Standard Operating Procedure No. BMO Feb 05 DEPARTMENT OF DEFENSE BIOMETRICS MANAGEMENT OFFICE (BMO)

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1 DEPARTMENT OF DEFENSE BIOMETRICS MANAGEMENT OFFICE (BMO) DOD STANDARD OPERATING PROCEDURE FOR COLLECTING AND PROCESSING DETAINEE BIOMETRIC DATA 1. PURPOSE: This Standard Operating Procedure (SOP) prescribes the collection, transmission, and storage of biometric data collected from detainees, defined as all persons in custody of the DoD as a result of military operations, including enemy combatants, enemy prisoners of war, and civilian internees ( red force personnel ). This SOP is based on current DoD and Army regulations, as well as established standards. It is issued pursuant to the Deputy Secretary of Defense memorandum, dated November 1, 2004, titled Department of Defense Detainee Biometric Policy (Reference 3.a). This instruction does not apply to biometric data taken from persons other than detainees. Biometric collection and processing procedures for non-detainees shall be addressed separately. 2. APPLICABILITY: This SOP applies to all DoD organizations that collect biometric data from detainees. Specifically, U.S. military commanders will direct their units to collect from detainees all of the mandatory biometric data sets listed in this document. In addition, they may collect the optional biometric data sets at their discretion. In the event DoD has detained a U.S. person as a detainee, all U.S. laws applicable to the handling of U.S. persons and DoD Global Screening Criteria for Detainees shall be followed. 3. REFERENCES: a. Deputy Secretary of Defense Memorandum, Department of Defense Detainee Biometric Policy, (1 Nov 04) b. Deputy Secretary of Defense Memorandum, DoD Detainee Biometric Collection Processing Policy, (15 Aug 04) c. Assistant Secretary of Defense for Networks and Information Integration memorandum, Department of Defense Compliance with the Internationally Accepted Standard for Electronic Transmission and Storage of Fingerprint Data from Red Force Personnel, (2 Feb 04) 1

2 d. Army Regulation 190-8, Enemy Prisoners of War, Retained Personnel, Civilian Internees and Other Detainees, (Oct 97), e. Electronic Fingerprint Transmission Specification (EFTS), (Jan 99), f. American National Standards Institute/National Institute of Standards and Technology (ANSI/NIST)- ITL , Data Format for the Interchange of Fingerprint, Facial, & Scar Mark & Tattoo (SMT) Information, (Sep 00), ftp://sequoyah.nist.gov/pub/nist_internal_reports/sp a16.pdf g. Products certified for compliance with the FBI s Integrated Automated Fingerprint Identification System image quality specifications, h. ANSI/INCITS , Face Recognition Format for Data Interchange, (May 04). This standard is copyrighted, and licensed copies are available from the DoD BMO. i. Federal Bureau of Investigation DNA Advisory Board, Quality assurance standards for Forensic DNA Testing Laboratories and for Convicted Offender DNA Databasing Laboratories, (Jul 00), j. NIST Best Practice Recommendations for the Capture of Mugshots, Version 2.0, (Sep 97), k. Department of Defense Biometrics Management Office Website, l. FBI Procedure on Taking Legible Fingerprints, m. DoD Automated Biometric Identification System (ABIS) Origination (ORI) and Transaction Code (TCN) Schemas, (Oct 04) n. ANSI/INCITS , Iris Image Interchange Format, (May 04). This standard is copyrighted, and licensed copies are available from the DoD BMO. o. DA Form 4137, Evidence/Property Custody Document, 2

3 p. Detainee Reporting System (DRS) access shall be granted by the National Detainee Reporting Center (NDRC), contact: NDRC, ATTN: DAPM-MPD-ND, 2800 Army Pentagon, Washington, DC , DSN , q. Deputy Secretary of Defense Memorandum, Criteria and Guidelines for Screening and Processing Persons Detained by the Department of Defense in Connection with the War on terrorism (20 Feb 04) r. DA Form 2663-R, Fingerprint Card, 4. BACKGROUND: a. On 1 Nov 04, the Deputy Secretary of Defense assigned the DoD Biometrics Management Office (BMO), through its subordinate activity, the DoD Biometrics Fusion Center (BFC), as the central coordination point and repository for detainee biometric data. The BFC has established this central coordination point and repository, known as the DoD Automated Biometric Identification System (ABIS). The Deputy Secretary of Defense further directed that the Secretary of the Army, through the BMO, issue an appropriate SOP for collecting and processing all detainee biometric data. b. In a Feb 04 memorandum, the Assistant Secretary of Defense for Networks and Information Integration (Reference 3.c) directed that all new acquisitions or upgrades of electronic fingerprint systems used by DoD Components to collect red force fingerprint data shall (1) conform with the [Federal Bureau of Investigation (FBI)] Electronic Fingerprint Transmission Specification (EFTS) derived from American National Standards Institute/National Institute of Standards and Technology- ITL and (2) be certified to be interoperable with the FBI s IAFIS. c. This SOP identifies, by biometric modality, procedures for use by U.S. military components in the collection, transmission, and storage of biometric data collected from red force personnel. Specifically, all U.S. military components are required to collect from detainees the following biometric data: fingerprints, facial photographs, and Deoxyribonucleic Acid (DNA) samples (by buccal swabs). In certain cases, military units may collect iris images, voiceprint or other biometric data from red force personnel, collected at the discretion of the appropriate U.S. military commander. The BFC s DoD ABIS includes detainee fingerprints, facial photographs, iris images, and voice data. The Joint Federal Agencies Antiterrorism DNA Database (JFAADD) is the DoD repository for detainee DNA data. d. Consistent with Army Regulation (Reference 3.d), Enemy Prisoner of War/Civilian Internee (EPW/CI) facility commanders will Process intended prisoners to include fingerprinting, 3

4 photographing, and weighing, as needed. e. In general, the governing rule for military units shall be to collect as much biometric data, including quantity and modalities, from each detainee of the highest possible quality as conditions permit. For example, all ten fingerprints shall be taken from detainees, not two index fingerprints. This approach will allow a more robust capability for exploiting biometric data today and in the future. f. At an absolute minimum, U.S. military units will collect biometric data, (i.e., fingerprints, facial photographs (mug shots), and DNA samples) from all detainees, per the standard operating procedures outlined below. 5. MANDATORY BIOMETRIC COLLECTION PROCESSES AND RESPONSIBILITIES: a. Fingerprints: There are two accepted methods for the collection of fingerprints: electronic and paper-and-ink. The electronic, or live scan, method provides for a near real-time capability to transmit collected fingerprint data for searching and matching against the data stored in large-scale automated fingerprint identification systems (e.g., the FBI s Integrated Automated Fingerprint Identification System [IAFIS]). The paper-and-ink method has long been used in the U.S. and other countries. AR discusses the paper-and-ink method. Latent fingerprint examiners prefer this method as it provides a greater level of detail of the fingerprint than live scan. This allows increased opportunities for matching partial latent prints, such as those obtained from a criminal or terrorist site, to an original fingerprint sample. Additionally, a paper-and-ink fingerprint card can be digitized for use with an electronic fingerprint capture device. This method may increase the time required to identify an individual because the needed conversion equipment is not always readily available and requires some processing. In all cases, the transmission of fingerprint and biographical data shall adhere to the internationally accepted, and most current, EFTS version (v7.0 at the time of this printing) (Reference 3.e). Both methods allow for adherence to the appropriate image quality standards, as defined in Appendix F of the EFTS v7.0. For electronic collection: To ensure interoperability, all electronic fingerprint sensors, commonly known as live scan devices, used by DoD to collect fingerprints from detainees shall appear on the FBI-certified devices list. In 4

5 addition, all fingerprint images shall conform strictly to the ANSI/NIST-ITL (Reference 3.f) standard and Appendix F of the EFTS v7.0 (Reference 3.g). 14-image fingerprint collection is required (10 rolled images, separate images of each thumb, and two four-finger slap prints) (Reference 3.c, Reference 3.r). 500 pixels per inch (ppi) resolution at nominal 15:1 Wavelet-packet Scalar Quantization (WSQ) compression is required, as stated in Appendix F of the EFTS v7.0. If collected, 1,000 ppi JPEG 2000 images shall also be stored in the EFTS file when possible. The EFTS v7.0 Criminal Ten-Print Submission (Answer Required) (CAR) transaction type is required. The live scan devices referred to above capture the entire area of the fingerprint surface from one edge of the fingernail to the other and from the crease of the first joint to the tip of the finger. An alternative electronic collection means is the flat fingerprint device, designed to collect by placing the finger directly onto the sensor without motion. These devices collect significantly less useable fingerprint data and provide very little use in latent fingerprint work. However, these devices tend to be much more portable and require less time to collect the fingerprints. DoD organizations shall not use flat fingerprint devices when collecting fingerprint data for enrollment from detainees. Rather, flat fingerprint devices shall only be used in operational environments that absolutely dictate more portable systems than the live-scan devices. In the case where a flat fingerprint device is used, the following shall be required: All flat collection devices shall be ANSI/NIST-ITL compliant and meet the image quality specification in Appendix F of EFTS v7.0. All 10 fingers shall be imaged for data that is to be archived. Minimum 1 x 1 collection sensor is required. Images shall be collected at 500 ppi and compressed at nominal 15:1 WSQ. Images shall be 256 grayscale levels. Transaction type shall be Ten Print Rap Sheet (TPRS). File transmission and storage shall conform to applicable sections of EFTS (v7.0 as of this printing). b. Face ( Mugshots ): ANSI/INCITS , Face Recognition Format for Data Interchange (Reference 3.h) is the U.S. national standard that governs the electronic representation of facial images. Moreover, this standard is based on earlier extensive technical guidance from NIST regarding the collection of mug shot data (Reference 3.j). Relevant information from ANSI/INCITS and NIST regarding the collection of mug shots is provided below. 5

6 At a minimum, five facial photos shall be taken from the subject. The photo angles for red force personnel shall be: Frontal view 90 degrees left side 45 degrees left side 90 degrees right side 45 degrees right side The camera lens orientation shall be: Pointed to the front of the person photographed, aligned approximately in the center of the face, and taken from a distance of approximately 5 feet. Image format requirements: All photographs shall be taken in color. The images shall preferably be of at least 3 mega pixels, and stored using a Joint Photographic Experts Group (JPEG) or JPEG 2000 file format. The minimum acceptable resolution shall be 640 pixels (vertical) by 480 pixels (horizontal) with 24-bit color. (Note that this requirement may require turning the camera 90 degrees on its side in order to achieve the required resolution.) As a general guide, a format shall be used with sufficient resolution to allow a human examiner to ascertain small features such as moles and scars that can be used to verify identity. The width:height aspect ratio of the captured image shall be 1:1.25. Digital cameras and scanners used to capture facial images shall use square pixels with a pixel aspect ratio of 1:1. The subject s captured facial image shall always be in focus from the nose to the ears. When photographed, subjects shall not be allowed to wear any glasses, sunglasses, headgear, headdress, or other items obscuring the area photographed. A placard or similar mechanism containing, at a minimum, the detainee s Internment Serial Number (ISN) and full name (first, middle, last, tribal/grandfather s name) shall be positioned at least 6 inches away from the subject s face, preferably at the top or bottom of the photograph. Whenever possible, require the detainee to handwrite his/her own name on the placard. 6

7 The facial image being captured (full-face pose) shall be positioned to satisfy all of the following conditions: The approximate horizontal midpoints of the mouth and bridge of the nose shall lie on an imaginary vertical straight line positioned at the horizontal center of the image. An imaginary horizontal line through the center of the subject s eyes shall be located at approximately the 55% point of the vertical distance up from the bottom edge of the captured image. The width of the subject s head shall occupy approximately 50% of the width of the captured image. This width shall be the horizontal distance between the midpoints of two imaginary vertical lines. Each imaginary line shall be drawn between the upper and lower lobes of each ear and shall be positioned where the external ear connects to the head. Desired subject illumination shall be achieved using a minimum of three balanced light sources, conditions and resources permitting. Appropriate diffusion techniques shall also be employed, with lights positioned to minimize shadows and eliminate hot spots on the facial image. These hot spots usually appear on reflective areas such as cheeks and foreheads. Flash techniques such as use (or nonuse) of flash fill to reduce red eye, shadows around the nose and mouth shall be considered. c. DNA: This section describes the requirements for the collection of biological material suitable for transfer, temporary storage, and DNA analysis for use in federal counter-terrorism investigations and operations to include military support to the Global War on Terrorism. These samples may be tested by short tandem repeat (STR) marker systems that include the 13 Combined DNA Index System (CODIS) loci. Furthermore, these samples may also undergo mitochondrial DNA analysis, Y-chromosomal analysis, or other forensic testing as deemed appropriate by the JFAADD working group, which consists of members drawn from the DoD and the federal law enforcement and intelligence communities. Reference 3.i provides additional information on requirements and quality assurance metrics for DNA testing. U.S. military units shall collect two buccal (intra-oral cheek) swabs from each detainee. Personnel will collect one swab from the inside of each cheek (right and left). The detainee must not have consumed food or drink; chewed gum; or chewed, dipped, or smoked tobacco or any other products for at least 15 minutes prior to the DNA sample being collected. Collection and Labeling: 7

8 DoD personnel shall label each container of two swabs with the detainee s name and ISN; the date and location of acquisition; as well as the name and unit of the individual responsible for the collection at the time of collection. The containers must be labeled using a permanent marker or pen. DoD personnel shall collect DNA samples using a sterile cotton-tipped applicator for the buccal swabs. Briskly rub the inside of the detainee s inner cheek up and down 10 times with the buccal swab, concentrating on scraping cells from the oral mucosa, (inner cheek) not just collecting saliva. The two swabs should be air dried for at least thirty minutes when possible prior to repackaging and transport. DoD personnel shall place the dried oral swabs in a properly labeled paper envelope, or paper box, never plastic and seal with evidence tape. Gloves should be worn when packaging the swabs. Transfer to Laboratory: U.S. military units shall maintain a chain of custody for each pair of swabs through a Department of the Army Form 4137 (Reference 3.o) or similar document. It is important that all individuals handling the DNA samples use gloves and avoid direct skin, hair, or breath contact that might contaminate the samples. U.S. military units will send (as authorized by law) the swabs to the FBI Laboratory Division in Quantico, Virginia (FBI Laboratory, ATTN: Latent Print Unit One, 2501 Investigation Parkway, Quantico, VA 22135). Units will also send notification via to the DoD DNA Registry (JFAADD.reporting@afip.osd.mil) that the swabs have been sent. Combatant commands shall establish written procedures to transfer detainee swabs to the FBI. DoD and the Federal law enforcement and intelligence communities cooperatively process the swabs. The DoD shall maintain DNA profiles in a joint database and shall be traceable to the detainee s other biometric information. A working group composed of representatives from each of the Federal agencies comprising the JFAADD supervises the access, use, maintenance, and quality control of the JFAADD. 6. OPTIONAL BIOMETRIC COLLECTION PROCESSES AND RESPONSIBILITIES (AT MILITARY COMMANDER S DISCRETION): In certain situations, military units may want to collect iris images and voiceprints from detainees. If units collect these data, the following requirements shall apply: 8

9 a. Iris: All iris images shall be collected to the JPEG standards outlined in ANSI/INCITS , the Iris Image Interchange Format (Reference 3.n). An iris-imaging device shall collect separate images of the left and right irises of each detainee. Each iris record shall be labeled as the right or left iris, and shall be associated with all other biometric and biographic data collected on the detainee. If the medical condition of the detainee precludes collection of one or both irises, then this shall be noted in the record. Current commercial iris collection devices, including those suitable for operational use typically cue the user when acceptable imaging conditions have been achieved. These conditions include the following: Iris images shall have an image resolution equal to a minimum of 150 (and preferably 200) pixels across the iris diameter, with a focus quality sufficient to resolve the specified spatial resolution. Near-infrared illumination between 700 and 900 nanometers (nm) (sensor and algorithm dependent), at an angle off-set from the optical axis (to avoid the red eye effect) at least 5 degrees, and of sufficient intensity to provide an image with sufficient contrast (as defined in the Annex) for the user to visually see the structure of the iris features. The subject s eye shall be open to the greatest extent possible (recognizing that this may be difficult for some ethnicities), with the iris occluded (i.e., concealed by the eyelid and/or eyelashes) no more than 70%; the orientation of the iris image shall be right side up (i.e., the upper eyelids in the upper part of the image); further, for right eyes, the tear duct shall be on the right side of the image, and for left eyes, the tear duct shall be on the left side of the image. The presentation of the iris to the imaging device shall be aligned to the subject s head, so that a horizontal line between the pupils is within +/- 10 degrees of the horizontal plane of the irisimaging device; also, the subject shall remove any eyeglasses and contact lenses to optimize the enrollment quality. Transmission requirements are as follows: Each captured iris image shall be formatted and stored into an ANSI/NIST-ITL Type-7 logical record. Transmissions of iris data to the DoD ABIS shall include a note field in an ANSI/NIST-ITL Type-2 logical record indicating that iris data is included in the submittal. The text of 9

10 the note field shall indicate information about the iris data in the following manner: Left iris=type 7, <filename1>.jpg, Right iris=type 7, <filename2>.jpg. Filenames of the iris image files included in the submittal shall be provided for the <filename1> and <filename2> parameters in the note field. b. Voice: The following applies to the collection of voice biometric data. Environment: Voice data shall be collected in an indoor location relatively free of background noise. The room used for voice data collection shall use materials, such as carpeting, cubicle walls, blankets, or similar materials, to suppress reflective noise and echo effects. A dedicated microphone(s) shall be positioned 6 to 12 inches from the subject. Microphone built into a laptop, personal digital assistant (PDA), or similar device shall not be used. The detainee shall read a prepared script no less than 30 seconds in length in his native language and speaking style. If possible, multiple voice samples shall be collected from each subject on different days and at differing times of the day (e.g., morning, mid-day, and evening). Electronic format: Products used for capturing voice biometric data shall record speech at a sample rate of at least 48,000 hertz and a resolution of 16 bits, using Pulse Code Modulation (PCM). Captured voice files shall be stored in.wav format. 7. EFTS COMPLIANCE Fingerprint and mugshot data shall be formatted and transmitted in accordance with the most current version of EFTS (v7.0 as of this printing). Specific guidance regarding EFTS v7.0 compliance is as follows: Biometric collection units shall have the capability to electronically submit EFTS transactions and receive responses (search results) in an automated fashion from the DoD ABIS. The local biometric collection system shall automatically keep an audit log of biometric submissions and responses. All collection systems and resultant EFTS files shall conform to the DoD ABIS transaction code schema. 10

11 For all biometric data, the detainee s ISN shall be used to the maximum extent possible as a unique identifier for each subject to link all collected data to the subject. The BFC shall publish specifications describing the technical requirements and details for the electronic transmission of fingerprint, mugshot, iris image, and voice data between combatant commands and the BFC. 8. BFC DETAINEE COLLECTION SYSTEM CERTIFICATION Biometric data collection activities from detainees are extremely important to the U.S. Government to identify terrorists and other national security threats. Biometric data must be collected to accepted standards for benefits to be achieved. To that end, the DoD BFC will test and certify all detainee collection systems to ensure they meet the established requirements. Please contact the DoD BFC for further information or help with biometrics at from (ET) or hd@dodbfc.army.mil. (Reference 3.k) 9. POINTS OF CONTACT For questions about the following biometric modalities, please contact the associated POC: a. Fingerprint: DoD BFC, , hd@dodbfc.army.mil b. Facial photographs (mugshot): DoD BFC, , hd@dodbfc.army.mil c. DNA: DoD DNA Registry, JFAADD.reporting@afip.osd.mil d. Iris: DoD BFC, , hd@dodbfc.army.mil e. Voice: DoD BFC, , hd@dodbfc.army.mil f. All other biometric questions: DoD BFC, , hd@dodbfc.army.mil 11

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