White Paper

Use Case and Scenario Development

for

ANSI/NIST‐ITL 1‐2011 SUPPLEMENT: Mobile Identification, Draft, January 2013

                               

                               

                         

                 

     

                                   

                               

                                 

                                     

                                       

                             

                             

                               

                            

This white paper is intended to better define the concepts presented in the referenced draft proposal

for an ANSI/NIST Lite standard for use in mobile handheld biometric devices (MBHDs).  

 The growth in new MBHD technology needs to be standard conformant so that interoperability

between the MBHDs and the identification systems that they interact is maximized

Recognizing these needs, NIST has proposed developing an ANSI/NIST Lite standard that addresses these

issues. This paper provides a discussion of how the MBHDs might be used so as to provide a basis for the

development of the new standard.

The format of this paper is as follows:

 A concept description as stated in ANSI/NIST‐ITL 1‐2011 SUPPLEMENT: Mobile Identification ,

Draft, August, 2012 (authored by Brad Wing)

 A more detailed description of a scenario for each concept

 A diagram showing the functional relationships of the concept organized into related functional

sections  

 A generalized use case discussion of each scenario  

The impetus for the development of a new standard to be used for MBHDs is as follows:

 The need to minimize manual data entry by the officer both from an officer safety viewpoint

and operational efficiency (small MBHDs require more attention and dexterity than is usually

available to an officer handling a potentially dangerous subject)

 The need to provide the officer a small and light weight device (most officers are already

carrying other equipment)

It is anticipated that the scenarios and use cases presented in this paper will be further developed. The

scenarios provided in Appendix A are based on existing applications which provide an overview of the

functions that have been addressed by mobile devices. They will need to be upgraded to be consistent

with the newest technology and use cases which will be defined by a working group as part of the

Mobile ID meeting at NIST on January 28. In all use cases, possible variations and options will need to be

defined. Most importantly, an analysis of the impact of the proposed standard on current MBHD

configurations and their interoperability with AFIS systems (both Federal and state) will need to be

conducted. It is also likely in additon to the ANSI/NIST‐LITE standard, a transmission profile may be

required for MBHD’s that is compatible with ANSI/NIST‐ITL and the CJIS and DoD EBTS.

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Figure 1 Separate mobile units collecting data on the same person in

different places and/or times

                             

                             

                               

                                 

                         

                             

   

                                   

                                  

                             

                               

                           

1. Concept 1: Separate mobile units collecting data on the same person

in different places and/or times

The following section is extracted without editing from the ANSI/NIST LITE concept paper.

Concept 1 illustrates that with the addition of Rapid DNA systems, the range of possible configurations

of mobile applications involving biometrics has greatly expanded. An example of how this Concept could

come into play is a Disaster Victim Recovery scene. Photos, fingerprints and iris images (if possible)

would be taken using one unit, DNA samples using another. The information would be brought to the

local processing center and sent to a law enforcement agency for formatting into ANSI/NIST‐ITL

transactions that could be submitted to the FBI, US‐VISIT, INTERPOL or other organizations that accept

ANSI/NIST‐ITL formatted transactions.

The key is that there must be enough information collected by the operator or collection device at the

scene to uniquely associate the data with the deceased individual. This can be accomplished in a variety

of ways, including automated GPS data entry, time/date entry, and voice capture from the operator

describing how the samples were taken. Note that the voice recording from the operator can be

included as an associated context data record Type 21 in the ANSI/NIST‐ITL full transaction.

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1.1. Scenario: Disaster Recovery Site Operations (minimal

manual data entry)

This section develops Concept 1 in greater detail:

Disaster recovery team arrives at site with mobile devices and a local server. Prior to start of operations,

each team member is issued a mobile biometric device and some specialists are provided with a rapid

DNA processing device. As part of the issue process, each device is registered onto the local server to

the receiving team member and as part of the process, the team members biometric is also captured for

security purposes.

The team members start their identification work by first logging‐on using their biometric. The log‐on is

valid for one hour (after that period a repeat of the log‐on will be necessary). The log‐in biometric is sent

to the local server for validation together with the device identifier. A successful log‐in is acknowledged

with a message back to the device. The team member now sets about capturing the disaster

identification data. The first image to be captured will be an image of the disaster victim; if needed

multiple images may be captured. With each captured image, the device asks the disaster team member

if this is a new subject or if additional data is being captured for the subject being processed. The query

is simply a sequence number that is updated or continued. GPS location data is captured with each

image. (This will later be used as an aid in integrating the captured data).The team member may

acknowledge with a simple key entry or by voice. Following the overall evidence image(s) capture, the

team member will proceed to capture fingerprint and face images and if possible iris images. This

process will be repeated for all subjects to be processed. A data capture sequence number will be

assigned internally for tracking the data and for later use in integrating the data for each subject.  

It should be noted that there is little or no manual data entry in the field. All entries are automated and

are sent to the local server for integration into a single subject record. If additional data is desired on the

same subject at a later time or by a different team member, the data will be collected as a new

acquisition which will be integrated into a subject centric record at a later time by the local or central

server.  

Those team members issued a DNA collection device will need to log‐on to their device which also had

been previously registered onto the local server. The device will need to be equipped with a standard

biometric capture or with a GPS location capture capability in order to associate the subject’s DNA with

the other biometric data. Operation of the ancillary biometric capability will be the same as described

above.

Following the capture of each biometric, the local server will calculate if the captured image data is of

sufficient quality. If the captured data is of insufficient image quality a message will be sent to the

mobile device indicating a potential problem. The team member will than have the option of recapturing

or accepting the old data. This will be communicated to the device via voice or a simple key entry. The

local server will assemble a complete subject record from the previously captured biometric data every

time that the team member indicates that a new subject is being processed. This record will be sent to

the central site server for further integration.

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The central site server will determine which records are associated with the same subject using the

information provided from one or more mobile devices. The data to be used for the integration will

include registered device and team member identification numbers, the capture subject sequence

number, and where necessary, a biometric verification of data captured from multiple devices. Failures

to integrate will result in error messages and a manually assisted resolution capability will be provided.

This will include the ability to display all data associated with the subject and if needed, data for other

subjects that may be in question. An operator will make the final determination as to when to send the

data to a large biometric identification system for identification purposes and if appropriate for

enrolment.  

The local server and central site server will have security provisions and will log all data for later

archiving.

1.2.Alternative Scenario: Disaster Site Operations or Refugee Identification

Operations		

Alternative scenarios can be defined for other situations that would be similar to the disaster recovery

operation. For example a refugee or displaced person situation such as the one experienced in New

Orleans during the Katrina disaster could readily use the same concept. While a DNA unit normally

would not be needed, it is conceivable that in some cases it may be required.  

1.3. Use Case Diagram

This diagram provides greater detail to the ideas presented as part of Concept 1.

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Figure 2 Integrated MBHD with an auxiliary DNA device

                             

                                   

                                 

     

                                   

                       

           

                             

                             

                   

                       

                       

                                 

The integrated device would have one or more biometric data capture capabilities such as fingerprint,

face, or iris, a voice capture for transaction data input and possibly for security applications, WiFi or Blue

Tooth capability, and/or e‐mail connectivity. It would also have the ability to accept data from a rapid

DNA collection device.

A local site server with local database would be used for logging data and integrating records related to

designated data samples, security provisions, registering capability for user and device, and

communications with device and central server.

Data entry requirements at each device would include biometrics associated with subject or body parts

(including scene image), designated identity via voice entry (e.g. subject or subject part number, body

part description ‐ optional), optional GPS data, device ID (pre‐registered at local unit).

Minimal functionality required at the device level includes multiple biometric captures, possibly using

different capture devices (subsystems) for some biometrics (e.g. DNA), location identifier capability

provided by GPS, voice record providing data designation, and the capability for the devices to send a

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Issues:

 Security level requirements at device  

 Data quality metric could be performed at device or local sever

 Identity consolidation may need to be performed at both local and central server

 Is a split between local and central serve required?

 Types of connectivity to be used between device and server and between servers and server

and CMS

 Are search responses to be sent to the central site server, local site server, and/or the device?

 Are search decisions to be confirmed at the central or local server?

 Type(s) of biometric to be captured, enrolled, and matched

 Method of biographic/encounter data entry (card reader and/or touchscreen or keyboard)

 Data use by the CMS (verification, identification, and/or enrollment)  

 It is also not clear if the scope of this requirement definition should be limited to the device only

or if it should address the local and central site servers.

unique device identifier. The device must also communicate with the local site server and have the

ability to send data and receive error and enrolment messages

Functionality required at the local site server includes the ability to integrate the acquired data received

from all sensors with the subject identifiers, calculate data quality metric to generate acceptable

enrolment or error message, registers device and user, communications with devices, and the ability to

add user and device metadata to transaction record (GPS, type of operation, date). The server will

record all acquired data, added metadata, and all computed data (e.g. image quality metrics). It may

also perform recognition of the voice data entry. The local site server would also provide security

management, audit functionality, and connectivity management with the central server.

Functionality at the central site server includes checking data for duplication and if needed adding more

metadata such as incident related data. The central site server would transmit data to large

identification systems (e.g. IAFIS, ABIS) which is herein called a central matching system (CMS), on line

or in a batch mode. The central site system receives identification from CMS, performs additional

identity consolidations if needed. A search response request would be generated by the CMS which

would be sent to the central or local site servers. . It is not clear if search results would be sent to the

device or to the local server only for this scenario. Alternatively, the central site server could have

preloaded subject database and could perform matching locally.  

High level requirement for the device:

• Text entry method:

o Voice

o Touch screen

o Keyboard

• Type of biometric to be captured:

o Fingerprint (single touch print scanner)

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o Fingerprint (four finger touch print scanner)

o Facial Image

o Iris

• Multiple biometric capability

• Logging

• Data Formatting – Scope of ANSI/NIST Lite

• Connectivity:

o Direct Internet connectivity

o Cellular network

o Dedicated network

o Satellite link

o Data buffering capability

• Security requirements, Sign‐on & Encryption

2. Concept 2: Rapid Identification with Limited Bandwidth

The following section is extracted without editing from the ANSI/NIST LITE concept paper.

Figure 3 Rapid Identification with Limited Bandwidth

In this concept, a mass‐processing of individuals is being performed, with a quick turn‐around

requirement. An iris image is captured and forwarded to a local station for processing. Only if a 'Yes' is

returned with an identifier for the individual does the operator spend more time collecting metadata

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Once logged on, the officer will capture the subjects biometric (iris, face, or finger) which will be

transmitted together with the device identification number to the local server. The local server will

determine image quality and send a message back to the officer requesting a re‐capture or a decision to

go ahead with the original image. The officer will see the display and will either toggle a response to use

the data or to re‐acquire. No other manual data entry will be re required. Once the biometric data

capture is complete (either image quality is sufficient or approved by the officer), the data with the

device identification number will be transmitted to the local server. GPS location data may be an

optional capability. The local server will assemble a record containing the officer identification,

biometric data, incident data, and if available, the GPS location data. The record will be formatted as a

search request against a CMS (central matching system such as IAFIS).  

A search response from the CMS will be provided to the local server. Identification information will be of

the type known as green, yellow, or red. A red response will contain subject demographic data, a face

image, and any information related to the wants/warrants and watch list status. Green response will not

include any information. A yellow response will indicate to the officer that additional data is required for

positive identification or for secondary processing. All data received at the local site server will be logged

for later archiving and audit.

about the individual and possibly more biometric samples. The exact response would, of course, depend

upon the situation and the Standard Operating Procedures (SOP).

2.1. Scenario: Fast enrollment and identification of a group of

subjects (minimal manual data entry)

Team of law enforcement officers is sent to a civil disturbance site where numerous subjects have been

detained. It is necessary to quickly identify the subjects to determine if any of the subjects are on a

watch or wanted list or have a criminal history that warrants additional processing.  

The team members are equipped with a rapid identification device and the site has a local server

(possibly in a patrol car) that will act as a data integrator and includes a store and forward capability.

Prior to start of operations, each team member is issued a mobile biometric device. As part of the issue

process, each device is registered onto the local server to the receiving team member and as part of the

process, the team members biometric is also captured for security purposes. Each device will be logged

on for one hour prior to requiring a repeat of the log on data capture. An officer will also enter the

incident information into the local server.

2.2. Concept 2 Use Case Diagram

The use case configuration is described in Figure 4 Rapid Identification with minimal bandwidth and

limited manual data input.

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Figure 4 Rapid Identification with minimal bandwidth and limited manual data input

                                 

                                    

         

                               

                     

                               

                                   

                                   

                         

                           

                               

                           

                             

This use case is applicable to scenarios that require fast enrollment and identification of a group of

subjects. Note that the use case assumes that multiple MBHDs could be connected to a single local site

server or base station unit.

The MBHD is equipped with an iris capture capability, minimal manual data entry capability (accept or

reject switch or button), security application, and WiFi or Blue Tooth connectivity.

A local server is used to register the user and device, and to provide formatting and communications

with the device and central server. Data entry at the device may use other biometrics such as face,

voice, or fingerprint as an alternative or in a multimodal manner. Optional GPS location data may also be

included.

Minimal functionality required at the device level includes biometric capture (one or more biometrics),

message and image display, accept/reject biometric image data entry, communication with the local site

server (base station unit), and the ability to send data and receive response and error messages.

Minimal functionality required at the local site server includes the capability to integrate the data

received from the device, calculate a data quality metric to generate acceptable data quality or

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Are search decisions to be confirmed at the central or local site server?

Type(s) of biometric to be captured, enrolled, and matched

Method of biographic/encounter data entry (card reader and/or touchscreen or keyboard)

recapture message, registering the device and user, communications with the devices, and the addition

of user and device metadata to the transaction record (GPS, incident data, officer identification, device

identification, date). The local server unit will store all acquired data, added metadata, and all computed

data (e.g. image quality metrics) for archiving and audit purposes. It will manage connectivity with the

CMS and transmit the response to the appropriate device.

Issues:

 Security level requirements at device

 Data quality metric could be performed at device or local sever

 Types of connectivity to be used between device and server and server and CMS

 Are search decisions to be confirmed at the device or local site server?







High level requirements:

• Text entry method:

o Voice

o Touch screen

o Keyboard

• Type of biometric to be captured:

o Fingerprint (single touch print scanner)

o Fingerprint (four finger touch print scanner)

o Facial Image

o Iris

o Voice

• Multiple biometric capability

• Logging

• Data Formatting – Scope of ANSI/NIST Lite

• Connectivity:

o Cellular network

o Data buffering capability

• Security requirements, Sign‐on & Encryption   

3. Concept 3: Capture Modules Physically Separated from Control Unit.

The following section is extracted without editing from the ANSI/NIST LITE concept paper.

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Figure 5 Capture Modules Physically Separated from Control Unit

WS‐BD indicates formatting according to the Specification for WS‐Biometric Devices (WS‐BD), NIST

Special Publication 500‐288. A coordinator could actually provide the commands to capture units that

are physically separate. All responses would be sent to the control unit and not forwarded to the

capture units. This may be important when the operator does not want to have the response possibly

visible to the subject. Another concept would be that the operator is holding the capture device in one

hand, and must maintain the other hand free for safety.

3.1. Scenario 3: Biometric Identification (Capture Modules

Physically Separated from Control Unit)

This is virtually identical to scenario 1 except that the local site server is separate from the devices. Less

data integration is required. Communications between the devices and the local site server (control

unit) uses WS‐BD standard.

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Figure 6 Use Case for Capture Modules Physically Separated from Control Unit

                                     

                                     

                       

           

	 	 	 	 	 	 	 	

                         

Use case description for Concept 3 is very similar to Concept 1 except that the local control unit is

separate from the devices. It is possible that this use case could be made a sunset of Concept 1.

Issue:

 The capabilities addressed by this scenario are a subset of scenario 1.

 Application needs to be better defined.

4. Concept 4: Mobile Modules Communicating to Different Systems

The following section is extracted without editing from the ANSI/NIST LITE concept paper.

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Figure 7 Mobile Modules Communicating to Different Systems

4.1. Scenario 4: Mobile Modules Communicating to Different Systems

This scenario is an extension of Concept 1 except that the search and response transactions are

communicated with multiple large scale identification systems (CMSs). The use case configuration can

be a variation on Use case 1 or 3. The only difference is in the ability of the device to communicate with

multiple search systems.  

Issue:

 The scenario should be a subset of Use Case 1.

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Appendix	A	

The following are extracts for a set of scenarios developed for DHS that potentially could use the

proposed new standards (ANSI/NIST Lite and WS – BD). These are included as provided to DHS S & T and

are intended for discussion purposes only. These scenarios have not been approved by any of the

referenced agencies; they reflect our high level understanding of the application and are not necessarily

representative of actual operations.

1. Law Enforcement Patrol Activities ‐	Variation A

Officer stops a car because of suspicious behavior. The driver is asked for his driver’s license which is

examined and is transmitted to the National Crime Information Center (NCIC) using the patrol car

computer for a routine license check. The license appears valid and there are no outstanding wants or

warrants, but the officer is suspicious of the license as the photograph is somewhat different from the

driver’s face. He takes the MBHD and enters his password to enable the device. The password input is

also used to associate the officer identification with any data that will be created and sent by the

system. With MBHD unlocked he manually enters a text command (or special function key or voice

command) to start the processes for capturing the subject’s fingerprints. Once the subject has placed

the finger on the device platen, the officer activates the capture image function key. The fingerprint

image is captured (a plain touch print) and the device evaluates the image quality providing a feedback

response to the officer indicating either the acceptability or non‐ acceptability of the fingerprint image.

If it is unacceptable, the officer tries again until such time as either the image quality is acceptable or

else the officer overrides the quality criteria via a text command (the device may be preprogrammed to

perform only three tries, accepting the last try automatically). On completion of the capture of the first

fingerprint, the officer captures the second fingerprint using the same process. With both finger image

captured the officer activates the search function. The MBHD sends the message via a wireless link to

the patrol car computer which formats the message into ANSI/NIST and forwards the search to IDENT.

IDENT searches its files and provides the response to the patrol car computer which forwards it to the

MBHD. The IDENT response is a text message that shows that the driver has had several encounters with

the Border Patrol and has been deported to his country of origin on two occasions. The officer requests

a photo of the identified subject, which was transmitted with the text data by activating a command (or

voice) on his MBHD. IDENT returns a photograph, which looks more like the driver than the image on

the driver’s license. The officer realizes that the driver is an illegal immigrant driving on a stolen license.

He takes the driver into custody and informs the Border Patrol of the identification via telephone.

2. Law Enforcement Patrol Activities ‐	Variation B

Officer stops a car because of suspicious behavior. The driver is asked for his driver’s license which is

examined and is transmitted to the National Crime Information Center (NCIC) using the patrol car

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Law enforcement officers at a political event see a fight break out between the legally sanctioned

demonstrators favoring immigration reform and a large numbers of counterdemonstrators. It seems

that about twenty individuals from each side are fighting and that the fight is escalating. The officers

move in and detain the individuals involved. This confrontation was expected and the officers have set

up a temporary booking site nearby. The officers take the individuals to the temporary booking area

where an MBHD is available for entering data for search against several national biometric recognition

systems. The officer first enters his password to enable the device. The password input is also used to

indicate the officer identification with any data that will be created and sent by the device. With the

MBHD unlocked, he manually enters a text command (or special function key) to start the processes for

capturing the subject’s fingerprints. The MBHD is equipped with a four plain finger scanner and a facial

image capture camera. The officer enters the subject’s biographic data as provided by the subject. An

automated program prompts the officer to enter all required text data and following completion of the

text entry, it prompts for a start of a fingerprint scan of all ten fingers (4+4+2). The MBHD performs an

computer for a routine license check. The license appears valid and there are no outstanding wants or

warrants, but the officer continues to be suspicious. He takes the MBHD and performs a fingerprint

image capture from the driver. The MBHD indicates that the fingerprint quality is poor, repeated

attempts result in failure to capture the image (see 3.1.1.1.1 above). The officer examines the finger and

finds scarring possibly indicating intentional mutilation. He then proceeds to capture the driver’s irises.

The MBHD evaluates the iris image quality and provides an indication of acceptability or non‐

acceptability. The officer performs a recapture if it is unacceptable or else over‐rides the quality

indication and activates the search request function via a keyboard command. (The MBHD may have

dual iris or a single iris capture camera. If the camera is a single iris type, the officer than captures the

second iris using the same process as described previously).  The iris images are sent to the local patrol

car computer which formats the data and sends it to NGI for a search of the iris database. A match is

obtained against a subject on the watch list and NGI forwards a response to the server which forwards

the response to the MBHD. The text response is coded to indicate that the subject may be armed and

dangerous. The officer arrests the driver and takes him into custody.

3. Law Enforcement Public Event Disturbance

image quality check on each image and if a retry is necessary informs the officer with a text message.

The image data is recaptured, if necessary, or else data is accepted because the officer decides that

additional attempts would not be productive. The acceptance is done via a manual text entry. Once the

fingerprint capture process is complete, the officer initiated a facial image capture for each individual.

The complete data record, including text, fingerprint image data, facial image data , and encounter data

(location, type of encounter, officer ID, etc.) is formatted in accordance with the EBTS data exchange

format and is sent to IAFIS where it is determined that two of the individuals are on parole for previous

aggravated assault convictions. The response on each of the individuals is coded for safety reasons. A

parallel search of IDENT, using the same data shows that one of the demonstrators has a previous

voluntary removal and is therefore likely to be an illegal immigrant. A further search is initiated by the

officer via text command against the DoS CCD facial image watchlist and several records are returned

indicating a potential match on two more individuals. The CCD response provides candidate facial

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5. POE Identity Verification ‐	Fingerprint and Facial Image

Identification MBHD

Those individuals that cannot have their passport read or do not have a passport are asked to enter the

guard house where their biometrics are captured (fingerprints and photograph) on a larger MBHD with

full identification capability. The officer first enters his password to enable the device. The password

input is also used to indicate the officer identification with any data that will be created and sent by the

device. With the MBHD unlocked, he manually enters a text command (or special function key) to start

the processes for capturing the subject’s fingerprints. The MBHD is equipped with a four plain finger

images which are compared side by side with the images captured at the encounter. These are analyzed

by the officers and further identifications are made. All identified individuals are arrested, this action is

indicated on the MBHD and the arrest action with the complete record are enrolled in the IDENT and

NGI databases (this could be done at the time of the search if an arrest charge is made). The officers

take these men into custody and inform CBP of the detention via telephone. The rest are released with a

warning.

4. POE Identity Verification

A POE inspector at the US‐Mexico border is presented with a US travel document that he suspects is

fraudulent. The inspector has previously enabled the passport reader device by entering his password

which automatically causes all subsequent data entries to be associated with his identification number

and name. On attempting to read the document on a passport reader, he finds that the encoded image

has been corrupted and cannot be read. The subject claims to be handicapped and cannot leave his

vehicle without assistance. The inspector takes his MBHD (password protected) to the car and the

document text is read by the MBHD mage stripe reader and a biometric (facial image) is captured. The

data, including the encounter data, document text data, and the facial image are sent to DOS Consular

Consolidated Database where it is matched against the biometric indicated by the document

identification number (verified). The biographic data is also checked against the CCD watchlist. The

identity is verified, no listing in the watchlist is found, and the subject is allowed entry.

scanner and a facial image capture camera. The officer enters the subject’s biographic data as provided

by the subject. An automated program prompts the officer to enter all required text data and following

completion of the text entry, it prompts for a start of a fingerprint scan of all ten fingers (4+4+2). The

MBHD performs an image quality check on each image and if a retry is necessary informs the officer

with a text message. The image data is recaptured, if necessary, or else data is accepted because the

officer decides that additional attempts would not be productive. The acceptance is done via a manual

text entry. Once the fingerprint capture process is complete, the officer initiated a facial image capture

for each individual. The complete data record, including text, fingerprint image data, facial image data ,

and encounter data (location, type of encounter, officer ID, etc.) is formatted in accordance with the

EBTS data exchange format and is sent to IDENT. IDENT searches the data to determine if a past

encounter exists and returns the appropriate text response.

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Further analysis of the biometric files and additional associated information indicates the three

crewmen have travel patterns consistent with those of previously apprehended terrorists. Based on this

information, the on‐scene commander detains the three crew members pending further disposition.

6. At Sea Interdiction

Officers board a small ship in US waters looking for potential contraband. Once on board they find about

thirty individuals suspected of trying to enter the US illegally. With a password protected MBHD, the

officers enters minimal biographic data and captures the fingerprints (two fingers), facial image, and

irises (future capability) of each individuals found on board. All captured data is checked for image

quality acceptability and the officer has an opportunity to recapture or accept the data using a keyboard

command. The captured record for each individual, including the encounter data (officer identification,

ship, location, type of interdiction, etc.), subject biographic, and the two sets of biometrics are

formatted and sent to IDENT via a satellite link to be searched. (To facilitate the entry of encounter data,

7. Maritime Interdiction Operation

Officers are conducting a compliant maritime interdiction operation seeking terrorists. The Coast Guard

is equipped with MBHDs that are password protected, have a satellite link, and provide image quality

assessment for each biometric being captured (tenprints, face, and optionally iris). After obtaining flag

state consent, the team boards a large container ship and collects biometric samples from each

crewman. The data is transmitted to an authoritative source, and is followed up with acknowledgment

of receipt. The biometric data is compared against all stored files, and shared with mission partners. A

subsequent match is made on three of the crewmen. Furthermore, the matched files show a link to the

National Counterterrorism Center (NCTC) terrorist watchlist. The authoritative source updates the

applicable biometric files with newly collected biometric samples and contextual data. The interdiction

team is informed of the match result and watchlist status. Each response is linked to the captured facial

image to facilitate association of data with each individual.  

much of the data can be pre‐entered and enabled by associating it with the password owner identity).

IDENT returns a response indicating previous encounters and facial image of the previously detained

individual or of an individual on a watchlist. The device allows the officer to continue capturing data

without waiting for the response to each search request. All responses are queued and can be displayed

on request using a keyboard command. Each response includes a facial image so that the officer can

associate the response to the specific subject.

The on‐scene commander further requests, and is granted, flag state authorization to conduct a detailed

search of the vessel. In the course of the search, 40 undocumented individuals are discovered in a cargo

hold. They are determined to be attempting illegal entry into the US. Also during the search, documents

related to the design of an improvised nuclear device are discovered and collected. Biometric samples

are collected on the ship's crew and undocumented individuals. The biometric data is again transmitted

to an authoritative source and compared to all stored files. No match is made. Each individual's

biometric data is enrolled into a biometric file, linked to the WMD information, and stored for later use.

The on‐sight commander analyzes the results of the biometric match processes and other available

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information to determine a course of action. The biometric files and related associated information are

shared with the mission partners and entered into interagency systems, including the FBI Criminal

Justice Information Systems (CJIS), DoD, and DHS Immigration Systems. The on‐scene commander

informs the appropriate authority and, after receiving flag state and US Government authorization,

takes the undocumented individuals into custody pending further disposition.

8. Disaster Site Operations

Officers are sent to a disaster site to process applicants who need immediate shelter and financial

assistance. To guard against duplicate applications and to ensure that the persons are not on a wants

and warrants list and therefore ineligible for assistance, the applicants will be fingerprinted. The officers

use an MBHD that is password protected and has a two fingerprint and a facial image capture capability.

All biometrics are assessed for image quality and repeat capture is allowed to obtain an acceptable

image. All biographic data is entered manually using a keyboard. Automated entry is not possible as

most of the individuals do not have readable credentials.  

9. First Responders Access Control

First responders are required to enter a secure facility to deal with the situation resulting from an

accident that has led to an explosion resulting in injuries and a fire. Using their first responder access

card, a PIV‐I card issued by their state/local jurisdiction, the first responders are screened using an

MBHD handled by the secure agency security staff, which allows the identified personnel access to the

explosion site.  The MBHD is password protected. Data for all first responders has been previously

preloaded on the MBHD. The access card is based on the PIV standard and it contains fingerprint

templates for verification of the first responder’s identity using a plain (touch) finger reader.  The reader

has multiple attempt capability with an image quality reject function. The process of identity verification

and first response attribute conformation authorizes the first responder to enter a restricted zone and

the authority to perform certain functions (such as medical support).  

Since the disaster has rendered local communications inoperative, all enrolled data must be searched

later at another site where there are communications. The locally captured data is uploaded at the

central site to a local server for searching against IAFIS and IDENT. Duplicative applications are flagged

and ineligible applicants are identified. The list of eligible subjects is entered onto eligibility lists for

assistance and applications are automatically forwarded for processing. Individuals attempting duplicate

enrollment may be charged and arrested.  

10. Mobile Applications of TWIC

The USCG is notified of the identity of all persons aboard a Liquid Natural Gas vessel 96 hours prior to

their arrival in US waters. USCG personnel board the vessel as it approaches US waters and using an

MBHD read the TWIC cards of all persons aboard. The MBHDs are password protected and have an

image quality check capability for the fingerprint image capture process. The MBHD checks each

person’s biometric (two plain fingerprints) to make sure that the card belongs to the person holding the

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Agents are contacted by the San Diego City Police Department to identify a male that was hospitalized

due to cold weather exposure. Using their MBHD, the SIG agents sign‐on to the device, enter encounter

data and fingerprint the subject (two fingers). The data is sent for a search of IDENT. IDENT provides a

response, identifying the subject as an illegal alien. Following an interview with the subject, additional

individuals are identified by the subject as deceased smuggled aliens. Using the MBHD, identification

data (location of bodies – part of encounter data) supplied by the subject is used to retrieve the data on

the unknown individuals and the unknowns records is updated.

card. The data is also checked against a watchlist (optional capability) to ensure that the card holder has

not been placed on a watchlist since the arrival notification. USCG finds that there are some crew

substitutions. These individuals are detained pending further identification in port.

11. Identification of Deceased

A body has washed up on Coronado Island and an officer is called to the scene. The agent using a mobile

biometric handheld device captures the fingerprints on the beach.  The agent logs onto his device,

enters a password and inputs text data related to the encounter. The text data includes location,

approximate description of the diseased (sex and age). Because the fingerprints are of poor quality, the

agent captures all ten fingers and initiates a search of the authoritative databases using all ten fingers.  

Within thirty seconds a response is received indicating that the subject is a previously deported

aggravated felon with an outstanding State felony arrest warrant. On returning to his office, the agent

retrieves the identification data and re‐enters it manually (using an internet connection) into the State

AFIS and IAFIS to update the criminal records and the warrants list.

12. Checkpoint Operations

SIG agents conducted a vehicle stop on Interstate 15 which resulted in the discovered of 28 grams of

marijuana. The agent signs‐on to his mobile biometric handheld device and proceeds to book the

subject.  The agent captures all of the driver’s identification information by automatically reading his

driver’s license and captures all ten‐fingerprints. The data is sent to the State AFIS as an arrest record

and also to IDENT to ensure that the subject is not on a watchlist or has derogatory information in

IDENT. The search response shows no previous records in either of the searched systems.  The captured

data is entered into the State system as a simple possession (21 USC 844). The agent releases the driver

after seizing the marijuana. A court appearance date will be sent to the subject from the State

computer.  

13. Joint Operation		

14. Detention Facility Operations

Agents are deployed to a detention facility to perform identity screening. After signing‐on on their

MBHD, the agents capture the inmate biographic (name, sex, date of birth, etc.) and their biometrics

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USCG stops a small boat in US waters that is suspected of drug smuggling. Two officers board the boat,

one of them with an MBHD. Previous to boarding, the officer had signed on to the device using a

password.  Once aboard, one of the officers proceeds to capture the fingerprint data (two index fingers)

and entering subject text data (name, sex, DOB) using the device keyboard. The fingerprint is evaluated

by the software on the MBHD as to fingerprint image quality and an appropriate message is displayed

following each fingerprint image capture. Up to three attempts are allowed to capture a fingerprint of

sufficient quality for AFIS processing. The data is sent via Bluetooth to the cutter where a server sends

the data via a satellite link to US‐VISIT. All data sent by the server and received by the server related to

the searches is logged for audit and analysis purposes. The search record is sent to US‐VISIT where it is

checked against a recidivist database and a watchlist of outstanding wants and warrants. The server also

has a store forward capability where all search requests and responses are managed so as to minimize

total transaction time. The response, once received by the server, is forwarded to the MBHD indicating a

(fingerprint ‐ tenprint, face, and iris). The MBHD also supports recapture of biometric data if necessary

to meet minimal image quality metric thresholds. The data is sent via a WiFi connection to a local server

which sends the data to IDENT to determine if there is any derogatory information. In all cases, the

encounter data is updated on IDENT and the biometric data is enrolled. All data sent to the local server

is also checked for possible duplication. Responses from IDENT are received at the server, which

retransmits the data via WiFi to the MBHDs. The agents interview the identified subjects and fill in any

additional data obtained from the interview into the local server. The list of all positive identifications,

after consolidation, as well as any interview data is reported to the appropriate authorities.

also carried by the officer, using Blue Tooth communications. The BlackBerry sends the search request

via a secure communications’ link to LACRIS using a public cell carrier. Within 40 seconds the Blackberry

receives a response indicating the identity of the subject. A fingerprint display is provided showing a side

by side comparison of the submitted fingerprint and a returned fingerprint. These appear to be for the

same individual. A photograph of the subject is also included which is corresponds to the detained

individual. The officer, using the MBHD, requests a search of State AFIS to determine if there is an

outstanding want or warrant on the subject. The State ID number and name of subject, as provided by

LACRIS, are used as the search parameters. This request is processed in the same manner, but this time,

the request is relayed by the patrol car computer to the State AFIS. A negative response is received from

the AFIS and it is forwarded to the MBHD. The subject is released.  

16. Interdiction at Sea

15. Los Angeles County Sheriff's Department ‐	Patrol Stop

An officer with the Los Angeles Sheriff’s Department stops an individual acting suspiciously in an alley in

back of a strip mall. The subject claims that he was merely looking for scrap materials. When asked for

identification, he says that he has no identification document. The officer takes out his Blue Check

MBHD and scans his own index finger to enable access to the device. He then captures the subjects’

fingerprints (right and left index fingers) on the same device and requests a search of the Los Angeles

County Regional Identification Systems (LACRIS). The request is relayed from the MBHD to a BlackBerry,

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positive or negative identification. A photograph of the identified individual is included in the response.

If a positive identification is received, the subject is brought aboard the cutter for later processing on‐

shore.

17. Stockton Police Department ‐	Field Capture Latent Pilot

An officer is called to a scene of a crime. There has been a break‐in and an attempted sexual assault. The

suspect left through the rear door when he heard someone entering in the front of the house. In his

hurry, he dropped a flashlight. The victim provides the officer

on the suspect. All data captured and processed by the MBHD is archived. The poor quality latents that

did not produce a hit are manually encoded by a latent examiner using a lift obtained from the scene as

part of the evidence collection process.

18. National Park Service

A National Park Service (NPS) officer finds an illegally camped individual who he suspects is an illegal

alien. Upon questioning, the individual admits to being an illegal immigrant. The officer requests the

individual to provide fingerprint (index fingers), iris, and facial biometric data for a search of the US‐VISIT

system.   This data is captured on the MBHD which transmits the data via a USB cable to a patrol car

computer (future upgrade to WiFi). Text data is also entered via the MBHD keyboard (or touchscreen).  

The entered data is searched against the US‐VISIT system to determine if the individual is a recidivist.

The US‐VISIT search reveals that the subject has had prior deportations.  Additional fingerprint data is

captured to form a tenprint record and the data is enrolled in IDENT and is sent to IAFIS to determine if

the subject has a criminal record. All of the captured data is also enrolled in US‐VISIT and IAFIS.  As part

of the IAFIS enrollment process the enrolled ten‐print data is searched against the unsolved latent

database and the resulting candidates are compared through the FBI’s Universal Latent Workstation

(editor’s note: this scenario is not fully developed – mention is made of two finger capture and tenprint

enrollment, reverse search requires a ULW, however, data is sent to a patrol car computer. What

happens to iris and facial data is not explained. Need clarification). A match signifies probable

involvement in a criminal enterprise and the individual is targeted for further investigation and case

development.  

a brief description of the suspect. The

officer, who is trained in latent fingerprint capture, dusts the flashlight and discovers several

fingerprints. Using a camera that is on his MBHD, the officer captures the latent fingerprint image. The

officer enters the suspect descriptor data (sex, race, approximate age) and initiates a search of the local

AFIS database. One of the latents is of good quality and two fingerprints are of lower quality. The search

results in a rank one score on the good quality latent and a rank 8 and 10 on the other two latents.

These scores are displayed as part of three candidate lists indicating State ID numbers and a photograph

for the subjects identified by the search. The photograph is shown to the victim who positively identifies

the suspect. At this time the officer posts a wants notice from his MBHD to the local and the State AFIS

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Scenario Use Use Use Use Use

Case 1 Case 2 Case 3 Case 4 Case 5

1 Law Enforcement Patrol Activities ‐ Variation A   

2 Law Enforcement Patrol Activities ‐ Variation B   

3 Law Enforcement Public Event Disturbance   

4 POE Identity Verification   

5 POE Identity Verification

Identification MBHD

 ‐ Fingerprint and Facial Image     

6 At Sea Interdiction   

7 Maritime Interdiction Operation   

8 Disaster Site Operations   

9 First Responders Access Control     

10 Mobile Applications of TWIC   

11 Identification of Deceased   

12 Checkpoint Operations     

13 Joint Operation   

14 Detention Facility Operations   

15 Los Angeles County Sheriff's Department ‐ Patrol Stop   

16 Interdiction at Sea   

17 Stockton Police Department ‐ Field Capture Latent Pilot   

18 National Park Service     

   

Table: Scenario to Use case Relationships

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