APPENDIX J

DESCRIPTORS AND FIELD EDIT SPECIFICATIONS

FOR TYPE-9 LOGICAL RECORDS

AFV 9.013 - AFIS FEATURE VECTOR. This field is a bit packed field on the minutiae, the nearest neighbors, pattern class, and ridge counts. Its presence in the Type-9 record is allowed by including a ‘U’ in the tagged field 9.004. It possesses sufficient features data to replace the rest of the Type-9 native mode record.

APC 9.017 - AFIS/FBI PATTERN CLASSIFICATION. The field contains one to three subfields separated by the <RS> separator with each subfield composed of three information items separated by the <US> separator character. Each subfield reports a possible basic pattern class (APAT) and the ridge counts (RCN1, RCN2) defining its subpattern class. The AFIS/FBI automatic classifier recognizes only four basic pattern classes: arch (AU), left slant loop (LS), right slant loop (RS), and whorl (WU). It further subdivides the basic pattern classes of loops and whorls according to the count of ridges crossed or touched along a straight line joining the core(s) to the delta(s). The count is one more than the number of intervening ridges. For latents, the latent examiner is expected to make a best estimate as opposed to a range. AFIS/FBI treats all indicated pattern classes equally (i.e., no significance given to the order of the possible classes provided). AFIS/FBI will apply a suitable tolerance to the specified ridge count for search space penetration.

The tagged field accommodates a primary pattern and up to two reference patterns in the one-to-three subfields. The first information item of a subfield contains the two-character symbol for the pattern being designated. The second and third information items contain the appropriate subpattern class ridge count between the core(s) and the delta(s). A zero (0) should be entered if a ridge count is not appropriate; a thirty-one (31) if it was appropriate but not counted or indeterminate. Both information fields are zero for an arch, the second information item in a subfield should be zero if the pattern for the subfield is a loop, while neither information item should be zero for a whorl. If a whorl is indicated in pattern classification, the second information item (RCN1) of a subfield contains the ridge count from the left delta to the downward opening core, and the third information item (RCN2) contains the ridge count from the right delta to the upward opening core. This implies that a central pocket whorl will have both a downward and an upward opening (directed) core generally aligned along the major axis of the innermost ellipse. If the automatic or manual classifier indicates all four basic patterns are possible, then the fingerprint should be designated as “fully referenced” by providing only one subfield with the first information item “UC”; the second and third information items should both be set to “31”. If a particular fingerprint was not characterized for a ten-print native mode search request, no Type-9 logical record should be submitted for that finger position and the classification code for the missing finger must be placed in the Type-2 pattern class field.

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CHQ 9.024 - CHARACTERIZATION QUALITY. This is a single information item field. Within AFIS/FBI the principal quality parameter is the "Equivalent Number of Minutiae". The distribution of the parameter over thousands of fingerprints approximates a Gaussian with mean of about 50 and standard deviation of about 12. The equivalent number of minutiae is calculated as the sum of the weighted normalized quality with the weighting being the number of qualified neighbors for the minutia divided by the maximum number of neighbors (eight). The normalized minutia quality ranges from unity (best) to zero (worst). A qualified neighbor would be another minutia with a reliable separating ridge count (less than 14) and within a reliable distance (not more than 1/5 inch).

CLQ 9.025 - CLASSIFIER QUALITY. This is a single information item field of seven characters representing a positive real number between one (1.0000) and 99 (99.9999) indicating the quality or confidence of the automatic classification. The presence of the information item may reduce the AFIS/FBI processing load, but its absence will not degrade AFIS/FBI performance. A value of 1.0000 indicates best possible quality or confidence; increasing values indicate progressively worse quality or confidence. The information item format shall be XX.YYYY in which XX represents the integer portion and YYYY the fractional portion to four decimal places with a decimal point (period) between.

COF 9.019- COORDINATE OFFSETS. This field allows the recording of translation, rotation, and image cropping employed in the characterization process to allow the examiner or an analyst to overlay onto the original or intermediate image the features reported in this record. The field contains five, eight-character information items each separated by the <US> separator. For AFIS/FBI the units are in original image pixels and degrees using standard image processing coordinates; that is, (0,0) origin at the upper left, column index increasing from left to right, and row index increasing from top to bottom. The column and row coordinate indexes (XYP) shall be coded as a single eight-digit integer number comprised of a four-digit column coordinate (X) concatenated with a four-digit row coordinate (Y) using a format of XXXXYYYY. A minus sign is permitted in the leftmost digit of a four-digit group. The first information item contains the offset to the upper left corner of a non-rotated subimage used subsequently in image processing. The second information item contains the coordinates of the center of rotation within the subimage about which the subimage is rotated. The third information item contains

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the clockwise rotation angle (THET) in ten-thousandths of a degree resolution (e.g., 072.2342) including the decimal point. The fourth information item contains the coordinates of the center of rotation in the rotated subimage after the subimage has been translated to eliminate negative column and row indexes. The fifth information item contains the upper-left-corner column and row offsets to a cropped subimage taken from the rotated image once adjusted to eliminate negative coordinate values. Unused information items may be empty, but the <US> separators must be included.

CRA 9.021 - CORE(S) ATTRIBUTE. This field is for cores that can be perceived in the fingerprint (both ten-print and latent). If there is no core perceived in the fingerprint image, the tagged field should be omitted. This field contains up to two subfields (one subfield for each core) separated by the <RS> separator. Each subfield contains three information items separated by the <US> separator representing the attributes of each core.

The first information item of a subfield contains the X and Y coordinate position of the core (XYM). The position shall be established either automatically or manually according to the definitions presented in The Science of Fingerprints. The X and Y values shall be coded as a single eight digit integer number comprised of the four-digit X coordinate (column) followed by the four-digit Y coordinate (row) using a format of XXXXYYYY. The X coordinate and Y coordinate are in units of 10 micrometers with the origin at the upper left. Core positions shall be in the same coordinate system as the minutiae. The second information item of a subfield is of three-digit size and contains the direction of the core in integer degrees (DID). The direction is that of the core opening, through the center of curvature for the innermost recurve at maximum curvature. The direction angle is positive counterclockwise from the reference horizontal to the right. Direction angles shall be reported between "001" and "360" degrees only. The value "000" shall be reserved for "direction not provided" while "360" shall be equivalent to zero degrees. The third information item of a subfield is of four-digit size representing the radius of position uncertainty (PUM) in the manual or automatic placement of the core in integer units of 10 micrometers.

CRP 9.008 - CORE POSITION. This eight character field shall contain the X and Y coordinate position of the core. The X and Y values shall be coded as a single eight digit integer number comprised of the four digit X-coordinate followed by the four digit Y-coordinate using a format of XXXXYYYY.

DLA 9.022 - DELTA(S) ATTRIBUTES. This field is for deltas that can be perceived in the fingerprint for both AFIS/FBI latent and ten-print characterizations. If there is no delta perceived in the fingerprint image, the tagged field should be omitted. This field contains up to two subfields (one subfield for each delta) separated by the <RS> separator. Each subfield contains five (5) information items separated by the <US> separator representing the attributes of each delta.

The first information item of a subfield consists of eight-characters and contains the X and Y coordinate position (XYM) of the delta(s). The position shall be established either automatically or manually according to the definitions presented in The Science of Fingerprints. The X and Y values shall be coded as a single eight digit integer number comprised of the four-digit X

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coordinate (column) followed by the four-digit Y coordinate (row) using a format of XXXXYYYY. The X coordinate and Y coordinate are in units of 10 micrometers with the origin at the upper left. Delta positions shall be in the same coordinate system as the minutiae. The next three information items of a subfield shall be of three-digit size each to contain the three directions of ridge flow (DID) outward from the delta in integer degrees. The second information item of a subfield is the direction of the ridge flow upward from the delta. The third information item of a subfield shall be the direction of ridge flow outward from the delta and to the left. The fourth information item shall be the direction of the ridge flow outward from the delta to the right. The direction angles are positive counterclockwise from the reference horizontal to the right. Direction angles shall be reported between "001" and "360" degrees only. The value "000" shall be reserved for "direction not provided" while "360" shall be equivalent to zero degrees. The fifth subfield of four-digit size represents the radius of position uncertainty (PUM) in the manual or automatic placement of the delta in integer units of 10 micrometers.

DLT 9.009 - DELTA(S) POSITION. This eight character field shall contain the X and Y positional coordinates of each delta that is present on the fingerprint. The X and Y values shall be recorded in the same manner as was the core position, CRP. Multiple occurrences of delta positions shall be separated by the RS separator.

FCP 9.016 - FINGERPRINT CHARACTERIZATION PROCESS. This field of three information items identifies the characterization equipment and the amount of manual intervention employed in the characterization process. The three information items shall be separated by the <US> separator. The first information item shall contain the name of the organization (VEN) providing the automatic process software. The second information item shall be a vendor-supplied, alphanumeric character pair (VID) representing the model and/or version of the automatic process. The third information item (MET) shall be an ordered sequence of three characters selected from the following list indicating the degree of automation in the characterization process.

FGN 9.014 - FINGER NUMBER. This AFIS/FBI two-byte field shall contain a character designating the finger position that produced the information in this Type 9 record. If the exact finger position cannot be determined, the "00" shall be entered. Multiple codes are not permitted. Possible finger positions for single latent characterizations are specified in the accompanying Type-2 logical record. If multiple latents from the same person are transmitted, the particular finger position corresponding to the Type-9 record must be identified within the Type-9 record.

Allowable codes are taken from the ANSI Standards, and are as follows:

FMT 9.004 - MINUTIAE FORMAT. This one-byte field shall be used to indicate whether the remainder of the record adheres to the ANSI standard or is user defined. This field shall contain an “S” to indicate the minutiae are formatted as specified by the standard or a “U” to indicate user-defined. If the minutiae record is formatted in user defined terms, the remaining fields of the logical record may not be applicable.

FPC 9.007 - FINGER PATTERN CLASSIFICATION. This field shall contain the fingerprint pattern classification code. It shall contain two information items. The first information item shall indicate the source of the specific pattern classification code. It may be one chosen from the ANSI standard “Data Format for the Interchange of Fingerprint Information” Table 7, “Pattern Classification” (table shown below), or may be a user-defined classification code. This item shall contain a “T” to indicate that the pattern classification code is from the ANSI standard table or a “U” to indicate a user defined code. The second information item of this field shall contain the pattern classification code chosen from the ANSI standard or a specific user-defined code. Reference finger classed shall be separated by the RS character.

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IDC 9.002 - IMAGE DESIGNATION CHARACTER. This two-byte field shall be used for the identification and location of the minutiae data. The IDC contained in this field shall match the IDC found in the file content field of the Type-1 record.

IMP 9.003 - IMPRESSION TYPE. This one-byte binary field describes the manner by which the fingerprint image information was obtained. The allowable codes are as follows:

LEN 9.001 - LOGICAL RECORD LENGTH. This ASCII field shall contain the length of the logical record specifying the total number of bytes, including every character of all the fields contained in the record. The number of characters added to the record by the LEN field itself shall be included in calculating the value of LEN.

MAT 9.023 MINUTIAE AND RIDGE COUNT DATA.

This AFIS/FBI field shall contain

all of the individual minutiae and ridge count data associated with the current fingerprint impression. It shall be comprised of as many subfields as there are minutiae stated in the minutiae count in the tagged field 9.015, NMN. Each subfield shall be devoted to a single minutia and shall consist of multiple information items. Subfields shall be separated by the

• RS> separator character. All information items within a subfield shall be separated by the
  
• US> separator character. The minutiae shall be indexed from one to NMN and need not be
  

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ordered according to any particular attribute. The first two information items are required and the others allow AFIS/FBI to achieve best possible candidate list performance. An information item may be omitted but its separator character must remain, except all ridge count data must be present with special values designating missing or omitted data.

Index number (MDX): The first information item shall be the index number, which shall be initialized to one and incremented by one for each additional minutia in the fingerprint. This index number serves to identify each individual minutia.

X, Y, and theta values (XYT): The X and Y coordinates are values ranging from zero upward and the theta direction value, between 000 and 360, shall comprise the second required information item. These three values shall be coded and recorded as a single 11-digit integer number corresponding to the concatenated X, Y, and theta values, in that order. If the minutia is of Type D, the theta value shall be recorded as "000". The origin of the coordinate system shall be the upper left corner of the image with X increasing to the right and Y increasing downward. The coordinate system units shall be units of 0.01mm (10 micrometers). The direction of an ending shall be into the ending ridge and the direction of a bifurcation shall be into the white space created by the dividing ridge. Angles shall be in integer degrees measured positive counterclockwise from a reference horizontal and to the right. The XY coordinates shall be applied after all rotation and translation of the image has been accomplished.

Quality measure (QMS): If present, the third information item is the minutia quality measure. The two-digit values shall range from zero to 63. The value zero shall indicate a manually encoded minutia. The value one shall indicate that no method of indicating a confidence level is available. Values between two and 63 shall indicate decreasing levels of confidence, with two denoting the greatest confidence.

Minutia type designation (MNT): The fourth information item is the minutia type designation. This shall be a single character chosen as follows:

Ridge count data (MRO): The fifth information item is the ridge count data for the nearest neighboring minutiae of the indexed minutia. It shall be formatted as a series of eight subitems, each consisting of a minutia index number and a ridge count. This information shall be conveyed by combining the identity (MDX) of the neighboring minutia and the ridge count to that neighboring minutia into a five digit number. For AFIS/FBI, the minutia identification index (MDX) shall increase from 1 to 254. The ridge count values (one more than number of intervening ridges) shall range from 0 to 15; with 14 indicating a count greater than 13, and 15 indicating an indeterminate count. Up to eight neighboring minutiae can be recorded, each being

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the nearest neighbor in an angular sector of 45 degrees (octant) with the zero-th octant centered (+/- 22.5 degrees) and aligned with the direction of the minutia and increasing in octant index in the counterclockwise direction. If a minutia does not have a neighbor in a particular octant, the value "25515" should be used for the subitem.

Octant residuals (RSO): The last information item of eight ASCII characters indicates into which half of the octant each neighboring minutia lies. This subfield is beneficial for performance but not mandatory. The characters are ordered left to right according to the ascending octant index. The corresponding character shall be one if the neighboring minutia lies in the counterclockwise half of the octant. The corresponding character shall be zero if the neighboring minutia lies in the clockwise half of the octant or if there is no neighboring minutia in the octant.

MIN 9.010 - NUMBER OF MINUTIAE. This single character field shall contain the count of the number of minutiae recorded for this fingerprint.

MRC 9.012 - MINUTIAE AND RIDGE COUNT DATA. This field shall contain all of the individual minutiae and ridge count data associated with the current fingerprint impression. It shall be comprised of as many subfields as there are minutiae stated in the minutiae count in field, MIN. Each subfield shall be devoted to a single minutia and shall consist of multiple information items. All information items shall be separated by the US separator character.

NMN 9.015 NUMBER OF MINUTIAE. This AFIS/FBI field shall contain the count of the number of minutiae recorded for this fingerprint. For AFIS/FBI the number should not exceed 254. If the number of minutiae provided in this field exceeds the number of minutiae the system can accommodate, the list will be truncated according to the reported minutia quality. Minutiae below the proximal crease generally are not included.

OFR 9.005 - ORIGINATING FINGERPRINT READING SYSTEM. The originator’s designation or name for the particular fingerprint reading system that generated the record shall be placed in the first information item of this field. The second information item of this field shall be a single character to indicate the method by which the minutiae data was read, encoded, and recorded. Allowable codes are listed in the table below. The third information item is an optional, two-character, user-generated subsystem designator that uniquely identifies the originator’s equipment.

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ORN 9.020- ORIENTATION UNCERTAINTY. The orientation uncertainty is a substantial contribution for AFIS/FBI latent characterizations and is not used for ten-print searches. This one-to-three character field contains an estimate of the deviation in degrees of the latent image (after rotation and translation to support editing and characterization) relative to fingertip up. The entry shall be the absolute value of the angular deviation from "tip-up". The uncertainty would be zero if the impression were made with the extended finger aligned with the vertical of the displayed image. It is expected to be a human visual estimate of "the final image is aligned tip up within about X-degrees". If the examiner does not provide an estimate, the default value shall be 180.

RDG 9.011 - MINUTIAE RIDGE COUNT INDICATOR. This single character field shall be used to indicate the presence of minutiae ridge count information. A “0" (zero) in this field indicates that no ridge count information is available. A “1" (one) indicates that ridge count information is available.

ROV 9.018 - REGION OF VALUE. This is a field of 3 to 20 subfields separated by the <RS> separator defining the vertices of a polygon that bounds the region of the image from which the characterization products have been extracted. Each eight-character subfield consists of the concatenation of the row and column coordinates (XYM) with the first four digits representing the column and the second four digits representing the row in the XXXXYYYY structure. The vertices shall be identified in the same coordinate system as the minutiae, cores, and deltas in units of 10 micrometers and padded on the left with zeros as appropriate. The order of the vertices must be in their consecutive order around the perimeter of the polygon, either clockwise or counterclockwise. The polygon side defined by the last subfield and the first subfield shall complete the polygon. The polygon must be a simple, plane figure with no sides crossing and no interior holes.

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TABLE J-1. FIELD LIST FOR TYPE-9 (MINUTIAE) REMOTE, NATIVE-MODE TEN-PRINT LOGICAL RECORD

Under the condition column: O = Optional; M = Mandatory; C = Conditional, see notes

Under the character type column: A = Alpha; B = Binary; N = Numeric; S = Special Characters

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TABLE J-1. FIELD LIST FOR TYPE-9 (MINUTIAE) REMOTE, NATIVE-MODE TEN-PRINT LOGICAL RECORD

Under the condition column: O = Optional; M = Mandatory; C = Conditional, see notes

Under the character type column: A = Alpha; B = Binary; N = Numeric; S = Special Characters

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TABLE J-1. FIELD LIST FOR TYPE-9 (MINUTIAE) REMOTE, NATIVE-MODE TEN-PRINT LOGICAL RECORD

Under the condition column: O = Optional; M = Mandatory; C = Conditional, see notes

Under the character type column: A = Alpha; B = Binary; N = Numeric; S = Special Characters

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TABLE J-1. FIELD LIST FOR TYPE-9 (MINUTIAE) REMOTE, NATIVE-MODE TEN-PRINT LOGICAL RECORD

Under the condition column: O = Optional; M = Mandatory; C = Conditional, see notes

Under the character type column: A = Alpha; B = Binary; N = Numeric; S = Special Characters

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TABLE J-1. FIELD LIST FOR TYPE-9 (MINUTIAE) REMOTE, NATIVE-MODE TEN-PRINT LOGICAL RECORD

Under the condition column: O = Optional; M = Mandatory; C = Conditional, see notes

Under the character type column: A = Alpha; B = Binary; N = Numeric; S = Special Characters

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TABLE J-2. FIELD LIST FOR TYPE-9 (MINUTIAE) REMOTE, NATIVE-MODE LATENT LOGICAL RECORD

Under the condition column: O = Optional; M = Mandatory; C = Conditional, see notes.

Under the character type column: A = Alpha; B = Binary; N = Numeric; S = Special Characters

     SPECIAL CHARACTERS

ALLOWED

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TABLE J-2. FIELD LIST FOR TYPE-9 (MINUTIAE) REMOTE, NATIVE-MODE LATENT LOGICAL RECORD

Under the condition column: O = Optional; M = Mandatory; C = Conditional, see notes.

Under the character type column: A = Alpha; B = Binary; N = Numeric; S = Special Characters

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TABLE J-2. FIELD LIST FOR TYPE-9 (MINUTIAE) REMOTE, NATIVE-MODE LATENT LOGICAL RECORD

Under the condition column: O = Optional; M = Mandatory; C = Conditional, see notes

Under the character type column: A = Alpha; B = Binary; N = Numeric; S = Special Characters

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TABLE J-2. FIELD LIST FOR TYPE-9 (MINUTIAE) REMOTE, NATIVE-MODE LATENT LOGICAL RECORD

MAT

Under the condition column: O = Optional; M = Mandatory; C = Conditional, see notes.

Under the character type column: A = Alpha; B = Binary; N = Numeric; S = Special Characters

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TABLE J-2. FIELD LIST FOR TYPE-9 (MINUTIAE) REMOTE, NATIVE-MODE LATENT LOGICAL RECORD

Under the condition column: O = Optional; M = Mandatory; C = Conditional, see notes

Under the character type column: A = Alpha; B = Binary; N = Numeric; S = Special Characters

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TABLE J-3. APPENDIX J REFERENCE NOTES

1. If tagged field 9.017 "APC" is present, at least one pattern classification must be provided. Up to two additional reference classes may be provided for a maximum of three total possible pattern

2.

If no rotation has been applied, the second, third, and fourth information item positions may be empty, but the intervening <US> separators must remain.

3.  If no second subimage is generated, the fifth information item position may be empty.

4.

5.

Maximum of two cores reported. If only one core, the first subfield shall be terminated with the <GS> separator instead of the <RS> separator, and the second subfield shall be deleted.

Maximum of two deltas reported. If only one delta, the first subfield shall be terminated with the <GS> separator instead of the <RS> separator, and the second subfield shall be deleted.

6.  Mandatory only for multiple finger latent search request to specify the finger characterized herein.

7.

Tagged field 9.04='U' indicates that a Native Mode AFIS/FBI format is being provided in this type-9 record. If the AFV field (9.013) is not present, the following ANSI standard type-9 record will be parsed for sufficient features information. The Type-9 in Table J-1 defines the ANSI standard logical record sequence for a remote, native mode ten-print search request."9.001:" + LEN + <GS> + "9.002:" + IDC + <GS> + "9.003:" + IMP + <GS> + "9.004:" + FMT + (<GS> + "9.013:" + AFV) + <GS> + "9.014:" + FGN + <GS> +"9.015:" + NMN + <GS> + "9.016:" + FCP + (<GS> + "9.017:" + APC) + (<GS> + "9.019:" + COF) + <GS> + "9.021:" + CRA + <GS> + "9.022:" + DLA + <GS> + "9.023:" + MAT + (<GS> + "9.024:" + CHQ) + (<GS> + "9.025:" + CLQ) + <FS> The Type-9 in Table J-2 defines the ANSI standard logical record sequence for a remote native mode latent search request."9.001:" + LEN + <GS> + "9.002:" + IDC + <GS> + "9.003:" + IMP + <GS> + "9.004:" + FMT + (<GS> + "9.013:" + AFV) + <GS> + "9.014:" + FGN + <GS> +"9.015:" + NMN + <GS> + "9.016:" + FCP + (<GS> + "9.017:" + APC) + (<GS> + "9.018:" + ROV) + (<GS> + "9.019:" + COF) + <GS> + "9.020:" + ORN + <GS> + "9.021:" + CRA + <GS> + "9.022:" + DLA + <GS> + "9.023:" + MAT + <FS>

8.  This field is optional if the feature vector, field 9.013, has been provided. " \f D

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