EBTS v11.2_Final.pdf

U.S. Department of Justice Federal Bureau of Investigation Criminal Justice Information Services (CJIS) Division

ELECTRONIC BIOMETRIC TRANSMISSION

SPECIFICATION (EBTS)

Version 11.2

September 20, 2023

242-HQ-A6687913-SYSDOCU

Prepared By:

Federal Bureau of Investigation Criminal Justice Information Services Division

1000 Custer Hollow Road Clarksburg, WV 26306

242-HQ-A6687913-SYSDOCU

FBI CJIS/NGI EBTS 11.2September 20, 2023

CHANGE HISTORY

Version/ Revision

Document Number

Revision Date Section Description of Change

11.0 242-HQ-A6687913-

SYSDOCU

3/1/20 Full Document

Baseline Document

11.1 11/17/22 3.1.1.16 Updated section to include the use of "stitching".

3.1.1.17 Updated section to include the use of

"stitching".

3.3.1.1 Added "11. Unsolved Facial Photos" to list

3.4.4.3 Added last paragraph pertaining to Unsolved

Photo File

Appendix C Updated 2.020 POB Updated 2.2100 SED Updated 2.029 WGT Updated 2.030 WTR Updated 2.020 Character Code in Table C-1

Appendix E Updated 2.060 MGS for SRB in Table E-1 Appendix F Added paragraphs pertaining to the use of

"stitching" for DEK and DEU usage Appendix K Added new field 10.350 BNO and BNO Codes table to Type-10 Data Dictionary Appendix M Added M0071 and M0072 to M-1 Transaction

Messages table Updated M0042 in M-1

Appendix O Updated appendix introduction - added one year notification of use of alpha/numeric codes Updated O-1 POB Code table

11.2 Appendix C Updated 2.024 SEX Values table

Appendix K Updated 10.350 BNO Codes table Appendix M Added M0054 and RB032 to M-1 Transaction

Messages table

FBI CJIS/NGI EBTS 11.2September 20, 2023

Table of Contents

FBI CJIS/NGI EBTS 11.2September 20, 2023

FBI CJIS/NGI EBTS 11.2September 20, 2023

FBI CJIS/NGI EBTS 11.2September 20, 2023

List of Appendices

Transactions..................................................................................................................................... E-1

Appendix AC Acronyms........................................................................................................................................ AC-1

FBI CJIS/NGI EBTS 11.2September 20, 2023

List of Tables

Rap Back Subscription Fields used in Tenprint Identification TOTs Values of NAM, FBI/UCN and SID Returned in the SRE Values of NAM, FBI/UCN and SID Returned in the SRE for IIDS Values of NAM, FBI/UCN and SID Returned in the SRE for FVR Unsolved Record Submission Matches Rap Back Criminal Category Code Values Rap Back Civil Category Code Values ERRA Transaction ERRB Transaction ERRI Transaction ERRL Transaction ERRR Transaction ERRT Transaction EQER Transaction Compression Algorithm Values Recommended Sizes for Fingerprint A-1 NGI Maximum Transaction Response Times...................................................................................................... A-2 A-2 NGI Type of Transaction By Service................................................................................................................... A-4 Type-1 Data Dictionary............................................................................................................................................... B-2 Type-2 Data Dictionary............................................................................................................................................... C-3 AMP Codes................................................................................................................................................................. C-4 BIA Values.................................................................................................................................................................. C-6 BID Values.................................................................................................................................................................. C-7 CDN Values.............................................................................................................................................................. C-11 EYE Values............................................................................................................................................................... C-14 FPC Values................................................................................................................................................................ C-16 HAI Values................................................................................................................................................................ C-18 HTI Values................................................................................................................................................................ C-18 IFS Values................................................................................................................................................................. C-19 IMT Values................................................................................................................................................................ C-20 MAI Values............................................................................................................................................................... C-20 MIL Values................................................................................................................................................................ C-21 MNU Values.............................................................................................................................................................. C-21 NAM Values.............................................................................................................................................................. C-22 NDR Values.............................................................................................................................................................. C-23 PAT Values................................................................................................................................................................ C-25 POB Values............................................................................................................................................................... C-26 RAC Values............................................................................................................................................................... C-27 RBC Values............................................................................................................................................................... C-28 RBMI Values............................................................................................................................................................. C-28 RBNF Values............................................................................................................................................................ C-29 RBST Values - Currently Not Used.......................................................................................................................... C-30 RBT Values............................................................................................................................................................... C-31 RCD Values............................................................................................................................................................... C-33 RSR Response Example Values................................................................................................................................ C-35 RSR File Category Specification.............................................................................................................................. C-35 SEX Values............................................................................................................................................................... C-36 SMI Values................................................................................................................................................................ C-37 SRA Values............................................................................................................................................................... C-38 SRF Values................................................................................................................................................................ C-39 SST Values................................................................................................................................................................ C-39 TLI Values................................................................................................................................................................. C-40

FBI CJIS/NGI EBTS 11.2September 20, 2023

TSR Values................................................................................................................................................................ C-41 C-1 Field Edit Specifications for Type-2 Elements.................................................................................................. C-42 D-1 Summary of Field Lists for Identification and Verification Transactions............................................................ D-2 E-1 Summary of Field Lists for Investigation, Information, and Notification Transactions.......................................E-2 F-1 Minimum Capture Sizes........................................................................................................................................F-2 F-2 MTF Requirement Using Sine Wave Target.........................................................................................................F-6 F-3 Requirement Using Bar Target (Nominal Test Frequencies)................................................................................F-7 F-4 Printer Geometric Accuracy Requirements.........................................................................................................F-15 F-5 Mobile ID IQS Requirements..............................................................................................................................F-22 F-6 Fast Track Certification Procedures (Common Scenarios).................................................................................F-24 H-1 Field List for Type-7 (Miscellaneous Image) Logical Records........................................................................... H-2 I-1 Summary of Field Lists for Data Management Transactions..................................................................................I-2 Type-9 Data Dictionary................................................................................................................................................ J-2 Type-9 EFS Fields Utilized by NGI for Matching....................................................................................................... J-3 Type-9 EFS Fields Populated by NGI in an EBTS Response..................................................................................... J-3 FCP Values................................................................................................................................................................... J-5 MET Values.................................................................................................................................................................. J-8 Finger Number............................................................................................................................................................. J-8 MNT Values................................................................................................................................................................. J-9 Type-10 Data Dictionary............................................................................................................................................. K-2 BNO Codes................................................................................................................................................................. K-3 L-1 Complete Element Cross-Reference List by Tag Number....................................................................................L-2 L-2 Record Set Requirements Summary by Type of Transaction.............................................................................L-14 L-3 Record Set Requirements Summary by Type of Response.................................................................................L-16 L-4 Transaction/Response/Error TOT Correspondence.............................................................................................L-18 L-5 Record Type Fields Allocated by the FBI...........................................................................................................L-20 M-1 Transaction Message.......................................................................................................................................... M-2 Type-14 Data Dictionary............................................................................................................................................. N-2 ISC Values................................................................................................................................................................... N-2 O-1 POB Code............................................................................................................................................................ O-2 P-1 Print Position Descriptor Code..............................................................................................................................P-8 P-2 Friction Ridge Generalized Position Codes........................................................................................................P-12 Type-15 Data Dictionary............................................................................................................................................. Q-2 ISC Values................................................................................................................................................................... Q-2 Type-13 Data Dictionary............................................................................................................................................. R-2 Type-17 Data Dictionary..............................................................................................................................................S-2 Missing and Damaged Eye Code.................................................................................................................................S-3 S-1 Iris Transaction with Image...................................................................................................................................S-3 S-2 Iris Transaction without Image..............................................................................................................................S-4 Appendix AC: Acronyms......................................................................................................................................... AC-1

FBI CJIS/NGI EBTS 11.2September 20, 2023

List of Figures

Example ORI and CRI Ownership Flow Relationship Between UCN, EVI and BSI Electronic Fingerprint Identification Submission Biometric Image Retrieval Submission Investigation Fingerprint Submission Latent Friction Ridge Investigation Workflow Electronic Requests to Delete Unsolved Latent Friction Ridge Records Auxiliary Information Printed in Tenprint Card Format Print (Example Text).........................................................F-20 FBI Standard Fingerprint Card (FD-249)....................................................................................................................P-4 FBI Standard Palm Print Card (FD-884) Front............................................................................................................P-5 FBI Standard Palm Print Card (FD-884) Reverse.......................................................................................................P-6 New FBI Standard Supplemental Finger/Palm Print Card (FD-884a) - Front............................................................P-7 New FBI Standard Supplemental Finger/Palm Print Card (FD-884a) - Reverse........................................................P-8 Distal, Medial and Proximal Joints............................................................................................................................P-10 Finger and Palm Segment Positions..........................................................................................................................P-11

FBI CJIS/NGI EBTS 11.2September 20, 2023

In accordance with the recommendations of the FBI/CJIS Advisory Policy Board (APB) Identification Services Subcommittee, the FBI has developed this standard for electronically encoding and transmitting biometric image, identification, and arrest data that extends the American National Standards Institute/National Institute of Standards and Technology (ANSI/ NIST) - Information Technology Laboratory (ITL) standard. ANSI/NIST-ITL is developed and maintained in conjunction with (NIST) and the biometric identification community.

While the aforementioned ANSI/NIST-ITL standard provides the guidelines for the exchange of biometric information between various federal, state, local, tribal, and international systems, the FBI's EBTS defines requirements to which agencies must adhere when electronically communicating with the FBI. Functional changes to the EBTS are documented in Technical and Operational Updates (TOUs) as an interim solution between major versions. User compliance requires adherence to the most recent major version of the EBTS and incorporation of all TOUs.

The FBI's EBTS and its future revisions will inherit the basic requirements for logical records set forth in the ANSI/NIST-ITL standard. However, the FBI/CJIS-specific requirements for the contents and composition of logical records Type-1 (Header Information), Type-2 (Transaction Descriptive, Demographic and Biographic Information), Type-4 (Fingerprint Image Descriptive Information), Type-7 (Tenprint Fingerprint Card Images), Type-9 (Fingerprint Minutiae Information), Type-10 (Photo Images), Type-13 (Latent Friction Ridge Images), Type-14 (Variable Resolution Fingerprint Images), Type-15 (Palm Print Images), Type-17 (Iris Images), and other record types are contained in this EBTS.

1.2 File Format

An EBTS transaction is comprised of records. EBTS defines the composition of records within a transaction that is transmitted between the FBI’s Next Generation Identification System (NGI) and another site or agency. All records in a transaction shall pertain to a single subject; data used to identify another individual requires a separate transaction.

All of the records belonging to a single transaction shall be transmitted together. There may be multiple records in a transaction of each Record Type other than Type-1. Record Types-1 and -2 are used to describe the transaction and the subject respectively, and are required. These may be accompanied by one or more data records containing biometric data. The maximum number of records in a transaction is restricted to 1000.

In order to ensure that the transaction description information can be read by all systems, all fields within a Type-1 Record shall always be encoded using 7-bit American National Standard Code for Information Interchange (ASCII), with the 8th (leftmost) bit of each byte containing a zero. This is consistent with the specification of UTF-8 for XML encodings, since ASCII is a subset of UTF-8.

FBI CJIS/NGI EBTS 11.2September 20, 2023

For other Record Types, the default character encoding for Traditional encoding is 7-bit ASCII.

Users are encouraged to use UTF-8 for "U" and "user-defined" character types that do not require special control characters in Traditional Encoding. It is not possible to switch encodings within an XML transaction. For more information on ASCII characters, see Appendix C.

The first field in a traditional record (2.001 LEN) shall contain the length in bytes of the record.

The second field shall contain the version number in the Type-1 record, while in other records this field contains the information designation character (2.002 IDC). In Traditional Record Types conveying binary data (Type-10 through Type-99) the data field will always be the last field in the record. The remaining traditionally encoded ASCII fields may occur in any order.

For Type-4 and Type-7 binary image records, the content and order of the recorded fields are specified by this standard. All fields and data in these Record Types shall be recorded as binary information in Traditional encoding.

The domain (1.013 DOM) field shall be mandatory for transactions to/from FBI/CJIS in support of proper file validation and field usage, as well as file interoperability among disparate systems.

1.3 Change Control

The EBTS defines the interface between FBI/CJIS and the state, tribal, international, and other federal organizations’ (OFO) systems. Any changes to the data fields or formats within the EBTS must honor previously published protocols to ensure that the systems are not adversely affected.

Since these systems were developed independently, a convention has been established to coordinate enhancements within the various systems while maintaining interoperability. This convention is based on the tagged field structure defined in the ANSI/NIST-ITL standard and the understanding that field definitions cannot change over time or from system to system.

To facilitate system evolution, each system is assigned an autonomous range of field numbers that it is allowed to define to meet operational needs. These new fields cannot be made mandatory for established functionality, but enhance functionality for those systems wishing to incorporate the new definition. With this process in place, every system on the network has the opportunity to enhance its own system on its own schedule, yet no system is ever forced to make a change in order to maintain current functionality.

1.4 Error Handling

Error handling takes on two primary forms within FBI/CJIS: 1) front-end error detection and 2) internal process error detection and correction. The front-end process examines every incoming transaction from a security and mandatory data perspective. Potential security violations are rejected and transferred immediately to a system administrator. Transactions lacking mandatory data, or that are incomplete in referenced content, are rejected back to the contributor. All mandatory data and all optional data fields are validated. Optional data failing this validation check are ignored.

Mandatory data that fail this validation check are passed to a Quality Check (QC) Service Provider for resolution. If the service provider can resolve the issue, the transaction will be forwarded for

FBI CJIS/NGI EBTS 11.2September 20, 2023 further processing. If the service provider cannot resolve the issue, the transaction will either be rejected or sent forward for attempted resolution later in the process.

Internal process error detections and corrections are performed any time FBI/CJIS attempts to utilize incoming data to perform a search or update a database. Errors in submissions detected at that time will be forwarded to a logic error resolution service provider. If the service provider cannot resolve the issue, the transaction will be rejected.

In the interpretation of logical records, the inclusions of tags that are not defined for the requested transaction are not to be considered an error. These fields will be ignored, and neither saved nor returned to the contributor in responses sent from FBI/CJIS. For XML encoding, the fields that are included in the State Defined Fields element (SDF) will be ignored by FBI/CJIS. This makes it possible to use a single transmission format across different systems, for example, to control both intrastate and interstate transmissions.

Fields generally should not be transmitted when there is no value present (e.g., 2.033:{GS}).

However, receipt of such an empty field, if the field is not mandatory, will not result in rejection of the record or issuance of an error message. Rejection will occur when missing or incorrect data is received that would prevent processing of the transaction. The following list illustrates these types of errors.

• A mandatory field missing in a submitted record set (e.g., NAM field 2.018 is missing in the Type-2 record for the TOT of a CAR) would result in immediate rejection;

• The format of a mandatory field is incorrect (e.g., an alpha character is discovered in the SOC field) and would result in an attempt to correct the data;

• The range of data of a mandatory field is incorrect (e.g., a DOB of 18871332 was submitted—century, month, and day are all out of range) and would result in an attempt to correct the data;

• Incorrect data that cannot be corrected by a service provider and without which the transaction processing cannot continue would result in the transaction being rejected.

Section 3.7 lists the current set of error messages that are pertinent to the EBTS user.

The EBTS Compliance Tool Suite, consisting of the Transaction and Reference Tools, is helpful to use before submitting a transaction to identify and resolve potential errors before transactions are rejected. The Transaction Tool allows users to validate transactions by displaying if a transaction is invalid or valid according to EBTS requirements. If invalid, the tool displays missing and incorrect fields. The Reference Tool provides users with the ability to easily view transaction, record, and field requirements in the EBTS specification. Both tools can be found at https//www.fbibiospecs.

cjis.gov/EBTS/Approved.

1.5 Identifying Previous Transactions

The fields Transaction Control Number (1.009 TCN) and Transaction Control Reference (1.010 TCR) are used to link requests with their corresponding responses. Every transaction must contain

FBI CJIS/NGI EBTS 11.2September 20, 2023 a unique TCN. Transactions that refer to previous submissions also contain a TCR, which is defined as the TCN of the referenced submission.

When FBI/CJIS receives a request transaction and generates the response, it places the TCN of the request into the TCR field of the response as a reference number the submitter can use to mate the response with the original submission. FBI/CJIS places its own identifier for the response transaction in the TCN field.

The TCN in the response…