be equivalent to your agency s specific needs, but must allow for proper fingerprint image capture. 1. Fingers to be printed must be clean and dry. Please follow your vendor s recommended procedures for capturing quality fingerprint images. 2. The individual being fingerprinted should be asked to stand in front of and at a forearm's length from the fingerprinting device. The individual should stand to the right and rear of the person taking the fingerprints. 3. Encourage the individual being fingerprinted to relax. Ask them to look at some distant object to distract them from what you are doing. 4. In order to take advantage of the natural movement of the forearm, the hand should be rotated from the more difficult position to the easiest position. This requires that the thumbs be rolled toward and the fingers away from the center of the individual's body. This process relieves strain and leaves the fingers relaxed when rolling so that they may be lifted easily without danger of slipping which smudges and blurs the fingerprints. 5. Roll each finger from nail to nail in the appropriate space taking care to lift each finger up and away after rolling, to avoid smudging. 6. Plain," "slapped," or "flat" impressions are usually printed last, but depends upon on the device was set-up to capture. The technician simultaneously presses the individual's four fingers (on the right hand), keeping the fingers together, on the fingerprinting device at no more than a forty-five degree angle in order to capture all four fingers in the allotted space. Repeat this process for the left hand. Print both thumbs in the plain impression thumb blocks and ensure that they are in the proper spaces. 22

23 Section VI. Special Situations Special attention must be given when fingerprinting an individual with abnormalities of the fingers, thumbs or hands. Special situations include: Amputations - Missing at Birth - Fingerprint Amputated (AMP) Bandaged Fingers or Hands (BAND) Do not attempt to roll bandaged fingers/hand Deformities (DEF) Missing at Birth (MAB) Scars (SCR) Fingertip Amputated (TA*) * Please note: Roll the finger and annotate if there is a portion of finger above the line of fissure or crease. Please follow the DOJ drop down table when fingerprint images with these types of special situations occur. Amputations An amputation exists when an individual has one or more fingers, thumbs or hands missing. This condition should be noted in the appropriate block of the fingerprint submission. Amputations should be designated using the following notations: Amputation (AMP) Missing at Birth (MAB) If the individual has a finger, thumb or hand, missing since birth, use the DOJ drop down menu & select: MAB (Missing at Birth). Fingertip Amputated (TA*) * Please note: Roll the finger and annotate if there is a portion of finger above the line of fissure or crease Bandaged Fingers or Hands If the individual has a bandage or cast on a finger, thumb or hand, use the DOJ drop down menu & select: BAND (Bandaged Finger). Deformities A deformity may exist as a result of an injury, birth defect or disease. An attempt should be made to fingerprint the individual. If unable, use the DOJ drop down menu & select: DEF (Deformed). Scars A scar exists when an individual has permanent tissue damage to finger, thumb or hand and when only pattern areas that have been totally destroyed or the ridge detail appears distorted. These fingerprints should be taken as they exist. The scars can be noted as "SCR," but it is not required. Special Situations Miscellaneous Worn Fingerprints An individual may, by the nature of their work or age, have very thin or worn ridges in the pattern area. Light pressure should be used to record these types of fingerprint impressions. Extra Fingers If an individual has more than ten fingers, print only the ten. 23

24 Section VII. Quality Checklist To verify that the fingerprint impressions meet the FBI's & DOJ s requirements, please use the following checklist: 1. Is there a fingerprint impression in each finger block? If there is a missing fingerprint impression, is there a reason noted in the finger block (e.g.,amp, missing at birth, etc.)? 2. Are the fingerprints rolled fully, from nail to nail? 3. Is the fingerprint impression is a loop, are the delta and core present? If the fingerprint impression is a whorl, are all deltas present? 4. Are the fingerprint impressions clear and distinct? 5. Are the fingerprint impressions uniform in tone and not too dark or light? 24

25 6. Are the four finger impressions and a thumb impression in the plain impression block for each hand? 7. Are the rolled fingerprint impressions in the correct finger blocks when compared to the plain impressions? 25

26 APPENDIX D Request Form for Correction to Live Scan Submission (BCII 8017) 26

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28 APPENDIX E Internet Site Request Form 28

29 If your Agency/Provider would like to be listed on the Attorney General s Webpage listing of Public Applicant Live Scan Sites, please complete this form and return the information to your Field Representative via or fax. The fax number is: (916) The Website of Applicant Live Scan sites can be viewed at: INTERNET INFORMATION New - Add Agency/Provider to Webpage Update Agency/Provider Information LSID NUMBER: DATE: COUNTY: LIVE SCAN PROVIDER/AGENCY NAME: LIVE SCAN ADDRESS: CITY: ZIP CODE: CONTACT PERSON: PHONE NUMBER: ADDRESS: DAYS OF LIVE SCAN SERVICE PROVIDED: IF MONDAY - FRIDAY CHECK HERE OR INDICATE DAYS BELOW: HOURS OF OPERATION: CALL FOR APPOINTMENT: YES NO ROLLING FEE: TYPE OF PAYMENT PREFERRED (Please Check? ): Cash Check Cashiers Check Money Order Credit Cards Other: Comments: *Note: New Agency/Providers and any Website changes other than Agency/Provider name changes will be updated on a monthly basis. Agency/Provider name changes will be updated bi-annually. (Revised 9/18/06)lkd 29

30 APPENDIX F Applicant Communication Network Relevant Statutes & Regulations 30

31 Applicant Communication Network Excerpts from Relevant Statutes and Regulations (All California Code Sections unless noted) Applicant Communication Network Penal Code section The Attorney General shall establish a communication network that allows the transmission of requests from private service providers in California to the Department of Justice for criminal offender record information for purposes of employment, licensing, certification, custodial child placement or adoption. The communication network shall allow any entity that is approved by the department to connect directly to the department. For additional information regarding this California Code section, or any others, see California Criminal History Records Penal Code section The Department of Justice shall maintain state summary criminal history information... the master record of information compiled by the Attorney General pertaining to the identification and criminal history of any person... (the Attorney General) shall furnish state summary criminal history information... provided that when information is furnished to assist an agency, officer, or official of state or local government, a public utility, or any other entity, in fulfilling employment, certification, or licensing duties... Dissemination of Criminal History Information Penal Code section Any person authorized by law to receive a record or information obtained from a record who knowingly furnishes the record or information to a person not authorized by law to receive the record or information is guilty of a misdemeanor. Invasion of Privacy Civil Code section Any person who intentionally discloses information, not otherwise public, which they know or should reasonably know was obtained from personal or confidential information maintained by a state agency or from records within a system of records maintained by a federal government agency, shall be subject to a civil action, for invasion of privacy, by the individual. Penalties for Misuse of Public Records Government Code section Felony penalties for misuse of public records Penal Code section Misdemeanor penalties for furnishing information to others Penal Code section Misdemeanor penalties for unauthorized person possessing records Penal Code section Penalties for misuse of criminal history information Penal Code section Penalties relating to computer crimes Title 18, U.S. Codes, sections 641 and Penalties for theft of computer records Fingerprint Roller Certification California Code of Regulations, Title 11, Division 1, Chapter Department of Justice Regulations for the Certification of Non-Exempted Individuals Who Take Fingerprint Impressions. For additional information, see 31

32 APPENDIX G 15 Basic Steps for Submitting a Live Scan Transaction 32

33 15 Basic Steps for Submitting a Live Scan Transaction 1. Check that Applicant has valid photo identification and verify ID by photo comparison. Valid types of photo identification include: California Driver s License, California DMV ID card, Outof-State Driver s License, Passport, Military ID card and Alien Registration/Immigration/Green Card; 2. Check that Applicant has Request for Live Scan Service (BCII 8016) form from the applicant agency. There are varieties of this form, but each contains the same information. Check that appropriate sections are complete; 3. Determine whether processing fees are billable to applicant agency or to be collected from Applicant; 4. If Live Scan Operator is required to collect processing fees from Applicant, check that Applicant has acceptable method of payment; 5. Enter appropriate information from Request for Live Scan Service (BCII 8016) form & verify; 6. Collect appropriate fees from Applicant, including rolling fees; 7. Verify that all information entered into live scan device from Request for Live Scan Service (BCII 8016) form is accurate and ask the Applicant to verify the information as well; 8. Prior to scanning Applicant s fingerprints, check live scan device platen, and clean if necessary; 9. While scanning Applicant s fingerprints, check quality of prints. Enter individual prints only after satisfied that quality is best possible; 10. Follow prompts and transmit the live scan transaction to the DOJ. Depending on the type of live scan device, use enter key or click on appropriate mark; 11. Complete the Live Scan Transaction Completed By section of the Request for Live Scan Service (BCII 8016) form, including entering the Applicant Tracking Identifier (ATI) generated by the live scan device. Entry of fees do not include fingerprint rolling fees, only processing fees as indicated by the live scan device; 12. Provide two copies of the Request for Live Scan Service (BCII 8016) form to the Applicant. Retain one copy for your records; 13. Remind Applicant to contact applicant agency and provide a copy of the completed Request for Live Scan Service (BCII 8016) form as proof of fingerprinting, for results of the background check and to check the status of the background check by calling the DOJ Automated Voice Response System at (916) ; 14. Log ATI and other information into Fingerprint Transaction Log; 15. A fingerprint transaction record may not be retained for more than 30 days and the information provided by the Applicant may not be used for any purpose than that for which it was initially provided for. Retain a copy of the Request for Live Scan Service (BCII 8016) form for 12 months. 33

34 APPENDIX H RIFLS Field Representatives 34

35 Field Representative Regional Assignments Record Information and Services Program Central Coast Region Jennifer Perez T: (916) C: (916) Monterey San Benito San Francisco San Luis Obispo San Mateo Santa Barbara Santa Clara Santa Cruz Ventura Northern Coast Region Southern Region Jackie Travis Marie Perez-Gonzalo T: (916) T: (916) C: (916) C: (916) Alameda Imperial Contra Costa Orange Del Norte San Diego Humboldt Lake Marin Main Line Mendocino T: (916) Napa F: (916) Solano Sonoma Central Valley Region Northern Region Vacant John Brodie T: (916) T: (916) C: (916) C: (916) Fresno Alpine Inyo Amador Kern Butte Kings Calaveras Madera Casinos, CDCR Riverside Colusa San Bernardino El Dorado Tulare Glenn Lassen Los Angeles Region Mariposa Ken Cottini Merced T: (916) Modoc C: (916) Mono CDCR (back-up) Nevada Los Angeles Placer LACRIS Plumas Sacramento San Joaquin Vacant Shasta T: (916) Sierra C: (916) Siskiyou Los Angeles Stanislaus Sutter Tehama Trinity Tuolumne Yolo Yuba 35