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)


Department of Homeland Security
Terri Phillips
Biometrics Advisor (MITRE/SETA Support)
US-VISIT Program

www.dhs.gov
tphillips@mitre.org
(202) 298-5087


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


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

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

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

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

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


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


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



Department of Justice
Chris Miles
Senior Program Manager
National Institute of Justice

www.ojp.usdoj.gov/nij
Christopher.Miles@usdoj.gov
(202) 616-1100


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


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


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


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

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


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




Biometrics Technologies:
Intelligence Community Needs
Dr. Andrew F. Kirby
Senior Research Scientist
Intelligence Technology Innovation Center

(703) 874-0834


Biometrics Technologies:
Intelligence Community Needs

True Identity is Intelligence!

Dr. Andrew F. Kirby


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?


• 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


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)


• 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

• 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)


• Areas the IC has already recommended
for Venture Capital:

– 3D Face Recognition Development

– High Security Fingerprint Recognition

– Greater Depth-of-field Imaging Technology



Department of Defense
The DoD ABIS
LTC Jeffery Lepak
DoD Biometrics

www.biometrics.dod.mil
john.woodward@hqda.army.mil
(703) 602-5427


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.


FBI’s IAFIS Architecture
State AFIS

State AFIS

State AFIS
IAFIS
State AFIS
State AFIS

Criminal Booking Criminal Other Operations
Investigations

Conceptual DoD ABIS
Enterprise Architecture
COCOM

COCOM

COCOM DoD FBI
COCOM
ABIS IAFIS

COCOM

Maritime Interception
Detainee Operations Operations Other Operations

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



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


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


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


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



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


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


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


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


Performance Goals and Progress
Independent Evaluations
(Gold Standard)

Starting Point 80%
Measured in
FRVT 2002

FAR = 0.1%

Independent Evaluations
(Gold Standard)

Goal 98%

Starting Point 80%
Measured in
FRVT 2002

FAR = 0.1%

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

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



Iris Recognition Research
Duane Blackburn
Program Manager

www.fbi.gov
iris.nist.gov/ICE
(703) 632-6161


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


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


Biometrics Experimentation Environment

Duane Blackburn
Program Manager

www.fbi.gov
(703) 632-6161



• 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



(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



The Biometric Consortium
Jeff Dunn
Co-Chair

Technical Director for Biometrics
National Security Agency

www.biometrics.org
dunn@biometrics.org
(301) 688-7421


• The Biometric Consortium serves as a
focal point for research, development,
testing, evaluation, and application of
biometric-based personal
identification/verification technology


• Facilitates information exchange
• Web Site
• Electronic Discussion List
• Conferences / workshops

www.Biometrics.org


• 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


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


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



Discussion


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


Federal Biometrics Overview for Venture Capitalists (2005)

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