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Contents
1. Executive Summary ......................................................................................................................................................................................................................... 2 Background ......................................................................................................................................................................................................................................... 2 Description .......................................................................................................................................................................................................................................... 2 Evaluation Methodology ..................................................................................................................................................................................................................... 2 Key Findings ........................................................................................................................................................................................................................................ 2 Program Integrity ............................................................................................................................................................................................................................ 2 Client Service................................................................................................................................................................................................................................... 2 Organizational and Procedural Impacts .......................................................................................................................................................................................... 2 Costs ................................................................................................................................................................................................................................................ 3 2. Introduction .................................................................................................................................................................................................................................... 4 ASSOCIATION FOR NON VIOLENCE IN THE NIGER DELTA ................................................................................................................................................................... 4 ANND Advocates: ............................................................................................................................................................................................................................ 4 OCTOPUS COMMUNICATIONS [OctopusyIDEAS] ............................................................................................................................................................................. 4 3. Niger Delta Amnesty Management Information System [NDAMIS] ............................................................................................................................................... 5 3.1 3.2 3.3 Purpose ................................................................................................................................................................................................................................... 5 Scope ....................................................................................................................................................................................................................................... 5 Description of the NDAMIS Provisional Reclassification......................................................................................................................................................... 5 Type of Biometrics Collected ........................................................................................................................................................................................... 5
3.3.1
3.3.2 Analysis and Matching ........................................................................................................................................................................................................... 5 4. Evaluation of the Provisional Reclassification................................................................................................................................................................................. 6 4.1 Evaluation methodology ......................................................................................................................................................................................................... 6
4.2 Provisional Reclassification Findings ............................................................................................................................................................................................. 6 5. Program IntegrityUsefulness of NDAMIS in Strengthening Identity Management and in Detecting Fraud............................................................................... 7 5.1 Overview ....................................................................................................................................................................................................................................... 7 5.2 Identity Management ................................................................................................................................................................................................................... 7 5.3 Conclusion ..................................................................................................................................................................................................................................... 7 6. Lessons Learned from the Provisional Reclassification .................................................................................................................................................................. 8 6.1 Strengthening Identity Management of Ex-Militants ................................................................................................................................................................... 8 6.2 Ex-Militant Service ........................................................................................................................................................................................................................ 8 6.3 Forward-Planning Lessons ............................................................................................................................................................................................................ 8 6.3.1 Operations.............................................................................................................................................................................................................................. 8 6.3.2 Information Data Synchronization and Harmonization ......................................................................................................................................................... 8 6.3.3 NDAMIS Harmonization Process ............................................................................................................................................................................................ 9 7. Conclusion ..................................................................................................................................................................................................................................... 10
Appendix A Funding/Business Model ................................................................................................................................................................................................ 11 Public Private Partnership (PPP) Concept ......................................................................................................................................................................................... 11 Appendix B I.T. Hardware and Equipment ......................................................................................................................................................................................... 12 Appendix C Pointers for Performance Indicator ................................................................................................................................................................................ 13 Appendix D Description of Preparations for the Reclassification ...................................................................................................................................................... 16 1. Concept of Operations Planning ................................................................................................................................................................................................... 16 2. Privacy Considerations .................................................................................................................................................................................................................. 16 3. Equipment ..................................................................................................................................................................................................................................... 16 4. Preparations for Facial Recognition Photo Standards ................................................................................................................................................................ 16 5. Communications with Candidates ................................................................................................................................................................................................ 17 6. Communications with Stakeholders ............................................................................................................................................................................................. 17 Appendix E Photo Specifications........................................................................................................................................................................................................ 18 Photograph and Head Size Specifications ......................................................................................................................................................................................... 18 Appendix F Data Harmonization Guide.............................................................................................................................................................................................. 19
1. Executive Summary
Background
The increasingly un-attendant ex-militants, the advent of short-changing of candidates and the growing conflicts emerging in the various exmilitants camps are all happening today because certain business rules and the transitional forms needed to be put in place to support these rules were not taken into consideration by the Amnesty leadership throughout the various disarmament and demobilization phases This singular flaw brings with it an increase in irregularities through identity and document fraud, and, therefore, concernon the part of governments and citizens alikeabout the inability for government to adequately attend to legitimate ex-agitators, where which the initial disarmament record-of-truth have been acquired and compromised. It has been a genuine and patriotic unction which has propelled the Association for Non-Violence in the Niger Delta [ANND] and OCTOPUS COMMUNICATIONS [OctopusyIDEAS], after a thorough Field Trial in our provisional reclassification exercise on a random audience of some yet to be deployed beneficiaries in the Niger Delta Amnesty Program, we have developed new tools to harmonize and synchronize human identification data [HID], better manage the growing consequential flaws and mitigate the attendant risks to leadership credibility and security by introducing the Niger Delta Amnesty Management Information System [NDAMIS]. Every government agency must initially address well-defined objectives, which will add value, either directly to the bottom line or toward the achievement of the organization's goals and objectives. This in turn gains insight to better align strategies and identify critical relationships and gaps along four key dimensions people, process, culture and infrastructure. By understanding and improving alignment with these critical dimensions, the Niger Delta Amnesty office as an agency can maximize the value and impact of information as a strategic corporate asset to gain competitive advantage with the following aim: 1. To Control the Creation and Growth of Records 2. To Reduce Operating Costs 3. To Improve Efficiency and Productivity 4. To Assimilate New Records Management Technologies 5. To Ensure Regulatory Compliance 6. To Minimize Litigation Risks 7. To Safeguard Vital Information 8. To Support Better Management Decision Making 9. To Preserve the Corporate Memory 10. To Foster Professionalism in Running the Business Building on professional expertise, OctopusyIDEAS have designed a Management Information Data Synchronization and Harmonization to assess the broad impacts of information technology on the Niger Delta Amnesty Management Information System [NDAMIS] and to do the following: Improve program integrity through Data Integration Management Technology Assess the impact of Data Integration Management Technology on client service programs Explore the organizational and procedural impacts of NDAMIS Understand the costs of implementing Data Integration Management Technology
Description
A Two-Day Provisional Reclassification was conducted at Bakana Local Government Area, for Amnesty beneficiaries who have not been sent on training after the Obubra Demobilization Program. All affected Amnesty beneficiaries who appeared at the site during the Provisional Reclassification were required to submit photos and fingerprints. Questionnaires were issued to candidates and on returning same, Photos and Fingerprints were collected on the forms at the site. All personal information gathered during the Provisional Reclassification was collected for statistical purposes only and stored in a secure database. Consequent upon unavailability of capture devices, the fingerprints were collected on the questionnaire forms only, as a result could not be included in the database.
Evaluation Methodology
The Provisional Reclassification exercise can be evaluated through various generic system reports, apart from recorded video, the exercise was accorded site visits by a client evaluator; in the person of Major BENARD, and other civic representatives.
Key Findings
Program Integrity
Fingerprint and facial recognitioneither alone or togethercan yield highly accurate results. Biometric technology is effective in detecting fraud.
Client Service
Full implementation of Data Integration Management Technology would require changes to service standards. Compliance with photo and fingerprints standards presents service challenges. Photo and Fingerprint capture is strongly recommended if individual recognition is to be implemented fully.
Organizational and Procedural Impacts
Mobilization logistics, additional manpower and training were all required in order to implement biometrics to even a limited extent. Full implementation of biometrics will have an even greater effect on the facilities and resources required to deliver services. Integrated data systems are recommended for full implementation of Data Integration Management Technology. Ergonomics is an important issue in workstations with limited areas.
Costs
The Provisional Reclassification provided insight into the following: The Costs of Data Integration Management Technology. The Impact of Data Capturing and Integration Management on current data systems and on workflow. Human Resource requirements, facility requirements, contracting and vendor costs, unit costs for equipment and the demand on network capacity to transmit new data.
2. Introduction
ASSOCIATION FOR NON VIOLENCE IN THE NIGER DELTA
The Association for Non-Violence in the Niger Delta stands for the Intrinsic Value and Dignity of GOD and Human Life
ANND Advocates:
Value Reorientation Environmental Protection Conflict Resolution and Reconciliation Human/Economic Development and Empowerment
The Amnesty Commission is facing the challenge of having to manage the growing conflict of ex-militants identification and its accompanying permeability to fraud, brought about by the increasingly management information system oversight, with the advent of a shoddy disarmament process. Broken promises means devastating consequences facilitated through identity and document fraud, and therefore, more concern about aggrieved ex-militant derailment. Around the world, governments and industries have been developing new tools geared to better manage the identification of people and to mitigate the attendant risks to capacity building and job security. Many of these new tools involve biometricsthe automated recognition of individuals based on their characteristic records if only is made readily available by the Amnesty commissiona feat yet to be accomplished. One factor driving the implementation of Management Information Data Synchronization and Harmonization at OctopusyIDEAS is the need to link a single record created in one office with a subsequent application in the Niger Delta Amnesty Management Information System or in the Amnestys external operations. Managing a particular ex-militants identity from the complex pool of candidates, by recording his/her biometric data can help verify, manage and monitor DDR Progress on that particular ex-militants identity when he or she interacts with the Niger Delta Amnesty Management Information System or an potential prospect. When verification is required, it could be performed as a simple check of the computer and, when in question, be reviewed by a qualified specialist. Subscribing the Management Information Data Synchronization and Harmonization of Niger Delta Amnesty Management Information System could help achieve a number of program and security objectives: Reduce Identity Fraud: Ex-Militants would become known under one unique identifier and therefore could not apply again under a different name. Repeat engagements under fraudulent identities would be vastly reduced. Provide a Link between Initial Disarmament Phase Record-of-Truth and Various Demobilization Phases: The Niger Delta Amnesty Program enrolled thousands of ex-militants who appeared for disarmament with no identity documents but whose fingerprints and facial recognition must have been capture, whether physically or electronically. Understanding the migration link, tracking misrepresentation in candidates and confirming the identity of undocumented beneficiaries is a program integrity priority for the Amnesty Commission. It is highly vulnerable to sweep such sensitive issue under the carpet. Ensure Entitlement for Empowerment: The Niger Delta Amnesty Commission has no automated way of ensuring that an undocumented/in-waiting ex-militant is the same person as the candidate who was approved for empowerment. Management Information Data Synchronization and Harmonization offers a fast and effective way to facilitate the decision process. Speed up Background Checks: Searching by name is a cumbersome way to perform background checks, and it often produces poor results because of changes in client names or different spellings of similar names. Data Integration Management Technology would significantly improve the speed and accuracy of any kind of background checks. Enhance Identity Management to Improve Ex-militants Service: With Data Integration Management Technology-based identity management, a broad range of client service options becomes feasible with no negative impacts on program integrity. For example, using the Niger Delta Amnesty Management Information System to secure an ex-militants identity during the first interaction with a prospective empowerment party could enable the client to conduct subsequent interactions through a secure Internet channel.
3.2
Scope
The Provisional Reclassification ran for two days at the Civic Centre of Bakana LGA in Rivers state. During those two days, all Ex-Militants who appeared at the site to apply for reclassification were required to provide biometric data, by facial and fingerprints on their reclassification questionnaire forms. Provisional Reclassification sites were chosen in order to: Ensure a Diversity of Ex-Militants Representing many cases of Un-engagement: Bakana LGA happens to be one of the most conducive and shortest proximities in distance to Port Harcourt and therefore serve a diversified population of ex-militants. Their selection ensured that the population was not homogenous. Measure the Service Effects of In-person Enrolment: The exercise served most Ex-Militants in person. In addition, the reclassification activities were expected to have little impact on operations but to allow for the collection of enough data to measure the impact on service. Ensure Maximum Entry Verification: Questionnaire forms were matched with the most likely data-coding, thereby allowing for the greatest potential for collecting biometrics for verification purposes.
3.3
The NDAMIS Provisional Reclassification involved the introduction of fingerprint and facial recognition technologies to the processing of heterogeneous categorize of ex-militants.
4.1
Evaluation methodology
The evaluation of the NDAMIS Provisional Reclassification was guided by performance indicators which were developed prior to the launch of the Provisional Reclassification. Detailed indicators can be evaluated under four key objectives as listed below in Table 4-A. Table 4-A : Provisional Reclassification evaluation framework Objective Outcomes measured
2. Client Service
Goal: To understand the impact of the introduction of Data Integration Management Technology on client service for Niger Delta Amnesty Program Management C1 Client facilitation C2 C3 Client relations Public Opinion
3. Operational Impact
Goal: To explore the organizational and procedural impacts of Data Integration Management Technology implementation. O1 Amnesty office impacts O2 O3 O4 O5 O6 Camp Affiliation Impacts Usability of Ex-militants Data Centralized Matching Impacts Ergonomics Human Resources Impacts
4. Cost Factors
Goal: To understand Data Integration Management Technology program costs so that they can be measured against benefits. C1 Implementation costs
VOLUME
DISARMAMENT + DEMOBILIZATION DISARMAMENT DEMOBILIZATION
It is interesting to note that even during the limited Provisional Reclassification period there were repeat ex-militants. Most of these candidates applied with the same UN-Code (usually after being refused the first time). This shows the potential to facilitate these repeat ex-militants by enrolling their biometrics via direct capture devices, and then only verifying them at subsequent encounters. Table 4-C : Investigative NDAMIS Reclassification Pointers ITEM
Reclassification Ex-Militants Claiming Disarmament Multiple Documentation (Biometric Matches) Number of Candidates who repeated UN-Codes Ex-Militants correctly matched using only facial recognition with system recommended threshold Ex-Militants correctly matched using only fingerprints with system recommended threshold Ex-Militants correctly matched using both facial and fingerprint recognition
VOLUME
5.3 Conclusion
Biometric technology is an effective tool for confirming identity and detecting fraud. Matching performance was found to be high. Based on the accuracy of results for ex-militants known to have had repeat entries, both fingerprint and facial biometrics can perform well in identifying more complex cases of ex-militants. Analysis of the data confirms that biometrics can fix the identity of an applicant and confirm linkages. Expanding the use of OctopusyIDEAS Data Integration Management would increase NDAMISs ability to detect cases of misrepresentation and abuse of programs, and would provide a strong link to previous Disarmament records. In addition, mandatory biometric verification would likely have a deterrent effect.
For high-quality fingerprints, the glass of the fingerprint reader must be cleaned regularly but not necessarily after every client. For any full implementation at reclassification site, there should be one fingerprint reader at each workstation. Any equipment should be secured to the workstation, and officer safety and ergonomics should be kept in mind.
Previous
Transform
study and comparison of available data and metadata with the HLANDATA data model and metadata profile. or create datasets and metadata according to the HLANDATA data model and metadata profile.
During this section the guides for accomplishing Data and metadata harmonization are presented in Appendix F. Each of these guides is based on a list of steps that can be easily followed. These steps are explained in detail helping the expert in church of the harmonization, giving possible tips, answers, recommendations and requirements. Each guide presents at the beginning a complete process diagram containing the symbols described below in Table 6-A. Table 6-A : Investigative NDAMIS Reclassification Pointers Begining and End of the Harmonization Process
Q U E S T IO N G U ID E
Guiding Questions
P R E V IO U S PROCEDURES
Previous Procedures
PROCEDURES
Procedures Included in the Harmonization Steps Number and Limits Work flow Direction
S te p X
7. Conclusion
The Provisional Reclassification which was conducted at Bakana LGA, in Rivers state has shown that biometrics technology could be extremely useful in strengthening identity management for the Niger Delta Amnesty Management Information System development program and in enhancing the integrity of that program and of Niger Delta Amnesty Management security. Biometrics were collected from many ex-militants and verified with no major disruption to operations at the provisional reclassification sites. The data collected in the operational environment was of good quality, which allowed highly accurate biometric matching at the OctopusyIDEAS Centre. Ex-militants understood and accepted the requirement for enrolment and verification of their biometrics. The technical issues that emerged during the provisional reclassification were in most cases addressed within the period of the provisional reclassification or could be addressed through better planning and technical design. The provisional reclassification had an impact on operations, adding some stress to waiting capacity and requiring additional Officials to manage the increase in processing. These issues were also manageable within the context of the limited scope of the provisional reclassification but would be more challenging if OctopusyIDEAS moved to regular biometric collection as part of reclassification. The experience from the provisional reclassification will inform future decision making, and the lessons learned will guide any future implementation. OctopusyIDEAS would like to thank the Ex-militants, as well as all ANND and NIGER DELTA AMNESTY Officials who participated in the Provisional Reclassification.
E q u ity P r o v id e r s
P r iv a te E n tity (C o n c e s s io n a ir e )
O p e r a tio n s a n d M a in te n a n c e C o n tra c t
D ebt P r o v id e r s
Extra servers will be installed after the field reclassification data is collected to carry out the high volume matching of photos and 10-fingerprint sets using: a. Only facial recognition for biometric matching; and b. Fingerprints as the prime and facial recognition as the secondary biometric matching. This servers configuration will consist of 2 servers and 4 desktop PCs.
I 1 Identity management outcomes I1.1 Number of ex-militants identified under multiple application identities before Obubra Demobilization Matches using photo
Systematically via match score reports and follow-up case analysis Systematically via match score reports of available photo matches and follow-up case analysis Systematically via match score reports of available fingerprint matches and follow-up case analysis Systematic review of enrolment matches and follow-up case analysis Systematically via match reports and follow-up case analysis Processing volume comparisons for all reclassification sites and analysis Enrolment time Failure to enroll photo False matches for identification (one-to-many) False non-matches for identification (one-to-many) Correct identification matching Photo quality Custom report for timing of photo capture Biometric system report Biometric system report and expert analysis Biometric system report and expert analysis Biometric system report and expert analysis Biometric system report and expert analysis Biometric system report Biometric system report Biometric system report Biometric system report Biometric system report Biometric system report and expert analysis Biometric system report and expert analysis Biometric system report and expert analysis Biometric system report and expert analysis Biometric system report and expert analysis Biometric system report and expert analysis Biometric system report and expert analysis Biometric system report and expert analysis Biometric system report and expert analysis Biometric system report and expert analysis Biometric system report
I1.2
I1.3
I1.4
Number of multiple fingerprint and photo enrolments in amnesty for same ex-militants Number of ex-militants identified under multiple identities following Documentation Deterrent effect
Effectiveness
Enrolment time for 10 fingerprints Time for identification Time for verification Time for fingerprint verification capture System wait times Failure to enroll (all 10 fingerprints) Failure to capture verification print False matches for identification Correct identification matching False non-matches for identification False acceptance rates for verification False reject rates for verification Correct non-matches for verification True acceptance rates for verification Systems biometric sample quality scoring/assessment
I4 Fingerprint and facial recognition performance I4.1 Effectiveness I5 Overall biometric system performance 10-fingerprint readers Photo capture device Laptop PCs Server - software
Review based on results from facial recognition and fingerprints Number/type of problems Number/type of problems Number/type of problems Number/type of problems
Data Centre and Reclassification Site reporting and IT technical reports Data Centre reporting and IT technical reports Reclassification Site reporting and IT technical reports Data Centre / Reclassification Site reporting and IT technical reports
Data Centre / Reclassification Site reporting and IT technical reports Data Centre / Reclassification Site reporting and IT technical reports
S1 Candidate facilitation Repeat ex-militants during the field reclassification S2 Candidate relations Awareness of the field reclassification Candidates planned reclassification points Candidates attitudes and perceptions Candidates cooperation Official complaints Access to Information Requests Judicial review Withdrawal of applications Candidates queries S3 Public opinion Media coverage Organizational/procedural impacts O1 Data Centre impacts Achieving photo standards Number of reclassifications processed Wait time O2 Field Reclassification Site impacts Number of field reclassification participants seeking classification Entry processing times Number of booths open to field reclassification Number of field reclassification participants being enrolled for fingerprints Number of field reclassification participants refusing to enroll their fingerprints Number of field reclassification participants fingerprints verified Verification time for photo on primary inspection line O3 Usability of Ex-militants data Number of Ex-militants enrolled Photo quality Fingerprint quality O4 Centralized matching centre impacts Time to confirm a match suggested by the system Time to confirm a non-match suggested by the system Expert detection errors O5 Ergonomics Ease of fingerprint enrolment at field sites from candidates perspective O6 Human resource impacts Training requirements Recruitment and retention Occupational stress Cost factors C1 Implementation costs Project management Vendor/capital expenses Human resources Facilities modifications Equipment maintenance Project management reporting Project management reporting Project management reporting Project management reporting Project management reporting Project management reporting Compliance with photo standards Manual sampling of photos transmitted Data Centre statistics generated from case processing system Data Centre tracking and reporting Monitoring of reports in the press Survey Survey Survey Officials interviews Supervisor reports Amnesty Office reports Amnesty Office reports Case processing system reports Reception Office, SAs office and Unit reports Volume and time to resolve to repeat field reclassification candidates Custom report based on biometric system data
Biometric system report Additional time to conduct biometric activities Biometric system report Supervisor reporting Biometric system report
Supervisor reporting
Biometric system report Manual reporting Manual reporting Biometric system report and analysis Biometric system report and analysis Expert peer review Manual reporting
IT/network impacts
2. Privacy Considerations
Any institution proposing to implement a new identity collection, use and disclosure of personal information, must first perform a privacy assessment to identify privacy risks in order to understand how those risks can be mitigated. In part, a privacy risk identifies a potential improper collection, use or disclosure of personal information with regards to legislation. According to the Electoral Act 2003 and the Federal Road Safety Act, both Acts provide the basis of information for the issua nce of voters card and drivers license, owning that the information required for both voters card and drivers license are information similar to the information contained in the National Civic Registration Act. Also Chapter IV of the Constitution of the Federal Republic of Nigeria 1999 on the protection of fundamental human rights including right to privacy. Section 45 of the same Constitution which also provides exceptions to fundamental human rights contained in the Constitution. Reference can also be made to the following Acts: i. ii. iii. iv. v. vi. vii. National Civic Registration Act; Passport Act; Immigration Act; National Population Act; The National Health Insurance Scheme Act; Birth & Death (Compulsory Registration) Act; and Pension Reform Act.
From a privacy perspective, OctopusyIDEAS constructed the field reclassification questionnaire to fully respect the privacy rights of candidates during the field reclassification and also in a way which NDAMIS database can easily be integrated into the various constitutional security programs. In order to protect the privacy rights of the individual, the field reclassification was structured so that no administrative action or decision-making process of any kind at the participating field reclassification sites would be taken as a result of the biometric data collected. Rather, the information collected will be analyzed by OctopusyIDEAS specialists in the OctopusyIDEAS secure laboratory at Calabar. In addition, all biometric personal information will be handed over to the Amnesty Commission within three months of the termination of the field reclassification.
3. Equipment
A full list of equipment installed at all sites can be found in Appendix B IT Hardware and Equipment. The following two Figures (3-1) outline the setup of the field reclassification equipment by site location: Table 3 : I.T. Hardware and Equipment Schematics
L a p to p W o rk S t a t io n s D e s k to p W o rk S t a t io n s
Id e n t it y C a p tu re D e v ic e s
Stand Alone System: Integration of the field reclassification biometrics system was not possible during the Provisional Reclassification due to operational constraints. As a result, an alternate method of entering client biographic data into a stand-alone biometrics system was developed to capture candidate passports. This has been the basis on the type and amount of equipment required in the subsequent reclassification.
that majority of the photos submitted were not within current international standards. There is the need to establish and maintain enhanced photo specifications in general and specifically for the field reclassification so that the quality of matching would be adequate for testing. As a result, OctopusyIDEAS photo specifications, concurrent with International Civil Aviation Organization (ICAO) standards and applicable worldwide, has been developed guidance.
Step 1
Id e n tify S o u r c e D a ta M o d e l
B eg in H arm o n izatio n P ro cess
N D A M IS D ata M o d el
W ith o u t D ata M o d el
Step 2
D a ta M o d e l?
C r e a te a S im p le B io D a ta S tr u c tu r e
C re a te th e M a tc h in g T a b le
F ill M a tc h in g T a b le
Step 3
NO
M a tc h e a b le ?
D ocum ent
YES
Step 4
P e rfo rm T r a n s fo r m a tio n
F in is h H a r m o n iz a tio n P r o c e s s