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					Introduction to Biometrics

          2004.9.16



                             1
      What is Biometrics

Biometrics are automated methods
 of recognizing a person based on
   a physiological or behavioral
          characteristics

                                   2
             Biometric includes
   Physiological Characteristics
    –   Fingerprint
    –   Palm print
    –   Face
    –   Iris
    –   Voice
   Behavioral Characteristics
    – Signature

                                    3
                     Fingerprint
   Strength
    –   Proven Technology Capable of High Level of Accuracy
    –   Range of Deployment Environments
    –   Ergonomic, Easy-to-Use Device
    –   Ability to Enroll Multiple Fingers
   Weakness
    –   Inability to Enroll Some Users
    –   Performance Deterioration over Time
    –   Association with Forensic Application
    –   Need to Deploy Specialized Devices
                                                          4
                      Palm print
   Strength
    –   Ability to Operate in Challenging Environment
    –   Established, Reliable Core Technology
    –   General Perception as Non-intrusive
    –   Relatively Stable Physiological Characteristic as Basis
    –   Combination of Convenience and Deterrence
   Weakness
    – Inherently Limited Accuracy
    – Form Factor That Limits Scope of Potential
      Applications
    – Price
                                                                  5
                         Face
   Strength
    – Ability to Leverage Existing Equipment and Image
      Processing
    – Ability to Operate without Physical Contact or User
      Complicity
    – Ability to Enroll Static Images
   Weakness
    – Acquisition Environment Effect on Matching Accuracy
    – Changes in Physiological Characteristics That Reduce
      Matching Accuracy
    – Potential for Privacy Abuse Due to Non-cooperative
      Enrollment and Identification                         6
                            Iris
   Strength
    – Resistance to False Matching
    – Stability of Characteristic over Lifetime
    – Suitability for Logical and Physical Access
   Weakness
    – Difficulty of Usage
    – False Non-matching and Failure-to-Enroll
    – User Discomfort with Eye-Based Technology
    – Need for a Proprietary Acquisition Device

                                                    7
                        Voice
   Strength
    – Ability to Leverage Existing Telephony Infrastructure
    – Synergy with Speech Recognition and Verbal Account
      Authentication
    – Resistance to Imposters
    – Lack of Negative Perceptions Associated with Other
      Biometrics
   Weakness
    – Effect of Acquisition Devices and Ambient Noise on
      Accuracy
    – Perception of Low Accuracy
    – Lack of Suitability for Today’s PC Usage                8
                     Signature
   Strength
    – Resistant to Imposters
    – Leverages Existing Processes
    – Perceived as Non-invasive
    – Users Can Change Signatures
   Weakness
    – Inconsistent Signatures Lead to Increased Error Rates
    – Users Unaccustomed to Singing on Tablets
    – Limited Applications

                                                              9
                Biometric Process
Enrollment:

  Present                             Store    No Match
                 Capture   Process
 Biometric


                                     Compare
Verification:
  Present
                 Capture   Process
 Biometric
                                               Match




                                                       10
Division of Biometrics Market




                                11
        Revenue of Biometrics Market



Source: International Biometric Industry Association(IBIA)




                                                             12
         Biometric Market Size
 Revenue:
    – 2003 revenue: $719M USD
    – 2006 projected revenue: $2.7B USD
    – 2008 projected revenue: $4.8B USD


   From:
    – Law enforcement
    – Public sector identification / Authentication
    – ID Card / E-passport / Immigration


                                                      13
        Technology Growth Comparison
                                               2003                          2006
Fingerprint                                    $198         x4               $858
Facial Recognition                               $50        x8               $417
Hand Geometry                                    $43                         $137
Middleware                                       $48                         $209
Iris Recognition                                 $36                         $190
Voice Verification                               $23                         $114
Signature Verification                            $9                          $54
Multi-modal                                      $11                         $106
AFIS                                           $312                          $705
Total                                          $719                        $2,684
                     Source: IBG’s “Biometrics Market and Industry Report 2004-2008”

                                                                                 14
Market size (in yen)    Business Model
        1012                 Network user authentication

                       Information system
                       authentication
  (千億) 11
     10                                        Authentication
                Entrance and exit              service business
                management
                PC Login
 (100億) 10
      10
                                    System integration business
  (10億) 9
      10
                                    Equipment/library business
            1980            1995      2005 2010                   2025(year)

                                                      Source: Biometrics Security consortium
                                                                                  15
                 Time Division
 1990-1995: access control & PC login
 1995-2005: info. system authentication
 2005-: network user authentication


   Japanese market:
    – 2000: 3M USD (equipment), 30M (system)
    – 2005: 10M USD(equipment), 100M (system)



                                                16
Market: Access Control (Worldwide)
                                             2004
 Market scale: 100M USD
 Market requirement:
    – Repeated use for one device
    – Severe demand on stability
    – High quality for services
    – Professional partner for integration




                                             17
      Market: Information System Authentication

 Market scale: 800M USD (ID card, etc.)
 Market requirements:
    – Integrator: multi-workstations, service to citizens,
      fingerprint database, network connection, secure
      info. access.
    – High quality reader
    – Entire client-server architecture
    – Implementation for related standards



                                                         18
      Market: Network User Authentication
   Market requirement:
    – M-business: cell phone, PDA, N/B
    – E-business: smart-card, ATM, P.O.S




                                            19
                      Drive to Market
   Since 911,national security becomes the major consideration.
   Therefore, a large quantity of biometric solution is in demands.
 The growth of biometric market is expected to be over 40% annually.
The market scale of 2007 is predicted to be approximate 4 billion USD.
 – E-passport with face & fingerprint check at the immigration.
 – Civil administration & work permit application for fingerprint
   verification/identification.
 – Verification for 3G cell phone with fingerprint.




                                                                    20
Status of Biometric
 Standardization
      (Updated)




                      21
              Overview
 Status of Consortia Work in
  Biometrics Standardization
 Status of Approved Projects in
  INCITS M1- Biometrics
 Status of JTC1 SC37 – Biometrics
 Interoperability Requirements




                                     22
Interoperability &                         Biometric Standards:
Data Interchange                           What is it necessary to
                                                 achieve?




           Client/Server – Different OS

                       •   Fraud prevention                         Biometric
                                                                  Authentication
                     E-commerce or Internet
                         bank customer
                                              Internet


                                                            Enterprise Web Server

                      •    Remote access             •   Transaction security

                                              Internet Security            23
                     美國Biometrics標準化活動

              ANS               NCITS(ANSI認定機關)                            NIST
 ISO
             美國標準局              資訊技術標準化委員會                              標準化技術研究所

                X9                        B10                               NIST-ITL
                金融                      ID Card                           標情報技術研究部

                X9F
            Information                 B10.8
                                    Driver License                                             美國政府Bio/API
              Security
                                                          AAMVA
 SC17                                  B10.8            美國自動車連合
               X9F8                                                                              BioAPI
ID Card                         Data Format Standard
             Biometrics                                                                        標準Biometrics
                                  of Driver License
                                                                                                  API
                                                            美國警察
                X9.84
          Interoperability of
           Biometrics data                                                    CBEFF
                                                                       The Common Biometrics
              on ID Card                                                Exchange File Format
                                             IBIA
                                         Private Com.
                                                                          CBEFF
                                                                        標準Data Format            CBEFF
ISOxxx         ANSIxxx                                                   完全性驗證                    標準
                                                                                                Smart Card
                                           Tele Trust
                                                        INTEL及Biometrics
                                                         Intel & Biometrics                       24
                                                               Vendor
                    NIST Approach
 Lead, participate and promote the acceleration of standard
    development efforts.
   Promote the adoption of approved standards (e.g., CBEFF,
    BioAPI, ANSI/NIST).
   Conduct related R&D (e.g., evaluation methodologies, evaluation
    of single-modal and multi-modal authentication architectures).
   Develop advanced biometric data interchange structures (e.g.,
    nested CBEFF structures).
   Work in harmonization with efforts undertaken by other Gov.
    agencies (e.g., DoD, intelligence community, TSA, GSA, State).
   Respond to legislative requirements (e.g., USA Patriot Act).
   Leverage from our involvement with the Biometric Consortium
    and other forums (e.g., NIST/BC Biometric WG) support user
    requirements and also support industry.                      25
            CBEFF
 A Biometric Data Interchange
           Standard
    to Support All Biometric
Technologies in a Common Way




                            26
                                   NISTIR 6529
                                 www.nist.gov/cbeff




•   Facilitates biometric data interchange between
    different system components or systems.
• The development was coordinated with industry
  consortiums (e.g., BioAPI Consortium) and
  standards Technical Committees (e.g., X9.F4
  Working Group).
• ANSI/ISO Fast Track candidate
                                      Data Elements and
                                        Header Fields


                           Biometric Specific
           Header                                          Signature
                             Memory Block


 Security Options (e.g., plain, or         Record Data Quality
 encrypted)                                Creation Date (of the biometric
 Integrity Options (e.g., signed)          data)
 Patron (e.g., BioAPI) Header Version      Creator (entity that created the
 Biometric Type (e.g., facial features)    biometric data object)
 Record Data Type (e.g., processed)        Format Owner (CBEFF
 Record Purpose (e.g., enroll)             Requirement)
                                           Format Type

Need a universally recognized registrar for Format
 Owner/Format Type (www.ibia.org/formats.htm)
     NIST/Biometric Consortium
Biometric Interoperability, Performance
   and Assurance Working Group




                                     29
                                        90 organizations

                                      www.nist.gov/bcwg



• Task   Groups/Technical Development Teams:
     Biometric Template Protection & Usage Task Group
       (Dr. Soutar, BioScrypt)
     Biometric Security Task Force (C. Tilton, SAFLINK)
     Assurance Ad-Hoc Group (M. King, Booz Allen
      Hamilton)
     CBEFF Technical Development Team (F. Podio, NIST &
       J. Dunn, NSA) – augmented CBEFF under
       development
     Testing Ad-Hoc Group (Dr. Negin, MNEMONICS)
    CBEFF Nested Structure & Multi-Biometrics
Allows for multiple data types and/or multiple data
     objects within the CBEFF data structure

              Standard Bio Header   Type=Multi Bio


                    Standard Bio Header   Type=Finger


                          Standard Bio Header    Data

                          Standard Bio Header    Data

                    Standard Bio Header   Data       Type=Iris

                     Signature                           31
      Other Elements of the Revised
                CBEFF
   Data origination
     Product Identifier: CBEFF needs to uniquely identify
      the format and the originator of every biometric data
      structure.
   Validity Period (Valid from, Valid until)
     Adopt X9.84 definition: YYYYMMDDHHMMSSZ
•   Challenge data and payload (specified by the
    Patron)
•   Use of biometric data in tokens for machine-
    readable documents.
•   Name change:
       Biometrics Standards & CBEFF
    Organization              Standard                             Status
 NIST/BC Biometric     NISTIR 6529 - CBEFF           Being augmented by the NIST/BC
       WG               Published Jan 2001                    Biometric WG
 BioAPI Consortium         BioAPI V1.1                     Released March 2001
                         ANSI/INCITS 358                Approved February 13, 2002
X9/Financial/Banking         ANSI X9.84                 Approved (ANSI) Feb 2001
                        Human Recognition           Updated to be consistent with BioAPI
    Open Group           Services of CDSA

        NIST               Data format for                ANSI/NIST-ITL-1-2000
                          finger/facial/SMT                  Approved 2000

ISO/IEC SC17 WG4       ISO/IEC 7816-11 - use         NIST/BC WG harmonized format in
                       of biometric data in SC         7816-11 for CBEFF compliance

      INCITS              Application profiles        5 approved projects (2 Application
   M1 - Biometrics          Data formats                  Profiles & 3 data formats)


   ISO/IEC SC17        Logical Data Structure for   Expected to be fully CBEFF compliant
     & ICAO               Travel Documents
             Biometric Architecture
                  Example
                          Application
                                                    Biometric
Biometric                                            Object
Validation
  Control
                 X9.84 Biometric Security
Objectives
                                                      BIR
                     BioAPI Framework
                                                     CBEFF

               Cryptographic            Biometric
                  Service                Service
                 Provider               Provider

                                                                34
INCITS 358-2002, BioAPI V1.1
         Specification
  An Open Systems Interface
          Standard
   for Biometric Integration




                               35
      BioAPI - An Open Systems Interface
                   Standard
           for Biometric Integration
A biometric API standard defines a generic way of interfacing
        to a broad range of biometric technologies.
                                           Benefits:
                Application                • Easy substitution of biometric
                                             technologies
                                           • Use of biometric technology
          BioAPI Interface                   across multiple applications
                                           • Easy integration of multiple
    Biometric      Biometric   Biometric
     Service        Service     Service      biometrics using the same
    Provider       Provider    Provider
                                             interface
    Biometric     Biometric    Biometric   • Rapid application
     Device        Device       Device       development - increased
                                             competition (tends to lower
                                                                      36
                                             costs)
                  Open Systems
• BioAPI specification and Win32 reference implementation both
       available at: www.bioapi.org
• Plans underway to port to Unix (IBG) and Linux (NIST)
• Conformance test suite for Win32 and Unix/Linux
• Seeking sponsors for port efforts


        Windows PC                              Linux Server
        Web Browser                               Web App
         BioAPI R/T                              BioAPI R/T
        BSP     BSP                             BSP       BSP


• Fast track candidate to ISO through INCITS & M1 –
        Biometrics Technical Committee
                                                                37
           BioAPI

           Consortium
                            A Bit of History

                                                 BioAPI Spec. v1.1
                           BioAPI                    released
 Unification of          Spec. v1.0
 Biometric API            released        BioAPI
 development                            Reference
industry efforts                      implementation                 BioAPI v1.1 approved as
                                         released                       ANSI/INCITS 358



    1999                   2000                   2001                     2002

           Common                             CBEFF                             Revised CBEFF
           Biometric                         published                          Ballot (planned)
         Exchange File                      NISTIR 6529
        Format (CBEFF)      Users’ and
         development                                   CBEFF Upward
                            Developers’
             starts                                    revision starts
                             Seminar
     Status of Approved Projects in
         INCITS M1- Biometrics

• INCITS Web site:
        www.incits.org

• M1 – Biometrics:
        www.ncits.org/tc_home/m1.htm

• M1 Document Register:
       www.ncits.org/tc_home/m1htm/docs/m1docreg.htm
                                                       39
             INCITS/M1 Biometrics
• Purpose:
   Established in November 2001 by the Executive Board of
    INCITS to accelerate the deployment of significantly
    better, open systems standard-based security solutions
    for purposes such as homeland defense and the prevention
    of ID theft.
   Elevate consortia standards to national and international
    voluntary consensus standards (e.g., BioAPI, CBEFF).
   Develop application profiles (e.g., airport security, border
    crossing), and other biometric generic standards as
    needed (e.g., data formats).
• Legislative accelerants such as:
   Public Law 107-71 - Aviation and Transportation Security
   Public Law 107-56 - “The USA Patriot Act”
   Public Law 107-173 – “Border Security Act”                 40
    INCITS M1 Biometrics - Status
• Meetings:
   January/May/August/December 2002
• Officers:
    F. Podio, Chairman
    C. Tilton, IR
    C. Soutar, Vice Chairman
    S. Elliot, Secretary
• M1 is the US TAG to JTC 1 SC 37
• Five Approved Development Projects
• INCITS 358 BioAPI: JTC 1 SC 37 Fast Track candidate
• Revised CBEFF: INCITS/JTC 1 SC37 Fast Track
  candidate

                                                    41
                 M1 Projects and ISO SC37
                                                                             INCITS
                                                                            Fast Track
                           Five projects under development
           INCITS/M1
                                    Application Profile            BioAPI V1.1
                               Verification & Identification     ANSI/INCITS 358
                           of Transportation Workers (01/03)
                                                                INCITS
                                 Application Profile           Fast Track
                              Personal identification for      (Planned)
Proposed                      Border Crossing (01/03)
  to M1                                                        Revised CBEFF
      Finger Image                                             NISTIR 6529-A
                              Finger Minutiae Format
   Interchange Format
                            For Data Interchange (01/03)
       Face Image
   Interchange Format                                                   JTC 1
                                Finger Pattern-Based                  Fast Track
                             Interchange Format (04/03)               (Planned)
    Iris Recognition
  Interchange Format                                             ISO/IEC JTC 1
                                                                     SC37
   Application Profile         Face Recognition Format
  Biometric Verification     for Data Interchange (07/03)
    in POS Systems                                                             42
  M1 Biometrics Standards Incubators



     www.biometrics.org                      www.nist.gov/bcwg




                          www.itl.nist.org
www.nist.gov/cbeff
                                                    www.bioapi.org




           www.ibia.org
                                        www.biometricfoundation.org
                                                                      43
Status of JTC 1 SC 37 - Biometrics




                                44
Current Scope of Work
(SC 37 and INCITS M1)
                                Transportation Workers,
                                Border Crossing, Point of
                                          Sale
            Application
           Profiles for ID
          and Verification
                                   INCITS 358 (BioAPI V1.1 Spec)

        Biometric Application
       Programming Interfaces
                                       CBEFF (NISTIR 6529),
                                       NISTIR 6529-A under
                                          development
         Common Biometric
        Exchange Framework
              Format                Fingerprint Minutiae
                                    Finger Pattern-Based
                                      Face Landmarks
             Biometric
            Interchange
                Data              Derived from Colin Soutar’s Onion
              Formats             view on Biometrics standardization
                                                              45
  Status of JTC 1 SC 37 – Biometrics
• Call for P Members (countries) closes
  September 2002.
• US funding of SC 37 Secretariat
   NIST & M1 are pursuing funding at $150K/year
   $50K secured (NIST) – PO being processed.
   ANSI will perform Secretariat duties
• Initial SC 37 Plenary Meeting:
   Meeting planned for December 11 – 13, 2002
   Hosted by US (M1) in Orlando, FL.
• M1 anticipates submitting at least seven
  contributions.                                   46
    Smart Cards and Biometrics
       Interoperability Requirements
 Can BioAPI fully satisfy the requirements
  or is further work required?
 Possible approach:
     Form an M1-Biometrics Ad-Hoc Group:
     Work would be coordinated with the BioAPI
      Consortium, INCITS B10 and other smart card experts.
          Review BioAPI’s capability to fully provide the required level
           of interoperability for different architectures (e.g., different
           biometric data matching and storage locations)
          BioAPI extension required (e.g., another parameter in the
           Verify function)?
          Is a layer on top on BioAPI needed?
          Coordinate work with possible augmentation of BioAPI when it
           goes for ISO Fast Track.                                         47
                     美國Biometrics標準化活動

              ANS               NCITS(ANSI認定機關)                            NIST
 ISO
             美國標準局              資訊技術標準化委員會                              標準化技術研究所

                X9                        B10                               NIST-ITL
                金融                      ID Card                           標情報技術研究部

                X9F
            Information                 B10.8
                                    Driver License                                             美國政府Bio/API
              Security
                                                          AAMVA
 SC17                                  B10.8            美國自動車連合
               X9F8                                                                              BioAPI
ID Card                         Data Format Standard
             Biometrics                                                                        標準Biometrics
                                  of Driver License
                                                                                                  API
                                                            美國警察
                X9.84
          Interoperability of
           Biometrics data                                                    CBEFF
                                                                       The Common Biometrics
              on ID Card                                                Exchange File Format
                                             IBIA
                                         Private Com.
                                                                          CBEFF
                                                                        標準Data Format            CBEFF
ISOxxx         ANSIxxx                                                   完全性驗證                    標準
                                                                                                Smart Card
                                           Tele Trust
                                                        INTEL及Biometrics
                                                         Intel & Biometrics                       48
                                                               Vendor
                       Summary
   Base generic standards (e.g., CBEFF, BioAPI) developed in
    the last few years set the foundation for achieving system
    interoperability and biometric data interchange.

   NIST, the BC, the IT industry and end-users are leveraging
    from these base generic standards to accelerate the
    deployment of open systems standard-based security
    solutions for different applications (e.g., Prevention of ID
    Theft, Homeland Security, Heath Care, Enterprise
    Networks, Multi-OS Architectures).

   The end goal is the approval of formal - generic national and
    international standards necessary to enable interoperability
    and data interchange between applications and systems. 49

				
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