Biometrics
By
Emilio Gonzalez
Research Paper
CIS 345-1201
Spring 2015
Dr. Rani
1
INTRODUCTION .................................................................................................. 3
HISTORY OF BIOMETRICS ................................................................................................. 4
BIOMETRIC SECURITY ....................................................................................................... 5
BIOMETRIC DATA .............................................................................................................. 5
EXAMPLES OF BIOMETRIC IDENTIFICATION SYSTEMS .................................................. 7
HOW BIOMETRIC DATA IS PROCESSED ...................................................... 8
BASIC BIOMETRIC SECURITY PERFORMANCE METRICS....................... 9
TYPES OF BIOMETRICS ................................................................................. 12
FACIAL.............................................................................................................................. 12
FINGERPRINT .................................................................................................................. 13
HAND GEOMETRY ........................................................................................................... 14
RETINA............................................................................................................................. 15
IRIS ................................................................................................................................... 16
SIGNATURE ...................................................................................................................... 17
VEIN ................................................................................................................................. 18
VOICE ............................................................................................................................... 18
SOFT BIOMETRICS .......................................................................................................... 19
BEHAVIORAL ................................................................................................................... 19
DNA (DEOXYRIBONUCLEIC ACID) ............................................................................... 20
BIOMETRIC IDENTIFICATION PRIVACY & CONCERNS ........................ 21
UNINTENDED FUNCTIONAL SCOPE............................................................................... 21
UNINTENDED APPLICATION SCOPE.............................................................................. 21
COVERT IDENTIFICATION .............................................................................................. 21
FINAL REMARKS .............................................................................................. 22
BIBLIOGRAPHY ................................................................................................ 23
2
Introduction
Biometrics refers to metrics of human characteristics.
Historically, the first cataloged biometric identification goes back to
1858 when Sir William Herschel, working for the Civil Service of
India, recorded a handprint on the back of a contract for each worker
to distinguish employees from others who might claim to be
employees when payday arrived. [16]
Currently, biometrics allows us to identify someone by his or
her face, fingerprints, hand geometry, retina, iris, signature, veins and
even voice. New technology even allow for behavioral identification
like Gait (human locomotion) and typing rhythms. Identification can
even be done simply by Soft Biometrics which corresponds to features
like skin color, height, build and weight. Not only are biometric
systems used for identification, but also for verification and
enrollment. [6,8]
3
History of Biometrics
Year
1858
1892
1896
1903
1936
1960
1965
1969
1974
1975
1986
1988
1991
1992
1994
1994
1996
1997
1998
1999
2000
2001
2003
2003
2003
2004
2004
2004
2008
2010
2011
2012
2013
Table 1, References: [2,3,4,5,8,16]
Major Event
First systematic capture of hand images for identification purposes
is recorded
Galton develops a classification system for fingerprints
Henry develops a fingerprint classification system
New York state prisons start using fingerprints
Concept of using Iris pattern for identification proposed
Face recognition becomes semi-automated
Automated signature recognition research begins
FBI pushes to make fingerprint recognition automated, behavioral
component biometrics of speech first modeled
First commercial hand geometry systems become available
FBI funds development of print-extracting technology
Exchange of fingerprint data standard is published
First semi-automated facial recognition is deployed and Eigen-face
technique is developed for facial recognition
Face detection is pioneered, real-time facial recognition
Biometric Consortium established with US government
First Iris recognition algorithm is patented and becomes product
INSPASS is implemented
Hand geometry implemented at the Olympic Games
First commercial generic biometric interoperability standard
FBI launches COOIS (DNA forensic database)
FBI IAFIS becomes operational (fingerprint database)
First research paper on vascular patterns for recognition published
Face recognition is used in the Super Bowl (Tampa, FL)
Formal US Government coordination of biometric activities begin
ICAO integrates biometrics into machine readable travel docs
European Biometrics Forum is established
US-VISIT becomes operational & DOD implements ABIS
Presidential Directive makes mandatory government-wide ID card
for all federal employees and contractors.
First statewide automated palm print databases deployed in US
US Government coordinates biometric database use
US National Security utilizes biometrics for terrorist identification
Biometric Identification used to identify Osama Bin Laden
NYPD, NYC and Microsoft launch Domain Awareness System
Apple includes fingerprint scanners into products (iPhone, iPad)
4
Biometric Security
We need security to protect our assets including our wellbeing.
Throughout the years, security systems have been attacked and
cracked due to vulnerabilities such as guessed and/or brute-forced
passwords and stolen authentication devices like keys. Biometrics
greatly reduces these possibilities because only you will have the
Biometric features to gain authentication in a security system.
Biometric security can be thought of as an extra security layer, and in
some cases you even have Multi-Modal biometrics, which asks for
more than one form of biometric identification. [2,8,13,17,19]
Biometric Data
Biometric data can be collected by a variety of software and devices.
Cameras, retinal scanners, DNA swabbing, and microphones are
among many tools that are used for biometric collection [6,8] , but
none of this means anything if the data is not analyzed. Governments,
private organizations and even freelance program developers create
the software that connects to these devices and converts it to raw data
that can be used for identification. For example, a photo of your face
or body can be ran through a program that reconstructs a 3-d model of
your face and stores it. [8,9] DNA can be ran through a sequencer and
the DNA sequence can be saved. [8,10] A microphone can record your
voice and software can analyze and store it. [6,8,19]
5
Biometric data is shared and used by governments, lawenforcement, private organizations and even civilians. Did you know
that roughly 1.2 billion people have already received identification
through a biometric identification program? [2,12] Some examples of
civilian or personal use are to gain authorization on computers,
smartphones, tablets, safes, and even vehicles. Private organizations
and corporations may use biometric data to gain entry on their
premises, secure their assets and for demographical studies. Although
we will never know to what extent governments and law-enforcement
use biometric data, we can assume they use it to conduct surveillance,
identify threats and for national security purposes. [2][3][5][9] A great
example of government using biometrics is to look at a passport.
Embedded inside the passport is a RFID chip that contains biometric
data compiled by Homeland Security. They use your passport photo
for Facial, Iris and Retinal identification and they can even use
fingerprints and DNA if you have ever been arrested or processed in
the United States. [5,16]
6
Examples of Biometric Identification Systems
 IDENT (Automated Biometric Identification System):
Developed by the department of Homeland Security, IDENT
processes and stores biometric and biographic information for
the use of national security, law enforcement, immigration and
other internal functions. [2,5,16]
 AFIS (Automated Fingerprint Identification System):
A biometric system that uses digital imaging to capture a
fingerprint, which can then be compared to a database to help
identify an individual. AFIS is maintained by the FBI and can
be used by federal, state and local law enforcement in the
United States. [2,5,16]
 Aadhaar (India’s national ID program):
The largest biometric database in the world that can be used
anywhere at anytime to verify identities since it is public
domain. It has 550 million registrants enrolled and 480 million
Aadhaar numbers assigned. [2,12]
 NYC Domain Awareness System (Facial Recognition System):
A sophisticated law enforcement technology solution that
aggregates and analyzes existing public safety data streams in
real time, providing NYPD investigators and analysts with a
comprehensive view of potential threats and criminal activity.
This software also scans social media streams and photos.
[3,4,9,16]
7
How Biometric Data is Processed
The first step in processing data is collecting it. This happens usually
with a sensor device (like cameras, scanners, swabs, microphones.) After
your biometrics has been recorded, it then goes through the registration
phase called enrollment. During enrollment the data that was just collected
gets converted in to raw binary data or a template after it is analyzed by
computer software. This data is then saved in an authentication or
recognition database and used as a reference for identifying subjects that are
using the authentication system. (See graph 1 below)[2,8,20]
Graph 1
Collection of Data
via: Cameras, Scanners, Microphones, Swabs
Software Analysis & Enrollment
User Authentication or
Identification Request
Database Referencing
{OR}
Non-Match
Match
8
Basic Biometric Security Performance Metrics
 False Match Rate (FMR)
The probability that the system incorrectly matches input with a
record in the database. [2,7]
For example: let’s say Sam Smith uses facial recognition
software and gains entry into a restricted computer system
when he’s not an authorized user. Sam might have a close
enough facial structure to someone who is authorized and
falsely got identified.
 False Non-Match Rate (FNMR)
The probability that the system fails to match input to a record on the
database. This measures incorrect rejections. [2,7]
For example: let’s say Sam Smith uses fingerprint recognition
software and is denied entry into a restricted computer system,
but this time, he is an authorized user. This might have
happened because his fingers were too dirty or even the
degradation of the fingerprint itself.
 Template Capacity
The maximum amount of records that can be stored in the system.
[2,7]
For example: let’s say a restricted computer system uses any
type of recognition software. This software is stored on a server
that has a certain amount of ROM (or memory), it can be
anywhere from gigabytes to terabytes, but eventually the system
won’t be able to store any more records. It can be 20 records,
40 records, 4 million records, Nth records… this all depends on
the amount of ROM memory the server/system has.
9
 Relative Operating Characteristic (ROC)
This is basically visualization between the input and matching on the
system. This analyzes the matching algorithm performing the decision
if input is a match. The visualization of the ROC curve can be seen in
graph 2 below. [2,7]
Graph 2
The dark curve represents unauthorized users & the light curve
represents authorized users, and there is a certain Matching
Threshold assigned to any recognitions system, which divides
these two curves.
 FMR rate is determined by how far the dark curve is allowed to
pass the Matching Threshold. FNMR is determined by how far
the light green curve is allowed to pass the Matching Threshold.
 The ROC curve is important and necessary to determine Equal
Error Rate (EER) or Crossover Error Rate (CER) which is
the point false non matches and non-matches are equal. In this
example, if we were to move the Matching Threshold to the
right, we would have more authorized users getting false nonmatches. If we move it more to the left, we will have more false
matches, which can be a disaster for a secure system. Finding
EER or CER for the Matching Threshold is absolutely
important.
10
 Failure to Enroll Rate (FTE)
The rate at which an attempt to create a record from an input is
unsuccessful. This is usually caused by low-quality inputs. [2,7]
For example: let’s say Sam Smith needs to enroll in a new
biometric recognition system because the company has
upgraded services. He has to do an Iris scan, but he has had
eye surgery in the past and the Iris scanner fails to enroll him
in the system.
 Failure to Capture Rate (FTC)
The probability the system fails to capture input when it is presented
correctly. [2,7]
For example: let’s say Sam Smith needs to enroll in a new
biometric recognition system because the company has
upgraded services. He has to do a Retina scan, but the system
fails to enroll him even though he presented his eyes correctly.
This can be caused by software failure, hardware failure or
even un-synchronization between the hardware and software in
the system.
11
Types of Biometrics
Facial
Facial Biometrics is among one of the most common forms of
biometrics that identifies a person by their facial structure. The face has
numerous distinguishable features like distance between the eyes, width of
the nose, depth of eye sockets, shape of cheekbones and length of the
jawline. Along with these features, each person has around 80 different
nodal points, which are the different peaks and valleys that make up all
facial features. (see figure 1) All of this data gets compiled into a face-print
and can be analyzed through software to identify a person. Historically, only
2-dimensional identification was possible with a high error rate. Thanks to
advances in facial recognition software systems, we can now construct a 3dimensional face-print that can even be manipulated to compare different
facial expressions with variance of light. Currently, Facebook, New York
City and the FBI (NGI System) have the most advanced and most powerful
facial recognition software in the world. [2,6,8,9,10,13,19,20]
figure 1
Advantages: Low failure rate, can be used from a distance, non-invasive.
Disadvantages: Makeup and accessories can cause degradation, peoples
faces can be scanned without them knowing.
Enrollment convenience: Easy, desirable, non-invasive, sort of quick. [1,10]
12
Fingerprint
Fingerprint Biometrics is the most used biometric authentication
system. A huge reason to why this identification system is so widespread is
used to its simplicity, cost-effectiveness and non-intrusiveness along with
very low failure rate (1 in 500). Through the years fingerprints have gone
from identifying criminals to identifying employees or even unlocking an
iPhone 5s/6. Fingerprints have valleys and ridges, also called minutia points
that are unique person to person. A Fingerprint scanner takes a 2dimensional picture of your finger and uses light exposure to identify the
ridges and valleys. This image then gets converted into a string of code
(usually binary) after going through a mathematical algorithm that turns the
image into a pattern, this is used to identify if a fingerprint is on the database
of authorized users or not. (see figure 2) A massive drawback to this
identification system is that fingerprints are always susceptible to damage
and may cause discrepancies over time. [6,8,10,13,19,20]
figure 2
Advantages: Low false acceptance rate, low failure rates, low cost for
installation and integration.
Disadvantages: Trauma or degradation of fingerprint can render the print
useless and cause false rejection.
Enrollment convenience: Easy, desirable, non-invasive, quick. [1,10]
13
Hand Geometry
Hand Geometry Biometrics identifies a person by the shape of their
hand. It measures dimensions like finger length, width, thickness, surface
area and even distance from thumb to pinky. This form of biometric
authentication was one of the first systems that was in widespread use as
early as the 1980’s, but since then has become very ineffective as a main
identification system since fingerprint and iris recognition are more unique
and hand geometry can be unreadable due to hand trauma or injury. Hand
geometry identification systems usually consist of a platen, which have 5
pegs to position a users hand for recognition. Once the hand is on the platen,
an image captures the side and top views of the hand and calculated all the
dimensions, which get compared to a database of users. (see figure 3)
[6,8,10,19,20]
figure 3
Advantages: Easy to use, does not significantly change after puberty,
hygiene is not a factor, can be integrated into any security system easily.
Disadvantages: Low accuracy, expensive, hand geometry is not unique,
trauma can make geometry hard to read.
Enrollment convenience: Easy, somewhat desirable, non-invasive, fast.
[1,10]
14
Retina
Retina Biometrics scans the capillaries that supply the retina with
blood. Before we continue, we should know that the human retina is a tissue
composed of neural-cells in the eye. No retina is similar making everyone’s
retina unique, and although retinal patterns may alter with some medical
disorders, the retina is usually untouched since birth. In a retina
authentication system, a user has to stare into a certain point of a scanner for
around 10-15 seconds as the system uses low-intensity light to illuminate the
blood vessels and take a picture. (see figure 4) This image is then analyzed
through mathematical algorithms and compared to a database. Currently,
retina scanning has never been forged or faked (not even the retina of a
deceased person will work since the retina decays too rapidly.) Retina
biometrics has a 1 in 10 million error rate making it one of the most accurate
biometric systems, but has massive drawbacks like enrollment time and
intrusiveness. [6,8,10,14,19,20]
figure 4
Advantages: Very accurate, impossible to forge retina, low error rates, low
false acceptance rate.
Disadvantages: Can’t be used with glasses, this new technology is still
evolving and uses are still not clear, uncomfortable.
Enrollment convenience: Hard, somewhat desirable, non-invasive, fast.
[1,10]
15
Iris
Iris Biometrics scans the elastic tissue that controls the pupil. The iris
forms early in life through morphogenesis and remains constant for the rest
of your life, and is the only visible internal organ visible from the outside.
The cornea protects the iris and each iris has a unique pattern from eye to
eye and person to person. Iris recognition systems will scan over 250 points
of the iris and will compare it to previous templates. These systems require a
user to stand facing a camera that takes a picture of their iris using normal
and infrared light. The two photographs are then analyzed by computer
software and a code is generated and compared to other codes on the
database to figure out identity. (see figure 5) It is said that Iris scanning is
more accurate than fingerprinting (1 in 1-2 million) but the truth is that iris
scanning is relatively untried technology and has big initial costs to set up.
Although iris scanning is untried technology and expensive to set up, many
institutions and governments have been implementing iris scanning systems
in airports and other high traffic areas to help identify passengers and
travelers. [6,8,10,13,15,19,20]
figure 5
Advantages: Scanners used at a distance; low invasiveness, low failure
rates, both eyes have different patterns, scanner can be used with glasses.
Disadvantages: Technology is not simple to use and is not easily Integraable with other systems, specialized devices for are be expensive.
Enrollment convenience: Easy, desirable, non-invasive, quick. [1,10]
16
Signature
Signature Biometrics analyzes a person’s signature. A person can
either sign a paper and get it digitized through an image or sign a digitizing
tablet to register their signature electronically. A signature recognition
system compares many measurements like spatial coordinates, pressure,
azimuth, inclination and even when the pen first applied pressure and when
it was lifted. (see figure 6) When a system acquires a signature it will scan
for all these features and compare the results to a database. A massive
downside for this system is that it has higher error rates than most biometric
systems seeing how a signature can change over time. The best thing about
this system is that a `signature is hard to forge correctly, so this approach has
a high level of security that comes with it. [6,8,10,11,19,20]
figure 6
Advantages: Accurate and easy to use.
Disadvantages: Signatures can be forged.
Enrollment convenience: Easy, not desirable, non-invasive, somewhat fast.
[1,10]
17
Vein
Vein Biometrics refers to the identification of patterns made by a
user’s vein or vascular structure. These biometric systems have scanners that
take a near-infrared picture of your wrist, palm, finger and even the back of
your hand. The hemoglobin in a user’s blood absorbs light and allows for the
veins to show up on the picture which is ran through software to create
reference patterns that are ran against the database of authorized users. This
technology is fairly new and the effects some medical conditions have on the
accuracy of the test are unclear. [6,8,10,19]
Advantages: Vascular structure stays the same, hard to duplicate structure.
Disadvantages: New technology is untested meaning that failure rate, and
user’s medical conditions affect on authentication accuracy is unknown.
Enrollment convenience: Difficult, not desirable, non-invasive, slow.
[1][10]
Voice
Voice Biometrics analyzes a users voice. Features like tone, pitch,
color, cadence and even frequency of voice can be measured. There are two
main forms of voice recognition, speech and voice. Speech recognition is
what a person says and voice is the features of what is said. In order to
enroll, a user must speak a couple of phrases, letters and numbers into a
microphone where the voice is then analyzed and cataloged into a database.
Voice recognition is pretty common with computers, phones and security
systems and has low error rates. It’s not invasive and is not affected by colds
but can be affected by age, poor acoustics or illness. [6,8,10,19]
Advantages: Not invasive, can be used with phones.
Disadvantages: Poor acoustics, age and illness can cause false-non matches.
Enrollment convenience: Easy, desirable, non-invasive, quick. [1][10]
18
Soft Biometrics
Soft biometrics refers to a broad spectrum of measurements include:
skin color, age, eye color, hair color, gait (the way a user walks), keystroke,
tattoos, piercings, mustache, beard, height, weight, and even hair length.
These features lack distinctiveness and uniqueness alone, but security is
greatly increased if more than one form is used for identification. These
biometrics can be obtained simply through scanners, cameras, magnets,
human observation, scales, heat maps and devices such as computers or
phones. Soft biometrics have been used to profile criminals for many years
with great accuracy. [10,13]
Advantages: Non-invasive, accurate, quick.
Disadvantages: Not always reliable.
Enrollment convenience: Easy, desirable, non-invasive, quick. [1,10,21,22]
Behavioral
Behavioral Biometrics concentrates on the classification of human
behavior including but not limited to: skills, preferences, style, knowledge,
motor-skills and strategies used by people to accomplish everyday tasks.
This biometric can be obtained simply through computer software and
hardware and human observation. Behavioral Biometrics is acquired over
long periods of time and is a fairly new form of identification. [21,22]
Advantages: Non-intrusive, cost-effective
Disadvantages: Not unique enough to provide reliable human identification.
Enrollment convenience: Easy, not desirable, non-invasive, slow.
[1,10,21,22]
19
DNA (Deoxyribonucleic Acid)
DNA Biometrics analyzes a user’s genome mapping. For years DNA
identification has been used to catch criminals and authenticate personnel.
Currently, DNA identification is the most accurate form of identification
because each cell in the user’s body contains a DNA map (blueprint)(see
figure 7) and the chances of another user having the same DNA is 1 in 100
billion. DNA can be collected and enrolled via hair strands, blood samples,
saliva swabs, human excrements, urine, and skin cells. These samples can
then be processed through a system of hardware and software that analyze
the genome map and remove approximately 95% of the junk DNA in the
samples to leave the main DNA mapping. This blueprint can then be put in a
database or compared to a database to authenticate and identify a user. [8,10]
figure 7
Advantages: Accuracy, low failure rates.
Disadvantages: Expensive, not an instant form of identification, intrusive.
Enrollment convenience: Easy, desirable, extremely invasive, slow. [1,10]
20
Biometric Identification Privacy & Concerns
Biometric enrollment and identification sometimes is used beyond
what an individual has consented to, if they even consented at all. In this
section we will take a brief look into three different forms of unintended
biometric scopes: Functional, Application and Covert. [2,17,18,19,20]
Unintended Functional Scope
Biometric scanning can unintentionally do more than authentication,
for example, it can detect early onsets of serious medical conditions and
diseases. A great example of this would be Retinal Scanning, which, can
detect: AIDS, syphilis, malaria, chicken pox, lyme disease, helps with
diagnosing congestive heart failure and atherosclerosis, diabetes, glaucoma,
hypertension, retinal detachment and hereditary diseases (leukemia, sickle
cell anemia.) [2,17,18,19,20]
Unintended Application Scope
The authentication routine identifies the subject, for example if a
subject enrolls under a false name but is identified by a match with an
existing biometric record in another database. [2,17,18,19,20]
Covert Identification
This happens when identification occurs, but the subject is not seeking
identification. An example of this can be the subjects face being scanned in a
crowd of people by facial recognition software, lets say at an airport or
public event. This is the type of identification the public usually has their
concerns about since they did not consent to be scanned by these systems
and they feel it’s a breach of personal privacy. [2,17,18,19,20]
21
Final Remarks
With so many “hackers” brute-forcing their way into phones,
computers and sensitive data– the use of passwords and various encryption
techniques are starting to lose popularity as they prove to be inadequate. On
the other hand, several forms of biometric authentication can’t be fooled
such as Iris, Retina and Vein biometrics since they simply can’t be forged.
This added security ensures no-one that’s not supposed to be in your system
will be there.
Biometrics also has a beneficial relationship with counterterrorism
and law enforcement. For example, the NYPD’s facial recognition system
[3][4] , which has helped track terrorists, capture criminals and even help the
Boston Police Department identify the Boston bombers.
Even if you’re an everyday normal citizen, Biometrics can help you
safeguard your valuables and possessions. A great example of this would be
the ever-growing iPhone and iPad 5th and 6th generations which include
fingerprint biometrics to gain access onto the phone and even make
purchases. [16]
Biometrics is great all around, and although many people fear it’s
capabilities when it comes to tracking and tracing people, it has many useful
applications in the modern world to keep and the things we love safe.
22
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