Washington State Washington State Criminal Records Audit:Criminal Records Audit:

Presentation to the Presentation to the Justice Information NetworkJustice Information Network

Elizabeth DrakeElizabeth DrakeWashington State Institute for Public PolicyWashington State Institute for Public Policy

ekdrake@wsipp.wa.govekdrake@wsipp.wa.govwww.wsipp.wa.govwww.wsipp.wa.gov

(360) 586-2767(360) 586-2767

November 20, 2007November 20, 2007

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Washington State Institute for Washington State Institute for Public PolicyPublic Policy

Created in 1983 by the state Legislature

Mission: Carry out non-partisan research on projects assigned either by the legislature or the Institute’s Board of Directors – 8 legislators– 4 higher education provosts or presidents– 4 state agency directors

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AuthorityAuthority

OFM contracted with the Institute to OFM contracted with the Institute to conduct an audit of the Washington conduct an audit of the Washington State criminal history record systems State criminal history record systems as part of the National Criminal as part of the National Criminal History Improvement Program.History Improvement Program.

This project was approved by the This project was approved by the Institute Board.Institute Board.

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Objective of the Criminal Records AuditObjective of the Criminal Records Audit Analyze Washington State’s criminal Analyze Washington State’s criminal

history databases for adult felons to history databases for adult felons to determine completeness and accuracy determine completeness and accuracy among the databases.among the databases.

Databases to be studied:Databases to be studied:– Washington State Patrol (WSP)Washington State Patrol (WSP)– Department of Corrections (DOC)Department of Corrections (DOC)– Administrative Office of the Courts (AOC)Administrative Office of the Courts (AOC)– Sentencing Guidelines Commission (SGC)Sentencing Guidelines Commission (SGC)

Time Period: 1992 through 2005.Time Period: 1992 through 2005.

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Importance of Complete and Importance of Complete and Accurate Criminal RecordsAccurate Criminal Records

Sentencing Reform Act of 1984 -Sentencing Reform Act of 1984 -Convictions are counted in a sentence Convictions are counted in a sentence calculation.calculation.

DOC’s risk assessment tool.DOC’s risk assessment tool.

Other reasons include: background checks, Other reasons include: background checks, voter registration, professional licensing, voter registration, professional licensing, sex offender registration, rental housing sex offender registration, rental housing decisions, etc. decisions, etc.

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Criminal Records Oversight CommitteeCriminal Records Oversight Committee Representing nine state and local criminal Representing nine state and local criminal

justice agencies.justice agencies.

Responsibilities:Responsibilities:– To provide the Institute with technical To provide the Institute with technical

guidance on data and business practices.guidance on data and business practices.

– To ensure analyses accurately reflect the To ensure analyses accurately reflect the status of the criminal history databases and status of the criminal history databases and records.records.

The Institute did not ask the Committee to The Institute did not ask the Committee to take an official position on each take an official position on each recommendation.recommendation.

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Three Study QuestionsThree Study Questions

1)1) How uniquely can a defendant be How uniquely can a defendant be identified?identified?

2)2) Are defendant’s criminal records Are defendant’s criminal records accurately recorded?accurately recorded?

3)3) Are criminal records consistently Are criminal records consistently associated with the same defendant associated with the same defendant throughout the system?throughout the system?

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Presentation OutlinePresentation Outline

For each of the three study questions, For each of the three study questions, we will:we will:

– Review data and findings.Review data and findings.– Provide recommendations.Provide recommendations.

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Percentage of Person IDs Within the Criminal Justice Percentage of Person IDs Within the Criminal Justice Databases With at Least One Other Person ID Databases With at Least One Other Person ID

Similar in Name and DOBSimilar in Name and DOB

1) How uniquely can a defendant be identified?1) How uniquely can a defendant be identified?

Criminal Justice Database

Number ofUnique

Person IDs Percentage of

Person IDs Washington State Patrol 302,700 14% Administrative Office of the Courts 206,512 18% Sentencing Guidelines Commission 154,879 6% Department of Corrections 214,642 9%

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Fingerprint-based State Identification Fingerprint-based State Identification number (SID) exists for:number (SID) exists for:

– 100 percent of WSP arrest records100 percent of WSP arrest records– 86 percent of convicted felons in AOC’s 86 percent of convicted felons in AOC’s

databasedatabase– 98 percent of offenders under the DOC 98 percent of offenders under the DOC

authorityauthority– 67 percent of the judgment and sentence 67 percent of the judgment and sentence

documents in SGC’s databasedocuments in SGC’s database

1) How uniquely can a defendant be identified?1) How uniquely can a defendant be identified?

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1) How uniquely can a defendant be identified?1) How uniquely can a defendant be identified?

Percentage of Person IDs Matched to WSP by Name and Percentage of Person IDs Matched to WSP by Name and Date of Birth With More Than One SID in WSP DatabaseDate of Birth With More Than One SID in WSP Database

Fingerprints are not exclusively used to identify Fingerprints are not exclusively used to identify an offender by AOC, SGC, and DOC.an offender by AOC, SGC, and DOC.

It is difficult to reliably identify a person using It is difficult to reliably identify a person using only name, date of birth. only name, date of birth.

Criminal Justice Database

Percentage of Person IDs With Multiple Matches in WSP Database

Based on Name and DOB Administrative Office of the Courts 10% Sentencing Guidelines Commission 11% Department of Corrections 8%

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2) Are criminal records accurately recorded?2) Are criminal records accurately recorded?

Not all AOC felony conviction cases are Not all AOC felony conviction cases are found in the criminal justice databases.found in the criminal justice databases.– WSP: 87 percent foundWSP: 87 percent found– SGC: 88 percent foundSGC: 88 percent found– DOC: 91 percent foundDOC: 91 percent found

When cases match from AOC to the When cases match from AOC to the criminal justice databases:criminal justice databases:– between 69 and 90 percent of all charges between 69 and 90 percent of all charges

match.match.

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2) Are criminal records accurately recorded?2) Are criminal records accurately recorded? Process Control Number (PCN) - unique Process Control Number (PCN) - unique

number linking disposition of number linking disposition of fingerprinting event to an arrest record. fingerprinting event to an arrest record.

Records with a PCN as of 2005:Records with a PCN as of 2005:– 100 percent of WSP records100 percent of WSP records– 72 percent of AOC records72 percent of AOC records

Dispositions are transferred from AOC Dispositions are transferred from AOC to WSP through a data exchange to WSP through a data exchange process.process.– 4 percent of the dispositions were updated 4 percent of the dispositions were updated

automaticallyautomatically in WSP’s database (April 2007).in WSP’s database (April 2007).

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3) Are criminal records consistently associated with 3) Are criminal records consistently associated with the same defendant throughout the system?the same defendant throughout the system?

AOC case numbers were matched to AOC case numbers were matched to case numbers in the criminal justice case numbers in the criminal justice databases. We found that the SID is databases. We found that the SID is the same in both databases:the same in both databases:– WSP: 91 percentWSP: 91 percent– SGC: 64 percentSGC: 64 percent– DOC: 93 percentDOC: 93 percent

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3) Are criminal records consistently associated with 3) Are criminal records consistently associated with the same defendant throughout the system?the same defendant throughout the system?

0%

20%

40%

60%

80%

100%

1992 1994 1996 1998 2000 2002 2004Year Case Was Filed

Percentage with same AOC Case Number

Percentage with same SID Number

PCNs in AOC’s Database Matched to PCNs in WSP’s Database

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Recommendations toRecommendations toImprove Person IdentificationImprove Person Identification

Require the SID be the official state Require the SID be the official state identifier for all databases for criminal identifier for all databases for criminal defendants from superior court. defendants from superior court. – Committee Comments: Some defendants are Committee Comments: Some defendants are

summoned to court without being booked.summoned to court without being booked.

– An option is to assign a temporary ID until the An option is to assign a temporary ID until the defendant appears in court. defendant appears in court.

Transmit the SID electronically from WSP to Transmit the SID electronically from WSP to all other agency databases (e.g., email).all other agency databases (e.g., email).

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Improve Person Identification – cont’dImprove Person Identification – cont’d

Eliminate name and date of birth identification and Eliminate name and date of birth identification and use live-scan devices (in the courtroom).use live-scan devices (in the courtroom).

– Comment: Allow time before court appearance Comment: Allow time before court appearance to fingerprint summoned defendants. to fingerprint summoned defendants.

Require SID on the prosecutor’s charging Require SID on the prosecutor’s charging document for booked defendants booked.document for booked defendants booked.

– Based on fingerprint from law enforcement.Based on fingerprint from law enforcement.

Discuss methods to guarantee that an SID appears Discuss methods to guarantee that an SID appears on every judgment and sentence document signed on every judgment and sentence document signed by a judge. by a judge.

– SGC and the Superior Court Judges AssociationSGC and the Superior Court Judges Association

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Recommendations to Improve Accuracy and Recommendations to Improve Accuracy and Consistency of Criminal History RecordsConsistency of Criminal History Records

Develop an oversight committee charged with Develop an oversight committee charged with managing the consistent recording of RCWs. managing the consistent recording of RCWs.

Responsibilities could include: Responsibilities could include:

– Establish a common RCW table for all agencies.Establish a common RCW table for all agencies.

– Simplify charges requiring more than one RCW. For Simplify charges requiring more than one RCW. For example, theft charges.example, theft charges.

– Review ambiguous RCWs.Review ambiguous RCWs. ““Undefined” - can not distinguish if it’s a felony Undefined” - can not distinguish if it’s a felony ““Combined” - subparagraphs are felonies and Combined” - subparagraphs are felonies and

misdemeanorsmisdemeanors

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Require the PCN (or PCNs) on the Require the PCN (or PCNs) on the judgment and sentence document.judgment and sentence document.

Eliminate WSP manual data entry of Eliminate WSP manual data entry of dispositions, by improving dispositions, by improving transmission from AOC.transmission from AOC.– Create distinct sentence structure data Create distinct sentence structure data

fields.fields.

Recommendations to Improve Accuracy and Recommendations to Improve Accuracy and Consistency of Criminal History RecordsConsistency of Criminal History Records

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Targeting Areas for Future ImprovementsTargeting Areas for Future Improvements

Fingerprints become the exclusive method Fingerprints become the exclusive method for recording an offender identification.for recording an offender identification.

Databases become more integrated.Databases become more integrated.– assist each organization to align its database assist each organization to align its database

with the requirements of an integrated criminal with the requirements of an integrated criminal justice database system.justice database system.

Rely on data transmission without manual Rely on data transmission without manual intervention.intervention.

AOC capture conviction information from AOC capture conviction information from the judgment and sentence for the judgment and sentence for transmission to WSP, SGC, and DOC.transmission to WSP, SGC, and DOC.