|
|
|
|
U.S.
Department of Justice Office
of Justice Programs National
Institute of Justice National Institute of Justice S
o l i c i t a t i o n Jeremy
Travis, Director March, 2000 Forensic
Friction Ridge (Fingerprint) Examination Validation
Studies APPLICATION
DEADLINE: July
28, 2000 2 U.S.
Department of Justice Office
of Justice Programs 810
Seventh Street N.W. Washington,
DC 20531 Janet
Reno Attorney
General Daniel
Marcus Acting
Associate Attorney General Mary
Lou Leary Acting
Assistant Attorney General Noλl
Brennan Principal
Deputy Assistant Attorney General Alexa
Verveer Deputy
Assistant Attorney General Jeremy
Travis Director,
National Institute of Justice For
grant and funding information, contact: Department
of Justice Response Center: 8004216770 Office
of Justice Programs World
Wide Web Site: http://www.ojp.usdoj.gov National
Institute of Justice World
Wide Web Site: http://www.ojp.usdoj.gov/nij SL000386 S
o l i c i t a t i o n 3 Forensic
Friction Ridge (Fingerprint) Examination Validation Studies I.
Introduction Forensic
friction ridge (i.e. fingerprint, palmprint, footprint)
examination (FFRE) has long been recognized
and accepted as the standard for personal
identification worldwide. The National Institute
of Justice (NIJ) publication Forensic Sciences:
Review of Status and Needs (NCJ 173412)
has identified the need for validation of the
basis for friction ridge individualization and standardization
of comparison criteria. Furthermore,
all expert testimony must follow the admissibility
rules for scientific evidence set forth in
recent court cases e.g. Daubert v. Merrill Dow Pharmaceuticals
(113
S.Ct. 2786). These rules require
scientists to address the reliability and validity
of the methods used in their analysis. Therefore,
the purpose of this solicitation is to address
the needs identified in the above NIJ publication
and to provide greater scientific foundation
for forensic friction ridge (fingerprint) identification. II.
Background In
1995, the Federal Bureau of Investigation (FBI),
recognizing the need for standardized procedures
for friction ridge examination, hosted a
meeting of latent print examiners to discuss development
of consensus guidelines, which would
preserve and improve the quality of service provided
by examiners nationwide. This group evolved
into the Scientific Working Group on Friction
Ridge Analysis, Study, and Technology (SWGFAST).
SWGFAST participants include Fingerprint
Identification Committee members and
Latent Print Certification Board members from
the 4,800-member International Association for
Identification. Currently, there are more than thirty
members attending SWGFAST from Federal,
State, and local law enforcement agencies.
SWGFAST already has developed guidelines
for hiring, training, and quality assurance.
In 1997, the American Society of Crime Laboratory
Directors (ASCLD) requested that NIJ
bring together a forensic science team of 44 scientists
and administrators to identify the current
status and needs of the forensic sciences. This
resulted in the 1999 NIJ publication Forensic Sciences:
Review of Status and Needs (NCJ 173412).
The status and needs publication includes
a section on Latent Print Examinations.
In
this publication the forensic science
team identified a number of needs including
the Validation
of the Basis for Print (friction
ridge) Individualization as well as Standardization
of Comparison Criteria. In
1998, NIJ launched a research and development
program to support the recommendations
on needs discussed in the Forensic
Sciences: Review of Status and Needs. In
1998, NIJ issued a solicitation on Forensic Document
Examination Validation Studies and
funded a study in 1999 on Handwriting Identification:
Research to Study Validity of Individuality
of Handwriting and Develop Computer-Assisted
Procedures for Comparing Handwriting.
In May 1999, NIJ assembled a Fingerprint
Research Advisory Panel (FRAP) to develop
this solicitation to address the latent print needs. The
participants in the NIJ FRAP included practicing
latent print examiners, researchers, and senior
administrators from Federal, State, and private
forensic science laboratories. They reached
a consensus that the field needs:
S
o l i c i t a t i o n 4 C
Basic
research to determine the scientific validity
of individuality
in friction ridge examination
based on measurement of features,
quantification, and statistical analysis. C
Procedures
for comparing friction ridge impressions
that are standardized and validated. Basic
research into the individuality of friction ridges
requires objective measurement and statistical
analysis. Validation could be performed in
the context of existing systems such as AFIS (automated
fingerprint identification system) and/or
APIS (automated palmprint identification system)
that offer some of the most comprehensive
friction ridge identification databases
in the world. Other related technologies that
may be easily adaptable to the quantification of
fingerprints include: data mining, image and/or multimedia
search engines, intelligent agents, signal
processing, voice identification, automated vision
robotics, data visualization, and pattern recognition. Such
procedures must be based, however, on more
than community-based agreement. Procedures
must be tested statistically in order to demonstrate
that following the stated procedures allows
analysts to produce correct results with acceptable
error rates. This has not yet been done.
Methodologies that may be useful here include:
quality control, experimental design, protocol
evaluation, and cognitive and perceptual psychology. III.
Areas of Research Required A.
Statistical Validation of Individuality in Friction
Ridge Analysis The
proposed research must address the question
of individuality in friction ridge analysis.
Friction ridge print evidence has historically
been understood to hold individuality
based on empirical studies of millions
of prints. However, the theoretical basis
for this individuality has had limited study
and needs additional work to demonstrate
the statistical basis for identifications.
It is expected that proposals would
address the relative importance of different
minutiae to establish individuality, as
well as the statistical significance of groups
of minutiae. The comparative analysis
consists of both a qualitative and quantitative
process. Aspects of friction ridge
individuality that should be addressed are:
pattern type and ridge flow (Level I); ridge
endings, bifurcations and dots (Level II);
and ridge and pore morphology (Level III).
It is required that the proposed research
application include:
Evaluation of the relationship among the characteristics
and among the levels.
Data set (representative samples from U.S. population).
Measurement Tools (feature selection and extraction,
computer or manual systems).
Statistical Analysis. An
expected deliverable is a report of publishable quality
in respected nationally distributed peer-reviewed journals
detailing the results of the analyses
on whether and how individual friction ridge
validation can be demonstrated. B.
Qualitative/Quantitative Aspects of Friction Ridge
Comparison The
proposed research must address the qualitative
questions (clarity) of friction ridge
detail. Practical
application has demonstrated that a
reliable identification is based upon both a qualitative
and quantitative analysis of the friction
ridge detail. It is required that the S
o l i c i t a t i o n 5 proposed
research application address both of
these issues. An
expected deliverable is a report of publishable quality
in respected nationally distributed peer-reviewed journals
detailing the results of the analyses
on an objective and scientific approach for
determining the sufficient quality and quantity of
friction ridge details needed to conduct a valid examination
for comparison purposes. C.
Statistical Validation of Standard Operating Procedures
for Friction Ridge (Fingerprint) Comparison The
proposed research must address the question
of whether Standard Operating Procedures
are valid and reproducible. It is required
that the proposed research application
include:
Data set.
Standard Operating Procedure (SWGFAST
or others).
Experimental designs.
Statistical analysis. An
expected deliverable is a report of publishable quality
in respected nationally distributed peer-reviewed journals
detailing the results of the analyses
of a valid Standard Operating Procedure (a
standardized, objective, statistical, reproducible method)
to examine friction ridge minutiae. IV.
Selection Criteria NIJ
is firmly committed to the competitive process for
awarding grants. All proposals are subjected to an
independent, peer-review panel evaluation. The peer-review
panel consists of members with academic,
practitioner, technical, and operational expertise
in the subject areas of the solicitation. Selection
criteria used to evaluate proposals are as follows: 1.
Quality and Technical Merit
Soundness of methodology, analytic, or technical
approach.
Innovation and creativity.
Feasibility of proposed project; awareness of pitfalls.
Awareness of existing research and related applications. 2.
Impact of the Project
Understanding importance of the problem.
Potential for significant advance in crime prevention,
law enforcement, courts, corrections,
or other practice or policy areas.
Potential for advancement of scientific understanding
of the problem area.
Relevance to practice, including development
and demonstration in application domains
(if applicable).
Affordable end products (if applicable). 3.
Capabilities, Demonstrated Productivity, and Experience
of Applicants
Qualifications and experience of personnel as
related to proposed project.
Responsiveness to the goals of the solicitation.
Demonstrated ability to manage proposed effort.
Adequacy
of proposed resources to perform
effort. 4.
Budget Considerations
Total cost relative to perceived benefit.
Appropriate budgets and level of effort.
Use of existing resources to conservecosts.
Cost-effectiveness of program or product for
application in the criminal justice system (if
applicable). S
o l i c i t a t i o n 6 After
peer-review panelists' consideration, Institute
staff make recommendations to NIJ's Director
based on the results of the independent reviews.
Final decisions are made by the NIJ Director
following consultation with Institute staff. V.
How to Apply Those
interested in submitting proposals in response to
this solicitation must complete the required application
forms and submit related required documents.
(See below for how to obtain application
forms and guides for completing proposals.)
Applicants must include the following information/forms
to quality for consideration: C
Standard
Form (SF) 424 application for Federal
assistance C
Assurances C
Certifications
Regarding Lobbying, Debarment, Suspension
and Other Responsibility Matters; and
Drug-Free Workplace Requirements (one form) C
Disclosure
of Lobbying Activities C
Budget
Detail Worksheet C
Budget
Narrative C
Negotiated
indirect rate agreement (if appropriate) C
Names
and affiliations of all key persons from applicant
and subcontractor(s), advisors, consultants,
and advisory board members. Include
name of principal investigator, title, organizational
affiliation (if any), department (if institution
of higher education), address, phone, and
fax
Proposal
abstract C
Table
of contents
Program
narrative or technical proposal
Privacy
certificate
References
Letters
of cooperation from organizations collaborating
in the research project
Rιsumιs
Appendixes,
if any (e.g., list of previous NIJ awards,
their status, and products [in NIJ or other
publications]) Proposal
abstract. The proposal abstract, when read
separately from the rest of the application, is meant
to serve as a succinct and accurate description of the
proposed work. Applicants must concisely describe
the research goals and objectives, research design,
and methods for achieving the goals and objectives.
Summaries of past accomplishments are to
be avoided, and proprietary/confidential information
is not to be included. Length is not to exceed
400 words. Use the following two headers: Project
Goals and Objectives: Proposed
Research Design and Methodology: Page
limit. The number of pages in the Program Narrative
part of the proposal must not exceed 30 (double-spaced
pages). Due
date. Completed proposals must be received
at
the National Institute of Justice by the
close of business on July 28, 2000. Extensions of
this deadline will not be permitted. Award
period. In general, NIJ limits its grants and
cooperative agreements to a maximum period of
12 or 24 months. However, longer budget periods
may be considered. Number
of awards. NIJ anticipates supporting one
or more grants under this solicitation. Funds
available. Funds totaling $500,000 will be made
available for this NIJ solicitation, contingent
upon NIJs budget appropriations. Applying.
Two
packets need to be obtained: (1) application
forms (including a sample budget S
o l i c i t a t i o n 7 worksheet)
and (2) guidelines for submitting proposals
(including requirements for proposal writers
and requirements for grant recipients). To receive
them, applicants can: C
Access
the Justice Information Center on the web: http://www.ncjrs.org/fedgrant.htm#NIJ or
the NIJ web site: http://www.ojp.usdoj.gov/NIJ/funding.htm These
web sites offer the NIJ application forms
and guidelines as electronic files that may
be downloaded to a personal computer. C
Request
hard copies of the forms and guidelines
by mail from the National Criminal Justice
Reference Service at 8008513420 or
from the Department of Justice Response Center
at 8004216770 (in the Washington, D.C.,
area, at 2023071480). C
Request
copies by fax. Call 8008513420 and
select option 1, then option 1 again for NIJ.
Code is 1023. Guidance
and information. Applicants who wish
to receive additional guidance and information
may contact the U.S. Department of Justice
Response Center at 8004216770. Center
staff can provide assistance or refer applicants
to an appropriate NIJ professional. Applicants
may, for example, wish to discuss their
prospective research topics with the NIJ professional
staff. Send
completed forms to: Forensic
Friction Ridge (Fingerprint) Examination
Validation Studies National
Institute of Justice Office
of Science & Technology 810
Seventh Street N.W. Washington,
DC 20531 [overnight
courier ZIP code 20001] NIJ
is streamlining its process to accommodate the
volume of proposals anticipated under this solicitation.
Researchers can help in a significant way
by sending NIJ a nonbinding letter of intent by
June 23, 2000. The Institute will use these letters
to forecast the numbers of peer panels it needs
and to identify conflicts of interest among potential
reviewers. There are two ways to send these
letters. You can reach NIJ by Internet by sending
e-mail to tellnij@ncjrs.org and identifying the
solicitation and section(s) you expect to apply for.
You can write a letter with the same information
to Forensic Friction Ridge (Fingerprint)
Examination Validation Studies, 810
Seventh Street N.W., Washington, DC 20531.
Help us help you. For
more information on the National Institute of Justice,
please contact: National
Criminal Justice Reference Service Box
6000 Rockville,
MD 208496000 8008513420 e-mail:
askncjrs@ncjrs.org You
can view or obtain an electronic version of this
document from the
NCJRS Justice Information Center web site (http://www.ncjrs.org)
or the NIJ web site (http://www.ojp.usdoj.gov/nij). |