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

Meeting 1-Meeting 1- Review of Research DesignReview of Research Design

Washington State Institute for Public PolicyWashington State Institute for Public PolicySeptember 13, 2006September 13, 2006

Robert (Barney) BarnoskiRobert (Barney) BarnoskiElizabeth DrakeElizabeth DrakeLaura HarmonLaura Harmon

(360) 586-2795(360) 586-2795

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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 the audit of the Washington conduct the 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

Compare Washington State’s criminal Compare 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 over time.among the databases over time.

Databases to be studied:Databases to be studied:– Washington State PatrolWashington State Patrol– Department of CorrectionsDepartment of Corrections– Administrative Office of the CourtsAdministrative Office of the Courts– Sentencing Guidelines Commission.Sentencing Guidelines Commission.

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

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Determine the Completeness and Accuracy Determine the Completeness and Accuracy Among the Databases Over TimeAmong the Databases Over Time

DOC

AOC SGC

WSP

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Our Experience in Criminal Our Experience in Criminal Records DatabasesRecords Databases

We have developed a recidivism database We have developed a recidivism database at the Institute using AOC and DOC data. at the Institute using AOC and DOC data.

Recidivism database used for dozens of Recidivism database used for dozens of juvenile and adult recidivism studies.juvenile and adult recidivism studies.

Barnoski, Robert (2005). Barnoski, Robert (2005). Sex Offender Sex Offender Sentencing in Washington State: Sentencing in Washington State: Comparing Arrests to Court Filings.Comparing Arrests to Court Filings. Olympia, Washington State Institute for Olympia, Washington State Institute for Public Policy, Document No. 05-09-1204Public Policy, Document No. 05-09-1204

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WSU Criminal Records AuditsWSU Criminal Records Audits WSU has done three criminal records WSU has done three criminal records

audits: 1994, 1997, and 2002.audits: 1994, 1997, and 2002. In 2002, WSU did an assessment of the In 2002, WSU did an assessment of the

accuracy of criminal history records in the accuracy of criminal history records in the Washington State Identification System Washington State Identification System (WASIS). (WASIS).

Approach to the analysis:Approach to the analysis:– Sampling of 1,200 cases from SGC from five Sampling of 1,200 cases from SGC from five

counties.counties. Accuracy rates have improved over time.Accuracy rates have improved over time. Institute will contact WSU about Institute will contact WSU about

methodology.methodology.

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Differences With Institute StudyDifferences With Institute Study

Entire databases will be used.Entire databases will be used.– All counties are included.All counties are included.

All automated matching.All automated matching.– No hand coding.No hand coding.

Rely on the database structure.Rely on the database structure.

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What We Will Talk About TodayWhat We Will Talk About Today

The Criminal Records Oversight The Criminal Records Oversight CommitteeCommittee

Project TimelineProject Timeline Research DesignResearch Design

– Data to be analyzedData to be analyzed– Analyses to be performedAnalyses to be performed

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Criminal Records Oversight Committee MembersCriminal Records Oversight Committee Members

Administrative Office of the CourtsAdministrative Office of the Courts Department of CorrectionsDepartment of Corrections Washington State Patrol Washington State Patrol Sentencing Guidelines Commission Sentencing Guidelines Commission Office of Financial ManagementOffice of Financial Management Department of Information ServicesDepartment of Information Services Washington Association of County ClerksWashington Association of County Clerks Washington Association of Sheriffs and Police Washington Association of Sheriffs and Police

ChiefsChiefs Washington Association of Prosecuting Washington Association of Prosecuting

AttorneysAttorneys

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Oversight Committee’s ResponsibilitiesOversight Committee’s Responsibilities

To provide the Institute with To provide the Institute with technical guidance on data and technical guidance on data and business practices. business practices.

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

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Project MilestonesProject Milestones√ √ Oversight Committee ReviewOversight Committee Review

ResearchResearch DesignDesign– √√ Today

Data Integration ProgrammingData Integration Programming– One-on-one work with AOC, DOC, SGC, and WSP.

Data Analyses ResultsData Analyses Results– √√ February 2006

Draft ReportDraft Report– √√ March 2007

Final ReportFinal Report April 30, 2007

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Phases of Research DesignPhases of Research Design

Phase 1: Official Person Identifier Analysis Phase 1: Official Person Identifier Analysis – Analysis of persons across agencies using Analysis of persons across agencies using

official person identifiers.official person identifiers.

Phase 2: Unofficial Person Identifier AnalysisPhase 2: Unofficial Person Identifier Analysis – Analysis of persons across agencies using Analysis of persons across agencies using

name, DOB, and gender. name, DOB, and gender.

Phase 3: SCOMIS Case Number Analysis Phase 3: SCOMIS Case Number Analysis – Analysis of SCOMIS Cases and charges Analysis of SCOMIS Cases and charges

across agencies.across agencies.

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Phases of Research Design Phases of Research Design ContinuedContinued

Phase 4: Process Control Number Analysis Phase 4: Process Control Number Analysis (PCN)(PCN)

– Analysis of PCNs across agencies.Analysis of PCNs across agencies.

Phase 5: Composite ViewPhase 5: Composite View

– Analysis of consistency across person Analysis of consistency across person identifiers, SCOMIS Case Numbers, and identifiers, SCOMIS Case Numbers, and PCN’s.PCN’s.

Phase 6: Records Quality IndexPhase 6: Records Quality Index– Analysis of performance quality.Analysis of performance quality.

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Phase 1: Official Person Identifier AnalysisPhase 1: Official Person Identifier Analysis

State Patrol Identification Number State Patrol Identification Number (SID)(SID)

DOC Person Identification NumberDOC Person Identification Number AOC Person Identification NumberAOC Person Identification Number SGC – SIDSGC – SID

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Phase 1: Official Person Identifier AnalysisPhase 1: Official Person Identifier AnalysisDOC to WSPDOC to WSP

1) Percentage of DOC Person Numbers 1) Percentage of DOC Person Numbers with an associated SID.with an associated SID.

2) Percentage of SID’s in DOC’s database 2) Percentage of SID’s in DOC’s database that are associated with multiple DOC that are associated with multiple DOC Person Numbers.Person Numbers.

3) Percentage of SID’s in DOC’s database 3) Percentage of SID’s in DOC’s database found in WSP’s database.found in WSP’s database.

4) Percentage of DOC and WSP matches 4) Percentage of DOC and WSP matches with the same demographics (name, with the same demographics (name, gender, DOB).gender, DOB).0%

10%20%30%40%50%60%70%80%90%100%

1992 1994 1996 1998 2000 2002 2004

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Phase 1: Official Person Identifier AnalysisPhase 1: Official Person Identifier Analysis

Repeat analysis for:Repeat analysis for:– AOC to DOC: by DOC Person NumberAOC to DOC: by DOC Person Number– AOC to WSP: by SID Person NumberAOC to WSP: by SID Person Number– SGC to WSP: by SID Person NumberSGC to WSP: by SID Person Number– We cannot do DOC to AOC because there is no We cannot do DOC to AOC because there is no

AOC person identifier in DOC’s database.AOC person identifier in DOC’s database. Summarize completeness and accuracy of Summarize completeness and accuracy of

official person identifiers over time. official person identifiers over time.

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Phase 2: Unofficial Person Identifier AnalysisPhase 2: Unofficial Person Identifier Analysis

1) Analyze the completeness of 1) Analyze the completeness of demographic data in each database demographic data in each database (DOB, name, aliases, gender, (DOB, name, aliases, gender, ethnicity).ethnicity).

2) Analyze the reliability of identifying 2) Analyze the reliability of identifying a person from one database to a person from one database to another using demographics.another using demographics.

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Phase 3: SCOMIS Case Number Analysis Phase 3: SCOMIS Case Number Analysis DOC to AOCDOC to AOC

1) Percentage of DOC commitments with an 1) Percentage of DOC commitments with an associated AOC SCOMIS Case Number.associated AOC SCOMIS Case Number.

2) Percentage of DOC SCOMIS Case 2) Percentage of DOC SCOMIS Case Numbers found in AOC’s database.Numbers found in AOC’s database.

3) Percentage of matching SCOMIS Case 3) Percentage of matching SCOMIS Case Numbers with matching official person Numbers with matching official person identifiers and demographics.identifiers and demographics.

4) Percentage of matching SCOMIS Case 4) Percentage of matching SCOMIS Case Numbers with matching offenses.Numbers with matching offenses.

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Phase 3: SCOMIS Case Number AnalysisPhase 3: SCOMIS Case Number Analysis

Repeat analysis by SCOMIS Case Number Repeat analysis by SCOMIS Case Number for:for:– AOC to DOCAOC to DOC– AOC to WSPAOC to WSP– AOC to SGCAOC to SGC– SGC to AOCSGC to AOC– WSP to AOCWSP to AOC

Summarize completeness and accuracy of Summarize completeness and accuracy of SCOMIS Case Numbers over time.SCOMIS Case Numbers over time.

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Phase 4: Process Control Number Analysis Phase 4: Process Control Number Analysis WSP to DOCWSP to DOC

1) Percentage of WSP arrests with a 1) Percentage of WSP arrests with a PCN.PCN.

2) Percentage of PCNs in DOC’s 2) Percentage of PCNs in DOC’s database found in WSP’s database.database found in WSP’s database.

3) Percentage of matching PCNs with 3) Percentage of matching PCNs with matching official person identifiers matching official person identifiers and demographics.and demographics.

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Phase 4: Process Control Number AnalysisPhase 4: Process Control Number Analysis

Repeat analysis for:Repeat analysis for:– WSP to AOCWSP to AOC

Summarize completeness and Summarize completeness and accuracy of PCNs over time.accuracy of PCNs over time.

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Phase 5: Composite View Phase 5: Composite View

Describe what is meant by Describe what is meant by consistencyconsistency across person identifiers, across person identifiers, SCOMIS Case Numbers, and PCNs. SCOMIS Case Numbers, and PCNs.

Attempt to statistically summarize Attempt to statistically summarize this consistency.this consistency.

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Phase 6: Records Quality Index (RQI)Phase 6: Records Quality Index (RQI)

A measure developed for the National A measure developed for the National Criminal History Improvement Program Criminal History Improvement Program (NCHIP) for the Bureau of Justice Statistics.(NCHIP) for the Bureau of Justice Statistics.

The RQI is a measure used to gauge The RQI is a measure used to gauge performance.performance.– Assess the status of records quality.Assess the status of records quality.– Identify critical records improvement activities Identify critical records improvement activities

by pinpointing deficiencies.by pinpointing deficiencies.– Help BJS target specific deficiencies for future Help BJS target specific deficiencies for future

funding cycles.funding cycles.

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The End of Meeting 1:The End of Meeting 1:Research DesignResearch Design

Questions?Questions? Meeting 2: Data Analyses Results in Meeting 2: Data Analyses Results in

February 2007.February 2007.