®

Federal Office
of Administration

Federal Office
for Information Security

*|

Fingerprint Quality Distribution for third party QA algorithms

@ Quality assessment on all enrolled fingerprints 1m Damascus records noticeable quality
was performed using NFIQ, Sagem Kit4, NEC

QualityTool

, Aware SequenceC heck

improvement of captured fingerprints for all
algorithms. In Ulan Bator, the opposite is
consistently the case.

NFIQ distribution (Damascus)

Phase 2

Project phase

Phase 1

ie

0% 10%

20%

40% 50% 60% 70% = 80% 90% 100%

Percentage travelers

30%

BINFIQ 5 GINFIQ 4 GNFIQ 3 MNFIQ 2 BNFIQ1

Project phase

NFIQ distribution (Ulan Bator)

Phase 2

Li

Phase 1

0%

10%

40% 50% 60% 70% 80% 90% 100%

Percentage travelers

20% 30%

[mNFIQs TINFIQ 4 GNFIQ 3 MNFIQ 2 BNFIQ 1

Presented: Gaithersburg, 2nd of March, 2010
Presented by: Fares Rahmun (BVA), Oliver Bausinger (BS!)

| | Page: 20


a ee teion om feet matien Security
Software / Workflow Mechanisms

@ Build composite records out of multiple captures
H Option 1: choose best fingerprint by fingerprint cross matching
& Option 2: choose best fingerprint by QA algorithm (e. g. Sagem, NEC, NFIQ)
@ Thresholds have to be configurable!

@ Switch to single finger mode for difficult fingers
@ Enforce strict workflow to avoid early overrule by operator

Presented: Gaithersburg, 2nd of March, 2010
Presented by: Fares Rahmun (BVA), Oliver Bausinger (BS!) | Page: 14


CE
Federal Office US Federal Office
a of Administration for Information Security

Interoperability of Segmentation algorithms

@ 4-Finger-Slap captured
with Cross Match LSCAN
Guardian Sensor

Presented: Gaithersburg, 2nd of March, 2010
Presented by: Fares Rahmun (BVA), Oliver Bausinger (BS!) Page: 24


a ee teion om feet matien Security
Image quality and performance

m Strive for best finger image quality

B® Quality (according to ISO/IEC 29794-1:2009)
@ Character of a sample
@ The fidelity of a sample to the source from which it is derived

@ The utility of a sample within a biometric system:
An expression of quality based on utility reflects the predicted positive or negative contribution
of an individual sample to the overall performance of a biometric system. Utility-based quality
is dependent on both the character and fidelity of a sample. Utility -based quality is intended
to be more predictive of system performance, e.g. in terms of FMR, FNMR, failure to enrol
rate, and failure to acquire rate, than measures of quality based on character or fidelity alone.

m@ What's the meaning of quality within our AFIS setting?

@ Typical AFIS assumptions of the Biometric Matching System (BMS) of the EU VIS
@ Better quality of fingerprints yields to better AFIS performance

m@ Use only fingerprints of a certain quality level: Enrolment performance is predicted by the
Sagem quality control USK 4.

@ Quality for the VIS practically means Sagem USK 4 quality
H How to enrol subjects within these constraints?

Presented: Gaithersburg, 2nd of March, 2010
Presented by: Fares Rahmun (BVA), Oliver Bausinger (BS!) Page: ts


IR Federal Office US Federal Office ;
of Administration for Information Security

Thank you for your attention!

Presented: Gaithersburg, 2nd of March, 2010
Presented by: Fares Rahmun (BVA), Oliver Bausinger (BS!) Page: 35


Federal Office Federal Office
ae of Administration ®

for Information Security

Results: Enrolment Duration

Development of the average time to enrol

250
~ 200 N JL A
3 | \
o
2
= 1504
2 —e— Damascus
5 \ —a— Ulan Bator
£ 100
ao
= Ne
F 50
0 ot
<\ <\ Nod Coy So} No) Co D ~) 2) 2 ©)
8 SS g g 8 g S g g SS
XO C so) S oa co 3O $ SS
SH KX PF KC TPF TF KC KF KF ST

Presented: Gaithersburg, 2nd of March, 2010
Presented by: Fares Rahmun (BVA), Oliver Bausinger (BS!) Page: 21


Federal Office US Federal Office
a of Administration for Information Security

Agenda

BioDEVII — Phase 1

Quality Improvements in Phase 2

| > ProVITA: Technical Evaluation of BioDEVII

[ Technical Guideline Biometrics for Public
Sector Applications

Presented: Gaithersburg, 2nd of March, 2010
Presented by: Fares Rahmun (BVA), Oliver Bausinger (BS!) Page: 27


Federal Office US Federal Office
a of Administration for Information Security

Results: Influence of Segmentation algorithm

a Slaps were segmented using different Comparing NFIQ distribution for different segmentation
algorithms algorithms (Single Finger QA)
m@ NFSEG, parameterized NFSEG, Sagem
Morphos
Sagem
é
@ QA on resulting fingerprint images S
= NFIQ, NEC QualityTool, Aware B NESEG + Edge
SequenceCheck, Sagem Kit4 Fe
:
@ Result: segmentation has little to no ° NFSEG
impact on image quality
0% 20% 40% 60% 80% 100%
= Open source solutions offer equal or NFIQ assessment
better performance TINFIQ 5 @NFIQ 4 GNFIQ 3 @NFIQ 2 GNFIQ 1

Presented: Gaithersburg, 2nd of March, 2010
Presented by: Fares Rahmun (BVA), Oliver Bausinger (BS!) Page: 23


Federal Office US Federal Office
a of Administration 4 for Information Security

Results: Fingerprint Quality - Classic Rejection Rate

Sagem Kit4 rejection rate

90%
80% 4
70%
60%

50% mPhase 1
40% mPhase 2

30%
20%
10%

0%

Rejection rate

Damascus Ulan Bator

mPhase l 69% 82%
mPhase 2 25% 43%

@ Significant decrease of Kit4 rejection rate in Phase 2 (up to one third)

Presented: Gaithersburg, 2nd of March, 2010
Presented by: Fares Rahmun (BVA), Oliver Bausinger (BS!) Page: 18


IR Federal Office US Federal Office ;
of Administration for Information Security

Training & Information Material

H Training for operators
@ Acquisition guides
@ Training videos
@ Personal training of operators

m@ Instructions for applicants
@ Preparation by guidance poster
m@ Video instructions

Presented: Gaithersburg, 2nd of March, 2010
Presented by: Fares Rahmun (BVA), Oliver Bausinger (BS!) Page: 10


aR Federal Office
of Administration

US Federal Office
for Information Security

Currently Available Specifications

m@ Visit the Homepage of the

Federal Office for Information Security
Bundesamt fur Sicherheit in der Informationstechnik - BS|

@ http://www.bsi.bund.de/ElektronischeAusweiseTR | TR-03121
m@ Version 1.0.1
Enrolment profile German Identity Card
@ Version 2.0
@ Additional enrolment profile VISA enroment
Available as release candidate
m Version 2.x
@ More application profiles

Presented: Gaithersburg, 2nd of March, 2010
Presented by: Fares Rahmun (BVA), Oliver Bausinger (BS!)

he Bundesamt
“E> § fir Sicherheit in der
Informationstechnik

| Page: 33


aR Federal Office
of Administration

US Federal Office
for Information Security

VISA Enrolment Profile: Fingerprint process requirements

mTM Based on composite records
m@ Several QA mechanisms possible

@ Proposed QA is a 3-way crossmatching
of fingerprints

m@ re-capture of single fingers possible, if
necessary

Presented: Gaithersburg, 2nd of March, 2010
Presented by: Fares Rahmun (BVA), Oliver Bausinger (BS!)

nN

| | Page: 30


aR Federal Office US Federal Office
of Administration for Information Security

Conclusion - Phase 1

@ ~ 12000 fingerprints
m@ 2 German consular posts

@ Assessing performance of the enrolment solution by analysing the
Sagem quality control USK 4 rejection rate.
@ Rejection Rate: ~75% do NOT match minimum requirement for VIS
mDamascus ~ 69%
mUlan Bator ~82%

@ Possible conclusions
mSimple NFIQ is not enough!

mVIS BMS QA (USK 4) has to be implemented in Client? @
Training not enough? ®.
VIS BMS QA is too strict? ee.

Presented: Gaithersburg, 2nd of March, 2010
Presented by: Fares Rahmun (BVA), Oliver Bausinger (BS!) Page: 7


Federal Office US Federal Office
a of Administration for Information Security

Enrolment Solution Phase 1

@ Pragmatic Enrolment approach
mEasy to use client on os > =
@ Quality Control with NFIQ
TMGood: 1, 2,3

mBad: 4,5 @ 4: TM ry

TM Operator tries to capture best fingerprints Fy 2 (rq)
B Training by Federal Foreign Office and  }
Federal Office of Administration we
a= | » —_,

@ No Acquisition Guides, Training Material

Presented: Gaithersburg, 2nd of March, 2010
Presented by: Fares Rahmun (BVA), Oliver Bausinger (BS!) Page: «6


Federal Office RR Federal Office
a of Administration “ for Information Security

Results: Fingerprint Quality - New Central Rejection Rate

Sagem Kit4 (New Central) rejection rate
18%
16%
2 14%
£ 12%
i=
8 10% B Phase 1
> 8% m Phase 2
“ 6%
4%
0% Damascus Ulan Bator
 Phasel 16% 15%
@ Phase 2 3% 3%

@ Much lower rejection rate for new Central Kit4

Presented: Gaithersburg, 2nd of March, 2010
Presented by: Fares Rahmun (BVA), Oliver Bausinger (BS!) Page: 19


Federal Office US Federal Office
a of Administration for Information Security

Improving performance by improving fingerprint image quality

@ General mechanisms
m@ E.g. training, acquisition guides, auxiliary utilities

@ Hardware improvements
m@ E.g. silicon pads, feedback monitor, sensor positioning

@ Software / workflow improvements

m@ E.g. iterations, feedback, algorithms

@ All elements are necessary to achieve suitable quality

Presented: Gaithersburg, 2nd of March, 2010
Presented by: Fares Rahmun (BVA), Oliver Bausinger (BS!) Page: 9


Cc EE
a aon om | feet matien Security
Interoperability of Segmentation algorithms

NFSEG

BA

LW

fi

a)
t

THe

BMS-VIS
USK3

Presented: Gaithersburg, 2nd of March, 2010
Presented by: Fares Rahmun (BVA), Oliver Bausinger (BS!)


Federal Office RR Federal Office
a of Administration “4 for Information Security

Best Practice
Fingerprint Enrolment Standards
European Visa Information System

Improving performance by improving fingerprint image quality
Experiences from pilot project BioDE VII

Presented: Gaithersburg, 2nd of March, 2010
Presented by: Fares Rahmun (BVA), Oliver Bausinger (BS!) Page: ie


i Federal Office
a ee teion om for information Security
Enhancers

m@ Enhancers to improve image quality & contrast
m@ Silicon pads
@ Contra: Regular exchange necessary, Requires recalibration
m@ Pre-Scan
@ Contra: Regular cleaning of device necessary
@ Contra: Health check?

~

Presented: Gaithersburg, 2nd of March, 2010
Presented by: Fares Rahmun (BVA), Oliver Bausinger (BS!)

et

| Page: 12


Federal Office US Federal Office
a of Administration for Information Security

Hardware Improvements

@ Fundamental: Use high quality capture device
@ Technical Guideline (TR-03104) from BS! (www.bsi.de)
@ Fingerprint scanners certified according to TR-03104
@ Certified single finger scanners (2009)
@ Cross Match, Sagem, Dermalog, Green Bit
@ Certified four finger scanners (2009)
@ Cross Match, L1 Identity

@ Feedback monitor for applicants
m@ Pro: Support finger positioning by direct feedback
@ Contra: Expensive and space requirement

Presented: Gaithersburg, 2nd of March, 2010
Presented by: Fares Rahmun (BVA), Oliver Bausinger (BS!) Page: AL


Federal Office US Federal Office
a of Administration for Information Security

VISA Enrolment Profile: Data Flow Overview

m@ Biometric data is collected for the VIS through the NCA

@ Additional quality data is collected for evaluation purposes by the Biometric Evaluation
Authority (BEA)

Biometric
Evaluation
Authority (BEA)
“Schengen
(Visa) Hareer \is (BMS
Application Office

National
Central Authority
(NCA)

Sy. Schengen
Member
States

Presented: Gaithersburg, 2nd of March, 2010
Presented by: Fares Rahmun (BVA), Oliver Bausinger (BS!) Page: 32


a ee teion om feet matien Security
VISA Enrolment Profile: Other aspects

B Collection of recommendations that were established while running the BioDEV II project
mUser guidance
@ Operator guidance

TM@ The guideline has information on the coding
@ of the biometric data itself plus additional data

= Data to collect (Function Module Logging)
@ Quality values, HW/SW information, timing information if possible, errors, demographic data

# Only Logging data provides information
m Analyse failures, increase of the rejection rate etc. d @
m@ Discover possible optimisations 0 °
@ Monitoring system performance in quality and time

Presented: Gaithersburg, 2nd of March, 2010
Presented by: Fares Rahmun (BVA), Oliver Bausinger (BS!) Page: 31


Federal Office US Federal Office
a of Administration for Information Security

Agenda

BioDEVII — Phase 1

Quality Improvements in Phase 2

| > ProVITA: Technical Evaluation of BioDEVII

[ Technical Guideline Biometrics for Public
Sector Applications

Presented: Gaithersburg, 2nd of March, 2010
Presented by: Fares Rahmun (BVA), Oliver Bausinger (BS!) Page: 8


aR Federal Office
of Administration

Results: Enrolment Duration

US Federal Office
for Information Security

Time to enrol (Phase 1)

Time to enrol (Phase 2)

100% 100%
90% a 90% |
ze 80% 420 sec. 2 80% 420 sec
E 10% 1360 sec. g 70% 1360 sec
2 60% 300 sec. £ 60% 300 sec
S 50% 240 sec. a 30% 240 sec
B 40% 1180 sec. B 40% 1180 sec.
2 30% 120 sec. 2 30% 120 sec
= 20% 160 sec. 20% 60 sec
Om i
0% 0%
Damascus Ulan Bator Damascus Ulan Bator
Consular post Consular post
m= Phase 1
TM90% / 60% of enrolments in less than 120 sec.
m@ Phase 2
75% of enrolments in less than 240 sec.
Almost no enrolment in less than one minute
Presented: Gaithersburg, 2nd of March, 2010
Presented by: Fares Rahmun (BVA), Oliver Bausinger (BS!) Page: = 22



Federal Office US Federal Office
a of Administration 4 for Information Security

Why a Technical Guideline?

Biometric Lessons Learned exist: they have to be made reusable

&
-6 Project Leaders: preparing a call for tender
e.-”
-@ End Users: requesting Quality
<@ “oe
5 . Companies: general requirements and standards

All biometric processes are - roughly - the same

Presented: Gaithersburg, 2nd of March, 2010
Presented by: Fares Rahmun (BVA), Oliver Bausinger (BS!) Page: 28


Federal Office US Federal Office
a of Administration for Information Security

Federal Office of Administration in BioDEVII

m AFIS Hosting
@ Consular Posts
@ Border Control
@ Belgium
m@ Fingerprint data exchange with
other member states
m@ Dactyloscopic Service for
@ Consular Posts
@ Border Control
Evaluation, Statistics, Monitoring

BH Specification and Installation of
Enrolment Solution

Presented: Gaithersburg, 2nd of March, 2010
Presented by: Fares Rahmun (BVA), Oliver Bausinger (BS!) Page: = 4


aR Federal Office
of Administration

US Federal Office
* for Information Security

2 Improved Enrolment Solutions - Main differences

secunet

m Usage of auto-capture

m 3 times putting slaps on scanner

m@ Always whole slap is captured

B QA Sagem Kit4 included

TM Open Source NIST QA & segmentation

m@ Cross matching used for composite
record (3 slaps min.)

Presented: Gaithersburg, 2nd of March, 2010
Presented by: Fares Rahmun (BVA), Oliver Bausinger (BS!)

NEC

@ No auto-capture, NEC QA controls

@ Slap stays on scanner

@ Switch to single-finger capturing

@ QA Sagem Kit4 included

@ NEC QA and segmentation algorithms
@ NEC QA for composite record

| | Page:

45


Federal Office US Federal Office
a of Administration for Information Security

ProViTA: Technical evaluation of BioDEV Il

Data from October 2007 to August 2009

@ Qualitative performance analysis of the enrolment
solutions

@ Simulation of alternative QA and segmentation
algorithms

® Derivation of best practices while considering the
interests of all stakeholders i

@ Solid foundation for the Technical Guideline
Biometrics

Presented: Gaithersburg, 2nd of March, 2010
Presented by: Fares Rahmun (BVA), Oliver Bausinger (BS!) Page: AT


Federal Office US Federal Office
a of Administration 4 for Information Security

The BioDEV II Project

TM Gain experiences with regard to the introduction of VIS :
Enrolment, Verification and Identification with focus on fingerprints Fea be x
Organizational consequences for consulates and border posts + BIODEV Il x
Interoperability of devices, processes and software —

Ensure compliance with international standards

H 8 participating countries
AT, BE, DE, FR (project manager), LU, PT, ES, UK

m@ Launched in 2007 and planned until the end of March 2010

PA OO

Presented: Gaithersburg, 2nd of March, 2010
Presented by: Fares Rahmun (BVA), Oliver Bausinger (BS!) Page: 3.



Federal Office US Federal Office
a of Administration 4 for Information Security

Lessons Learned

@ Quality assurance has a large impact on
the overall process

@ Good quality can only be achieved as a
combination of operational and
software-based quality measures

@ High quality comes ata price (enrolment
time)

@ You can learn how your system works if
you have enough logging data!

@ Need for specifying best practices for
high quality enrolment processes

Presented by: Fares Rahmun (BVA), Oliver Bausinger (BS!)

Presented: Gaithersburg, 2nd of March, 2010 |


Federal Office US Federal Office
a of Administration for Information Security

Agenda

BioDEVII — Phase 1

Quality Improvements in Phase 2

| > ProVITA: Technical Evaluation of BioDEVII

[ Technical Guideline Biometrics for Public
Sector Applications

Presented: Gaithersburg, 2nd of March, 2010
Presented by: Fares Rahmun (BVA), Oliver Bausinger (BS!) Page: 2


Federal Office US Federal Office
a of Administration for Information Security

Federal Office of Administration (BVA)
Fares Rahmun

Fares.Rahmun@ bva.bund.de

+49 221 758 1548

Federal Office for Information Security (BSI)
Oliver Bausinger

Oliver.Bausinger@ bsi.bund.de
+49 228 9582 5780

Presented: Gaithersburg, 2nd of March, 2010
Presented by: Fares Rahmun (BVA), Oliver Bausinger (BS!) Page: 34


aR Federal Office US Federal Office ;
of Administration for Information Security

Typical Enrolment Workflow (e.g. for VISA)

& Specify distinct requirements

= Process description for high quality fingerprint enrolment

tical qualific men dll Q T/NIST
tifier ‘yscale dpi
[ Process ]
Acquisition Acquisition Biometric Com- Quality Coding
Hardware Software inege pression Assurance
e
e
« LA xm

Presented: Gaithersburg, 2nd of March, 2010
Presented by: Fares Rahmun (BVA), Oliver Bausinger (BS!) Page: 29


IR Federal Office US Federal Office ;
of Administration for Information Security

Ergonomics

m@ Sensor positioning
@ Height: BRIDGE recommends scanner at elbow height

m TRUE BUT:
Operator cannot see hands during capture process
> No manual False Finger Detection!

@ Angle: BRIDGE recommends central position
of scanner, so that angle is comfortable for
both hands

m TRUE BUT:
Not always possible because of local restrictions!

Presented: Gaithersburg, 2nd of March, 2010
Presented by: Fares Rahmun (BVA), Oliver Bausinger (BS!) Page: 13


Federal Office US Federal Office
a of Administration for Information Security

Agenda

BioDEVII — Phase 1

Quality Improvements in Phase 2

| > ProVITA: Technical Evaluation of BioDEVII

[ Technical Guideline Biometrics for Public
Sector Applications

Presented: Gaithersburg, 2nd of March, 2010
Presented by: Fares Rahmun (BVA), Oliver Bausinger (BS!) Page: 16