9280 - Ballard - Redacted Version of MOC for Release

8/8/2019 9280 - Ballard - Redacted Version of MOC for Release

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_________________________________

MEMORANDUM OF COOPERATION

BETWEEN

The

UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELANDHOME DEPARTMENT

IDENTITY AND PASSPORT SERVICE

AND

The

UNITED STATES

DEPARTMENT OF JUSTICE

FEDERAL BUREAU OF INVESTIGATION

CRIMINAL JUSTICE INFORMATION SERVICES DIVISION

FOR

TECHNICAL BIOMETRIC SUPPORT

Introduction:

The Identity and Passport Service (IPS), an executive Agency of the Home Department of the

United Kingdom of Great Britain and Northern Ireland, and the Criminal Justice Information

Services (CJIS) Division, Federal Bureau of Investigation (FBI), together referred to as the

Participants, enter into this Memorandum of Cooperation (MOC) to facilitate the FBIs

provision of anonymised fingerprints and associated data, and the exchange of test data, to

support the evaluation of technical solutions proposed by bidders for the UK National Identity

Scheme.


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Background:

The United Kingdom Government is currently considering the introduction of Identity Cards and

Biometric Passports that will contain biometric information. Each of these initiatives will

require the creation of a biometric database which will be used for identification purposes.

IPS intends to commence procurements for systems and equipment to support these initiatives.

The ability to search a large fingerprint database to identify matching sets of prints is critical to

meet the relevant business objectives for performance and integrity. It is therefore important to

examine the fingerprint matching capabilities of short-listed bidders systems and equipment.

The ability to carry out search and match functions (called the Biometric Matching Performance

Test by the IPS) is required during the procurement exercise. The Biometric Matching

Performance Test will be one of a number of tests undertaken by the IPS to differentiate the

biometric capabilities of bidders.

This MOC reflects the Participants intent to co-operate in the sharing of resources and

information to deliver the objectives of the Biometric Matching Performance Test.

This MOC is not legally binding but it sets out a framework that will govern the relationship

between the Participants.

This MOC is not intended, and should not be construed, to create any right or benefit, substantive

or procedural, enforceable at law or otherwise, by any Participant or third party against theParticipants, their parent organizations, the United States, the United Kingdom, or the officers,

employees, agents or other associated personnel thereof.

THE PARTICIPANTS HAVE REACHED THE FOLLOWING UNDERSTANDING: -


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1. Definitions

Definitions that apply to this MOC are contained in Appendix One.

2. Duration and Amendment

2.1 This MOC will take effect on the date it is signed by both Participants and will last

for a period of up to 12 months unless it is terminated or extended pursuant to the

provisions of this paragraph 2.

2.2 This MOC may be terminated at any time by the written agreement of both

Participants.

2.3 Either Participant may terminate this MOC at any time by giving 30-day notice to the

other Participant.

2.4 In the event that the MOC is terminated or work delayed/cancelled, whether by

consent or otherwise, the Participants will use reasonable endeavours to co-operate

to ensure termination and/ or delay is managed in a manner which minimises costs

and disruptions to existing work and which respects the interests of both Participants.

2.5 The Participants may agree to extend this MOC for such further period as they both

agree in writing.

2.6 This MOC may not be amended in any way unless the amendment is in writing and

signed by both Participants.

2.7 Nothing in this MOC is intended to limit the ability of the Participants to enter into

separate co-operative ventures that are outside the scope of this MOC.

2.8 Each Participant will be responsible for funding its own costs of managing,


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administering and delivering any obligations defined in this MOC. This MOC is not

an obligation or commitment of funds, nor a basis for transfer of funds, but rather a

basic statement of the Participants' understanding of the tasks and methods for

performing the tasks herein. Expenditures of each Participant will be subject to its

budgetary processes and to the availability of funds and resources pursuant to

applicable laws, regulations, and policies. The Participants expressly acknowledge

that this MOC in no way implies that funding will be made available for such

expenditures.

3. Scope of Work

3.1 The co-operation between the Participants under this MOC will be with the aim of

producing an appropriate fingerprint image dataset that will be used to test the

statistical performance of proposed biometric systems See Appendix Two.

3.2 The dataset is expected to contain both rolled and plain fingerprint impressions, in

approximately equal numbers, of more than one (1) million individuals, and will

contain data provided by both the FBI and the Home Office (including its Executive

Agencies). The dataset will also contain known matching sets of fingerprints for test

purposes. True identities will not be provided. See Appendix Two.

3.3 IPS will use the dataset to evaluate the Biometric Matching Performance Test. A

sample of the dataset will be provided to bidders prior to the test. IPS will ensure

that all datasets are returned to IPS and either destroyed or returned to the FBI.Neither IPS nor bidders shall retain copies of the datasets at the conclusion of this

initiative.

3.4 IPS intends to share the results of the tests with the FBI. Sharing will be subject to

commercial sensitivity considerations; consequently, data-sharing details will be

agreed upon as such considerations are clarified.


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3.5 The FBIs representative may attend IPS Biometric Expert Group meetings to serve

as a technical resource.

4. Management

4.1 The Participants will appoint two MOC managers (MMs), one on behalf of each

Participant, as follows:

a) The MM appointed by the FBI will be B. Scott Swann:

b) The MM appointed by the IPS will be ;

c) Either Participant may change their appointed manager subject to reasonable

written notification to the other Participant.

4.2 The MMs will be responsible for day to day MOC coordination.

5. Tendering Requirements

5.1 Participant will seek prior written consent from the other Participant prior to

outsourcing.

6. Ownership of Intellectual Property or Information

6.1 Ownership of Information exchanged under this MOC will remain with the

Participant providing the Information.

6.2 The Receiving Participant is not to use Information provided by the Disclosing

Participant other than for the purposes set out in this MOC, to include Biometric

Matching Performance Test and evaluations.

6.3 All Intellectual Property Rights in and relating to the results of the Biometric


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Matching Performance Test belong to the IPS.

7. Information Exchange and Data Protection

7.1 The Participants will comply with their national laws and policies on data protection

and freedom of information. Nothing in this MOC is intended to derogate from or

undermine those obligations.

7.2 Where Information exchanged pursuant to this MOC includes Information that has

been given an Official Classification by the Participant providing it, the other

Participant agrees to store and handle it in accordance with its national procedure for

Information of an equivalent Official Classification. The table below shows the

corresponding Official Classifications applied by the Participants.

UK Classification US Classification

Top Secret Top Secret

Secret Secret

Confidential Confidential

Restricted For official information only or

Sensitive But Unclassified (SBU)

7.3 Information with an Official Classification will be transferred between the

Participants only through official government-to-government channels or through

channels approved by both MMs. Such Information will bear the level of

classification and denote the country of origin, the conditions of release, and the fact

that the information relates to this MOC. The Information will also contain a

statement that it is not to be released under national disclosure laws without first

informing the Participant owner.


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7.4 The Participant sending documents with Official Classifications will ensure that they

are clearly labelled with the country of origin and official classification. Upon

receipt, the other Participant shall label the document with its equivalent

classification according to the table above.

7.5 The Participants agree that all Information exchanged under this MOC (whether it

has an Official Classification or otherwise) should be subject to the following

general principles:

a) Individuals will be given access to Information to the extent that they

require it to enable them to carry out their role in the Work or in operation

of the MOC;

b) Where an issue is raised during the work or under the MOC in general

which is of direct concern to another government department of either

Participant, Information may be shared with appropriate individuals in the

other government departments subject to proper protection being in place

for that Information and advanced notification to the other Participant of

such disclosure;

c) Access to Information with an Official Classification will be limited to

personnel who have appropriate security clearances;

d) Information will be used only for the purpose of the work or furthering the

objectives of the MOC;

e) The Participants will investigate any incident where it appears there has

been an unauthorised disclosure of Information relating to the work. Each

Participant will inform the other of any such incident immediately and ofthe results of its investigation;

f) If either Participant becomes aware that it is likely to have to disclose

Information received from the other Participant pursuant to any legislative

or judicial requirement, it will immediately inform the other Participant

and (insofar as it is legally able to do so) it will endeavour to take account

of the other Participants wishes in relation to such Information.


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g) This MOC does not contemplate the collection, processing, retention, or

transfer of information in violation of the laws of either the United

Kingdom or the United States. In the event of an apparent conflict

between the text of this MOC and a provision of any treaty or statute in

force between the United Kingdom and the United States, the treaty

provision or statute shall prevail.

7.6 The MMs will be responsible for implementing a system whereby all Information

generated or exchanged under this MOC is protected by means of appropriate

restrictions as to its handling, storage and transmission. This system may include a

process for Official Classification of such Information. Any such system will

contain a review process so that the classification is subject to regular reviews with a

view towards declassification (where appropriate).

8. Security Clearance

8.1 The Participant sending personnel to the others facility will request security

clearances at least 30 Days in advance. All requests will be co-ordinated through

official channels and will follow host Participant procedures.

8.2 Each Participant will reasonably co-operate with the others security clearance

procedures and provide any information reasonably required to carry out those

procedures.

9 Dispute Resolution.

9.1 Disputes arising under or in connection with this MOC will not be referred to any

national or international tribunal but will be resolved in the following manner:

a) The MMs will use reasonable endeavours to resolve the dispute;


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b) If the MMs are unable to resolve the dispute it will be escalated to FBI Criminal

Justice Information Services (CJIS) Division, Identification and Investigative

Services Section Chief, Kimberly J. Del Greco and the IPS Chief Information

Officer;

If Kimberly J. Del Greco and the IPS Chief Information Officer are unable to resolve

the dispute it will be escalated to FBI CJIS Division Deputy Assistant Director,

Jerome M. Pender and the Home Secretary or Minister of State.

9.2 The understandings set out above represent the understandings of the Secretary of

State for the Home Department of the United Kingdom of Great Britain and

Northern Ireland acting through the Identity and Passport Service and the Assistant

Director, FBI CJIS Division.


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FOR THE IDENTITY AND PASSPORT SERVICE OF THE UNITED KINGDOM

Signature:. Date:

JAMES HALL

Chief Executive, Identity and Passport Service

FOR THE FEDERAL BUREAU of INVESTIGATION

Signature:. Date:

THOMAS E. BUSH III

Assistant Director, Criminal Justice Information Services Division

Signature..................................................... Date.................................................

MARK STEVEN BULLOCK

Legal Attache, London, England


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Appendix One

Definitions:

Information includes fingerprints and other data, information relating to the design

and conduct of the Database Tests, the results of Database Tests, know-

how and any other information exchanged between the Participants in

whatever form including drawings, charts, schematic representations,

software, listings in source and object code and on whatever medium

including paper, electronic media, diskette, microfiche and tape. In

particular, it includes all information pertaining to the design and

conducting of the database test of equipment provided in connection with

the work.

Intellectual Property

Rights means all intellectual property rights of any kind recognised in UK or US

law including all letters patent, patent rights, utility models, registered

designs, design rights and copyright and other similar proprietary rights,

all rights of whatever nature in computer programmes, firmware,

microcode and other computer software and data and all intangible rights

and privileges of a nature similar to any of the foregoing, and whether or

not registered and including all granted registrations and all applications

for registration in respect of the same.

MM means a Memorandum Manager appointed by the Participants under

paragraph 4 of this MOC


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Official

Classification means a system of whereby the Participant is required to mark documents

and materials indicating the degree to which they are sensitive or

confidential and require special measures as to their storage, handling and

transmission.

Participant means the Home Department of the United Kingdom of Great Britain and

Northern Ireland or the Federal Bureau of Investigation and Participants

refers to them both.

Work means the programme of technical expertise and data provided by the

Participants to deliver the required outcomes as detailed in Appendix 2


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Appendix Two

Detailed Scope of Requirements

Background

The Identity and Passport Service (IPS), an executive agency of the Home Office, wishes to

implement a National Identity Scheme. It intends to undertake a procurement exercise in support

of the Scheme.

Following a pre-qualification, it is expected that a shortlist of five bidders will be identified to

receive an Invitation to Participate in a Dialogue (ITPD) and to formally bid for a procurement

package that will include fingerprint matching capability.

The ability of procured systems and equipment to be able to successfully search a large database

of fingerprint data and to identify any matching sets of prints is critical in ensuring the

performance of the relevant business requirements. It is therefore important to examine the

fingerprint matching capabilities of short-listed bidders systems and equipment as part of the

procurement process.

A test of the ability of the short listed bidders systems and equipment to search and match

fingerprints in a database (called the Biometric Matching Performance Test by the IPS) is

required during the procurement exercise. The Biometric Matching Performance Test will be

one of a number of tests undertaken by the IPS on the biometric systems and equipment offeredby short-listed bidders. The purpose of the Biometric Matching Performance Test (and other

tests) is to differentiate the biometric capabilities of bidders and provide other information during

the procurement exercise.

It is expected that the test will require the following data:

1. One Search dataset (Search_slap) comprising plain images of the left hand; right hand

and thumbs from > 4,000 individuals, grouped by individual, around half of which

have one (or more) mated sets in the corresponding File dataset and all of which have

been manually matched to corresponding records in the File dataset without the aid of

any automated systems (to avoid bias towards one or more bidders).

2. One Search dataset (Search_rolled) comprising: 1 rolled image of each finger

(normally 10 in all for each individual) from > 4,000 individuals, grouped by

individual, around half of which have one (or more) mated sets in the corresponding

File dataset and all of which have been manually matched to corresponding records in

the File datasets without the aid of any automated systems.

3. One File dataset (File_slap), comprising plain images of the left hand image; right


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hand and thumbs from >1 million individuals (up to 10 million individuals), grouped

by individual, and including data from ~2,000 individuals with known mates in

Search_slap and data from ~2000 people with known mates in Search_rolled i.e up to

~4000 in total.

4. One File dataset (File_rolled), comprising: 1 rolled image of each finger (normally 10

in all for each individual) from >1 million individuals (up to 10 million individuals),

grouped by individual, and including data from ~2,000 individuals with known mates

in Search_slap and data from ~2000 people with known mates in Search_rolled i.e up

to ~4000 in total.

In addition some smaller, sample datasets are required to provide to bidders to enable them to

pre-test their equipment:

1. One sample Search dataset: Sample_Search_slap comprising a subset of dataextracted from Search_slap and containing mates and non-mates (which will not be

identified) with data in the files Sample_File_slap and Sample_File_rolled.

2. One sample File dataset: Sample_File_slap comprising a subset of data extracted

from File_slap.

3. One sample Search dataset: Sample_Search_rolled comprising a subset of data

extracted from Search_rolled and containing mates and non-mates (which will not be

identified) with data in the files Sample_File_slap and Sample_File_rolled.

4. One sample File dataset: Sample_File_rolled comprising a subset of dataextracted from File_rolled.

Documents

9280 - Ballard - Redacted Version of MOC for Release