Title: Forensic Friction Ridge (Fingerprint) Examination Validation
Studies.
Series: NIJ Solicitation
Author: National Institute of Justice
Published: March 2000
Subject: Funding resources
9 pages
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U.S. Department of Justice
Office of Justice Programs
National Institute of Justice
National Institute of Justice
Solicitation
Jeremy Travis, Director
March, 2000
Forensic Friction Ridge (Fingerprint) Examination Validation Studies
APPLICATION DEADLINE: July 28, 2000
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
Noel 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:
800-421-6770
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
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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:
o Basic research to determine the scientific validity of individuality in
friction ridge examination based on measurement of features,
quantification, and statistical analysis.
o 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 annual
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 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 conserve costs.
--Cost-effectiveness of program or product for application in the criminal
justice system (if applicable).
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:
o Standard Form (SF) 424--application for Federal assistance
o Assurances
o Certifications Regarding Lobbying, Debarment, Suspension and Other
Responsibility Matters; and Drug-Free Workplace Requirements (one
form)
o Disclosure of Lobbying Activities
o Budget Detail Worksheet
o Budget Narrative
o Negotiated indirect rate agreement (if appropriate)
o 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
o Proposal abstract
o Table of contents
o Program narrative or technical proposal
o Privacy certificate
o References
o Letters of cooperation from organizations collaborating in the research
project
o Resumes
o 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 NIJ's budget appropriations.
Applying. Two packets need to be obtained: (1) application forms
(including a sample budget worksheet) and (2) guidelines for submitting
proposals (including requirements for proposal writers and requirements
for grant recipients). To receive them, applicants can:
o 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.
o Request hard copies of the forms and guidelines by mail from the
National Criminal Justice Reference Service at 800-851-3420 or from the
Department of Justice Response Center at 800-421-6770 (in the
Washington, D.C., area, at 202-307-1480).
o Request copies by fax. Call 800-851-3420 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 800-421-6770. 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]
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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.
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For more information on the National Institute of Justice, please contact:
National Criminal Justice Reference Service
Box 6000
Rockville, MD 20849-6000
800-851-3420
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).