Federal Biometrics Overview for Venture Capitalists (2005)

National Science & Technology Council Subcommittee on Biometrics VC – USG Discussion Duane Blackburn NSTC Agency Representative (FBI) Office of Science & Technology Policy www.ostp.gov www.biometricscatalog.org/NSTCSubcommittee Duane_M._Blackburn@ostp.eop.gov (202) 456-6068 National Science and Technology Council (NSTC)

National Science & Technology Council Subcommittee on Biometrics Department of Homeland Security Terri Phillips Biometrics Advisor (MITRE/SETA Support) US-VISIT Program www.dhs.gov tphillips@mitre.org (202) 298-5087 National Science and Technology Council (NSTC)

Biometrics are used throughout DHS • Biometrics are used for – Identity Verification » Port of Entry inspections, Benefits adjudication – Investigation » Watch lists, Background checks – Credentialing » Token issuance with biometric identifiers – Security » Physical and logical access control – Enforcement » Documenting Apprehensions, managing and adjudicating violators • Types of biometrics used – Face, fingerprint, iris National Science and Technology Council (NSTC)

DHS Biometrics Study Identified 64 Programs • Asylee and Refugee Documentation • Border Patrol • Immigration and Customs Enforcement • DHS Access Card • Enhanced Identification Credential for International Seafarers • Facilitated Inspection: NEXUS, SENTRI, INSPASS • Free and Secure Trade (FAST) • Merchant Mariner’s Document • TSA’s Registered Traveler • Transportation Worker Identity Credential (TWIC) • US-VISIT/IDENT National Science and Technology Council (NSTC)

Legislation and Directives • Intelligence Reform and Terrorism Prevention Act – Total of 55 references to “biometric” in the Act – Two major areas: Aviation Security and Border Entry-Exit • Enhanced Border Security and Visa Entry Reform Act – Biometrically-enabled travel documents for nationals of all Visa Waiver Program countries and all U.S.-issued travel documents issued to non-U.S. citizens – Incorporate biometrics into entry-exit system • Homeland Security Presidential Directive 11 (HSPD-11) – Comprehensive terrorist-related screening procedures – Use of a biometric identifier or other identification for screening • Homeland Security Presidential Directive 12 (HSPD-12) – Policy for a common identification standard for Federal employees and contractors – Result: Federal ID cards containing biometric information National Science and Technology Council (NSTC)

DHS Operational Needs • Improved biometric acquisition devices – Fingerprints » Contactless fingerprint sensors » Fast capture (ten seconds) good quality 10 print » Rugged mobile 10-print – Pose and lighting-invariant capture for face, iris – Size and weight of devices suited to varied operating environments • Image quality assessment at biometric capture • Ability to “morph” an image for compatibility with biometric algorithms • Biometric middleware – Ability to change biometric matcher parameters based on image quality, threat level or other rules – Dynamically change matching algorithms, fuse multiple biometrics, allocate system capacity in response to workload • Database growth and management National Science and Technology Council (NSTC)

DHS Operational Use of Biometrics • Understand DHS diverse operational environments and users – Attended - unattended » Liveness checking, image quality, accuracy (false positives, false negatives) – Frequent – infrequent use » Ease of use for operators and end users – Cooperative - non-cooperative - uncooperative subjects » Varying distance and angle from capture device to subject, image quality – Indoor-outdoor environments » Differences in illumination, temperature, noise, humidity National Science and Technology Council (NSTC)

Goals for Biometrics Usage • Standards-based technology and products – Interoperability – Comparable performance / error rates • No stove-piped systems • Middleware development • Single contact with DHS • Privacy protection National Science and Technology Council (NSTC)

Biometric Product and Service Improvements • Hardware products – Design that facilitates capture of good quality images with minimal intervention or training required – Small, lightweight, portable devices for agents to use in the field – Self-authenticating, non-refutable portable device for identity verification » Tamper-resistant » Accurate • Integration into DHS infrastructure/interoperability – No vendor lock-in • Multi-biometric fusion for enhanced performance National Science and Technology Council (NSTC)

Summary • Biometrics is an enabling technology that supports DHS’ mission and goals, not an end in itself • Biometric technology and products must support DHS’ varying needs and operating environments – from benefits adjudication and border inspection to transportation security and immigration enforcement National Science and Technology Council (NSTC)

National Science & Technology Council Subcommittee on Biometrics Department of Justice Chris Miles Senior Program Manager National Institute of Justice www.ojp.usdoj.gov/nij Christopher.Miles@usdoj.gov (202) 616-1100 National Science and Technology Council (NSTC)

Justice Biometrics Research and Development The Department of Justice maintains an active biometrics program in: • Laboratory Research and Evaluations • Criminal Justice System Scenario & Operational Evaluations • Operational System Enhancements • Standards Development Integrated Automated Fingerprint Hand Identification System (IAFIS) Corrections Access Finger Finger IRIS School Access & Face Face Wireless ID & Booking National Science and Technology Council (NSTC)

Justice Biometrics Research and Development Objectives: • Develop and evaluate technology products that will enhance law enforcement and corrections officers’ ability to correctly identify cooperative and non-cooperative individuals and to fix the identity of individuals in the justice system; • Evaluate technologies, such as the DoD smartcard, for applications in credentialing, physical and logical access control, and document/report/evidence accountability; • Obtain and disseminate biometrics technology and product information to the law enforcement and corrections communities. Recent Successes: • Evaluation of Iris Technology in Schools, www.ncjrs.org/pdffiles1/nij/grants/208127.pdf • Face Recognition Vendor Test 2000, 2002, & 2005, www.frvt.org • Fingerprint Vendor Technology Evaluation, 2004, http://FpVTE.nist.gov • Five Biometric Standards Released in 2004, www.incits.org/m1 • Biometrics Catalog Web Site, www.biometricscatalog.org National Science and Technology Council (NSTC)

Justice Biometrics Cooperative The Justice Biometrics Cooperative (JBC) was established in 2003, by the U.S. Deputy Attorney General under recommendation of the U.S. Department of Justice Chief Science Advisor, Vahid Majidi, Ph.D. The mission of the JBC is to: 1. Foster collaboration within DOJ on biometric issues and activities. 2. Function as a focal point and clearinghouse for information on biometric research, technologies, and applications. 3. Support participation of DOJ components in interagency and international working groups on biometric technologies. Current Participants are: Available at: www.biometricscatalog.org Bureau of Alcohol, Tobacco, Firearms & Explosives; Bureau of Justice Statistics; Bureau of Prisons; Drug Enforcement Agency; Federal Bureau of Investigation; Justice Management Division; National Institute of Justice; U.S. Attorneys; and U.S. Marshals Service National Science and Technology Council (NSTC)

DOJ Areas of Particular Interest in Biometrics Prioritized Operational Needs for Biometric Technologies: • Expedited Capture of Rolled-Equivalent Fingerprints & Palm Prints − Inmate processing; border security checks; and background security checks for employment & ID issuance • Confirming and Fixing the Identity of Individuals − Inmate processing; ID of visitors to correctional facilities; confirmation of ID of those with multiple, false, and/or no documentation; mortuary identification; wants and warrants verification; sex offender tracking; employee background checks; and queries across Criminal Justice Information System (CJIS) databases • Identification of People from Video and Audio Surveillance − Preventing unauthorized access on school campuses; ID of individuals in secure or controlled areas; detecting altered appearances; detecting gang activities; and ID and authorization of communications system users National Science and Technology Council (NSTC)

DOJ Areas of Particular Interest in Biometrics (Continued) Prioritized Operational Needs for Biometric Technologies: • Expedited Automation of Biometric Legacy Information − Fingerprint cards that are not yet available electronically; common standards for database integration; access to proprietary data; and accuracy and quality control within databases • Collection of Biometrics in Field Environments − Improved officer safety in routine duties (i.e. traffic stops); eliminating mis-ID of innocent subjects; cost & time savings of reduced transportation & processing for ID; fusion of biometric identifiers; and better performance for existing devices • Controlling Physical and Logical Access − Facilities (Corrections, Courts, Schools); sensitive/controlled areas; evidence or weapons storage; controlled substance/ medication distribution; communication devices; computer systems; and training certification National Science and Technology Council (NSTC)

Potential Technologies for Operational Needs Particular Technologies of Interest: • Temporal Processing of Facial Images • Evaluation of Iris Recognition • Fusion of Facial & Iris, Facial & Finger, and/or Finger & Iris • Processing of High Resolution 2D Facial Images • Evaluation of Facial Recognition and/or Voice/Speaker Recognition Performance • HDTV (720p) Security and In-car Cameras And Recorders • Low-Cost High-Resolution Camera and Computer Modules Generic Requirements for All Operational Needs: • Ruggedized High-Capacity Mass Data Storage Devices • Technologies Meeting Open Standards • Technologies Meeting Interoperability Needs National Science and Technology Council (NSTC)

National Science & Technology Council Subcommittee on Biometrics Biometrics Technologies: Intelligence Community Needs Dr. Andrew F. Kirby Senior Research Scientist Intelligence Technology Innovation Center (703) 874-0834 National Science and Technology Council (NSTC)

Biometrics Technologies: Intelligence Community Needs True Identity is Intelligence! Dr. Andrew F. Kirby National Science and Technology Council (NSTC)

ITIC’s Focused-Technology Mission Identify, advance technologies with innovative solutions, initiate development and insertion projects to solve priority IC-customer problems ITIC Activity Transition from ITIC Implementing Customer Organizations Technologies Solutions Projects Development Production Operations • Identify • Initiate • Fund • Explore • Define • Breadboards • Nurture • Model • Demonstrations • Test • Coordinate What is ITIC? National Science and Technology Council (NSTC)

• Perceived Relevance of Biometrics: True Identity is Intelligence! – Defeating the Foreign Terrorist Threat – Protection of US Missions Abroad – Defeating the Insider Threat to Sensitive Facilities and Resources National Science and Technology Council (NSTC)

Intelligence Biometrics Objectives • Authentication • Biometric + Data • 1 to 1 match/no match • Easier technical problem • Identification (ID) Use-Cases: • Biometric alone • Tracking, Surveillance • 1 to N match/no match • Linking time, place • More challenging • Access Control • Logical Systems • Watch-list • Physical areas • 1 to n (smaller n) National Science and Technology Council (NSTC)

• Key Advanced Research, Development, & Engineering Thrusts: – High Performance Face Recognition » Attended and Unattended Surveillance Applications » 3D and texture analysis » Improved scaling – High Utility Iris Recognition » Improved depth of field » Improved range and speed of image acquisition » Improved ease of use National Science and Technology Council (NSTC)

• Key Advanced Research, Development, & Engineering Thrusts: – Multi-modal Collection Systems » Portable, hand-held » Stand alone, networked » Secure communications – Secure Data Fusion and Analysis » Multi-mode » Real-time matching (first phase analysis) » Identity Resolution (second phase analysis) National Science and Technology Council (NSTC)

• Areas the IC has already recommended for Venture Capital: – 3D Face Recognition Development – High Security Fingerprint Recognition – Greater Depth-of-field Imaging Technology National Science and Technology Council (NSTC)

National Science & Technology Council Subcommittee on Biometrics Department of Defense The DoD ABIS LTC Jeffery Lepak DoD Biometrics www.biometrics.dod.mil john.woodward@hqda.army.mil (703) 602-5427 National Science and Technology Council (NSTC)

Identity Dominance Linked to • Previous identities - User of alias identities Previous - User of alias “official” Identities documents Past • Previously detained? Activities • Previously arrested in U.S. or other countries? • Matched to terrorist or crime activities? Bottom Line: Using only names and official documents… - We don’t know. - We won’t know in the future. Paradigm Shift: We must leverage the power of biometric data. National Science and Technology Council (NSTC)

FBI’s IAFIS Architecture State AFIS State AFIS State AFIS IAFIS State AFIS State AFIS Criminal Booking Criminal Other Operations Investigations National Science and Technology Council (NSTC)

Conceptual DoD ABIS Enterprise Architecture COCOM COCOM COCOM DoD FBI COCOM ABIS IAFIS COCOM Maritime Interception Detainee Operations Operations Other Operations National Science and Technology Council (NSTC)

Summary • Biometric technologies are an enabling tool in the Global War on Terrorism • Biometrics, and specifically the DoD ABIS, will improve the USG’s ability to track and identify national security threats • To maximize this capability, USG must embrace the concept of identity dominance and act with a sense of urgency National Science and Technology Council (NSTC)

National Science & Technology Council Subcommittee on Biometrics NSTC Subcommittee on Biometrics Duane Blackburn NSTC Agency Representative (FBI) Office of Science & Technology Policy www.ostp.gov www.biometricscatalog.org/NSTCSubcommittee Duane_M._Blackburn@ostp.eop.gov (202) 456-6068 National Science and Technology Council (NSTC)

Current NSTC Structure NSTC April 2005 Director, OSTP Committee on Committee on Committee on Committee on Environment & Science Technology Homeland and Natural Resources National Security WH: Kathie Olsen NSF: Arden Bement WH: Richard Russell WH: Kathie Olsen WH: Shana Dale NIH: Elias Zerhouni DOC: Phillip Bond DOC: Conrad Lautenbacher DOD: Michael Wynne EPA: TBD Research Business Models Networking & Information DHS: Charles McQueary Technology Global Change Research Education & Workforce Dev. National Security R&D Nanoscale Science, Air Quality Research Aquaculture Engineering & Human Subjects Research Technology International* Disaster Reduction IWG Physics of the Universe WMD Medical Advanced Technologies Ecosystems Countermeasures IWG Plant Genome For Education & Training Toxics & Risks IWG Dom. Animal Genomics Manufacturing Standards Water Availability & Quality IWG Prion Science Research & Development Foreign Animal Disease IWG Trans-boarder Samples IWG Earth Observations Threats* IWG Multinational Orgs* Infrastructure R&D Investment Criteria** Aeronautics S& T IWG on Dioxin Biotechnology Biometrics Oceans S & T Social, Behavioral & Econ. * in development National Export Controls for S&T ** Informal Science and Technology Council (NSTC) Health and the Environment

Functions • Enhances collaboration among Federal agencies on Biometrics activities • U.S. Government’s focal point and clearinghouse for information on biometrics research, technologies, and technical/policy issues • Supports the coordinated participation of U.S. Government agencies in international working groups on biometric technologies National Science and Technology Council (NSTC)

Subcommittee on Biometrics Participants • OSTP* • DOJ • DOD – BOP – BMO • DHS* – FBI – ONR – CIS – CBP – JMD – NIJ • DOT – OCR – Privacy Office – US – FAA – S&T Attorneys – Maritime – TSA Administration – USCG – NHTSA • NSF – USSS – OGC • Treasury (IRS) • DOC (NIST) • Intel Community – CIA • TSWG • DOS – ITIC – NSA • GPO • OMB * Co-chairs National Science and Technology Council (NSTC)

Coordination Areas Research and Development Research and Test Infrastructure • Fingerprint Recognition • Data Collection • Face Recognition • Infrastructure for RDT&E Data Sharing • Iris Recognition • Test and Evaluation • Other • Fusion System Considerations Program Management Tools • Human-System Interface • Social/Legal/Privacy • Middleware • Communications • Decision Support Tools • Application Description • Standards • Solicitations National Science and Technology Council (NSTC)

National Science & Technology Council Subcommittee on Biometrics Fast Capture Fingerprint Initiative Chris Miles Senior Program Manager National Institute of Justice www.ojp.usdoj.gov/nij Christopher.Miles@usdoj.gov (202) 616-1100 National Science and Technology Council (NSTC)

Fast Capture Finger/Palm Print Technology • Fingerprints are the most relied-upon biometric for identity verification and positive linking of persons to criminal history and background check records • The expanded use of finger and palm prints for background checks and identifications is currently limited by the technology available to capture the friction ridge detail that enables database searches • New technology with much greater convenience, speed, reliability, affordability, and accuracy must quickly be developed to improve our Nation’s ability to meet the screening requirements for criminal, border, transportation, and employment checks • This program seeks to improve and advance the current state of technology to capture 10 rolled-equivalent fingerprints in less than 15 seconds and both palm prints in 1 minute or less • This is a joint effort of the NIJ, FBI, DEA, and Justice Management Division of the Department of Justice; and the U.S. Departments of Defense, Homeland Security, and State National Science and Technology Council (NSTC)

Fast Capture Finger/Palm Print Technology • Three technology approaches are planned to be pursued in four separate projects: • A U-shaped flexible sensor that each finger fits into. • Two camera-based systems that take multiple high-resolution flash images of the fingers and palms. • A circular optical mirror system that the fingers are drawn across and a image is created • Each project will produce working devices within 18 months to 2 years that are suitable for independent performance testing • Captured images will meet or exceed all FBI and NIST image specifications • Total program budget is $7.5 Million. NIJ plans to fund an independent evaluation of resulting devices. Funds are being identified from within Justice and also from DoD, DHS, and State to initiate the projects National Science and Technology Council (NSTC)

National Science & Technology Council Subcommittee on Biometrics Face Recognition Research Duane Blackburn Program Manager Federal Bureau of Investigation www.fbi.gov www.frvt.org Duane.Blackburn@ic.fbi.gov (703) 632-6161 National Science and Technology Council (NSTC)

Performance Goals and Progress Independent Evaluations (Gold Standard) Starting Point 80% Measured in FRVT 2002 National Science and Technology Council (NSTC) FAR = 0.1%

Performance Goals and Progress Independent Evaluations (Gold Standard) Goal 98% Starting Point 80% Measured in FRVT 2002 National Science and Technology Council (NSTC) FAR = 0.1%

Performance Goals and Progress Independent Evaluations Face Recognition Grand Challenge (Gold Standard) (Participant Self-Reporting) 99.99% Multi-Still (Jan 05) 99% High Resolution Still (Jan 05) Goal 98% To be measured by FRVT 2005 97% Three-Dimensional (Jan 05) Starting Point 80% Measured in FRVT 2002 National Science and Technology Council (NSTC) FAR = 0.1% * First set of results after 4 months in a 12 month period

Next Steps in Face Recognition • FRVT 2005 – Blind Evaluation (No visibility to data) – Open to academia, industry, and research institutions – Evaluating Performance on: » High resolution still imagery (5 to 6 mega-pixels) » 3D facial scans » Multi-sample still facial imagery » Pre-processing algorithms that compensate for pose and illumination – Scheduled to commence in late FY 2005 • FRGC II National Science and Technology Council (NSTC)

National Science & Technology Council Subcommittee on Biometrics Iris Recognition Research Duane Blackburn Program Manager Federal Bureau of Investigation www.fbi.gov iris.nist.gov/ICE Duane.Blackburn@ic.fbi.gov (703) 632-6161 National Science and Technology Council (NSTC)

Iris Recognition Workshop • Held in January 2005 • Emphasis on less-than-cooperative subjects • Two days with split topics: − Features and Algorithms − Optics and Sensors • Primarily academic presenters National Science and Technology Council (NSTC)

Iris Challenge Evaluation • Follows the FRGC/FRVT development and assessment model − Phase I: Iris challenge problem » August-December 2005 − Phase II: Large-scale independent technology evaluation » 1Q 2006 National Science and Technology Council (NSTC)

National Science & Technology Council Subcommittee on Biometrics Biometrics Experimentation Environment Duane Blackburn Program Manager Federal Bureau of Investigation www.fbi.gov Duane.Blackburn@ic.fbi.gov (703) 632-6161 National Science and Technology Council (NSTC)

Biometrics Experimentation Environment • Overview – A resource to collect and share datasets for development and evaluation purposes – Provides a common user interface through which experiments are established and results are compiled and presented for evaluation analysis • Benefits – Easier and less expensive to perform biometric evaluations – Produce audit trails to metadata, making it possible to analyze results in greater detail than previously possible National Science and Technology Council (NSTC)

Biometrics Experimentation Environment (5) may incorporate results (2a) run experiment on into design of next dataset using their experiment algorithms (1a) develops experiment Research Institutions (1b) provides pointers &/or Vendor to needed data and Participants U.S. metadata Government B-Base (2b) may also run their own experiments on dataset (3) output results in standardized format (4) collates data Results File and plots results U.S. Government Research Institutions &/or Vendors National Science and Technology Council (NSTC)

National Science & Technology Council Subcommittee on Biometrics The Biometric Consortium Jeff Dunn Co-Chair Technical Director for Biometrics National Security Agency www.biometrics.org dunn@biometrics.org (301) 688-7421 National Science and Technology Council (NSTC)

The Biometric Consortium • The Biometric Consortium serves as a focal point for research, development, testing, evaluation, and application of biometric-based personal identification/verification technology National Science and Technology Council (NSTC)

The Biometric Consortium • Facilitates information exchange • Web Site • Electronic Discussion List • Conferences / workshops www.Biometrics.org National Science and Technology Council (NSTC)

The Biometric Consortium • Started in 1992 with less than 30 government researchers • Now over 1,000 members from Federal, State & Local Governments, industry, national labs, and Academia – Technology focused – Users, Researchers – Vendors, Integrators National Science and Technology Council (NSTC)

The Biometric Consortium Conference • The 2004 Biometric Consortium conference had over 1000 participants, including: – 100 speakers – 75 exhibitors – 60 Federal agencies – 25 Universities – 200 Commercial vendors, integrators, & users National Science and Technology Council (NSTC)

2005 Biometric Consortium Conference • 19-21 September 2005 • Hyatt Regency Crystal City Arlington, VA • 2 ½ days of seminars • Technology Exhibits • Cost $540 • www.biometrics.org National Science and Technology Council (NSTC)

National Science & Technology Council Subcommittee on Biometrics Discussion National Science and Technology Council (NSTC)

Multi-Biometric Category Modality Algorithm Biometric Trait Sensor (e.g. body part) Multi-modal 2 2 2 2 (always) (always) (always) (usually) Multi-algorithmic 1 2 1 1 (always) (always) (always) (always) Multi-instance 2 instances 1 1 of 1 trait (always) (always) (always) Multi-sensorial 1 1 1 1 (always, & same (always) (usually) (usually) instance) Repeated Instance 1 1 1 1 National Science and Technology Council (NSTC)

Federal Biometrics Overview for Venture Capitalists (2005)

by Duane Blackburn on Apr 21, 2010

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Federal Biometrics Overview for Venture Capitalists (2005) Presentation Transcript