Proof-of-Concept Implementation Plan for Unified Identification Card

1. Proof-of-Concept Implementation Plan for Unified Identification Card MPAC Project Confidential

2. Objectives • In support of the Iraqi Unified National ID Program, demonstrate a proof-of-concept system to be used to enroll a sampling of the Iraqi population at one Civil Affairs Office. • Scan and store the civil registries (Civil Affairs register pages) for one Civil Affairs Office • Biometrically enroll, register and issue a unified identity smart card to ~5000 Iraqi citizens as a test including UID officials and employees • Provide technology for digital enrollment and basic updating of the Civil Affairs Registry as changes occur to the scanned civil registries (Civil Affairs registers): • ~40 identifying data fields, photo, fingerprints • Begin installing in Iraq the Proof-of-Concept System described above in 5 weeks after approval to proceed. • Desired end state: stronger ID, more likely to be accepted for access MPAC Project Confidential

3. Major Components • Scanning: • Image capture of Civil Affair registers • Collection: • Implement electronic enrollment solution • Biographic • Biometric • Vetting: • Collection information is vetted to validate Iraqi citizenship • Card Issuance: • Smart Card is printed, citizen’s ID is verified via fingerprint check and citizen is handed ID card MPAC Project Confidential

4. System Architecture and Flow Iraqi New Registry Office 2) Collection 1) Scanning 1) Process new UID card applications 2) Process requests to update civil data Scan all Civil Affairs registers at test site into electronic image files Customers- ID Card Applicants Customers Requesting Civil Data Changes Civil changes are now made electronically Civil Affairs Registry Database Images on DVD-ROM Book Scanners (4) Civil Affairs Card, Fingerprints, Photo, Biographic Info New Registry Officials New Registry Officials New Registry Office Computers (6) Civil Affairs Registers (100) Iraqi Fusion Center Applications for UID are sent for vetting and recorded in Registry database 3a) Vetting Analyst checks for citizenship against available databases and Civil Affairs register electronic document • 4) Card Printing and Issuance Electronic Record System 1) Applicants are notified that cards are ready 3b) Adjudication 2) Applicants present name and fingerprint to verify identity against UID card Assess citizenship report, update database with approval or rejection Compile vetting report Civil Affairs Official Card Applicant Cards available for distibution Is this person Iraqi? 3) Upon positive identification applicants leave New Registry office with UID card MPAC Project Confidential UID smart cards are printed, certificates applied AFIS – Check Fingerprints Other Databases

5. Component Breakdown MPAC Project Confidential

6. Scanning • Close civil affairs office for 2 weeks • Send registers to scanning facility • Create electronic scan images of all Civil Affairs register pages at that facility (4 scanners, estimated 100 registers) • Add scanned pages to electronic record system MPAC Project Confidential

7. Civil Affairs Register Book Scanning Civil Affairs Register Image Files - 300dpi TIFF images (5MB/page) Civil Affairs Register Book Scanner • Storage Required • Estimated 100 ledgers at test office * 200 pages/ledger * 5MB/page = 100GB data • Time Required • 1 page/min. * 20,000 pages / 60 pages/hour = 333 man hours • 333 man hours / 7 hours/day = 47 man days • 47 man days / 4 scanners = 12 days DVDs (800 pages/DVD) MPAC Project Confidential

8. Select Page GO Civil Affairs Electronic Records System • Application to be used at Iraqi Fusion Center. • Application displays requested Civil Affairs register page based on Civil Affairs Card information • Civil Affairs Branch • Civil Affairs Ledger • Civil Affairs Page Electronic Record System Civil Affairs Register Image Files Vetting Computers MPAC Project Confidential

9. Scanning - Assumptions and Questions • Scope – Civil Affairs registers for one (1) Civil Affairs Office will be scanned, which would be ~ 100 registers – each with 200 pages. It is assumed that all ledgers or books are at one location or can be taken to one location to be scanned. • Book scanners available at $10,000 • Low cost scanners (A4 size) available at $300, but require 20 secs/page vs. 3 secs/page • Low cost scanners also consume less power • Low cost scanners would require more employees for scanning • $10,000 book scanners would be required for large format registers that are known to exist • Scan Civil Affairs registers at 300 DPI 8 bit grayscale for higher resolution for zooming into electronic document for close examination where details on page are difficult to read. • Estimated time to perform scanning, indexing and quality checks of the ~100 books to be three (3) weeks. • New flat bed scanning hardware and software will be purchased along with computer workstation for controlling the scanning, collecting the scanned images and supporting the indexing and update of the master file of scanned/indexed images as well as writing the data to a DVD for backup storage. • Adequate electrical power available at New Registry office (3KW) • Electronic records system at each office will not have records from other offices • People will still be able to apply for the UIC because their citizenship can be vetted at a central location • Estimated 28,000 ledgers at 274 locations, 200 pages per ledger ~ 5.6 million pages MPAC Project Confidential

10. Collection • Process UID card applications • Train enrollers • Process requests to update civil data. Updates made electronically. • Births • Marriages • Divorces • Deaths MPAC Project Confidential

11. Collection- Processing UID Card Applications 1) Applicant requests UID card, presents Civil Affairs Card 2) New Registry official enters applicant info and and collects biometrics from applicant using UID Enrollment Application. 3) EFT Files are generated and sent by courier for vetting 4) Non-adjudicated EFT file data sent to Civil Affairs Registry Database Customers- ID Card Applicants 1 Civil Affairs Card, Fingerprints, Photo, Biographic Info New Registry Officials 2 4 New Registry Office Computers Civil Affairs Registry Database Applications for UID are sent for vetting 3 MPAC Project Confidential

12. Collection- Processing Requests to Update Civil Data 1) Customer requests update to civil data (birth, marriage, divorce, death) 2) New Registry Official logs changes in Civil Registry Application, updates database. Option A) If customer presents Civil Affairs Card with ledger numbers of ledgers held at the test office, customer is a candidate for UID card enrollment Customers Requesting Civil Data Changes 1 Civil changes are now made electronically Civil affairs card ledger number checked against Civil Affairs register numbers Perhaps enroll this individual for UID card? A 2 Civil Affairs Registry Database MPAC Project Confidential

13. Collection - Assumptions and Questions • The Civil Affairs database will created from the captured EFT data provided at the Enrollment Workstation and will contain basic enrollment data. Reference links into Scanned and Indexed electronic Civil Affairs register image file will be established at the time of Vetting. This database will become the Civil Registry for Iraq. Database applications to support the continued updating of information normally posted to the Civil Affairs register must be available when scanning begins so that continuity between past and current period activity can be maintained; along with providing for new family entries to be created. • Trained operators will staff the scanning operation. Training and support provided by the Technical Support Team. • Enrollment workstation output will be packaged on DVDs and passed to Iraqi Fusion Center for processing against AFIS records and other databases. • Couriers are available for taking EFT files to central vetting authority and citizenship reports back • Non-adjudicated EFT files in Civil Affairs Registry do not imply citizenship • They do deter fraud and facilitate law enforcement • Adjudication changes one attribute in EFT file in the Registry and that indicates citizenship MPAC Project Confidential

14. Vetting and Adjudication – Major Components • Vetting is performed in two ways • Biometric: fingerprint matches to AFIS • MoI or MoD enrollments • Iraqi criminal cards • Biographic: search for the applicant in other databases by name, civil affairs information, etc. • Civil Affairs register image • Oil for Food database • Other databases • Adjudicator will review all available information to determine whether the individual is Iraqi • The Constitution of Iraq indicates citizenship requirements and the Government of Iraq sets policy on adjudication MPAC Project Confidential

15. Vetting Applications for UID are sent for vetting and recorded in Registry database • Iraqi Fusion Center receives incoming applications for UID as EFT format files. • 2) Vetting analyst examines data from: • AFIS (fingerprints) • Civil Affairs register images • Other databases (biographic info) • Oil for Food • Criminal Databases • Others • 3) Report for applicant is compiled and sent to New Registry office for adjudication 1 Iraqi Fusion Center Analyst checks for citizenship against available databases and Civil Affairs register electronic document Electronic Record System Compile vetting report 2 3 AFIS – Check Fingerprints Other Databases MPAC Project Confidential

16. Vetting - Assumptions and Questions • DVDs delivered from the Collection site will be processed at the Iraqi Fusion Center. • What is the process for appealing a rejection? Possibilities: • Additional documents (e.g. rations card) • References and vouching MPAC Project Confidential

17. Adjudication Civil Affairs Registry Database Assess citizenship report, update database with approval or rejection 3 Is this person Iraqi? • Designated New Registry office adjudicator receives report from vetting analyst • Adjudicator determines whether the enrollee is Iraqi based citizenship report • Civil Affairs Registry database is updated. 1 2 New Registry Official MPAC Project Confidential

18. Card Issuance • Print station checks Civil Affairs Registry database for approved enrollments • UID cards are printed • Card applicants are notified that cards are available • Applicant visits New Registry office to pick up card • Card issued upon fingerprint authentication of UID card MPAC Project Confidential

19. Card Printing and Issuance Civil Affairs Registry Database Card Applicant • Print station checks Civil Affairs Registry Database for approved enrollments • Print station prints UID cards • After a designated time applicants visit New Registry Office to receive card • New Registry Official asks the applicant for name, locates UID card for this individual • Official inserts the UID card into the spot-checker and asks the applicant for a fingerprint • When the spot-checker authenicates the applicant, UID card is issued and customer departs with card in hand • Transaction logged in database 7 3 1 Card Applicant New Registry Official 4 5 Card Applicant 2 6 UID smart cards are printed, certificates applied Upon positive identification applicant departs New Registry office with UID card MPAC Project Confidential

20. Card Issuance - Assumptions and Questions • Reusing proven design currently in production for US base access MPAC Project Confidential

21. Implementation Team • Two trainers for training New Registry clerks on new Electronic Records System • Four scanner clerks • Two supervisors • Two couriers • Two vetting analysts • One adjudicator • Two US contractors who • “Train the Trainers” and train others • Collect statistics, check quality, and re-train as needed • Assess the process and identify improvements in equipment or workflow • Provide technical support for vetting and adjudication At New Registry Officeafter training in IZ En route At vetting center in IZAssumed: Vetting center co-located with AFIS MPAC Project Confidential

22. Proof-of-Concept Timeline MPAC Project Confidential

23. Timeline • Proof-of-concept could run concurrently with the beginning of scanning registries • Full enrollment will require more than a year MPAC Project Confidential

24. Cost Breakdown MPAC Project Confidential

25. Scaling to Entire Country • Electronic communication capabilities from all New Registry branch offices • Move Civil Affairs Registry database to Iraqi Fusion Center • Optionally convert Civil Affairs register image data into database, allow branch offices to view old ledger data. MPAC Project Confidential

26. --- BACKUPS --- MPAC Project Confidential

27. Process Flow • Applicant Selection • Notify selected Applicants to report for enrollment • Applicant is scheduled to report to New Registry Office • Enrollment At the New Registry Office • Review Applicant’s application and supporting identity documents • Enter demographic data from Applicant’s application and cross check with the Civil Affairs ID Card presented • Civil Affairs ID Card info is checked against local Civil Affairs register electronic documents • Capture fingerprint biometrics and take digital photo • Generate ‘paper receipt’ and indicate that resident will be notified to return when ID credentials have been validated and smart card credential has been printed • Identity Vetting & Adjudication • Identity Adjudicators will validate citizenship based on; scanned image of Muktar Book • Adjudicator also checks for citizenship against available databases • Accept or reject that the person enrolling ‘is’ or ‘is not’ a citizen; rejects may appeal using more information • If accepted, release citizen’s record to the Card Issuance Subsystem • Card Issuance & Registration in Civil Affairs Registry database • UID Smart Cards are printed and certificates applied: and returned to the New Registry Office • Applicant is notified that cards are ready. • Applicant presents name, paper receipt and fingerprint to verify against UID card. • Upon positive identification, applicant’s citizenship status is registered in the Civil Affairs database • Applicant leaves New Registry Office with UID card and is ready to use card in subsequent applications MPAC Project Confidential