An Introduction to BiometricsAn Introduction to Biometrics

Julian AshbournJulian Ashbourn

In the BeginningIn the Beginning

Did ancient civilisations use biometrics?Did ancient civilisations use biometrics? ““Nechutes, son of Asos, aged forty, of middle size, Nechutes, son of Asos, aged forty, of middle size,

sallow complexion, cheerful countenance, long sallow complexion, cheerful countenance, long face with straight nose and a scar upon the middle face with straight nose and a scar upon the middle of his forehead…”of his forehead…”

AfterwardsAfterwards

Alphonse Bertillon 1853-1914Alphonse Bertillon 1853-1914 A fascination with anatomical A fascination with anatomical

measurement within the context of measurement within the context of criminologycriminology

Bertillon developed a complex Bertillon developed a complex system of measurements and system of measurements and photography which came to be photography which came to be widely used ~ Anthropometrywidely used ~ Anthropometry

A pioneer of the criminal mug-shotA pioneer of the criminal mug-shot

The Fascination ContinuesThe Fascination Continues Francis Galton 1822-1911Francis Galton 1822-1911

Explorer, anthropologist, cousin Explorer, anthropologist, cousin of Charles Darwin, developed of Charles Darwin, developed the concept of eugenicsthe concept of eugenics

Amassed over 8000 sets of Amassed over 8000 sets of fingerprints and developed a fingerprints and developed a classification system based classification system based upon minutiaeupon minutiae

Placed the study of fingerprints Placed the study of fingerprints on a sound scientific basison a sound scientific basis

Biometrics and EugenicsBiometrics and Eugenics

Karl Pearson, statistician and protégé of Galton formed a biometric laboratory at the University of London in 1907

The journal ‘Biometrika’ becomes influential (particularly in the USA) as the concept of eugenics becomes political

The Carnegie Institution create the Centre for Genetic Research and in 1910 the Eugenics Record Office founded at Cold Spring Harbor in the USA where ‘intelligence tests’ are initiated

US psychologist Henry Goddard submits an influential study on the ‘Inheritance of Feeblemindedness’

By 1931, 27 US states had enacted sterilisation laws

By 1941, 36,000 individuals in America had been sterilised under these laws

Germany and Switzerland pick up the thread of ‘eugenics’…..

And EvolvesAnd Evolves Juan Vucetich 1858-1925Juan Vucetich 1858-1925

Developed a system of fingerprint Developed a system of fingerprint classification based upon Galton’s classification based upon Galton’s ideas, for the Argentine policeideas, for the Argentine police

First positive identification by First positive identification by fingerprints in a criminal case fingerprints in a criminal case (Francisca Rojas)(Francisca Rojas)

System widely adopted by police System widely adopted by police forces in many countriesforces in many countries

Galton-Henry system adopted by Galton-Henry system adopted by Scotland YardScotland Yard

Interim ConclusionInterim Conclusion

The idea of using a biometric for identity The idea of using a biometric for identity verification purposes is hardly newverification purposes is hardly new

What has changed is the prospect of What has changed is the prospect of automation within the information ageautomation within the information age

Modern Principles of OperationModern Principles of Operation

How does it all work?How does it all work? Determine features to be matchedDetermine features to be matched Extract features and create biometric referenceExtract features and create biometric reference Extract features from live sample and match Extract features from live sample and match

against reference creating a ‘statement of against reference creating a ‘statement of likeness’likeness’

Determine a match or non-match according to the Determine a match or non-match according to the alignment of the statement of likeness against a alignment of the statement of likeness against a pre-defined thresholdpre-defined threshold

Thresholds may be adjustable in order to Thresholds may be adjustable in order to manipulate realised performance manipulate realised performance

In Simple TermsIn Simple Terms

RegistrationRegistration Live OperationLive Operation

011%0$11%100$0%1%0011%0$11%100$0%1%0

Capture Sample

ExtractFeatures

Create ReferenceBiometric Code

Store Reference

011%0$11%100$0%1%0011%0$11%100$0%1%0

010%0$10%100$0%1%0010%0$10%100$0%1%0

ScoreScore 85 85ThresholdThreshold 80 80

ResultResult Match Match

Capture Sample

Extract Features & Create Code

Retrieve StoredCode & Compare

Generate Likeness Score

Align withThreshold

Probability of ErrorsProbability of Errors

0

1

2

3

4

5

6

10 20 30 40 50 60 70 80 90 100

False Match

False Non-Match

Equal Error

Rate

Definable Threshold

Error

Rate

%

Environmental FactorsEnvironmental Factors

Operational environmentOperational environment Temperature, humidity, available light, noise Temperature, humidity, available light, noise

levels, cleanliness, signagelevels, cleanliness, signage

Technical environmentTechnical environment Network availability, noise, power stability, Network availability, noise, power stability,

component performance component performance

User psychologyUser psychology Habituated or non-habituated user, sympathetic or Habituated or non-habituated user, sympathetic or

not to concept, disabilities, confidence, general not to concept, disabilities, confidence, general understanding of technologyunderstanding of technology

Real PerformanceReal Performance

Equivalence of PerformanceEquivalence of Performance

6767 8282 5959 8787

Who installed the system?Who installed the system? Who set the threshold?Who set the threshold? Against what criteria?Against what criteria? Who is maintaining the system?Who is maintaining the system? How often is it checked?How often is it checked?

Maintaining EquivalenceMaintaining Equivalence

Interim ConclusionInterim Conclusion

Biometric matching is not an Biometric matching is not an exact scienceexact science

System implementation may be System implementation may be complexcomplex

Understanding performance is Understanding performance is important important

True systems integration is True systems integration is potentially complexpotentially complex

Working with BiometricsWorking with Biometrics

Some fundamentalsSome fundamentals Under what situations might it be pertinent to Under what situations might it be pertinent to

undertake a biometric identity verification check?undertake a biometric identity verification check? Who does the biometric belong to?Who does the biometric belong to? Who should decide how it is used?Who should decide how it is used? Who has access to data aligned with a biometric?Who has access to data aligned with a biometric? Can a biometric match be repudiated?Can a biometric match be repudiated? Should a biometric be used covertly?Should a biometric be used covertly? What assumptions are made around the results of What assumptions are made around the results of

a biometric identity verification transaction?a biometric identity verification transaction?

Information AlignmentInformation Alignment

How accurate is the information associated How accurate is the information associated with a particular biometricwith a particular biometric

Supporting BiometricsSupporting Biometrics

Reduced help desk calls?Reduced help desk calls? Managing templates and directoriesManaging templates and directories Enrolment proceduresEnrolment procedures

Establishing an identityEstablishing an identity Template qualityTemplate quality User instructionUser instruction

Exception handlingException handling RepudiationRepudiation Biometric forensicsBiometric forensics

Biometrics in the CloudBiometrics in the Cloud

Federated identitiesFederated identities Implications for the registration processImplications for the registration process Who owns them? who services them?Who owns them? who services them? Who maintains the directory of biometrics?Who maintains the directory of biometrics?

Alignment with profiles, privileges, location, Alignment with profiles, privileges, location, device and other factors device and other factors (context based)(context based)

Virtualised environments and Virtualised environments and identity managementidentity management

A Pandora’s Box of biometricsA Pandora’s Box of biometrics

A Brave New WorldA Brave New World

William Shakespeare William Shakespeare O wonder! How many goodly creatures are there O wonder! How many goodly creatures are there here! How beauteous mankind is! here! How beauteous mankind is!

O brave new world!O brave new world!

Or….Or….

Aldus HuxleyAldus Huxley George OrwellGeorge Orwell H.G. WellsH.G. Wells

Final ConclusionFinal Conclusion The time has come to take a fresh look at The time has come to take a fresh look at

what we might achieve with this technologywhat we might achieve with this technology A re-statement of relevanceA re-statement of relevance Best practices around systems integrationBest practices around systems integration Clarity around privacy, ownership and data Clarity around privacy, ownership and data

protection protection (on an international scale)(on an international scale)

Clarity of purpose with respect to large scale Clarity of purpose with respect to large scale public sector applications public sector applications (and communication)(and communication)

A Biometric Constitution?A Biometric Constitution? See http://biometrics.zzl.orgSee http://biometrics.zzl.org

Thank YouThank You

Julian AshbournJulian Ashbourn

Guide to BiometricsGuide to Biometricsfor Large-Scale Systemsfor Large-Scale SystemsISBN 978-0-85729-466-1ISBN 978-0-85729-466-1Published by SpringerPublished by Springer