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MARCH 8, 2000

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Implementation Plan for Integrating INS' IDENT

and FBI's IAFIS Fingerprint Data


WASHINGTON, DC -- The Department of Justice today issued a report entitled, "Implementation Plan for Integrating INS' IDENT and FBI's IAFIS Fingerprint Data." This report responds to a requirement in the FY 2000 House Appropriations Bill directing the Department of Justice (DOJ) to prepare "a plan for the integration of the IDENT and IAFIS databases and fingerprint systems." The plan addresses two specific problems cited by Congress: (1) that other Federal, and state and local law enforcement officials do not have access to all fingerprint identification information captured by INS Border Patrol agents, and (2) that INS agents do not have the full benefit of FBI criminal history records when searching criminal histories of persons apprehended at the border.

The FBI's existing Integrated Automated Fingerprint Identification System (IAFIS) will be the technological base for this improved centralized system. IAFIS will be supplemented by adding fingerprint files currently maintained by INS in its IDENT fingerprint database.

Federal, state, and local law enforcement will be able to access the expanded set of criminal fingerprint files through the existing IAFIS network. The new process will be used for fingerprint checks only after an individual is apprehended for attempting illegal entry, or is referred to secondary inspection at a port of entry. In addition, once completed, the INS will be provided the capability to check fingerprints against all files in IAFIS in a timely manner. Because the INS Border Patrol agents apprehend approximately 1.5 million aliens a year entering the United States illegally, INS requires a process that can record and identify a high volume of individuals in a very short period of time, generally two minutes or less.

When implemented, the new system will insure that thousands of persons who enter the United States illegally and encounter Border Patrol can be promptly checked for criminal records.

Preliminary estimates are that system development costs will exceed $200 million and take up to five years to implement fully. In addition, INS-related operational costs, which will cover additional space, staffing and equipment, will cause the total to be substantially higher.

The Department will conduct three operational impact studies to address the costs and benefits of different options for integration.

A criminality study, which involves matching a sample of current IDENT records against the FBI's Criminal Master File (CMF). The matching will help estimate the percentage of apprehended illegal crossers that have been previously charged with more serious crimes.

An engineering study that will validate functional requirements, develop system requirements, define the system architecture and produce a cost analysis for development of the integrated INS/FBI system.

An operational impact study that will assess the effect of the new integrated system on operations and procedures at the border, focusing on the effects of longer system response times on operations, including holding facilities, transportation and officer safety as well as examining the impact of taking a full set of fingerprints of individuals at these locations.

Executive Summary

Improving Fingerprint-Based Identification Services
for United States Law Enforcement

The Department of Justice (DOJ) is developing a strategy to improve the timeliness and accuracy of criminal identification services for the Federal, state and local law enforcement communities. When implemented, this strategy will ensure that thousands of persons entering the United States, both legally and illegally, can be promptly checked for the existence of criminal records. This plan responds to concerns expressed by Congress and by the state and local law enforcement community that the current process for identifying wanted criminals and retrieving criminal histories of aliens apprehended attempting to enter the United States illegally is inadequate. It specifically responds to the Conference Report accompanying the FY 2000 Appropriations Act, H. Rept. 106-479, directing DO J to provide the Committees on Appropriations with an implementation plan to integrate the Immigration and Naturalization Service' (INS) IDENT database and fingerprint system with and the Federal Bureau of Investigation's (FBI) IAFIS system.

As discussed in this report, a number of technical and operational complexities must still be addressed before a final proposal can be presented. In conjunction with the FBI and the INS, DOJ will ensure that critical automated system development and design work is completed and tested. Evaluative efforts will also be undertaken to obtain better estimates of the funding required to implement a workable and reliable new system. It is possible that major operational adjustments and associated funding enhancements will also be required to meet an increased volume of work associated with strengthening our border enforcement efforts.

Key elements of a proposed integration are:

  • abThe FBI's existing Integrated Automated Fingerprint Identification System (IAFIS) will be the technological base for this improved centralized system for checking the criminal histories of aliens entering the United States.

  • abIAFIS will be supplemented by adding fingerprint files maintained by INS in its Identification System (IDENT), including its Lookout and Recidivist files.

  • abFederal, state, and local law enforcement will be able to access the expanded set of fingerprint files through the existing IAFIS network.

  • abThe INS will be provided the capability to check fingerprints against all files in IAFIS in a timely manner.

The new process would be used for fingerprint checks only after an individual is apprehended, or is detained as part of an investigation or secondary inspection at a port of entry (POE). While the new system will minimize the possibility that an apprehended or detained alien is incorrectly released, the plan does not envision using fingerprint checks to determine criminal history when an alien applies for a visa or is presenting himself or herself for primary inspection at a POE - unless that person is sent to secondary inspection. Therefore, the vast majority of aliens seeking entry to the United States at a POE will not be subject to a criminal history check.

System Integration Issues and Options

Although conceptually straightforward, implementation of the strategy requires consideration of a number of options and resolution of technical and operational complexities. In cooperation with the INS and the FBI, DOJ has based all of the options being considered on certain critical assumptions. Among these are the fact that INS would provide front-end functions associated with data capture, communications, and case processing and that it would maintain responsibility for its business practices under the integrated system. Another key assumption is that IDENT must continue operations until a new, integrated system is completed and, thereafter, INS must continue to maintain some of its automated fingerprint capabilities.

Among the complex issues that must still be resolved are the following:

  • abWhether the INS identification checks should be based on two or ten fingerprints, and the benefits and costs of each option.

  • abThe benefits and costs of alternative IAFIS response times to INS inquiries.

  • abImpact of a new system on INS operations (i.e., possible additional detention needs and increased processing times).

  • abLegal restrictions and other issues concerning the Asylum and Border Crossing Card (renamed Laser Visas by the Department of State in 1998) files to ensure appropriate protocols are established for these files.

How to phase in the new system so current operations of the INS and FBI are not adversely affected.DOJ's Conceptual Model of an IDENT-IAFIS Integrated System

Considerable work remains to be done before a final proposal can be presented. However, from among the several options considered, DOJ believes that one approach offers particular promise for integrating the INS IDENT data into IAFIS in the most efficient and effective manner. To be responsive to the Congressional request, DOJ is providing as much information as possible concerning preliminary system design and costs. Therefore, although the report describes one possible system design under consideration, it may serve primarily as a benchmark in evaluating the outstanding issues.

The conceptual model is described in more detail later in the report. Among its key design features are the fact that original requests for fingerprint searches will be based on INS' current two-print system and that IAFIS' ensuing fingerprint search will respond in a timely manner and have a confidence level of 95% or higher. In addition, the system will have the flexibility to expand to a ten-print system for original requests, if warranted, and sufficient INS personnel, resources and space are available at the border stations and POEs.

Implementation would occur over several years in distinct stages, each of which would produce an enhanced operational capability. Both the FBI and the INS will need to make certain system modifications and enhancements in order to accommodate response time requirements and the expected increase in workload resulting from any integration solution. Consideration will be given to redesigning current business operations to ensure optimum system benefits and minimum costs. Preliminary estimates are that system development costs will exceed $200 million and take up to five years to implement fully. INS-related operational costs, to cover additional space, staffing and equipment, could cause the total to be substantially higher.

Next Steps

DOJ will continue to evaluate a number of options, as well as conduct various reviews to test the specific issues and assumptions identified above. As noted below, planned engineering and operational impact studies will address the costs and benefits of varying the query response time to/from INS to determine the impact on the INS and the FBI and the effect on total cost. Additionally, the studies will provide valuable data to refine personnel needs and space requirements at border stations and POEs and to predict future detention needs. Among the major efforts to be undertaken in FY 2000 are the following:

  • DOJ will conduct a criminality study, which involves matching a sample of current IDENT Recidivist records against the FBI's Criminal Master File (CMF). The matching will help estimate the percentage of apprehended illegal crossers that have been charged with more serious crimes. It will also help quantify the risks of the current system and the benefits from improvement.

  • abDOJ will conduct an engineering study that will develop system requirements, define the system architecture, and produce a cost analysis of the development and implementation of an integrated system. The study will include consideration of alternative query response times. abDOJ will conduct an operational impact study to assess the effect of the new system on the operations and procedures at the border, focusing primarily on the impact of taking ten prints of individuals at these locations, as well as the effects of alternative query response times.

In summary, DOJ's strategy is proceeding on the key assumption that the FBI's IAFIS will ultimately provide an integrated repository for the INS' enforcement-related fingerprint database needs. After the various studies are completed, DOJ will submit a final report to Congress. DOJ is committed to meeting a higher standard when responding to requests for criminal background checks. We believe the concepts and steps described in this report represent positive action towards strengthening border enforcement efforts.

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