H ELSINKI U NIVERSITY OF T ECHNOLOGY Department of Electrical and Communications Engineering Signal Processing Laboratory

Sampo Ojala

Biometric Authentication in Real-Time Large-Scale Applications

Thesis submitted for examination for the degree of Master of Science in Engineering in Espoo on April 5, 2005

Supervisor: Instructor:

Professor Jorma Skyttä Lic.Sc. (Tech.) Matti Tommiska

H ELSINKI U NIVERSITY OF T ECHNOLOGY A BSTRACT OF THE M ASTER ’ S T HESIS Author: Name of the thesis: Date: Faculty: Professorship: Supervisor: Instructor: Sampo Ojala Biometric Authentication in Real-Time Large-Scale Applications April 5, 2005 Number of pages: 91 Department of Electrical and Communications Engineering S-88 Signal Processing Professor Jorma Skyttä Lic.Sc. (Tech.) Matti Tommiska

Biometric recognition is an addition to the traditional authentication methods e.g. keys and passwords, which are based on tokens and knowledge, respectively. Biometric recognition is based on the physiological and behavioral characteristics of a person, which are impossible to lose and difficult to duplicate. In addition, biometric recognition is the only authentication method that can be used for identification applications. In large-scale applications the number of users varies from tens of thousands to several millions. The large number of users sets certain demands for the performance of a biometric system. This is especially true in the large-scale identification applications, where many matches must be conducted. In this thesis, the different biometric technologies are discussed, concentrating on the fingerprint and the iris recognition in more detail. Large-scale applications and their specific performance demands are discussed also. The social and legal aspects of biometrics are briefly introduced, as well as the pattern recognition in general. In addition, two fingerprint recognition softwares are compared and studied in detail. Their performance in terms of error rates and execution times are measured and analyzed. The objective was to identify the processing tasks, which take up a lot of time. In addition, the applicability of the softwares into a large-scale system is discussed. Keywords: biometrics, fingerprint, iris, recognition, large-scale

T EKNILLINEN KORKEAKOULU D IPLOMITYÖN TIIVISTELMÄ Tekijä: Työn nimi: Päivämäärä: Osasto: Professuuri: Työn valvoja: Työn ohjaaja: Sampo Ojala Biometrinen autentikointi suurissa reaaliaikaisissa sovelluksissa 5.4.2005 Sähkö- ja tietoliikennetekniikan osasto S-88 Signaalinkäsittelytekniikka Professori Jorma Skyttä TkL Matti Tommiska

Sivumäärä: 91

Biometrinen tunnistus on voidaan nähdä perinteisten tunnistusmenetelmien, kuten avaimien ja salasanojen lisänä, jotka perustuvat vastaavasti joko omistukseen tai tietoon. Biometrinen tunnistus perustuu henkilön fysiologisten tai käyttäytymisen ominaisuuksiin, jotka on mahdoton hukata ja vaikea kopioida. Biometrinen tunnistus on myös ainoa autentikointi menetelmä, jota voidaan käyttää identifikaatiosovelluksissa. Suurimittaisissa sovelluksissa käyttäjien määrä vaihtelee kymmenistä tuhansista useisiin miljooniin. Käyttäjien suuri määrä asettaa tietyt vaatimukset biometrisen sovelluksen suoritusarvoille. Tämä korostuu etenkin suurimittaisissa identifikaatiosovelluksissa, joissa vertailuja joudutaan tekemään useita. Tässä työssä on käsitelty erilaisia biometrisiä tunnistusmenetelmiä, keskittyen etenkin sormenjälki- ja iiristunnistukseen. Suurimittaiset sovellukset ja niiden vaatimukset suoritusarvoille on myös käsitelty. Hahmontunnistuksen perusteet sekä biometrisen tunnistuksen sosiaaliset ja juridiset näkökulmat on esitelty lyhyesti. Työssä on verrattu kahta sormenjälkitunnistukseen tarkoitettua ohjelmaa yksityiskohtaisesti. Niiden suorituskyky, etenkin suoritusaikojen ja tunnistusvirheiden määrän osalta, on mitattu. Tavoitteena oli selvittää ne yksittäiset toiminnot, jotka vievät eniten aikaa sormenjälkitunnistuksessa. Lisäksi on käsitelty ohjelmien soveltuvuutta suurimittaisiin järjestelmiin. Avainsanat: biometriikka, sormenjälki, iiris, tunnistus, suurimittainen

I want to express my gratitude to M. I want to also thank my brother Vesa and all my friends for all the cheerful moments spent together. Matti Rintamäki and Kati Tenhonen. I would like to thank the supervisor of this thesis professor Jorma Skyttä for his advice and comments. Tech. Jaakko Kairus. As this thesis was carried out. who has always been there encouraging me and helping me to see also the other important things in life. Matti Tommiska for his valuable comments on this work and also for helping me on the writing of this thesis. I want to thank my lovely wife Susanna.Sc.Acknowledgements This Master’s Thesis was done in Signal Processing Laboratory at the Helsinki University of Technology and a great deal of people have supported me to reach this goal. Hannele and Kari. First of all. many unexpected practical problems occurred in the way. for many fruitful conversations and for creating an inspirational working environment. Juha Forstén. Esa Korpela. I would also like to thank all the volunteers who have had their fingers on this thesis. I want to thank also the current and former staff of Signal Processing Laboratory. i . for all the encouragement and support that I have received throughout my studies. I want to thank my parents. especially Antti Hämäläinen. Jarno Martikainen. Finally. I would also like to thank my instructor Lic. whose help with these practical things was essential to complete this thesis. Kimmo Järvinen. I am very grateful to him also for giving me an opportunity to work with this very interesting subject. Therefore.

3. .2 False Match Rate and False Non Match Rate . . . . . . . . .2 Features and Templates . . . . . .2 2. Classification Result . . . . ii . . . .3. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2. . . . Performance Figures of a Classification System . . . .2. . . . . . vii viii ix 1 2 4 4 6 6 7 8 8 10 13 13 Pattern Recognition 2. . . .1 Introduction . . . . . . . . . . . . Receiver Operating Characteristics and Equal Error Rate . . . . . . . . . . . . . . . . . . . . . . . 3 Biometric Technologies 3. . . . .1 2 Outline of the Thesis .1 2. . . . Classifiers and Classification . .1 2. . . . . . . . .2. . . . . .Contents List of Figures List of Tables List of Abbreviations 1 Introduction 1. . . . . . . .1 2. . . . . . . . . 2. .3 Different Classifiers . . .

. . . . . .5. . 25 3. . . . . . . . . . . . . . . . .6 Image Acquisition . . 27 Countermeasures Against Spoofing . . . . . . . . . .2 3. . . . . . . . . . . . . . . Feature Extraction and Template Generation . . . . . . 21 Individuality . . . . Advantages and Disadvantages . . . . . .4 Other Methods . . . . . . . . . . 33 36 4 Large-Scale Systems 4. . . . . . . . . . . . . . .3. . . . . . . . . . . . . .5 3.3. 26 27 Individuality . . . .2 3.2. 29 3. . . 38 4. Advantages and Disadvantages . . . . . . . .3. . .3 3. . . . . . 16 Fingerprint Features . .3 3. . . . . . . . . . . . . . . . . . . 38 iii . .1 4. . . .3. . . . . . . . . . .2. . . . . . . . . . . . . . . . . . . .4. . . . . . . . . 23 Countermeasures Against Spoofing . . . . . . . . . . . . . . . . .2.4. . . . . . . . . . . 36 Performance of Large-Scale Systems . . . . . . . 14 3. . . . . . .2 Fingerprint Recognition . . . . . . . . . . . . . . . . . . . . . . . .4 3. . . . . . . . . . . . . . .2 Authentication Methods . . . . . . . . . . . . . . 3. . . . . 29 Behavioral Characteristics . . . . . . . 19 Image Processing and Template Generation . . . . 24 25 3. . . . . . . . . . . .1 Scaling of Error Rates .2.3 Physiological Characteristics . .3. . . . .1 3. . .3 Iris Recognition . . 31 33 3. . . . . . . . . . . . .2. . 31 Technologies in the Development Stage . .1 3. . . . . . . . . . . . . . . .1 Attributes of the Biometrics . 28 29 3.2.3. . . . . . . .2 3.4. . .4 3. . . .1 3. .2. . . . . . .5 Comparison Between Different Methods .5 Image Acquisition . . . . . . . . . . . . . . . . . . . . . . .

6.2 5.1. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .1.1 6. . . . .1 6. . . . .3 6. . .3 6. . . . . . . . . . . . . . .4 5. . . . . . . . . . . . . . . 83 iv . . . . . . . 6 Comparison of Two Fingerprint Recognition Software Programs 6. .2. . . . . . . .2. . . . . .1 Social Aspects . . . . . . . . . . . . .4 Enrollment . . . .3 4. . . . . . . . . . . . . .2. . . .4. . . . . . Other Objections To Biometrics . . . . . . .3 Loss of Privacy . . . . . . . . . . . . . . . . . . .2. 47 48 52 52 52 53 Large-Scale Applications . .2 5. . . . . . . . . . . . .1. .1 5. . . . . . . . . . . . . 44 Rank Probability Mass and Cumulative Match Curve . . . . . . . . . . . . . Fingerprint Recognition . . . . .4.4. . . . . . . . . . . . . 79 Applicability to Identification . . . . . 62 NIST Fingerprint Image Software 2 . . . . . . . . . . . . . . . . .2 4. . . . . .1. . 6. . . .3 5. . . . . . . . . . . .2 6. Description of the Software Programs .1 6. . . . . Feature Extraction . . . . . . . . . 5. . . Commercial Potential of Biometric Recognition . . . . . . . . .2 6. . . . . . . . . . . . . . . Fingerprint Matching . . . . . . .4. . . . . . . . . . . . . . . . . . . . Political Aspects . . . . . 62 69 72 72 72 Conducted Measurements . . . . . . . . . . . .4 Bergdata Fingerprint Identification System . . . . . Political and Legal Aspects 5.3 5 Calculation Time . . . . . 55 56 57 59 59 62 Legal Aspects . . . . . . .4. . . . . . . . . Usability. . . . . . 54 Biometric Standards . . . . . . . . . . .2 Hardware Description . .

7 Conclusions 86 88 Bibliography v .

. . . . . . . . . . . . . . . . . . . . . . . . FTIR-method . . . . . . . . . . . . . . . . . . . The very-fine level of fingerprint . . . The picture of an iris and the resulting IrisCode . . . . . . . . . . . . . . . . . . . The singularity points loop and delta . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Receiver operating characteristic of two recognition methods . . . . . . . . . . . . The anatomy of an eye . . . . . . . . . . . . . . . vi 7 9 11 12 16 17 20 20 21 22 26 28 3 4 5 6 7 8 9 10 11 12 13 43 14 47 . .List of Figures 1 2 A multilayer neural network . . . . . . . Probabilities in an identification system with different number of users . . . . . . . . . An example of a rank probability mass function for two biometric templates . . . . A typical fingerprint . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The performance figures of a recognition system . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Genuine and impostor probability density functions in two different cases . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Five different major classes of fingerprints . . . . . . . . . . . . . . . . . . . The two kind of minutiae . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . 65 66 67 Minutiae found in the feature extraction stage of BDFIS software . . . . 55 17 18 19 20 21 22 23 24 25 26 FCAT-100 fingerprint scanner . . . 64 Different maps . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63 Structure of NFIS2 fingerprint recognition software . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60 Fingerprint image reconstruction . . . . . . . . . . . . . . . . . . . . . 84 28 vii . . . . . . . . .15 16 An example of a cumulative match curve . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48 Total annual global biometric revenues with projections and 2004 Comparative Market Share by Technology . . . . . . . . . . . 74 Minutiae with directions found in feature extraction stage of NFIS2 software . . . . . . . . . 79 False match rate and false non-match rate for NFIS2 and BDFIS software programs . . . . . . . . . . . Pixel patterns used for minutiae detection . . . . . 61 An example fingerprint acquired with FCAT-100 fingerprint scanner 61 Structure of BDFIS fingerprint recognition software . . . . . . . 76 27 Minutiae found in feature extraction stage of BDFIS and NFIS2 softwares . Quality map . . . . . .

. . . . . . . . . . . . . . .List of Tables 1 2 Comparison of different biometric technologies . . . . . . . . . . . . . . . . . . . Error rates for common biometrics in different large-scale authentication scenarios . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Scaling of throughput time in large-scale systems . . . . 55 Characteristics of FCAT-100 fingerprint scanner . . Feature extraction results in NFIS2 software . . . . Fingerprint matching results in BDFIS software . . . . . . . . . . . . . . . . Fingerprint matching results in NFIS2 software . Feature extraction results in BDFIS software . . . . . . . 60 74 77 81 83 viii . . . 35 44 45 46 49 3 4 5 6 7 8 9 10 11 Global biometrics revenues by application in million USD . . Average verification times in two different applications . . Different biometric large-scale applications . . . . . . . . . .

List of Abbreviations AFIS ANSI API ATM BDFIS CBEFF CCD CDSA CPU DHS DNA DoD dpi EER ESD FAR FBI FMR FNMR FNR FPR FRR FTA FTE Automatic Fingerprint Identification Systems American National Standards Institute Application Programming Interface Automatic Teller Machine Bergdata Fingerprint Identification System Common Biometric Exchange File Format Charge Coupled Device Common Data Security Architecture Central Processing Unit Department of Homeland Security Deoxyribonucleic Acid Department of Defense dots per inch Equal Error Rate Electro-Static Discharge False Acceptance Rate Federal Bureau of Investigation False Match Rate False Non Match Rate False Negative Rate False Positive Rate False Rejection Rate Failure to Acquire Failure to Enroll ix .

FTIR GB ICAO INS kB NFIS2 NIST NN pdf PC PIN RAM RDTSC ROC SDK USB WSQ Frustrated Total Internal Reflection Gigabyte (230 bytes) International Civil Aviation Organization Immigration and Naturalization Service kilobyte (1024 bytes) NIST Fingerprint Image Software 2 National Institute of Standards and Technology Nearest neighbor probability density function Personal Computer Personal Identification Number Random Access Memory Read-Time Stamp Counter Receiver Operating Characteristic Software Development Kit Universal Serial Bus Wavelet Scalar Quantization x .

Traditionally the division is made into three following categories: Something you have: These are keys. After the terrorist attack on the World Trade Center on the 11th September 2001. and to prevent the abuse of social benefits. on money withdrawal at an automatic teller machine (ATM). 1 . magnetic cards and similar tokens. At the same time the EU is planning to add face recognition as part of their passport system. the USA scans fingerprints from everyone arriving into to the country by airplane. The reason for the growth of biometric systems is that the price of biometric devices has fallen and the performance of the devices has improved a lot over the years. Today. So biometrics is a way to recognize an individual by a characteristic which stems from the person herself. Therefore biometric recognition is a feasible alternative in security issues. and this trend seems to continue also in the future. Biometric identifiers are an addition to knowledge and token based authentication methods.Chapter 1 Introduction Biometric recognition is in extensive use in our normal everyday life. interest into security has increased throughout the world. but it can also be used in payment applications on the Internet. We recognize our friends and other people by seeing their faces or hearing their voices and this way actually recognizing them.

Keys and other physical tokens can be lost or duplicated. 1. which are extracted from the input data.Something you know: These are passwords and personal identification numbers (PINs) Something you are: These are physiological or behavioral traits which are automatically measured. In addition. biometric recognition is the only recognition capable of negative authentication used e. the actual decision will then be made. In such systems the perfor2 .g. In addition the keys and the passwords can both be shared with other people. iris and voice. A great advantage when using biometrics as an identifier. as they should be hard to guess but at the same time easy to remember. e. Based on the similarities of these two datasets. and the best security level is probably reached by combining some or all of the above methods. Chapter 2 explains some basic concepts of pattern recognition in biometrics in more detail. There are many different authentication scenarios with biometrics. It is also not compromised like passwords. fingerprints.g in screening applications (cf. These different methods all have their advantages and disadvantages and thus the choice for the best biometric depends on the application at issue. is that a biometric identifier cannot be forgotten and it is not easily stolen like different physical tokens. Section 4.3) However. There are many different biometric technologies available. as an image. not even biometric systems are 100 percent accurate. with the details of a previously stored counterpart.1 Outline of the Thesis Once the biometric data has been captured e. The problem with the traditional passwords and PINs is that they can be forgotten by a legitimate user or guessed by an intruder because they are often compromised. Some of these involve a large amount of users and a a large database.g. Chapter 3 introduces the most common biometrics and summarizes their properties into one table. Pattern recognition is basically a comparison of the distinctive details. feature extraction and pattern recognition are applied to this data.

These are introduced in Chapter 5. In addition.mance is critical. are compared with each other. the description of the measurements are given. 3 . two different fingerprint recognition softwares. The chapter gives a detailed description of the hardware and the softwares. These are the topics in Chapter 4 and the chapter is concluded with a review of implemented large scale systems in different applications. This includes different error rates and calculation time. The extended use of biometric recognition involves many different social. legal and political aspects. the conclusions are presented in Chapter 7. the applicability to identification is discussed. the obtained results are analyzed and finally. In Chapter 6. Also the commercial potential and biometric standards are briefly discussed in the chapter. which both scale up in large scale systems and must be approximated from a more simple case.

This chapter presents a brief introduction into pattern recognition. Since the final classification is based on these features. and their actual type and number depend on the application in question (see Chapter 3). in biometric recognition the aim of the recognition process is somewhat different from a traditional classification scheme. The concepts of a feature and a template are described.Chapter 2 Pattern Recognition Pattern recognition process is classifying an object into one specific class out of two or more classes (ω1 . 4 . Therefore different classification methods are only briefly mentioned. Different performance measures of a recognition system are also explained. There are many different classification methods. which describe an object in a certain way. the selection of distinctive features is crucial for a good recognition result. ωn ) by using the information available as an input. However. Features are usually represented as a feature vector. . The information consists of distinctive features that describe the object. 2. . because the application field of pattern recognition is very diverse.1 Features and Templates Features are characteristics. . whose dimension depends on the number of the selected features (see equation (1)). .

. . when more features are used. they do not provide any additional information and some may be unmeasurable due to e. i. who enrolls himself to a biometric recognition system. and they serve as the reference data. Also the computational complexity increases. Sometimes it is necessary for classification purposes. [Mal03]. some of the features may be redundant with each other. but there is a significant difference in the values between two different classes (cf. . the recognition process gets easier. excessive danger or cost [The03]. after which the performance of the system starts to degrade. location and size of an input (image) [Dud01]. In the enrollment procedure. Reconstructing a biometric input sample from a template is usually considered impossible. that the original features are mapped into another feature space (often of a lower dimension).x = [x1 . . Section 2. x2 . Up to a certain point. The templates contain all the important information about the input sample from the pattern recognition point of view.g. 5 . many high-quality input samples must be taken from the user. xn ]T (1) The values of a good feature are more or less the same inside a certain class. translation or scale. which is the fraction of the users who cannot use the biometric recognition device due to enrollment problems. and these features are then used with a better success [The89]. This means that the features are unaffected by the angle. the features should also be invariant to e.e. or otherwise both the security and the convenience of the system are compromised.g. In addition. However. there is usually a practical upper bound for the number of features used. when the number of features increases. although some studies suggest that this is not the case with every biometric recognition method [Adl03]. rotation. In some applications. The requirement of high-quality templates leads to a failure to enroll (FTE)-percentage. Templates are created from input samples given by a user.3). The total number of features used is not theoretically limited in anyway. which subsequent input samples are compared to.

2. that defines a straight line or a hyperplane into a feature space. 2. are based on a nonparametric approach. the k nearest neighbors of an input feature vector are examined. P(ωi ) is the a priori probability of class ωi . there are many different ways to perform the classification by using the selected features. The conditional probability can be calculated by using the Bayes rule [The03] P(ωi |x) = p(x|ωi )P(ωi ) p(x) (2) In the equation (2). which divides the feature space into separate classes.2. or a k-NN classifier. By using a multilayer neural network. The neurons are also weighted differently. where the problem cannot be solved with linear classification. The k nearest neighbors have already been classified and the input feature vector is classified into the class. which is the majority class of the k nearest neighbors. A two-layer network is a linear classifier. Like the number of features. Neural networks consist of several inputs and two or more layers of interconnected neurons. whose conditional probability P(ωi |x) has the largest value. p(x) is the probability density function of the feature vector x and the term p(x|ωi ) is the probability of the feature vector x in a class ωi . Nearest neighbor classifiers. 6 . the number of different classes is not limited either. but the classifier may need more distinctive features as the number of possible classes increases. On the other hand.1 Different Classifiers Bayesian classifiers are based on a statistical approach.2 Classifiers and Classification In pattern recognition problems. a multilayer neural network is used in cases. The object in question is classified into the class. In this scheme.

In a syntactic (or structural) approach.2. However. that are not linear nor simply connected to each other [Dud01]. In other words. which the object in question is classified into. there are series of yes/no or true/false questions posed for the input feature vector and a final classification is based on the progressions in the decision tree. the outcome of a recognition process is either accept/reject or best n matches 7 . The primitives can be combined to form subpatterns. The rules of a grammar are applied one by one. The actual classification of an input feature vector is done by plotting the feature vector into the feature space and examining the corresponding class. an object is expressed as a composition of its components called primitives and subpatterns [Fu86].it is possible to define regions of classes into the feature space. in biometric recognition problems. An example of a multilayer neural network is shown in Figure 1 Figure 1: A multilayer neural network Decision trees are a nonmetric method of classification. which in turn can be combined into bigger entities by using certain syntax rules defined by a grammar. In this method. 2.2 Classification Result Usually the outcome of a pattern recognition problem is the specific class. the rules of a grammar contain information about the different parts of an object (primitives) and the relationships between them (subpatterns). until the object is classified.

as the distributions overlap more and gray areas are the sources of classification errors. this section. the input sample and the template are identical and the situation should be considered as a replay attack. even when not explicitly stated. After this. an input sample1 is compared to one or more templates. the best n matches). Instead.5 and 3.e. In a biometric recognition process. which templates are the nearest n templates (i.1). an attempt to spoof the system (cf.e. input samples and templates consist of a feature vector. the result can never be a perfect 100 % match. Sections 3.depending on the application (cf. the situation is not as good as in Figure 2a.3. values are different). Section 4.1 False Match Rate and False Non Match Rate False match means. the goal of a biometric recognition process is not to solve.3 Performance Figures of a Classification System A probability density function (pdf) is the probability. In Figure 2b. the decision is made based on a similarity measure between the input sample and the templates.2. Additionally. even though they both come from different objects and should not match. In other words. 2. that a specific feature with a specific value is encountered. 2. many similar values).4). the genuine and the impostor distributions are far apart. if the resulting match is a perfect 100 %. 1 In 8 .3. which means a large inter-class distance (i. into which specific class the input features belong.e. that a match is declared between an input sample and a template. where a pdf distribution with the shape of a narrow spike means a small intra-class variance (i. The properties of a good feature are also shown in Figure 2a. namely the false match (FM) and the false non match (FNM). When an input sample of a genuine user is compared to the template of the same legitimate user. A genuine and an impostor pdfs are shown in Figure 2a. but whether the input features are similar enough with a pre-specified template or alternatively. i.e.

respectively. Section 4. Then again. where a genuine user should be granted an access. In a negative authentication scenario an impostor pretends to be a legitimate person. The purpose of the negative authentication is to find a specific person (e. a false non match is an event. the system error is called a false positive or a false alarm. The false non match rate (FNMR) is derived similarly as the FMR. [Bol04] In a positive authentication scenario. a criminal) from a larger group of subjects and therefore all subjects are screened (cf. but erroneously they do not. Respectively.Figure 2: Genuine and impostor probability density functions in two different cases The rate of how often this occurs is the false match rate (FMR). In a positive authentication scenario. where an input sample and a template should match. a system error called a false negative occurs. On the contrary to the positive authentication scenario. If he succeeds to avoid the detection. In a negative authentication scenario the system error rates are called the false negative rate (FNR) and the false positive 9 .g. in a negative authentication scenario the legitimate users are not found in the database.1). so that he could not be detected by the authentication system. the two aforementioned terms are called the false acceptance rate (FAR) and the false rejection rate (FRR). an impostor tries to break into a system by pretending to be someone else who is enrolled in the system. if a legitimate person is erroneously thought to be a searched person.

This kind of a system is very secure. false rejections or false positives also increase the system costs. but also the vast majority of legitimate users are rejected. When implementing a biometric recognition.2) and the important tradeoff between system security and convenience are also shown in Figure 3.rate (FPR). since every false accept or false negative is a security risk. The severity of a security risk depends solely on the application. when a comparison is done between two different implementations of the same biometric technology. a receiver operating characteristic (ROC)-curve is defined.3. Usually this means further investigations and more manual labour. it is possible to compare the performance of different recognition methods. all the four aforementioned system error rates are shown. because there must be a protocol to handle these situations as well.3. there are costs included in the decision about a suitable threshold level. 2. On the other hand. For the reasons above. The other extreme is a complete opposite. In Figure 3. respectively [Bol04]. The other extreme means maximal security with maximal inconvenience for users. a suitable balance between system security and user inconvenience (and the FMR and FNMR levels). The actual values of system error rates are always only estimates for a particular biometric recognition method. The equal error rate (EER) point (cf. By using a ROC curve. since they are obtained with a specific database and the values are not the same when the recognition method is used in a real-world application [Bol04]. 3) are comparable only on this specific operating point. In addition.2 Receiver Operating Characteristics and Equal Error Rate Since the system threshold level specifies both the FMR and the FNMR. [Nan02]. Usually. The error rates in dark gray circles stem from the FNMR and the error rates in light gray circles stem from the FMR. must be found by setting the system threshold. the database used should also be the same in both implementations. two different biometric recognition methods (cf. The FNMR level is depicted at each different FMR level on a ROC curve and thus the ROC curve combines the two error rates into the same figure. Section 2. 10 . respectively.

On the other hand. If a certain FNMR level y3 is required from the system. 11 . the better is the performance of the recognition method.Figure 3: The performance figures of a recognition system although the aforementioned problem with the database integrity between different implementations still remains. because the FMR level x1 is lower than the FMR level x2 . Two typical ROC curves are shown in Figure 4. The closer the ROC curve is to the lower left corner. recognition method b outperforms recognition method a with a lower FNMR level y1 . if a larger FMR level x3 can be tolerated. The effect of selecting a system operating point is evident in Figure 4. recognition method a would be a better choice than recognition method b.

which typically is not a valid assumption [Bol04]. where the FMR level equals the FNMR level. the EER value can be used only around a very narrow range of operating points. 12 . This means.Figure 4: Receiver operating characteristic of two recognition methods The equal error rate (EER) is a system figure of merit. which is often used to distinguish which of the recognition methods is better. the EER presumes equal costs for the FMR and the FNMR. it is a common situation. as this depends on the selected operating point of a system. that the ROC curves of two different methods cross each other at some point. that it cannot be stated unambiguously which one of the two methods is better. However. Therefore. as shown in Figure 4. In addition. The EER is a system operating point.

There are many different biometric technologies available and the most suitable technology depends always on the particular application. distinctive physical or behavioral characteristic which is unique between individuals [Woo03]. as do the accuracy and usability of the biometric as well. For example.1 Introduction Biometric is defined as an automatically measurable. Usually there are two main classes.g. cannot be influenced by an individual and thus they are very stable characteristics. e. Behavioral characteristics. signature and gait. Physiological characteristics. the size of the template varies between different biometrics. The measurement of physiological characteristics are based directly on a certain part of the human body. physiological and behavioral. [Nan02]. e. The properties of genotypic physiological characteristics are inherited from parents and they depend strongly on genetics. or 13 . depend on a person’s behavior. These characteristics are learned and they may change over a long time period. [Woo03].Chapter 3 Biometric Technologies 3.g fingerprint and iris. distinguished in biometric technologies according to how the characteristics are formed. Physiological characteristics which are phenotypic are developed in early embryonic stage and the genetics do not affect them very much.

a person can alter the characteristic by relearning, although this becomes more and more difficult after reaching an adult age. These characteristics are indirectly based on human body, since they depend on subject’s actions. [Woo03], [Nan02]. It has been suggested, that drawing a line between these two groups is artificial and should not be done since all biometrics are (to a certain extent) a combination of physiological and behavioral characteristics. For example, a person’s voice is affected by the way the person wants to speak but the voice is also limited by his/her physiology of vocal tract. On the other hand, identical twins look alike when they are newborn but e.g. lifestyle differences between the identical twins may lead to different bodyweight between them. [Mal03] From a technical point of view, a good biometric is such that it is stable (does not change during a long time period), everyone has the characteristic which is unique between different individuals, and it can be collected and measured quantitatively. In practice, there are also other demands for a good biometric, such as performance (i.e. identification accuracy, speed etc.), how well it is accepted by users, and how easy it is to fool the system. [Jai99]. There are mainly two different authentication events with biometrics: verification and identification, which are also known as one-to-one matching and one-to-many matching. In addition to these there is also one-to few matching. (cf. Chapter 4) This chapter concentrates on fingerprint and iris scan technologies, and other common and evolving technologies are introduced briefly. A table which summarizes the properties of these different methods is presented in Chapter 3.5.

3.2

Fingerprint Recognition

Fingerprint recognition is the oldest recognition method of all biometrics. It has been used for several centuries, and dates back to ancient China where the fingerprints were used as a "signature" on a clay seal [Mal03]. The fingerprint classification system (cf. Chapter 3.2.2) which has also been adopted by the Federal Bureau of Investigation (FBI) among others, is based on the "Henry system". The "Henry system" is in turn based on observations by sir Francis Galton, who also 14

identified the minutiae (cf. Section 3.2.2). [Bol04], [Fer04] The development of Automatic Fingerprint Identification Systems (AFIS) began in the early 1960’s when the number of fingerprint queries made and the size of the fingerprint databank grew too big to be handled manually, as more and more fingerprints were collected. Today the AFIS technology has grown beyond the forensic applications into the civilian applications. [Mal03] The long history and the maturity of fingerprint recognition is one reason for the popularity of this method. However, because fingerprints have been used by law enforcement and they have been accepted as an evidence in courts of law for a long time, some people do not want to use fingerprints as biometrics because they feel like being criminals. [Chi03], [Rei04] The fingerprints remain unchanged throughout the life [OGo99]. They are also believed to be unique between all individuals and between different fingers of one individual (see Section 3.2.4). Fingerprints are formed in embryonic period and they are a phenotypic feature as their development depends on the position of the fetus in the uterus and the flow of amniotic fluids around the fetus [Ric04]. Thus fingerprints are only weakly determined by the genetics and this is the reason why the fingerprints of identical twins differ from each other. [Bol04] The actual fingerprint consists of different flowlike patterns of ridges (higher parts) and valleys (lower parts) of papillary lines whose width varies from 100 µm to 300 µm [Mal03]. A typical fingerprint is depicted in Figure 5. Biologically there are many purposes for this special skin structure. Fingerprint patterns make perspiration easier by adding the surface (compared to smooth skin), they enhance the touching sensation and provide a better gripping surface. [Bol04] Latent fingerprints are created when somebody touches a smooth surface with a finger. The grease and moisture is left from the finger in the shape of a fingerprint. These are usually important traces of evidence on a crime scene. They may also be lifted from surfaces and used to create an artificial fingerprint. [Mal03], [San04]

15

Figure 5: A typical fingerprint [Mal03]

3.2.1

Image Acquisition

In off-line methods the fingerprints are imaged using the traditional ink method, where the finger is smeared with ink and then rolled from one side of the finger to another (nail-to-nail) on a piece of paper [Mal03], [Woo03]. Afterwards the paper may be imaged with digital camera and the subsequent processing stages can also be digital. In live-scan methods, the image of fingerprint (dab impression) is formed when the user’s fingerprint is scanned with a specific fingerprint scanner. There are numerous different scanners which can be used for this purpose, and their operation is based on different characteristics of the finger.

General Remarks on Acquisition Devices The resolution of a scanner is the figure, which tells us how tiny details can be observed from an image. The resolution of 500 dpi is the common standard [OGo99]. If the resolution is good enough (625 dpi) one can even see the sweat pores on the ridges (Figure 10). With a poor resolution scanner (200 - 300 dpi), the only possible matching is the optical correlation, where the input fingerprint is compared to reference fingerprint by placing them in different positions and rotations on top of each other (cf. Section 3.2.3). [Mal03] The area which can be captured from the finger is affected by the size of the scanner. Therefore also recognition accuracy is affected because if the area is large, more information can be gathered from the fingerprint. On the other hand, larger scanner size increases the cost of the device. The 1"x1" is regarded as the standard size for scanners [OGo99]. 16

where ridges and valleys are shown in different shades. p. Then the camera acquires a picture.60] Thermal Scanners The sensor of a thermal scanner is fabricated by using a pyroelectric material. The light illuminates the finger. In this method the scanning is done by using a light source which is typically an array of light emitting diodes (LEDs) and a camera (see Figure 6) [Bol04].The color of the finger is not used in recognition and thus the scanners capture 8-bit grayscale images only. Figure 6: Frustrated total internal reflection method [Mal03. which is pressed on a glass or a plastic platen. because the ridges scatter and absorb the light whereas the valleys suffer a total internal reflection [Mal03]. which generates a current based on the temperature differentials between the finger and the scanner surface [Mal03]. dark and light respectively. [Mal03]. It it still partly unclear how the dynamic range (the number of bits used for representation) in the image affects the recognition. [Mal03] Optical Scanners The frustrated total internal reflection (FTIR) method is the oldest and most widely used method today. 17 .

The temperature differentials are measured between the nominal temperature of the sensor and the temperature measured in the presence of the finger. The capacitance across each of the tiny capacitors depends on the distance of the two aforementioned capacitor plates. The ridges which are in contact with the sensor’s surface conduct the body’s own heat from a finger to the sensor (or vice versa) more easily than the air between valleys and the sensor’s surface does. Ultrasound scanners use sound waves whose frequency ranges from 20 kHz to several GHz. The image of a fingerprint is formed based on the capacitances measured on each capacitor. The time elapsed between the sent and the received pulse is measured. and the skin of a pressed finger forms the other side. Therefore the operating principle of the scanner is somewhat similar to an active sonar. since the valleys remain more distant to the scanner surface than ridges. The capacitive scanner consists of numerous small conductive plates and a dielectric coating covering them. A transducer sends short acoustic pulses and then receives the reflected echoes. [OGo99] Ultrasound Scanners This is the least frequently utilized of the primary technologies described in this chapter [Nan02].When using thermal scanners. which is different depending on whether there is a ridge or a valley as the other plate of the capacitor. for imaging [San04]. Pressure Scanners The idea of pressure scanners is one of the oldest [Mai00]. The scanner forms one side of the capacitor array. The top layer is elastic piezoelectric material which generates electric current due a shape transforma18 . [Rei04] Capacitive Scanners This is the most common method used within the silicon based scanners [Mai00]. There is a small time difference between ridges and valleys since their distance is different from the transducer. the valleys of the fingerprint remain more distant to the sensor’s surface than the ridges.

The percentages of population in each class are 17. [OGo99] In addition to singularity points. 19 . core is the center point in the north most loop.3).2 Fingerprint Features Usually there is a division made into three different levels in the examination level of the fingerprints. On the other hand. 37. These major classes are represented in Figure 7. However. The use of scars as a feature is unusual. even though they are very important for fingerprint classification [San04]. and delta is a point where ridges flow into three different directions in a triangular shape [Mal03]. these singularity points are not sufficient for accurate matching. 3. [Hen02] The classification into these major classes can be made by using special singularity points. The ridges and valleys present a different pressure on the scanner which results in different currents and the image can be formed based on these differences. and they are used as features in the fingerprint recognition process (cf. there may be a situation where no singular points are available at all.2.tion which occurs when the surface of the scanner is pressed mechanically with a finger. so that the majority of people belong only to two of these classes [Rei04].2. right loop. since they may be artificially introduced or temporary [OGo99]. The loop and the delta points are both shown in Figure 8. Section 3. Actually. 6 and 8 respectively. also the number of ridges between these points are calculated and used as an additional feature. respectively. arch and tented arch. called delta and core (or loop). whorl. 33. The different characteristics in each three levels of examination make the fingerprint unique. Global Level The fingerprints are classified according to their global patterns into five different major classes: left loop. A subject may also have a fingerprint which is a combination of two classes. This classification is based on the Henry classification.

[Mal03] Figure 8: The singularity points loop and delta. e. [San04]. where one ridge is split into two separate ridges at a Y-junction or alternatively two ridges combine into one. Approximately 80 percent of finger-scan technologies are based on these details [Nan02].and y-coordinates) of the minutia where the core or the delta point of the fingerprint is usually used as the reference point for minutia location [Rei04]. These points are called minutiae details or Galton’s details. The features from minutiae points include the position (x. [Tic01]. and they are made of ridge bifurcations and ridge endings.g. [Mal03] Local Level When the fingerprint patterns are examined in more detail small distinctive points are observed. These two minutiae types are shown in Figure 9 and they form all other types of minutiae. spur or lake [Hen02]. The other two features are the angle 20 . The ridge bifurcation is a point.independent ridge.Figure 7: Five different major classes of fingerprints. The ridge ending is a point where a single ridge simply terminates or alternatively begins [OGo99].

3 Image Processing and Template Generation Before the aforementioned features (cf.2.2) can be extracted. a very high resolution scanner and good quality pictures are required. which reflects on the number of successful recognitions [Hen02]. Section 3. Therefore one must balance between the time spent on image processing versus the quality of the images. Usually the process begins by normalizing the gray values of the image. because the type may change to another during the image acquisition or image processing steps [Bol04]. These are shown in Figure 10. the position and the shape of these sweat pores are very distinctive but since the pores are so small details. rather time consuming image processing steps must be performed. After this the 21 . Very-Fine Level The finest details in fingerprints consist of sweat pores whose size ranges from 60 µm to 250 µm . Figure 9: The two kind of minutiae a) ending and b) bifurcation [Mal03] Some matching algorithms do not distinguish between the two types of minutiae. Then the actual fingerprint is extracted from the background. [Mal03] 3. [Hen02]. The number.2.of tangent of ridge line with respect to the horizontal axis at the minutia point and the actual type of the minutia.

the whole 8-bit grayscale fingerprint must be stored if the recognition is to be made by optical correlation. [Mal03]. they are put on top of each other.e. Usually the whole fingerprint image is not stored. but postprocessing might still be needed since the binarization and thinning may introduce false minutiae or lose genuine minutiae [Mal03]. Finally the image is binarized and the ridges of the image are thinned from 5 to 8 pixels down to one pixel [Nan02]. The wavelet scalar quantization (WSQ) method is used in this case. In the case of storing the whole fingerprint. The white dots in the middle of the ridges are sweat pores [Mal03]. The original fingerprint cannot be adequately reconstructed from 22 . Subsequently the pattern recognition algorithms can be used on the outcome of the image processing stages described above. in various displacements and rotations [Mai00]. but only a template generated from the image. However. This method compresses the images by a factor of 10 [Mai00]. the size of the image is 500x500x8 ≈ 250 kB. when considering an 8-bit grayscale fingerprint image with a size of 1"x1" and a resolution of 500 dpi. The size of the template is very big if the whole uncompressed fingerprint image is stored from the scanner.g lowpass or bandpass filtering [Mal03]. For example. image is enhanced with e. where the template and input fingerprints are convoluted with each other i. because important information should not be lost.Figure 10: The very-fine level of fingerprint. it must be compressed preferably in a lossless way. and it is the standard used by the FBI even though it is lossy [Mal03].

Each minutiae in this model has d possible directions and one of K different locations.2. In this way. the probabilities calculated using these two models are P(1) =2. the ridge count between minutiae and the curvature of the ridge where the minutia lies [Woo03]. which may be e. The total number of different possible locations is the same as the number of separate blocks. As pointed out in Section 3.e. the system doesn’t have to be discrete as in the previous model i. This means that there is a certain tolerance area and angle. The model given in [Rat01] is based on the idea that the scanning area is divided into separate equal size blocks.4 Individuality The fingerprints are a very distinctive biometric.g the type of the minutia. a match is declared. [Nan02].24×10−26 23 . If the input minutiae are sufficiently close to the reference minutiae. 3. A fingerprint template consists of 30 to 40 different minutiae points on the average.g. However. The second model given in [Pan02] is quite similar to the previous model. the size of the template ranges from 200 to 1000 bytes. location of the singular points and ridge counts between them [Mal03].the template. then the template and thus the matching can be based on macro features of the fingerprint. Different probabilistic models for fingerprint individuality have been designed. but there is enough information for effective searches and recognition to be made. The probability that m of Q random minutiae points to match the reference R minutiae is calculated with this model.2. the minutiae point can be located anywhere on the ridges (which occupy half of the fingerprint area) and at any angle with the exception that two minutiae points cannot be very close to each other. e. The template includes the features of minutiae points (position and angle) and proprietary information is also added to the template. The probability that m of Q random input minutiae points fall inside the tolerances of the reference R minutiae is calculated with this model. If there are at least 25 of 40 minutiae needed to declare a match between two fingerprints. If the fingerprint image is of poor quality. even identical twins can be differentiated from each other.

[Pan02] Many countries use a 12-point rule in courts of law. Also by using a stimulus in a challenge-response scenario or by demanding a token from the user could be combined with fingerprint recognition to further increase the security [Rei04]. There are several details which are not included in these models. These both models are theoretical and they give an order of a figure as an outcome. because it is not typically found in latent fingerprints. 3.and P(2) =2. this probability gets worse when only 12 minutiae are needed to declare a match and if there are more than 12 minutiae present in both the template and in the input fingerprint [Pan02]. and the false reject rate increases [Mal03]. In [Mal03] there is a suggestion that in addition to normal fingerprint also a side impression of a finger should be scanned. Chapter 4) and a good quality fingerprint left on a proper surface where it can be lifted from. One obvious threat is a fake finger. However.g. [Rei04]. which means that at least 12 minutiae are needed to determine that two fingerprints are similar. perspiration.5×10−19 [Bol04]. e. [Woo03]. electrical characteristics. Fake fingers (or dead fingers) can be detected to some extent by measuring e.55×10−16 [Bol04]. the price of the hardware gets higher.2. However the use of fake finger requires the knowledge of the subject in verification scenarios (cf.5 Countermeasures Against Spoofing There are many different scenarios to spoof a fingerprint scanner. blood oxygen level and the pulse of the finger [Mai00]. Then in the best case where all 12 minutiae are found and they all match. the temperature. These can be manufactured from latent fingerprints left on a smooth surface [Rei04]. 24 . the probability of false association of two fingerprints is P=1. possibly in a specific sequence for recognition [Mai00]. Security can be increased by using multiple fingers. The inherent problems in liveness testing are that the time of recognition process increases.g. the type of the minutia since they cannot be distinguished with a high level of accuracy.

2. Section 3. In addition. there is a non-linear transformation due to the pressure applied to the finger when using the scanner. It consists of circular and radial smooth fibers. between the pupil and the sclera. multiple fingers (up to 10) can be enrolled. In normal conditions.g. abrasions or superficial burn injuries do not affect the fingerprint structure. and therefore do not want to use fingerprints as a biometric [Nan02]. The appearance of the iris depends on the initial conditions in the embryonic period.g. All commercial applications currently implement J. and the fingerprint grows with new skin back after an aforementioned incident [Mal03].3. Usually people associate the fingerprint scanning with forensic applications.3). The Iridian Technologies Inc. which are described in the next sections.G. which owns a proprietary licence to these techniques.3. [Chi03]. Daugman’s patented techniques. the iris patterns remain the same throughout the life making 25 . fingerprint. For increased security. is the only company. this biometric is still quite new compared to e. The anatomy of an eye is depicted in Figure 11. iris recognition systems (cf. [Woo03] The iris is the colored portion located in the eyeball. because the function of iris is to control the amount of the light entering the pupil [Tor03]. Fingerprints are also very stable traits since small cuts. 3. although the accuracy is not as high as with e.3 Iris Recognition Although the history of iris recognition traces back to 1936. Iris recognition is based on the complex patterns of the iris (see Figure 12). The size and the costs of fingerprint scanners are quite small and the use of the scanners is also easy.6 Advantages and Disadvantages Fingerprints have been used for a long time to good effect and they have proven to be a very accurate way to identify people. [Nan02] The problems in fingerprint recognition are difficulties with the image quality if the skin of the fingertip is too dry of too wet. and the development is completed by the eighth month of pregnancy.

However. This means. especially when image acquisition is made from a long distance [Woo03]. 3. Like fingerprints. Iris patterns are not dictated by genetics. this positioning stage can be difficult and may lead to a failure of using the device. Currently.1 Image Acquisition Usually iris recognition requires a lot of user co-operation.3.Figure 11: The anatomy of an eye [DFE99]. The iris is then illuminated with a near infrared light (λ = 700 . the iris is also a phenotypic feature. and this results in different iris patterns in different eyes. them a very unique and stable trait. the pictures taken are 8-bit grayscale 26 . that the iris radius is about 100 . First the subject looks into the image acquisition device from a distance ranging from 3 inches (∼ 8 cm) to 1 meter from the imaging device. [Woo03].140 pixels. [Rei04]. and also between identical twins who are genetically same [Dau93]. [Rei04]. whose resolution is normally 480 x 640.900 nm) and a picture is taken with a CCDcamera.

2 Feature Extraction and Template Generation The first task is to locate the iris from the picture. The features used in the recognition are spatial frequency and the position of distinctive areas. The probability of two irises being similar is thus 2−173 ≈ 10−52 [Dau93]. However. and they are demodulated by 2D-Gabor wavelets. [Nan02] After this. In the 256-byte "IrisCode". if the subject has very dark irises. [Chi03]. The iris patterns are then isolated from the picture.3 Individuality Biometric individuality is sometimes measured in degrees of freedom.and the color of the iris is not used in recognition.3. The location of the center of the pupil is estimated for this purpose. because of the possible occlusion caused by the eyelids. The phase information is used because it is more discriminating than amplitude and it doesn’t depend on the contrast of the image. e. [Bol04].g. [Nan02] 3. [Dau04] 27 . different imaging conditions affect the recognition result. 3. Finally. depending on the security level applied. there are 173 independent bits between different irises. eye movement etc. The upper and lower portions of the iris are left unused. [Dau99]. which represent the texture of the iris by phasors [Dau93]. size of the pupil. the "IrisCode". there is no elastic distortion in an iris scan because the iris is protected by the cornea of the eye. [Nan02] When compared to fingerprints. is computed (see Figure 12). tilt of the head. There are 266 degrees of freedom in iris recognition. the smaller the probability to find two exactly similar traits. Also contact lenses affect the recognition result but not so much than in the early days of iris recognition.3. ambient lightning. The more degrees of freedom there are. compared to fingerprints whose degree of freedom is 35 [Chi03]. This may be difficult. [Bol04]. the size and contrast corrections are made and the outcome is a size-invariant representation of the iris [Woo03]. This is a theoretical figure and in practice the probability of false accept ranges from 1:133000 to 1:1013 . which is a 256-byte binary code representing the iris.

Figure 12: The picture of an iris and the resulting IrisCode in the top left [Dau04].3. In addition. Fake irises printed on contact lenses can be detected from a 2D-Fourier spectrum of the image.4 Countermeasures Against Spoofing There are many ways to be sure that a live iris is being imaged and not a fake one. since the iris patterns are so unique. a real eye reflects light from the moist surface of the cornea and the amount of reflected light can be measured in both constant and changing illumination. Changing the illumination level causes the pupil to constrict or dilate depending on the illumination change. There is no similar classification with iris patterns as with fingerprints. There is also a phenomena called hippus. which is small oscillation (about 0. Iris recognition is considered to be the most accurate biometric method. [Dau93] 28 .5 Hz) of the pupil in constant illumination. [Chi03] 3. although in some studies the retinal scan is stated to be even more accurate.

5 Advantages and Disadvantages The advantages of iris recognition are its extremely high accuracy and simple template.3. lighting) influence the success of recognition. Also the usability is worse than in fingerprint devices. The disadvantages of iris recognition are expensive and big image acquisition devices. because it is used in our everyday life [Mal03]. where the biometric needs to be more accurate than in verification application. but it is one of the most acceptable biometrics.g. Due to the reasons above.A user can be enrolled into the system with both eyes. There is a fair percentage of people who cannot use iris recognition. and the acquisition process can also be a covert one. since the user has to be in a specific position to be recognized. The image acquisition is done using live scan.4.[Chi03] 3. and in a verification situation the user can be asked to show the iris in a particular eye or both eyes in a particular order. because they can’t provide adequate images. compared to fingerprint devices. a photograph or a video clip. iris recognition should probably be used only when extreme accuracy is needed. [Bol04] 29 . 3. The image acquisition conditions (e.1 Other Methods Physiological Characteristics Face Recognition Face recognition is not the most distinctive method. This allows using the iris recognition in identification applications. it is very difficult to tamper with. Since the iris is an internal trait.4 3. There is also strong belief among people that light (infrared as well as any) used for illumination is harmful to the eye [Nan02].

The size of a template is usually about 2-5 kB but it can be up to 10 kB. The success of recognition is affected by ambient noise from the environment.The recognition is based on the macro features of the face (e. immediately behind 30 .g. surrounding acoustics and the quality of the microphones used [Rei04]. Typical template size is only from 9 to 50 bytes. eyes. intensity and cepstral coefficients are used as features. such as remote authentication in telephone banking and in commerce over the mobile phone [Bol04]. [Rei04]. the width and the thickness of the palm and the fingers. [Bol04]. [Woo03]. It can also be integrated with fingerprint recognition for improvement in security. In voice recognition characteristics such as frequencies (fundamental and formant). nose) and the distances between them or on the facial image as a whole. It is considered as distinctive as face recognition technology [Chi03]. These blood vessels form unique pattern in the back of the eye. Another application could be searching for a person from an archive of broadcast news [Woo03]. [Nan02] Hand-Scan Recognition The features in hand-scan recognition include the length. Voice Recognition Voice recognition (which is also a behavioral characteristic) is comprised of two separate technologies: voice-scan and speech recognition. However. [Chi03]. The size of a template is from less than 100 bytes to 3 kB [Woo03]. [Nan02]. mouth. [Chi03] Retina Recognition In retina recognition the choroidal vasculature is used for the recognition. The limited accuracy of hand-scan recognition allows its usage only for 1:1 verification and the method is not suitable for high security applications either. the method is widespread because its ease of use. Voice recognition may be the only biometric recognition method for certain specific applications.

[Hil99] 3. [Nan02] 3. Signature is a changeable biometric. The template size is only 96 bytes. The writing environment affects the outcome of recognition. [Nan02] 31 . The user types a password and the time that the individual keys are pressed. They may appear as mainstream technologies within the next two to four 4 years. Currently this method is used as an addition to PIN or password based authentication and thus it still has the same problems as all password (knowledge) based systems (cf. [Bol04]. [Nan02]. In static signature recognition the signature is scanned from the paper. Therefore this method requires special hardware. [Nan02] Keystroke Recognition This method is inexpensive since it needs only a standard keyboard.2 Behavioral Characteristics Signature Recognition In dynamic signature recognition the distinctive features are e. [Chi03].4. [Hil99].g. shape of the signature.3 Technologies in the Development Stage The following technologies are experimental and still evolving ones. which can be considered an advantage. A problem is also that the keystrokes of a user differ from one login to the next quite substantially. Chapter 1. Even identical twins can be distinguished from each other with this method. the time between these key presses and the total typing speed are measured. [Bol04]. the signing speed. The drawbacks of the method are that the equipment is very difficult to use and some subjects have complained of a headache after using the recognition device. but it lacks information and is thus more easily forged. the applied pen pressure and pauses [Chi03].4. The template size in signature recognition is from slightly over 1 kB to approximately 3 kB.the retina (see Figure 11).

However. an infrared picture is needed. People are also using deodorants and perfumes which affect the recognition.g. People can be recognized at a distance. On the other hand. face recognition. which use e. it is still slow (on the order of days or weeks) and expensive as well. [Woo03] In Gait Recognition the subject is recognized by the way he/she walks. where the information from samples of criminals have been collected. which may result in discrimination [Mal03].g. DNA databank can be a very powerful tool. 32 . The actual recognition requires a physical sample and not just a picture or some other external measurement. However. DNA databanks raise the concern about individuality. Great care must be taken to avoid the contamination of the sample. Currently sensors do not have the same range or sensitivity than the human nose. hair. There have been discussions about DNA databanks. If the ear is covered with e. Such a physical sample can be blood. hair of skin for extracting DNA. [Bol04] Ear Recognition is not a very accurate method. Less obtrusive techniques. [Mal03]. The image can be taken from the back of the hand (vein patterns) or from the face and it is not affected by ambient lightning in any way. are being developed.Vein Patterns and Thermal Scan Recognition use infrared cameras to acquire pictures. Also stealing a DNA sample for future use is easy [Woo03]. a DNA recognition is used by forensic sciences only. [Bol04] Deoxyribonucleic acid (DNA) recognition is a very accurate method. and a video clip is usually needed. but the subject’s clothing and properties of the ground create problems. In addition. since the information gathered from DNA samples can reveal susceptibilities to some genetic diseases. identical twins cannot be distinguished from each other since they have similar DNAs. equipment which is needed is still very expensive.g. The ear recognition is based on the shape and different distances of the ear. but it can be combined with e. Currently. [Bol04] Odor Recognition is based on the fact that each subject has an individual odor. semen or other bodily sample for example. When used properly.

1 Attributes of the Biometrics Universality: Does everyone have the biometric at issue? Ideally everyone should have the biometric. it can be expected that recognition is not as successful after a long time. The table is constructed by comparing several different sources. distortions from the environment. Permanence: Is the biometric stable over a long time period? If it is not. A higher rate is better with the exception of issues concerning covert operation. because the biometric has changed. a token or a password.215].3. the subjects must be forced to use the biometric for recognition. Uniqueness: Is the biometric unique? The biometric should be unique between people especially in identification applications.5 Comparison Between Different Methods A summary of the most popular biometrics is presented in the Table 1.5. Collectability: Can the biometric be collected and measured in a reasonable time? If it cannot be measured in situ. that given enough time and resources every biometric can be circumvented. 3. Covert: Is it possible to collect the biometric even without the subject’s knowledge? This property can be used in screening applications where a potential threat 33 .g.g. no recognition can be done in real time. Acceptability: Is the biometric well accepted by people in general? If the acceptability is low. p. since no one wants to use this kind of a biometric voluntarily. but the effort required for this varies [Bol04. which depends on various factors e. This eventually leads to a failure to acquire (FTA) for some people. something else is needed for authentication as well for example another biometric. Circumvention: Is it hard to spoof or somehow circumvent the biometric at issue? It has been stated. but sometimes e. Also the template needs to be updated regularly. If this is not the case. cost and template size. fingers can be missing. This figure of merit also reflects the difficulty of acquiring the biometric.

is searched among all people but it raises concerns of a "Big Brother"-scenario. This might important aspect e. This is especially important in smartcard applications. in large-scale applications. Template: What is the size of the template in bytes? The lower the figure in Table 1 the better. Cost: How much does the biometric device cost? The lower the cost in Table 1 the better.g. Ease of Use: How easy the biometric is to use. where the amount of memory is limited. The higher the rate in Table 1 the easier is the usage. Higher rate in Table 1 means easier covert operation. 34 .

[Per03] and [Mal03] Iris High Very high High Medium High Low High Low Medium Quite low 256-512 85-2000 Quite high High 2000-10000 Low Low High High Low Low High High Medium Medium Low Low High 9-100 Quite low Low Medium Quite high Medium High Medium Low Medium High Low High Low High Low Medium Low 96 Medium Low Medium High High Medium Medium High Face Voice Hand Retina Signature Low Low Low Quite high Low High Low Low Medium High 500-1500 Keystroke Low Low Low Quite high Quite low Quite high Medium Medium Low N/A 512-2176 DNA High Very high High Quite low High Low Low Low High N/A N/A Fingerprint Universality Medium Uniqueness High Permanence High Collectability Quite high 35 Performance High Acceptability Medium Circumvention High Covert Medium Cost Low Ease of use High Template (bytes) 250-1200 . [Rei04]. [Bio03]. [Chi03]. [Nan02].Table 1: Comparison of different biometric technologies [OGo99].

The inevitable changes in the performance figures of a system. Different real world large-scale applications either planned or already in use are introduced at the end of this chapter. differ from each other.3).g.Chapter 4 Large-Scale Systems Biometric authentication systems differ from each other by the size of their databases and the number of input-template comparison processes.e.1 Authentication Methods The division into different authentication methods is based on the number of matching operations. the calculation time (cf. the user claims to be a legitimate person by giving e. Section 4. Then the user gives his/her biometric input sample. Verification (1:1 or one-to-one matching) is the simplest case of all authentication methods. which take place when a small-scale system is enlarged into a large-scale system. i. Verification answers to the question. are also considered here. "Am I the one who I claim to be?". also the system performance figures.2) and error rates (cf. which is compared only to the template of the claimed 36 . 4. Section 2. This chapter introduces different authentication methods. In this authentication method.2. a PIN or introducing a smartcard to a reader. Therefore.

Identification is also very time consuming. The identification process requires a very accurate biometric or otherwise there will be too many (false) matches. The templates in watchlist applications represent e. which means that there is no identity corresponding to the input sample. "the most wanted criminals" and the number of these templates is few hundred [Bol04].g the top 10 matches. the number of these templates is usually between 5 to 10 i. although in some one-to-few systems there may be even 100 templates in the database [Nan02].g. that the input samples are often of poor quality. [Jai04] Identification(1:N or one-to-many matching). "Am I on the database and if I am. the user introduces a biometric sample as an input. In one-to-few systems. of which a human operator can make the final decision about the user’s true identity. Instead. a second biometric can be used to narrow down the number of matches. However. screening) [Nan02]. Alternatively. This authentication method answers to the question. there is a quite small user group. the biometric input sample of a subject is compared with every template in the whole database. The relationship between the number of the templates and the FMR is still a poorly understood issue. the system performance (e. which is the most ambitious scenario for biometric applications. Another problem is. Also in the watchlist (or screening) applications. The answer of a system is simply accept or reject based on the matching score.g.e. who am I?". In this case the user doesn’t have to exclusively identify herself like in a verification system. [Bol04] The one-to-few(1:few) matching is almost as simple authentication procedure as verification. the FMR) of a watchlist application degrades when the number of templates increases. The result of the comparison is e. since they are taken involuntarily.person. There is also a possibility that no match occurs. In this case the user does not claim anything about his/her identity in advance. the identification system can also be used in negative authentication scenario (i. which in turn increase the amount of human intervention. answers to the question "Who am I?" [Bol04]. Instead. Like in the 1:few systems.e. which is then compared with different templates in the database. which is then compared with every template in the system. the user only introduces a biometric input sample. because in the worst case 37 .

or alternatively FMR(i) and FNMR(i) if there are many biometrics. the error rates in the former systems are denoted as FMR(1) and FNMR(1). [Woo03] In large-scale applications. 38 . 4. This affects mostly the identification process.and large-scale system in these models. with the subsequent image enhancement and feature extraction stages. In the case of a verification process. humidity etc. In the following sections two representative models are explained in more detail. when moving into a large-scale systems is considered next. For example. The change of the system performance figures.1 Scaling of Error Rates There are different models developed for the scaling of the error rates.) vary. The actual acquisition of a biometric. There are approximately 50 000 daily queries to this database [Jai04]. currently the automatic fingerprint identification system (AFIS) used by the Federal Bureau of Investigation (FBI) contains approximately 46 million so-called "ten prints". 4. the performance figures of large-scale systems are denoted as FMR(m) and FNMR(m). problems may also arise from using different authentication devices (e.g.the input sample has to be compared with every single template in the database.g. take majority of the verification time. the total size of the database doesn’t have much effect. where the ambient conditions (e.2. Again. which are sets of 10 fingerprints taken from a certain subject. temperature. optical or thermal fingerprint scanners) in many different environments. since the input is always compared with the template of a one single subject. To emphasize the difference between small.2 Performance of Large-Scale Systems A biometric system can be considered a large-scale system if it is used from many different places by many different users and it contains templates of at least 100 000 users [Nan02].

regardless of what happens with the other templates. In this model. given in [Ger99] and in [Way99]. that the increase in the false match rate is approximately linear as the the size of the database increases. FMR(i) = FMR.Simple Model The model for approximating the FMR(m) and the FNMR(m). This can also be seen from equations (8)-(10). the following approximation is valid. It is further assumed in equation (5). i. the false non match rate remains the same in a large-scale systems as it is in small-scale systems. a user is correctly identified if an input sample matches with a certain template. The derivation of the FMR(m) is given in equations (3)-(7). FMR(m) = 1 − P(correct reject) = 1 − ∏(1 − FMR(i)) i=1 m (3) (4) (5) = 1 − (1 − FMR)m If the FMR value is small. (6) FMR(m) ≈ m × FMR (7) It can be seen from equation (7). an impostor is falsely matched if an input sample matches to one or more templates in the database. On the other hand.e. (1 − FMR)m ≈ 1 − m × FMR Thus the FMR(m) is approximated as. is a simplified model. 39 . that every biometric input sample i has the same FMR value. According to this simple model. It doesn’t take into account that there may be multiple templates in the database which match with the one input sample in a large-scale identification application [Bol04].

The probability. The difference to the simple model given above is. When a system is used by an impostor. The result can be considered as an accept or reject.e the input sample does not match with any of the templates in the database) or the answer may be ambiguous. The user may be falsely matched with exactly one template. which in turn affects the FMR(m) and the FNMR(m) of the system. there are three different probabilities for the system output. is given in [Bol04]. Alternatively. that the input sample of an impostor user is correctly rejected is. he/she may be correctly rejected (i. P(correct reject) = (1 − FMR(i))m 40 (13) . the matching result is considered as an ambiguous and the subsequent handling depends on the system policy. a second biometric or a human intervention can be used. in which case the input sample matches with many different templates suggesting many different identities.FNMR(m) = 1 − P(correct identification) = 1 − (1 − FNMR(i)) = FNMR (8) (9) (10) Complex Model The more complex model for approximating the FMR(m) and the FNMR(m). that if there is an input sample matching with many templates. who does not have a template in the database of the system. FMR(m) = m FMR(i) × (1 − FMR(i))m−1 1 (11) (12) = m × FMR(i) × (1 − FMR(i))m−1 If FMR(i) × m 1. equation (12) reduces to equation (5). The false match rate in the case of an impostor user is.

After the two cases above. who has a template stored in the database. the false non match rate is. there is a possibility. (16) FNMR(m) = 1 − P(correct identification) = 1 − (1 − FNMR(i)) × (1 − FMR(i))m−1 Again. equation (18) reduces to The probability. which either include the correct template or not. where the input sample of a user is incorrectly matched with exactly one template. that an input sample of a genuine user is falsely matched with a template of somebody else. if it is assumed here that FMR(i) × m equation (10). should correctly match with exactly the one template of the user. However. where the input sample matches with several templates. The probability. a misidentification may occur. that an input sample of a genuine user is correctly matched with his/her own template. is the probability of an ambiguous answer. but the matched template belongs to a wrong person. the remaining probability. the input sample of a genuine user. that erroneously no match is declared between the input sample and any of the templates in the database. is 41 . In addition. is P(correct identification) = (1 − FNMR(i)) × (1 − FMR(i))m−1 Respectively. (17) (18) 1. P(ambiguous impostor) = 1 − P(correct reject) − FMR(m) = 1 − [1 − (m + 1)FMR(i)](1 − FMR(i)) m−1 (14) (15) In an identification system. This can be calculated by using equations (12) and (13) as follows. There may also be an ambiguous answer.

01 % and FNMR(i) = 2.5 %) [Jai04]. However. In Table 2. equations (16) and (20) are used as follows. This is also an important point when implementing wide-spread large-scale systems. the false match rate (Figure 13a) .P(mis-id) = FNMR(i) × m−1 FMR(i) × (1 − FNMR(i))m−2 1 (19) (20) = (m − 1) × FNMR(i) × FMR(i) × (1 − FMR(i))m−2 Finally. Although the FMR of the fingerprint recognition is somewhat higher than the FMR of the iris recognition. P(ambiguous genuine) = 1 − P(correct identification) − P(mis-id) (21) = 1 − [1 − FNMR(i) − FMR(i) + m × FNMR(i) × FMR(i)](1 − FMR(i))m−2 (22) The error rates given by Equations (12)-(22) are depicted in Figure 13 using typical accuracy rates for fingerprint recognition (FMR(i) = 0. the remaining probability after the correct identification and the misidentification is the probability of an ambiguous case. The bigger the database of a large-scale system is. increases in the beginning. basic error rates for common biometrics in different authentication scenarios are given. the failure to enroll (FTE) percentage is lower when using the fingerprint recognition. According to the equations. after a certain number of templates these probabilities start to decrease because the number of ambiguous answers starts to increase very rapidly (Figures 13c and 13g). To calculate this probability. since it has been used successfully in systems with tens of millions of templates [Woo03]. or alternatively the probability of misidentification (Figure 13f). fingerprint is considered to be a very good biometric. as the size of the database in a system increases. the smaller the FMR(i) value of a selected biometric should be. For large-scale applications. As already stated. a biometric with a poor FMR can be used for verification applications by itself. or it can be used for identification applications in conjunction 42 .

01 % and FNMR(i) = 2.Figure 13: Probabilities in an identification system with different number of users. FMR(i) = 0.5 % 43 .

Table 2: Error rates for common biometrics in different large-scale authentication scenarios [Jai04] FTE% FNMR% FMR% (1:1) FMR% (1:few) 500 identities FMR% (1:N) 1 million identities Face Fingerprint Hand Iris Voice N/A 4 2 7 1 4 2. the number of stored templates in the database and the actual data structure of a system.5 < 0.001 3 12 <1 N/A N/A N/A 40 0. how the templates in a database are organized [Jai04].2 Calculation Time The total response time of a system is directly affected by the calculation time.2. even in large-scale applications. Average verification times for different biometrics in two experiments are represented in Table 3. the users identified themselves by using a PIN [Man01] or a smartcard 44 .e. i. like in large-scale identification systems.5 1. the limiting factor in this case is the presentation of an input sample [Jai04]. the number of collected input samples. The factors affecting the calculation time of a system are the processing speed of hardware when comparing a sample to a template (1:1 comparison rate).with another (more accurate) biometric. Verification Applications The response time of a verification system.01 1. In these experiments.5 6 15 10 < 0. is not limited by the processing speed of the hardware or the structure of the database.1 N/A N/A N/A 4. Instead. as is the case in multimodal biometric systems. which is the time that elapses when enhancing the image of an input sample. extracting features and matching an input sample with a template.

throughput is mainly limited by the computational speed of a system. time (seconds) [Man01] Face Fingerprint (optical) Fingerprint (chip) Hand Iris Voice 15 9 19 10* 12* 12 * Time includes entry of a PIN Smartcard Avg. In large-scale identification systems. the verification times also differ between the same biometrics. [Nav02] PIN Avg. time (seconds) [Nav02] 15 N/A 26 15 16 26 There are small differences in the verification times between different biometrics. The presenting of a biometric. Table 3: Average verification times in two different applications [Man01]. [Jai04] Table 4 presents throughput times. the fingerprint screening assumes use of 2 45 .[Nav02]. Screening and Identification Applications System throughput is the number of users that a system can handle in a certain time. before introducing a biometric input sample for verification. Since different biometric devices are used in both experiments. password authentication takes about three to five seconds and smartcard authentication about one second [Woo03]. that are believed to be order of magnitude estimate of the performance of the state of the art systems. However. the verification times obtained in Table 3 seem to be quite long for some reason. In addition. As a comparison of a biometric authentication with traditional authentication methods. the subsequent image enhancement and feature extraction are not included in the throughput times.

suffer from problems. and an "exogenous" data e. and the extensive use of "exogenous" data may also lead to an error. Also multiple special hardware units. [Jai04] Table 4: Scaling of throughput time in large-scale systems [Jai04] Verification time Screening Identification time throughput throughput (one identity) (500 identities) (1 million identities) µsec users / sec users / min Face 90 22 0. The calculation time can be reduced by making a coarse classification in the beginning of the recognition process. However. age etc.g. For example. gender.66 Fingerprint 10000 >1 1 Iris <1 > 2000 > 60 46 . e. The use of multiple special hardware units as the database increases is expensive. can be used to reduce the calculation time. if there is no pre-classification before an extensive search. Therefore pre-classification can be used. The problem in a coarse classification is that the process may introduce an error.fingers and the performance of fingerprint identification reflects the state of the art AFIS performance based on 10 fingers [Jai04]. used to reduce the calculation time. the screening and identification times for fingerprints are longer and the throughputs consequently lower when compared with face and iris recognition. the minutiae method is a time consuming process. Therefore. since a user may intentionally change this data when trying to avoid identification. the search time increases linearly as the size of the database increases [Ger97]. which is based on macro features and different classes of the fingerprint [Mal03].g. appearing older. Also other approaches. The pre-classification is difficult because of the large intra-class variability which is common to many biometrics. in fingerprint recognition systems.

These identities are the K best matches with an identity represented by an input biometric sample and they are ranked from rank 1 to rank K starting from the best matching identity. [Bol04] Figure 14: An example of a rank probability mass function for two biometric templates: a) a good template and b) a poor template The cumulative match curve (CMC) is the cumulative sum of RPM.e. may include more than one template per user. that a correct identity is ranked to a certain rank r. also rank probability mass function (RPM). The rank is different from a similarity measure.2. which describes the ranking behavior of the system. cumulative match curve (CMC) and penetration coefficient are important figures of merit for large-scale identification systems.2. it gives the (cumulative) probability that a correct template corresponding to an input sample is found. In addition. since there may be big difference in the similarity measure (i. a matching score) between two consecutive ranked identities. can be used to evaluate an identification system since an effective system should always have low rank with high probabilities (ideally r = 1 with the probability of 1).3 Rank Probability Mass and Cumulative Match Curve In addition to FMR and FNMR in Section 4. The more rapidly CMC rises towards the probabil47 .1. In other words.4. identities used in ranking. An identification system usually returns the top K identities. The RPM. instead of returning exactly one single identity. [Bol04] The RPM consists of probabilities. The RPMs for a good and poor biometric templates are depicted in Figure 14.

2). 4. It can be reduced by binning. The penetration coefficient is closely related with the calculation time of a system.3 Large-Scale Applications Large-scale biometric authentication includes a wide range of civilian applications.ity PCMC = 1. which is given as an outcome of an identification system. Section 3. Binning can be done using e. Common to all these applications are the large amount of users and consequently the large database in identification applications. An example of a CMC is shown in Figure 15.g. The CMC can be used to determine the length of a list. In the worst case the penetration coefficient Pi = 1. Some of these applications are already in everyday use in different countries and they include both verification and identification applications. which means limiting the search by some criteria to only the relevant portion of the database.2. 48 . Also many different points of access and fast authentication are needed. [Bol04] Figure 15: An example of a cumulative match curve The penetration coefficient is the percentage of the system database that has to be searched before a correct match is found. the global level characteristics in fingerprint recognition (cf. which are briefly introduced below. the better the performance of an identification system. which means that the whole database has to searched through.

4. USA USA Fingerprint Fingerprint 500 branch offices Indonesia Fingerprint 1400 ATMs Australia Fingerprint Application Size Location Biometric Banking security includes automatic teller machine (ATM) security. In addition. [Dre04]. [San02]. which use iris recognition for authentication [Wil03]. [Fin03].4 million New York. location and the biometric used for authentication. For example. User password Physical Access Access to MasterCard HQ Major federal agencies Customs and Immigration Border Control Border Control Government Welfare distribution Healthcare Industry Identification Civil ID Civil ID Civil ID / Drivers License > 40 million 2 million 25 .30 million Argentina El Salvador California.Certain large-scale applications are described in Table 5 with their size. face and others Fingerprint Fingerprint 5 states > 850 000 USA South Africa Fingerprint Fingerprint 10 airports 8 airports .100 000 users UK Canada Iris Iris 25000 each year 4. Table 5: Different biometric large-scale applications [Abr04]. the USA and Japan. ATM applications in Australia and in Japan use fingerprint and retina for user authentication. credit card transactions and phone banking. 49 . there are several banks in Europe. [OSu97].3 . The information has been collected from several sources. The Chase Manhattan Bank in the USA uses dynamic signature in check cashing and voice recognition in phone banking applications [OSu97]. [Wil03] and [Zal02] Application Banking ATM security Information Sec. [IBGa04]. USA Fingerprint. respectively. check cashing.

In the summer 2003. in San Jose State University and iris recognition is used e. [Saf03] Government benefits distribution includes e.S.g. House of Representatives. bank vaults. in airports.8 million ID badges had already been replaced in the DoD and four million ID badge replacements was expected to be exceeded in the next two years. with fingerprints. Fingerprint recognition is also piloted in South Africa in the healthcare industry [Dre04]. including the Department of Defense (DoD). The visas have optical memory cards. Also in the UK and Canada automated border control is used at certain airports. welfare distribution and healthcare industry. face and iris recognition being probably the most common ones. the Bank of Central Asia in Indonesia has replaced the employees’ passwords with fingerprint recognition in their branch offices. respectively. They are based on fingerprint and iris recognition. On the other hand. The hand geometry is used e. faster handling of immigrants. The use of fingerprint recognition is tested in five states in the USA to prevent so-called double dipping. For example. there are many airports around the world. [Dix03]. 50 . Also two major American federal agencies. For example at the border between USA and Mexico. have been replacing the existing ID badges of their employees with a fingerprint recognition [Zal02]. which contain one ore more biometrics [Zal02].g in KPN Telecom in Netherlands and in the U. the Pentagon (the US Department of Defense). which use biometric recognition. In customs and immigration applications biometrics is used to allow e.g.g. stadiums etc. and can thus receive certain benefits several times [OSu97].g. machine-readable visas are used. Currently. The main objective is that. Legislative Counsel [Wil03] Physical access control is used in different locations to restrict unauthorized persons for accessing certain areas. where a person is enrolled into the system with several names. It can be used e.In information system security applications the username and the corresponding password are replaced with biometric authentication methods. only valid persons are granted with access to sensitive data and the password cannot be shared or forgotten. uses face recognition to secure the computer network [OSu97]. about 2.

g. which is done in the ID system of California [IBGa04]. 51 . [San02] These national identification systems can be used in conjunction with voter and drivers’ license registration. All these ID systems use fingerprint as a biometric [IBGa04]. The largest national identification system is used in Argentina with more than 40 million users and unlike the other systems. the Argentinian system relies not only on fingerprints but also on face recognition and other biometrics as well. [Wil03].National identification systems are probably the largest single application area in large-scale systems. described above. They contain several million users and a massive databank of user templates. National ID systems are used e. in El Salvador and in several states in the USA.

the total biometric market has also grown. which might have an effect on the adaptation and. The legislation and standards concerning biometric recognition are currently being developed. there are also objections to the extended use of biometrics.Chapter 5 Usability. Over the past few years. This chapter gives a brief overview of the aforementioned topics. in this way. also to the commercial potential of biometric recognition. However.1 5. Political and Legal Aspects After the terrorist attack on the World Trade Center on the 11th September 2001. which is a unique piece of information about him.1 Social Aspects Loss of Privacy Every time a person enrolls into a system. After the biometric identifier has been captured. the need for security has increased considerably throughout the world. he gives up a biometric identifier. and it can also be used to search additional information related to the person.1. and today people are willing to accept more intrusive actions in the name of security [Woo03]. by combining data from other 52 . 5. as the need for security has increased. it can be easily sold to a third party.

which are secure enough. a clear reason is always needed when using biometric recognition [Woo03]. In addition. This data might be e. In many applications biometric recognition could be used for authentication. Therefore it is necessary to store biometric information into systems. raw biometric data should not be stored at all but rather only a template.1. These objections originate from the cultural. [Woo03] By using biometrics. it may be also possible to obtain invasive information about the health of the user. it seems to be quite common to appeal to the lack of security in general. where the state can observe the actions and the behaviour of its citizens. the search can be done without the knowledge of the user and therefore it is common to link the biometrics to a "Big Brother"-scenario. [Woo03] The cultural objections are due to the stigma of less fortunate elements of society. For example.g. 5. For example when consumer habits are examined. philosophical and religious beliefs and they are difficult to disprove. People do not want to be 53 . Unfortunately. financial history. [Woo03] In order to reduce the fear of losing privacy. which might also be encrypted [Nan02]. However. [Nan02]. more research on this area is still needed. In addition. the sex and the residence of the customer should be more important than the personal data and identity of the customer. the onset of diabetes or pregnancy may be observable from the retinal scan and some special fingerprint patterns may have a connection to certain medical disorders. the age.databases. medical history.2 Other Objections To Biometrics There are also other objections to biometrics than the fear of losing privacy. which are closely attached to biometric recognition. Some people fear that this happens little by little. but the usage is not actually justified and other information should be used instead. [Per03] The biggest threat to privacy is sloppiness in database management [Woo03]. as the limited use of biometrics gradually enter everyday life (a phenomenon called function creep). since they are based on personal opinions of each individual. employment history or purchasing habits of the person [Nan02].

Instead. Table 6 shows the predicted biometric revenues by application on a global scale. For example. [Nan02]. some Christians may interpret biometrics as "the mark of the Beast". The predicted growth of the biometric industry is shown in Figure 16a and the comparative market shares between different biometric technologies are shown in Figure 16b. it is very unlikely that a single biometric will monopolize the whole biometric recognition field.g. the biggest growth is expected from the civil identification applications [Sec04]. Another common concern is the hygiene of biometric readers. that the hygiene of e.g. 54 . and the growth is expected to continue even further in the future.equated with e. described in "the Book of Revelation". some may object to biometric recognition for religious reasons. [Woo03] People objecting to biometrics for philosophical reasons may say. Because of the political actions concerning border control taking place in the EU and in the USA. e. which is handled by many on a daily basis. fingerprint sensors has been compared to the hygiene of money. [Woo03] 5. that a biometric identifier is only a high-tech way of tattooing and classifying people the same way as people have been classified into slaves or into concentration camp victims. criminals. partly due to the lack of industrywide standards [Sec04]. and therefore they refuse to use biometric recognition. This is despite the fact. all the different technologies are going to be used side by side [Woo03]. This is despite the fact.3 Commercial Potential of Biometric Recognition The biometric markets have been growing after the terrorist attack in September 2001. [Woo03] In addition. since people have to use devices which have been touched by many strangers. that the adoption of biometric technology has been slower than anticipated. [Woo03] There is also a common fear that the biometric readers may cause physical harm to the user.1. Even though fingerprint recognition has currently the greatest market share. the retina scan would damage the vision or the hand scanners would dry the hand.g.

practices. technical and mechanical requirements.8 $ 122.9 $ 16.5 $ 800.4 $ 152.4 Biometric Standards A standard. since the inter-operability between different biometric systems is a necessity 55 . Standardization can be regarded as a sign of maturity in technology and it has been stated.1 $ 116.7 $9 2008 $ 252. which may define e.9 $ 241. b) 2004 Comparative market share by technology [IBGb04] Table 6: Global biometrics revenues by application in million USD [Sec04] Application Device Access Criminal Identification e-Commerce / Telephony Retail/ATM/Point of Sale PC/Network Access Access Control / Time & Attendance Civil Identification Surveillance 2003 $ 14.8 $ 765.7 $ 17.9 $ 197.3 $ 243.4 $ 150. policies.9 5.Figure 16: a) Total annual global biometric revenues with projections [Sec04]. that the lack of common standards could be a pitfall of biometrics.g.1 $ 940. is usually developed and published by a recognized authority [Woo03].1.2 $ 1316.

application programming interfaces (e. Reasons for the need of regulation are the permanence. the creation date and the biometric type. CBEFF [CBE05]).g. standardization does not remove the need for re-enrollment when replacing a biometric device with a new one by a different vendor [Nan02]. who can collect biometric data. it is important to have a clear legislation on the subject [Mön04].2 Legal Aspects Many legal questions are related to the use of biometric recognition. irreversibility. The standards. standards concerning devices could define e. Common Biometric Exchange File Format. how much and for what purposes? If biometric recognition is going to be used extensively. e. completed or still under development. The application programming interface (API) standards are for ensuring that an application developer may use different biometric devices in a standardized way.g. concern for example common file formats (e. the electrical interface and the drivers of a biometric sensor. The header of the template might include e. device inter-operability and information security (e. On the hardware level. and since biometric recognition can be used also in international applications. [Nan02]. which concern file formats are developed so that the format of a template would be the same in different biometric applications. the hardware and software of different vendors are usually proprietary and it is unlikely that the core algorithms will ever become standardized.84-2000 [ASC05] and Common Data Security Architecture.g. [Bol04]. BioAPI [BAC05] and BAPI [IO05]). Therefore.in large-scale deployments [Sec04]. 5. that their operation is in full compliance with the laws of a foreign state as well as with the laws of their native country [Woo03]. in e-commerce or travelling. since they form the basis of intellectual property of the companies. CDSA [Int05]). template encryption. [Nan02]. X9.g. uniqueness and possible covert use of a biometric [Per03]. However.g.[Bol04].g. organizations facing this situation need to be certain. Legislation is somewhat different in each country. 56 . which is independent of the operating system and the biometric type. The biometric standards.g. e.

The European Union. However. there is a comprehensive privacy protection framework in the EU. the public administration in the city of Vaasa. since the original timetable was too tight [Kar04]. all EU member states were required to enact a comprehensive privacy law in October 1998 [Woo03]. and therefore the USA demands a machine-readable passport containing a biometric identifier. it has been stated that the public sector in Finland will probably use fingerprint recognition to identify people in the future at least as commonly as the driver’s licence is used for identification today.Currently. since according to the EU Directive 96/46/EC. The passports will be first based on face recognition and later 57 . the Data Protection Ombudsman stated that the authorities had no right to collect fingerprints from customers [Rii04]. considered using fingerprint recognition in pharmacies to prevent abuse of entitlements. maintenance. for its part. The deadline has been postponed already once from October 2004. has tried to accelerate the transition to biometric passports. Even though there was no intention to collect a fingerprint database. which individualizes a person. In Finland. [Myl04]. usage. information security and transfer of any register. i.e.3 Political Aspects The security issues have been emphasized in the USA after the terrorist attack in September 2001. after October 2005 from all people arriving in the country. and therefore the project was never realized and other options were investigated instead [Mön04]. which contains information about personal data and where the data of a certain person can be found with ease and without excessive costs [Fin99]. is a personal data item described in the privacy law [Per03]. storing. [Rii04] 5. and in the next couple of years biometric passports will be introduced in the whole EU region [Rii04]. On the other hand. the privacy law (523/1999) is based on the EU Directive and it regulates the general principles of personal data management. The incident was also widely noted by the media. only few legal limits exist in the USA on the use of biometrics. Recently. but the law can be applied also to biometric recognition since a biometric trait. The word biometrics is not cited in the privacy law specifically. the collection.

However. In this way. Finland would have been the first country in the world to issue biometric passports. In Finland. the issuing of biometric passports was supposed to begin in May 2005. since a complaint has been filed about the competitive bidding of biometric passports. and therefore it currently seems that Finland will be late from the original deadline of October 2005. the acquisition of biometric passports is currently barred. which are made according to the standards of the International Civil Aviation Organization (ICAO) [Sdu04].on fingerprint recognition [Kar04]. [Nyk05] 58 .

Another important issue was that a plain bitmap fingerprint image was obtained from the scanner instead of an encrypted fingerprint code or template generated from the fingerprint image. it was considered important that a software development kit (SDK) was available for the fingerprint scanner. When choosing the vendor. 6. which are the most slowest tasks in a fingerprint recognition process and how the performance figures differ between the software programs. The unencrypted and unenhanced image could be further processed with both software 59 . the feature extraction and matching stages of two fingerprint recognition software programs are compared. Using the library functions included in the SDK.1 Hardware Description A fingerprint scanner was bought so that the fingerprints needed in performance analysis could be acquired. Finally. the scaling into a large-scale system is considered. the example code could be modified to suit the performance measurements.Chapter 6 Comparison of Two Fingerprint Recognition Software Programs The performance of fingerprint recognition software programs varies from vendor to vendor. the execution times for different tasks and the error rates were measured. In this Chapter. In order to examine.

and finally a fingerprint scanner FCAT-100 from the Bergdata Biometrics GmbH was chosen. frames per second FCAT-100 280 x 440 500 8 Windows. Linux and OS/2 USB Thermal 0.4 x 14 1780 The FCAT-100 fingerprint scanner is based on Atmel FingerChipTM temperature sensor [BerB03]. Provided that the finger is swept over the sensor at a reasonable rate. the successive frames overlap and a fingerprint image can be reconstructed 60 . Several fingerprint scanners from different vendors were investigated. An image of a fingerprint is obtained by sweeping the finger across the sensor.programs. The FCAT-100 scanner is shown in Figure 17 and the technical characteristics are listed in Table 7. Figure 17: FCAT-100 fingerprint scanner Table 7: Characteristics of FCAT-100 fingerprint scanner [Atm02] Fingerprint Scanner Image Size (pixels) Resolution (dots per inch) Dynamic Range of the Image (bits) Drivers Connector Sensor type Image zone (mm) Max.

Figure 18: Fingerprint image reconstruction [Bis02] Figure 19: An example fingerprint acquired with FCAT-100 fingerprint scanner In the measurement setup. The reconstructing is performed automatically by the fingerprint scanner.from the frames (see Figure 18) [Atm02]. the fingerprint scanner was connected to a personal computer (PC) via universal serial bus (USB). The size of an acquired fingerprint image is 280 x 440 pixels with a resolution of 500 dots per inch (dpi) and a dynamic range of 8bits (256 grayscales). the scanner is compatible with the FBI standards [BerB03]. Therefore. The clock frequency of the PC’s 61 . and an example fingerprint acquired from the scanner is shown in Figure 19.

the template generation and the matching operation stages. takes care of the feature extraction. which is responsible mainly for capturing fingerprint images. However.1 Description of the Software Programs Bergdata Fingerprint Identification System An SDK. The NFIS2 has a modular structure. a detailed analysis of each block was carried out. were examined. namely the Bergdata Fingerprint Identification System (BDFIS).2. since the BDFIS is a proprietary product. which was ordered along with the fingerprint scanner. from coarse into detail ones. The overall structure of the BDFIS software is shown in Figure 20 and the performance of each block. excluding the ones shown in gray.2. were examined. which is shown in Figure 21 and since the details of the source code were available.2 6. but only few were actually used when carrying out the performance analysis. The performance of each block. The biometric engine. It consists of seven different packages. consists of a biometric engine and a generic fingerprint scanner driver module. 6. 62 .central processing unit (CPU) was 2. excluding the blocks shown in gray. It is written in pure ANSI-C programming language and hence marketed as very fast and highly portable software [BerA03]. It also allows to keep the biometric application independent of a fingerprint scanner.2 NIST Fingerprint Image Software 2 The NIST Fingerprint Image Software 2 (NFIS2) is an open source fingerprint recognition software developed for the Federal Bureau of Investigation (FBI) and the Department of Homeland Security (DHS) by the National Institute of Standards and Technology (NIST) [Wat04]. the details of the code weren’t available and only the main operations could be examined. 6.79 GHz and the size of the random access memory (RAM) was 1 gigabyte (GB).

The maps are the low contrast map. All the three maps created from the example fingerprint (see Figure 19) are shown in Figures 22a-c. The parameters and the algorithms in the NFIS2 software are designed. The detailed operations of the subtasks shown in Figure 21 are described next. the low ridge flow map and the high curvature map. so that their operation is optimal when processing images with a resolution of 500 dpi and dynamic range of 8 bits [Wat04]. They are used for representing the image quality of each block. Feature Extraction Feature extraction begins with an optional image enhancement. [Wat04] In addition to the three maps mentioned previously. The fingerprint image is then divided into blocks. with a size of 8x8 pixels and three different maps are created from the image. that the feature extraction stage has more distinguishable tasks than the matching stage. it is essential to create also a direction map. The direction map represents the orientation of ridges in the areas where the ridges and valleys are clearly visible and well-formed. which is done by spreading the histogram in case of poor contrast in the original fingerprint image.Figure 20: Structure of BDFIS fingerprint recognition software It can be seen from Figure 21. where the minutiae are detected. The orienta63 .

64 Figure 21: Structure of NFIS2 fingerprint recognition software .

the blocks of the direction map are smoothed and the blocks with invalid directions are interpolated by analyzing their adjacent blocks. after all the maps have been generated. incrementally in steps of 11. 25 ◦ and calculating the discrete Fourier transform (DFT) in each block orientation. [Wat04] Finally. the inconsistent directions are removed. Afterwards.Figure 22: Different maps tion of ridges is calculated by rotating a macroblock grid with a size of 24x24 pixels. The ridges are considered to be towards the orientation. which is shown in Figure 23. a quality map is created by integrating together all the information from the three maps representing the quality of each block. is used for as65 . which has the greatest coefficients on the lowest four frequencies. The complete direction map for the example fingerprint is shown in Figure 22d. The quality map.

In this process each pixel is set to either black or white and the different shades of gray are lost. the minutiae detected from the blocks with low ridge flow or high curvature are assigned with low quality. The binary image is finally scanned three times and on each scan the occasional black and white holes are filled. A grid. In the NFIS2 software.signing the reliability for detected minutiae. Then the grayscale values of the block are accumulated along the rows of the grid and the actual binary value of the pixel is based on these grayscale values. [Wat04] Figure 23: Quality map Minutiae Detection Since the minutiae detection algorithm is designed to operate on pure black and white fingerprint images. [Wat04] 66 . the binarization process is based on the detected ridge flow of the block and each pixel in a block is examined one by one. the original fingerprint image must be binarized. is turned to align with the ridge flow. In addition. The minutiae are not searched from the margins of the direction map and from the low contrast blocks. with the pixel of interest located in the center.

In order to classify that two minutiae form a lake or an island. The pixel patterns are found by using masks. i. respectively. which match with the minutiae. The scan is performed both in horizontally and vertically and the found candidate minutiae points are collected into a list.The blocks in the direction map. These conditions include e. the value of a block is assigned to each pixel in that block.e. Then the candidate minutiae are detected by searching certain pixel patterns from the image. ridge ending or bifurcation. The NFIS2 minutiae detection scheme is particularly greedy. false minutiae are removed from the list by a systematic approach [Wat04]. if a minutia is sufficiently close and pointing to a block. are removed. i. the minutia is removed. Figure 24: Pixel patterns used for minutiae detection [Wat04] The candidate minutiae points are first sorted from top-to-bottom and left-to-right order. Therefore. after the candidate minutiae are found and collected into a list.g. the low flow map and the high curve map are then divided into single pixels. A minutia is removed also if there are 67 .e. These are called lakes and islands. [Wat04] Next. which are small sized islands or lakes. Then isolated ridges in a valley or vice versa. minimizing the chance of missing true minutiae at the expense of many false minutiae. are removed. Also holes. many different conditions must be fulfilled. shown in Figure 24. whose direction field is invalid. that the two minutia detected are close to each other and their directions are opposite or almost opposite.

they are removed. The gallery fingerprint can be compared to a template. [Wat04] The ridge counting task is performed by using the list of true minutiae. two intra-fingerprint minutia comparison tables are constructed for an input fingerprint and for a gallery fingerprint.e. so that they lie symmetrically to the ridge or valley bifurcation. even when the minutia is not pointing to any of these blocks. They account for the translational and rotational invariance of the fingerprint. This operation is repeated for all minutiae in the list. the angles between each minutia and the intervening line between the two minutiae. In the initialization stage. uses the minutiae information obtained from the feature extraction stage [Wat04]. [Wat04] 68 . [Wat04] Minutiae Matching The NFIS2 minutiae matching. [Wat04] The final steps involve removing the minutiae located in the discontinuities of ridges and valleys i. In the initialization stage. Then. and also the bifurcation minutiae which are either too narrow or too wide. The minutiae are first sorted column oriented. first the x-coordinate and then the ycoordinate. are considered as true minutiae. also called a reference fingerprint. the results are collected into the minutiae comparison table. even though an actual template is never created in the NFIS2. The measurements include the distance between two minutiae. Finally. the remaining minutiae are adjusted slightly. relative measurements between all the minutiae in the same finger are calculated. i. called the "Bozorth Matcher" in honor of the developer of the original algorithm. which are left in the candidate minutiae list after all the false minutiae removal operations described above.several blocks with an invalid direction field in the proximity of the minutia. which lie in the side of a ridge or a valley or combinations of two minutiae forming hooks that protrude off the side of the ridge or valley. If there are minutiae. overlaps. The minutiae. The duplicate minutiae points are removed from the list and finally the ridges are calculated between a minutia and its eight nearest neighbours.e.

the angles of the minutiae are examined and they must also be within certain tolerances. a test software was written in ANSI-C. When the traversal is finally complete. disjoint link in a compatibility graph and each link is thus associated between two pairs of potentially corresponding minutiae.After the initialization stage. the compatibility of the clusters in the graph is checked by examining the amount of their global rotation.3 Conducted Measurements Bergdata Fingerprint Identification System In order to conduct the performance measurements with the BDFIS fingerprint recognition software. the distances in the each entry of minutiae comparison table. The accumulated number of the compatible clusters gives the final match score between two fingerprints. Each entry in the table indicates a single. are examined and they must be within predefined tolerances. at the most. [Wat04] The final stage in the fingerprint matching is to traverse the compatibility table. In the second and third test. clusters are formed in the compatibility graph by linking the entries of the compatibility table. one minutiae pair in the input fingerprint may have several counterparts in the gallery fingerprint. As the graph is traversed. a new entry is made into a inter-fingerprint compatibility table. [Wat04] 6. It should be noted. This means that many entries are made into the compatibility table. If entries in the comparison tables pass all three tests. that an entry is done into the compatibility table based only on the distance and the relative position between two minutiae in a fingerprint. Therefore. After this task. There are three tests conducted in order to determine if there is compatibility between the entries. a minutiae pair of the input fingerprint should match with only one minutiae pair of the gallery print. even though only one of these entries can be a correct match. In the first test. the two minutiae comparison tables are examined and compatible entries between the tables are looked for. The compatibility graph is traversed so that the traversals are initiated from various starting points. The test software applied library functions of the SDK in several processing stages of fingerprint 69 .

The BDFIS template generation stage began by loading two fingerprint images into memory from the hard drive. the exact execution time of the feature extraction function could be calculated from the number of processor clock cycles between the two time stamps. template generation and fingerprint matching. The number of detected minutiae. The Microsoft Visual Studio. The execution times of the feature extraction stage were measured by using the readTimeStampCounter (RDTSC)-function. The RDTSC-function was used to measure the execution time of the template generation function. It reads the accurate number of processor clock cycles at the moment the function is called [For04]. The resulting times and templates were saved into the hard drive. the execution times were saved into a text file on the hard drive. the program conducted the scanning of four fingerprints and the acquired fingerprint images were saved in a bitmap format into the computer’s hard drive for later use. The test functions for the different fingerprint recognition processes were accessible via the main menu of the test software. The test software was based on an example code sequence included in the SDK. e. The RDTSC-function was used twice.g. Then the features were extracted from the images. Finally. the fingerprint image quality and the valid area were obtained as the output of the library function. but a similar approach was used in all of them. feature extraction. template generation and matching stages were measured separately. were loaded into memory from the hard drive.recognition. Since the clock frequency of the processor was known. Before using the library function for fingerprint matching. and a template was generated from the extracted minutiae by using the specific library function.NET was used as the development environment. If the enrollment process was selected. an input fingerprint image and a reference template. which is an Intel Pentium processor’s assembly instruction. immediately before and after library function call for the feature extraction. The performance of feature extraction. a raw fingerprint image was loaded from the hard drive into memory and then a specific library function was used to carry out the feature extraction. 70 . fingerprint scan. In the BDFIS feature extraction stage.

The original source code of NFIS2 was divided into many different programs. The compression quality was set to 100%. i. no compression at all. the qualities of the fingerprint images were evaluated and the features were extracted by using a specific executable subprogram for each stage. but still there could have been losses due to roundoff errors and subsampling [Wat04]. was used as the development environment. The fingerprint matching stage in NFIS2 software was executed and measured similarly as the feature extraction stage. The measured execution times and the matching scores were saved into the hard drive. The execution times for feature extraction stage were saved into the hard drive along with the resulting number and the coordinates of detected minutiae. namely the Cygwin [Cyg05]. The obtained execution times were saved into a text file on the hard drive.2) were obtained and saved on the hard drive. 6. the fingerprint images had to be converted from bitmap format into jpg-format. A Linux-like environment for Windows. Also the different maps (cf. which were each used for a specific process in fingerprint recognition. which is a lossy compression method for images developed by the Joint Photographic Experts Group.After this the matching was performed. The fingerprint matching was executed many times in order to measure the subtasks also. The lists of previously detected minutiae were loaded from the hard drive for the input fingerprint and the gallery fingerprint as the specific executable subprogram was used. and the execution times were measured using the RDTSC-function. Before feature extraction. The RDTSC-function was inserted into the original source code immediately before and after the measured function call. respectively.2. also the execution times of the different subtasks could be measured. After the conversion. The resulting execution times and the matching scores between two fingerprints were saved into a text file on the hard drive. 71 . The execution of the feature extraction stage was repeated many times with different placings for the RDTSC-function.e. In this way. NIST Fingerprint Imaging Software 2 The performance tests described above were conducted also with the NFIS2 software.

2 Feature Extraction The feature extraction stage was performed for all previously scanned 56 fingerprints.4 6. This was done. 6. if necessary.Analysing the Results After all the different measurements were done with both fingerprint recognition software programs. The images from the scans.4. Before the enrollment. totalling 56 fingerprint images.1 Fingerprint Recognition Enrollment In order to conduct the performance tests. were discarded. the quality of the images was checked visually and. all the obtained values were loaded into MatLab and examined there. Scatter plots were generated to see the distribution of measured values. which corresponds to a situation where a different user is authenticated after each time. the different maps and also the detected minutiae were drawn on the image of the example fingerprint. In order to obtain four reasonable quality images from each fingerprint. Therefore the database used consisted of 14 different fingerprints and four images from each fingerprint. too fast or too slow sweep across the sensor. four fingerprint images of a finger were collected from 12 different persons and from two different fingers of the author of this thesis. Also the possible connections between two different values were examined visually from the scatter plots. The input fingerprint image was changed from one to another after each feature extraction. there are some differences to a real life 72 . since a sweep sensor is difficult to use in the beginning and most of the volunteers had never used a fingerprint scanning device before.g. Finally. 6. However.4. all the volunteers were given instructions on how to use the fingerprint scanner and they were also encouraged to practice the use of the scanner before enrollment. the scanning procedure was repeated. which had clearly failed due to e.

more minutiae were detected from the fingerprint images with a larger valid area. The measured average feature extraction times correspond closely to the time (0. The image quality varied usually from scan to scan about 10-15% with every user. In addition to the feature extraction time. The valid areas for all the fingerprint images were between 200 mm2 and 270 mm2 . The average values for the image quality. Typically the area is between 100 mm2 and 300 mm2 . The image quality depends on the intactness of the skin and the image acquisition process. Bergdata Fingerprint Identification System The average execution times and their standard deviation between users in the BDFIS feature extraction stage and the template generation stage. How73 . The measurements in the feature extraction stage were repeated so that all the input fingerprint images were used cyclically.02 s) advertised on the Bergdata’s webpages [BerA03]. the valid area and the number of detected minutiae were obtained. each one for 1000 times. because it was noted that the execution time of the first feature extraction stage was slower than the subsequent execution times. are presented in Table 8. the valid area and the number of found minutiae are also shown in Table 8. where minutiae can be detected. In poor quality images the image quality is less than 50%. all the failed scans were discarded when collecting the fingerprint images. Firstly. Usually.situation. which are caused by the background processes of the computer. The variance between users was quite uniform with respect to all the measured values. all four fingerprint images from the same user were collected and used consecutively. In addition. The repetition was done in order to diminish the variation of execution times. and there was some variation from scan to scan. valid area 239 mm2 number of found minutiae 67). The valid area means those parts of a fingerprint. The cyclical change of the input fingerprint images was chosen. Figure 25 presents the minutiae detected from the example fingerprint with black circles (image quality 50%. also the quality of the fingerprint image. This may be due to the processor’s cache memory where the fingerprint is saved.

In addition.21 ever.28 10.89 61.39 8. that if the image quality was poor there was more deviation in the number of detected minutiae. the number of detected minutiae varied from one user to another and also between different images of the same finger. Usually more minutiae were found from poor quality images. Figure 25: Minutiae found in the feature extraction stage of BDFIS software The fingerprint image quality and the valid area seemed to be independent of each other.76 15.20 0.55 84.00 Standard deviation between users 12.Table 8: Feature extraction results in BDFIS software Average value Feature extraction time (ms) Template generation time (ms) Image quality (%) Template quality (%) Valid area (mm2 ) Minutiae (number) 24.91 55. as could be expected.49 0. This is augmented by the fact. which might indicate that many of the detected minutiae are actually false minutiae.06 14.13 233. the minutiae were found quite fast 74 .

Therefore. a good quality template resulted. as the number of minutiae increased. i. the second level around 21 ms and the third level around 38 ms. Also. but the quality and the reliability of the detected minutiae was poor. the feature extraction stage could be either fast or slow. There could 75 .2 ms but rather at three different levels.if the image quality was poor. a good quality template could be usually generated. thus resulting in a poor quality template. There was a lot of variation in the execution times. The level seemed to be independent of the number of detected minutiae. but uses a list of detected minutiae from a single fingerprint. the quality of template began to decrease. which are related to the quality of the template. The BDFIS software requires at least two fingerprint images to create a template. Therefore it remains unclear which are the circumstances leading to a slow or fast execution time. that when the image quality was good. This probably means that more minutiae were found from a poor quality image. that the manufacturer does not recommend this. Usually. The software probably measures the quality of the minutiae. This is augmented by the fact.4 ms. the NFIS2 software does not create a template. The execution of the feature extraction was slightly slower when more minutiae were found. the latter characteristic of the template quality has no meaning and the obtained template qualities may be too high. the template in BDFIS software was created using the same fingerprint image twice. the template was generated in less than 1. After this. the valid area and the image quality. The average execution time for the template generation and the average quality of the generated templates are also shown in Table 8.e. It should be also noted. However. In order to make the comparisons similar in both softwares. which is used for authentication. if the number of detected minutiae was between 35-55. On the other hand. The template quality represents the user’s skill to reproduce similar fingerprint images on each scan and the amount of dactyloscopic data. the template was generated faster. but usually if the template quality was good. On the other hand. the unequivocal information from a fingerprint. though the number of detected minutiae was usually smaller in good quality images. with the first level around 12 ms. The variation of the template quality within a single user was about 20%. the feature extraction times were not divided uniformly around the average of 24.

number of found minutiae 117) with circles. The percentage of a subtask execution time compared to the total feature extraction stage and the average number of detected minutiae are also presented. Figure 26 presents the minutiae found from the example fingerprint (image quality 1. are presented in Table 9. different initializations. There were many small operations in the subtasks. the percentages only give an order of magnitude and the sum of the percentages in a subtask might not always add up to the task upper in hierarchy. if the template was generated from several fingerprints. which are not listed and the percentages are rounded to a precision of 0. Figure 26: Minutiae with directions found in feature extraction stage of NFIS2 software 76 .g. Therefore.1 %. e. The directions of the minutiae are also shown. NFIS2 The average execution times and their standard deviation between users in the feature extraction stage and in the corresponding subtasks.have been more variation.

04 0.9 99.37 1.7 ∼0 35.69 0.49 1.99 ∼0 1.003 0.4 0.6 Standard deviation between users (ms) 21.6 0.1 1.01 0.55 17.96 1.003 1.5 ∼0 0.97 4.07 0.99 3.01 68.7 0.08 0.01 0.01 0.02 1.76 191.18 0.2 0.15 1.5 0.76 0.24 0.02 21.12 12.79 0.20 186.03 0.4 0.1 1.51 0.17 28.5 0.10 22.3 0.09 0.96 0.48 Percentage of the total stage time 100 0.53 0.09 0.4 5.11 0.03 4.6 7.1 0.2 17.60 0.01 0.6 16.75 31.78 0.03 ∼0 0.01 1.3 8.92 0.8 39.19 0.3 15.1 6.02 0.26 0.62 11.97 3.9 ∼0 ∼0 8.28 2.53 0.26 87.75 0.15 0.82 77 .60 0.5 ∼0 1.95 0.20 0.17 14.93 0.83 12.15 3.5 1.2 0.62 0.9 0.65 0.67 0.21 21.3 0.4 0.06 0.04 0.96 0.001 2.39 29.75 11.1 0.66 2.8 6.002 0.32 33.Table 9: Feature extraction results in NFIS2 software Feature extraction stage FEATURE EXTRACTION Image enhancement Minutiae detection & binarization Detect minutiae Initialization Maps Compute block offsets Generate initial direction map and low contrast map Dilate and erode low contrast map Remove inconsistent directions Smooth direction map Interpolate invalid direction blocks Remove inconsistent directions Smooth direction map Set direction map margin values to invalid Generate high curvature map Binarization Binarize padded image Fill black & white holes (3x) Minutiae detection Pixelize direction map Pixelize low flow map Pixelize high curve map Scan minutiae horizontally Scan minutiae vertically False minutiae removal Sort minutiae points Remove minutiae on lakes and islands Remove holes Remove minutiae pointing to invalid direction Remove minutiae close to invalid direction block Remove or adjust minutiae on aside of ridge or valley Remove minutiae forming hooks Remove opposite minutiae overlapping Remove too wide minutiae Remove too narrow minutiae Ridge counting Sort minutiae points Remove duplicate points from list Count ridges between minutiae Build integrated quality map Assign reliability from quality map M INUTIAE (number) Average value (ms) 192.76 0.5 0.0 1.11 5.56 76.26 0.6 14.34 0.09 2.01 17.1 96.12 2.

2. with a larger number meaning worse quality. However. the more reliable is the minutia. In addition. were barely satisfying according to the BDFIS software. The task requires many accumulations and it is therefore quite similar to the direction map generation task (cf. The fingerprint images. Especially the direction map requires many accumulations and DFT transforms. The feature extraction times in NFIS2 software were quite similar among a single user and they were divided uniformly. the relative number of minutiae detected with both software programs remained nearly the same for all fingerprints. which may be one of the reasons that the process is slower than the feature extraction stage of the BDFIS software. many of the images which were interpreted as good quality images in NFIS2.2). which is spent in the removal of lakes and islands and in the adjustment of the minutiae aside a ridge or valley. The black circles are the minutiae detected by BDFIS and the squares are minutiae detected by NFIS2. In the NFIS2 software. The feature extraction was usually performed in less than 225 ms. the feature extraction for poor quality images was usually slower. The image binarization task is another task. if there were fingerprints with fewer minutiae found using BDFIS. the quality of the fingerprints was represented on a scale from 1-5. there weren’t any images on the levels three or five at all. which takes a relatively long time to execute. The time for the false minutiae removal increased as the number of detected minutiae was larger. 6. Especially the time. Figure 27 shows the minutiae detected from the example fingerprint using both softwares.The measured execution times of the feature extraction stage were about 10 times longer compared to the BDFIS software. Therefore. Although the number of detected minutiae was clearly different between the software programs. The lighter the square is. since more minutiae were detected. increased 78 . were usually interpreted as poor quality images also in NFIS2. In other words. The execution time of the feature extraction was longer when more minutiae were found from the image. it was true for NFIS2 also. The generation of the directional map and the low contrast map contribute for the greatest portion of execution time. The color of the square corresponds to the reliability of the minutia. whose qualities were poor according to BDFIS software.

so that the results would be comparable with each other. were selected as reference fingerprints.Figure 27: Minutiae found in feature extraction stage of BDFIS and NFIS2 softwares with the number of minutiae. Then the reference fingerprint was changed.3 Fingerprint Matching To conduct the measurements in the fingerprint matching stage. the data from the 56 fingerprints was divided into two equally sized parts. This choice is justified.4. The 28 input samples were matched with a reference fingerprint one at a time. The same fingerprints were used as references in the both programs. and all the input fingerprints were matched 79 . Also the execution times for minutiae detection and ridge counting subtasks increased slightly. The two fingerprints which had the best template quality according to the BDFIS. The times for other subtasks remained independent of the number of detected minutiae. 6. The matching was performed in a similar way as the feature extraction. since the enrollment phase is usually a controlled operation in a real-world application and a good quality template is usually required. the input samples and the references.

The median matching times. Even though the threshold level was set to the lowest possible. The median times were calculated. The average execution times and their standard deviation between users in the fingerprint matching stage. were measured for all fingerprints. The lowest possible security level turned out to be 25 % and the matching scores were obtained upwards from there. since the measured execution times were not uniformly distributed but rather concentrated around the lower values of execution times.e. An efficient data structure is essential in identification applications in order to make them feasible. because there wasn’t a specific data structure created for the reference fingerprints. if there were some differences between execution times when two 80 . This was done in order to see. if a non-match was declared between the two fingerprints. The process was repeated cyclically so that there were 1000 repeats for each matching pair to diminish the effect of occasional changes in execution times. In addition. the false matches and the false non-matches. there were only two false matches. totalling 784 (28 x 28) matches. The fingerprint matching scenario used here was a verification scenario. Bergdata Fingerprint Identification Software The average execution times and their standard deviation between users in the fingerprint matching stage are presented in Table 10. are also presented in Table 10. because the output for match score was always set to zero. there were three false non-matches and their number should have been small. The security level in the BDFIS software was adjustable. The matching threshold was set to the lowest possible level.against this new reference fingerprint. only for the matching fingerprints and only for the non-matching fingerprints separately. the average score for the matching fingerprints and the number of matching errors i. In this way all the input fingerprints were matched with all the reference fingerprints. The number of false matches and non-matches indicates the security level used here. since the lowest possible security level was applied. but the different security levels were described verbally and the specific thresholds remained unclear.

2 ms. usually the match score and the probability of correct match decreased. were found and a match could not be declared.4 2 of 728 3 of 56 Median value 0.34 - The fingerprint matching stage was usually completed in less than 1. which uses templates that are preferably created from several fingerprints. including false ones. If the two fingerprints could be matched.Matching fingerprints Fingerprint match time (ms) .Non-matching fingerprints Matched fingerprint score (%) FM FNM 0. The average execution times and their standard deviation between users for the fingerprint matching stage and the corresponding subtasks.247 0. it was usually completed in less than about 1.9 ms. However.537 0.418 14. If the execution of the fingerprint matching stage was slow. matching was slower. Table 10: Fingerprint matching results in BDFIS software Average value Fingerprint match time (ms) .All fingerprints Fingerprint match time (ms) . are presented in Table 11.1 ms. the matching took less than 0. This is different from the BDFIS. On the other hand.353 0.514 0. in the most cases when a non-match was declared.fingerprints match or do not match.344 56 Standard deviation between users 0.481 0. NFIS2 A previously extracted list of minutiae was used as a reference fingerprint in the fingerprint matching stage of NFIS2 software. The relative percentages of the subtasks with respect to the total finger81 .409 0. The image quality and the number of minutiae are probably very important elements from the matching time point of view.512 57. This could mean that in a poor quality image more minutiae.

The average scores for fingerprints. which are not included in the Table 11 and the percentages are rounded up a precision of 0. 82 . All times were measured separately for all fingerprints. The resulting match scores represent roughly the number of matched minutiae and a match score 40 or greater usually indicates a correct match [Wat04].1 %. respecively. since the non-match decision was usually done in less than 25 ms. The execution time of the fingerprint matching was much shorter if the fingerprints did not match with each other. the false match rate (FMR) and the false non-match rate (FNMR) for both software programs are depicted in Figure 28. The decision that two fingerprints match with each other.print matching stage are also presented. It can be seen from Table 11. that the traversal of the compatibility graph takes most of the matching time. the number of false matches and non-matches are also presented in Table 11. However. they give an order of magnitude and do not add up to 100%. there were many small operations in the subtasks. The median values for the execution times are also presented.e. only the matched fingerprints and only non-matched fingerprints. all the match scores were given as a result of the a matching stage and no security level had to be defined beforehand. The false match rates fall and the false non-match rates rise as the security level is increased. Finally. The gray values are for NFIS2 and the black values for BDFIS. Similarly to the feature extraction stage. The fingerprint comparison was usually done in less than 35 ms. the error rates i. since in that case the compatibility table is longer and therefore also the traversal of the corresponding compatibility graph takes a long time. there was a lot of variation in the matching times and the matching stage is very much slower than the matching stage of the BDFIS software. since the distribution of execution times was not uniform. was usually done in less than about 550 ms. Therefore. In the NFIS2 software. This is pronounced when two fingerprints match with each other.

75 1.45 1.69 265.10 4.30 2.0 71.32 105 6.25 373.5 13.88 8 72.02 1.02 1.4 8.87 2.73 16.20 0 of 728 5 of 56 7.4 Applicability to Identification When considering a large-scale application.47 1.10 47.60 Standard deviation between users 117. The average feature extraction time for NFIS2 was nearly eight times slower than the feature extraction done with the BDFIS software.1 11.87 213.17 1.16 1.20 - 29.08 52.39 176.13 1.04 8.4 71.36 1.67 3.6 82.80 28.34 20.94 1.86 2.4 100 13.9 61.8 1.5 100 1.56 1.08 1.76 3.82 2.03 1.86 14.95 2.69 1.48 91. Even though the feature 83 .26 10.36 49.37 110.42 1.12 1.4.0 0. the most important characteristics of a fingerprint software programs are the matching time for two fingerprints and the error rates.94 1.47 1.62 7 - 6.38 1.3 6.Table 11: Fingerprint matching results in NFIS2 software Fingerprint matching stage All fingerprints FINGERPRINT MATCHING (ms) Initialize input fingerprint (ms) Initialize gallery fingerprint (ms) Construct a compatibility table (ms) Traverse the compatibility graph (ms) Match Score Matching fingerprints FINGERPRINT MATCHING (ms) Initialize input fingerprint (ms) Initialize gallery fingerprint (ms) Construct a compatibility table (ms) Traverse the compatibility graph (ms) Match Score Non-matching fingerprints FINGERPRINT MATCHING (ms) Initialize input fingerprint (ms) Initialize gallery fingerprint (ms) Construct a compatibility table (ms) Traverse the compatibility graph (ms) Match Score FM FNM Average value Median value Percentage of total matching stage 100 7.16 2.93 1.83 2.

Figure 28: False match rate and false non-match rate for NFIS2 and BDFIS software programs extraction stage is the slowest part of the whole fingerprint recognition task. where the matching is done with all the 999 non-matching fingerprints before the correct match. Thus the NFIS2 software is considerably slower than the BDFIS software. As an example of a large-scale system an identification system of 1000 users with no specific data structure can be used. since there must be many matches in a short time. The average fingerprint matching time in NFIS2 software was more than 50 times slower. If the applied security level is chosen so that the both error rates are as small as possible. the fingerprint matching time is more important in identification applications. would be about 16. the probability of correct identification would be 84 . In such system the worst-case execution times.5 seconds with BDFIS software.5 seconds with NFIS2 and 0. and the median time about 20 times slower than the fingerprint matching with the BDFIS software.

a dedicated hardware which would perform the slow tasks. single input fingerprint could be matched with many gallery fingerprints at the same time.g. that the both error rates are as small as possible and the probability of a correct identification should be 90%. in matching stage parallel processing approach could be used. if the maximum allowed waiting time for was chosen to be e. Also the parallel processing could be performed with hardware and it would obviously shorten the fingerprint matching execution time. since there may be millions of users in a single large-scale identification application. two seconds. If the security level in an identification application was chosen so. On the other hand. could be used. This may have an effect on the error rates of BDFIS software. Both of these can be affected by designing an improved recognition algorithm. the maximum number of users in the system would be about 300 with NFIS2 and about 5600 with BDFIS software. Another way is to decrease the error rates and the execution times. Another timesaving method could be parallel processing. Therefore. the matching algorithm of the NFIS2 software does not exploit the number of ridge counts at all. respectively. However. it seems that it is not feasible to use neither software in identification application without an efficient data structure and a pre-classification of a fingerprint. it should be noted that the template in the BDFIS software should have been created from several different fingerprint images. The parallel processing could be used also in DFT calculation of the blocks. The calculation of DFT and the compatibility graph traversal are tasks which take up the most of the time in fingerprint recognition. 85 . First of all. The hardware executable task would be predefined in the design stage and fixed thenceforth but the execution time would be fast. it might be possible to speed up the whole recognition process by shortening the execution time of these tasks. the maximum allowable system sizes would be about 1900 and 3800. In computer the fingerprint recognition software is executed sequentially. if e.about 95% with NFIS2 and about 97% with BDFIS. which probably has an effect on the error rates and also on the overall execution time of the fingerprint matching stage. According to the number of users calculated above.g. However. Currently.

which are widely used today. and a suitable balance must be found between the security. Unfortunately. In addition. there are several aspects e. A performance comparison was done between a commercial fingerprint recognition software and an open source software. many technical challenges are encountered. In addition. the matching of an input biometric with a template must be a very fast process. the identification time is related to the number of users. can be used for recognition and they all have their own advantages and disadvantages. However.g. When the use of biometric recognition is extended from a small-scale system into a large-scale identification system. which can be used also for identification purposes and also with non co-operative subjects. biometric recognition is the only recognition method. It is an emerging and effective method for authentication and it can be seen as an addition to the token and knowledge based authentication methods. these objectives are often in contradiction with each other.g. social acceptance and legal questions. In addition. the error rates and the execution times 86 . First of all. Therefore.Chapter 7 Conclusions Biometric recognition is based on the physiological and behavioral characteristics of a person. which must be considered before using a biometric recognition. the user convenience and the amount of human intervention needed. which might be millions in a large-scale system. fingerprint and iris. the error rates are changed from a small-scale system. Many different biometrics e. The operations of the open source software were studied in detail.

The suitability of the softwares for a large-scale application was discussed also. This could be done by improving the fingerprint matching algorithms but more research is required there.of each operation in feature extraction and fingerprint matching were measured in both softwares. since it is done only once for each user. In addition. where many matches must be done. since it is one of the most accurate and fastest biometrics available. a dedicated hardware could be used for decreasing the execution times. also the possibility for conducting the fingerprint matching parallel should be investigated. The error rates in both softwares should be decreased. The time for feature extraction is not crucial in either kind of application. the large-scale applications using fingerprint recognition would become more feasible. If the fingerprint matching stage could be accelerated. since they have affect on the success and the execution times of an identification process. Clear differences were noted between the two softwares and especially the differences in the execution times were much larger than expected and therefore the bottlenecks of the fingerprint recognition process were identified. Since the fingerprint matching was done sequentially. 87 . The execution times in the feature extraction and the fingerprint matching are in order of tens to hundreds of milliseconds and the fingerprint matching time is adequate for verification applications but not for identification applications. The usage of iris recognition in large-scale applications should also be investigated more. but also this requires more research.

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