PATRIOT ACT 

ENHANCED BORDER SECUR

CONFERENCE 

PRESENTATIONS 

August , 2002 

R.M. McCABE 

mccabe@nist.gov 
STATUTORY MANDAT

❐ PL 107-56: The Attorney General and the Secretar

through the National Institute of Standards and Techn

....shall within 1 year after the date of the enactmesection, develop and certify a technology standard appropriate biometric identifier standards) that can the identity of persons applying for a US visa or such to enter the US pursuant to a visa for the purposes of background checks, confirming identity, and ensuring 

not received a visa under a different name..... 

❐ PL 107-173:

 Not 

later than 180 days after the ena

Act, the Attorney General, the Secretary of State, and 

Institute of Standards and Technology (NIST), acting jsubmit to the appropriate committees of Congress a c

report assessing the actions that will be necessary... dequipment and software necessary to allow biometric authentication of documents...Not later than October 2
NIST OBJECTIVES 

To support the provisions of the PL 107-56 ❐ Determine the method to verify the identity 

applying for a US visa 

❐ Determine the method to verify that the per

visa is the same person that was issued th

❐ Determine estimates of performance for ❐ Develop and certify a technology standard 

or more biometrics that have been determihighly accurate when used identification an

To support the provisions of PL 107-173 ❐ Assisting the Attorney General and Secreta

establish document authentication standardresistant entry and exit documents to the U
PATRIOT ACT

 BORDER SECURITY 

❐ Identity background check for visa a

● Enhance the FBI’s IAFIS ● Develop new AFIS for INS ● JMD will make final decision 

❐ Verification check for visa presenter 

● Record one or more biometrics on mem● Use ANSI/NIST standard ● Compare stored data to captured biome

❐ Finger & face biometrics 

● 2% of Population difficult to fingerprint 
PERFORMANCE MEASUREME

❐ Identification: Algorithm Test Bed (A

● Scaled down version of FBI’s IAFIS at N● Built by Lockheed Martin / Mitretek ● Test combinations of rolled and plain fin● Test use of less than ten finger images 

❐ Verification: Verification Test Bed (V

● Developed by the Image Processing Gr

❐ FRVT 2002 - Facial Recognition Ven❐ Approximately 27 FTEs involved 
VTB 

❐ Currently a gigabit network of 6 nodes - exp

nodes 

● Increased communication speed ● Improved security 

❐ Each node consists of 

● Dual processor 1.8 GHz computer ● 1 GB memory ● 700 GB RAID box with 8 120 GB drives ● Software for segmentation, classifier, mi

extraction, and fingerprint matcher 

❐ Large databases distributed between nodes 

● Test set put on all nodes ● Exchange of large amounts of data acco

moving RAID box and plugging into anot
TEST DATA SETS 

❐ Biometric accuracy determination requi

scale testing 

❐ Large operational test samples of imag

obtained from Texas State and Justice 

❐ Initial testing will be of face and fingerp

sample of iris data is presently available

❐ All tests conducted by NIST used image

were not used 
TENPRINT CARD 

(Rolled and Plain) 
FINGERPRINT DATA SE

NAME SCAN TYPE PLAIN ROLL TESTS SIZE 

SD 14 (V2) Ink/live 10 Roll:Roll 2,700 CarSD 24 Live (DFR-90) 10 Plain:Plain 80 SD 29 Ink 10 10 Roll:Roll 

Plain:Plain Plain:Roll 

216 Card 

INS Live Index Plain:Plain 1M Pairs 

INS Live 10 10 Plain:Roll 100K Card

TX Ink/live 10 10 Plain:Roll 1M Cards ESD Live 10 10 Plain:Roll 3K Cards 
VTB EXPERIMENTS 

❐ Single Finger Verification Tests 

● Finger Position ● Flat vs Rolled 

❐ Verification with Error Analysis 

● 3000 subjects, 15 data set ● classical statistical methods 

❐ Single Finger Identification 

● 550 searches against 619,572 subjects ● 85% to 55% detection - image quality 
SD 29 VERIFICATION TE

❐ Contains two tenprint cards for 216 s❐ Each tenprint card contains ten rolle

and four plain images 

❐ Tests were run using different finger

different combinations of rolled and 

❐ The ROC plots the probability of a tr

verification as a function of the probafalse accept 

❐ How many “bad guys” are you willing 

order to maintain a low false reject ra
SD 29 -INDEX FINGER

ROLLED AND PLAIN COMPA
SD 29 RESULTS 

ROLLED & PLAIN COMPAR

 Probability of Verification for SD 29

With 1% False Accepts 

THUMBS INDEX MIDDLE RING 

Rolled:Rolled 98.3% 96.6% 98.0% 92.8% Plain:Plain 95.4% 88.2% 91.4% 90.5% 

Plain:Rolled 93.6% 90.6% 90.6% 88.0% 

 Probability of False Accept for SD 29

With 98% True Verifications 

THUMBS INDEX MIDDLE RING 

Rolled:Rolled 0.4% 10% 1% 22% 

Plain:Plain 18% 42% 39% 60% 

Plain:Rolled 40% 48% 31% 40% 
SD 24 VERIFICATION TE

❐ Small live-scan database - 80 unique fin❐ Images captured in a NIST laboratory ❐ Subjects cooperative - best images ava
INS INDEX FINGERS 

VERIFICATION TEST 

❐ Processed in blocks of 3k fingers (4❐ 95% True verification with 1% false ❐ Little difference between left and rig
VERIFICTION - ROC 

CONFIDENCE ELLIPSE

Detection Rate 

False Positive Rate 
INS TEST 

FULL GALLERY 

❐ Probe set consisted of 550 finger im❐ Each probe compared to 619,572 im❐ Ran across four machines ❐ Test 1-2-4: 150 images in probe set 

● 77% - 86% ranked in first place 

❐ Test 3 : 100 images 

● 55% ranked in first place 
SINGLE FINGER 

IDENTIFICATION 
FACE DATA SETS 

NAME IMAGE TYPE VIEWS SIZE QU

OpOp

INS FACE STATE 

JPEG 

JPEG 

2 

1 or 2 

625K Subjects

1.25M Images 

6.3M Subjects 

388K Pairs 

HUMANID JPEG 20 859 Subjects Co

FERET TIFF 12 1204 Subjects Co
FACE RECOGNITION 

VENDOR TEST FRVT 2

❐ FRVT 2002 in compliance with the US Patr❐ Accuracy for Airport Security & Entry/Exit f❐ Technology evaluation & progress made of 

available and mature face recognition syste

❐ Sponsored by NIST, DARPA, DOJ, DOS, F❐ Beginnings: 

● FERET 1993-96 ● FRVT 2000 
FRVT 2002 

TEST PLAN 

❐ Two tests ❐ High Computational Intensity Test (HCinT) 

● Measure performance on very large dat● 121,000 still images (15 Billion matches● 30,000 individuals 

❐ Medium Computational Intensity Test (MCi

● Still image evaluation (7,500 images) ● “Video style” evaluation ● Aging & illumination tested 

❐ Original four tests 

● Reduce do to large response 
FRVT 2002 

❐ Fourteen Vendors participated ❐ Twelve companies did large scale te❐ Test held in military base in VA ❐ Tests end August 8th ❐ Data analysis currently underway ❐ Initial report in October 
DEVELOPING 

STANDARDS 

❐ Biometric Standards Committee M1 ❐ ISO Committee WG 37 Forming ❐ Fingerprint Standard 

● Minutiae ● Pattern ● Image 

❐ Facial Standard 

● Image 

❐ Iris 

● Image (Polar/Rectangular) 
PRELIMINARY 

CONCLUSIONS 

❐ Fingerprints provide higher accuracy than ❐ INS data on index fingerprints provide 95

verification with a 1% false accept (2% T

❐ Previous face tests show 80% true verific

1% false accept rate 

❐ Not all subjects can be easily fingerprinte❐ The intelligence community often only ha❐ Dual biometrics including one or more fin

a face on a chip may be required