Army Biometric Applications: Identifying and Addressing Sociocultural Concerns

217 Pages·2001·0.81 MB·English

by  John D. Woodward

AARRMMYY
BBIIOOMMEETTRRIICC
AAPPPPLLIICCAATTIIOONNSS
Identifying and Addressing
Sociocultural Concerns
John D. Woodward, Jr., Katharine W. Webb, Elaine M. Newton,
Melissa Bradley, David Rubenson
with Kristina Larson, Jacob Lilly, Katie Smythe, Brian Houghton,
Harold A. Pincus, Jonathan M. Schachter, Paul Steinberg
Prepared for the United States Army
Approved for public release; distribution unlimited
ArRroyo Center
The research described in this report was sponsored by the United
States Army under Contract No. DASW01-96-C-0004.
Library of Congress Cataloging-in-Publication Data
Army biometric applications : identifying and addressing sociocultural concerns /
John D. Woodward, Jr. ...[et al.].
p. cm.
“MR-1237.”
Includes bibliographical references.
ISBN 0-8330-2985-1
1. United States. Army—Personnel management. 2. Biometry—United States.
I. Woodward, John D., Jr.
UB323 .A734 2001
355.6'1—dc21
2001031969
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PREFACE
The digitized Army of the twenty-first century depends on secure
command, control, communications, and computers to ensure
dominance on the battlefield. Biometrics has been suggested as a
means to enhance this security.
This report documents RAND’s findings regarding Army use of bio-
metrics. The concerns raised and corresponding solutions will likely
affect almost any organization intending to make use of biometrics
and should be of interest to anyone concerned about the functions of
these organizations.
Lieutenant General William H. Campbell, Director for Information
Systems for Command, Control, Communications, and Computers
(DISC4) and the Army’s Chief Information Officer, sponsored this
work. Phillip Loranger of the Information Assurance Office served as
RAND’s primary point of contact. The research was conducted in the
Force Development and Technology Program of RAND’s Arroyo
Center, a federally funded research and development center spon-
sored by the U.S. Army.
As RAND prepared this work for publication, several important
developments took place related to biometrics initiatives within the
Department of Defense (DoD):
1. The DoD, responding to Public Law 106-2436 signed on July 13,
2000, embarked on a DoD-wide biometrics initiative with the
creation of a DoD Biometrics Management Office that includes
the Biometrics Fusion Center. The Army was appointed as the
executive agent for the DoD Biometrics program. More infor-
iii
iv Army Biometric Applications
mation on DoD biometrics is available at the DoD Biometrics
Web site, http://www.c3i.osd.mil/biometrics, or from the DoD
Biometrics Management Office, 5109 Leesburg Pike, Suite 918,
Falls Church, Virginia, 22041, [phone].
2. Lieutenant General Peter M. Cuviello was appointed on August 1,
2000, to serve as the Director for Information Systems for Com-
mand, Control, Communications, and Computers, and is the
Army’s Chief Information Officer. General Cuviello succeeded
the original research sponsor, General Campbell, who assumed
responsibility as the Executive Agent for the DoD Biometrics
program.
3. Mr. Loranger was named the Director of the DoD Biometrics
Management Office, as the Army’s Biometrics Management
Office was renamed with DoD responsibilities, by the Deputy
Secretary of Defense in 2000. Mr. Loranger is the Army’s first
director for biometrics technology, integration, insertion, and
development of the DoD’s biometrics initiatives.
For more information on RAND Arroyo Center, contact the Director
of Operations (telephone [phone], extension 6500; FAX 310-
451-6952; e-mail [email protected]), or visit the Arroyo Center’s Web
site at http://www.rand.org/organization/ard/.
CONTENTS
Preface......................................... iii
Figures......................................... ix
Tables.......................................... xi
Summary ....................................... xiii
Acknowledgments................................. xxv
Acronyms....................................... xxvii
Chapter One
INTRODUCTION .............................. 1
Background .................................. 1
Objectives.................................... 4
Approach .................................... 4
Scope....................................... 6
Organization of the Report ....................... 6
Chapter Two
A PRIMER ON BIOMETRIC TECHNOLOGY ........... 9
A Definition of Biometrics and Biometric
Authentication ............................ 9
Key Elements of All Biometric Systems............... 11
Mainstream Biometrics and Their Applications ........ 15
Fingerprint ................................. 16
Hand/Finger Geometry ........................ 16
Facial Recognition............................ 16
Voice Recognition ............................ 16
Iris Scan ................................... 17
v
vi Army Biometric Applications
Retinal Scan................................. 17
Dynamic Signature Verification .................. 17
Keystroke Dynamics .......................... 18
Salient Characteristics of Mainstream Biometrics....... 18
Chapter Three
WHAT CONCERNS DO BIOMETRICS RAISE AND HOW
DO THEY DIFFER FROM CONCERNS ABOUT OTHER
IDENTIFICATION METHODS? .................... 21
Key Sociocultural Concerns....................... 23
Informational Privacy ......................... 23
Physical Privacy.............................. 26
Religious Objections .......................... 28
Biometrics Raise Similar Yet Different Concerns........ 29
Chapter Four
WHAT STEPS CAN THE ARMY TAKE TO ADDRESS THESE
CONCERNS?.................................. 33
Privacy Act of 1974: A Baseline for Addressing Some
Sociocultural Concerns ...................... 34
Other Military Policies Address Specific Sociocultural
Concerns................................. 39
Religious Objections .......................... 39
Physical Privacy.............................. 39
Responding to Sociocultural Concerns Within a Broader
Approach Is Critical......................... 41
Thoroughly Explain Why Biometrics Are the Best
Solution to a Particular Problem................ 42
Structure a Program and Select Technologies to
Minimize the Effects on Privacy ................ 43
Educate the Army Community and the Public About the
Purpose and Structure of the Program ........... 46
Assigning Responsibility in the Army for Guiding These
Steps.................................... 47
Chapter Five
WHAT IS THE FEASIBILITY OF A NATIONAL BIOMETRIC
CENTER? .................................... 49
Biometric RDT&E Capabilities..................... 50
A Center for Biometric RDT&E Seems Feasible......... 52
An Army or DoD Repository for Biometric Data Also
Seems Feasible ............................ 53
Contents vii
Concerns About a Centralized Repository........... 55
Analysis.................................... 55
A National Biometrics Data Repository Raises Serious
Feasibility Issues ........................... 56
Chapter Six
CONCLUSIONS AND RECOMMENDATIONS.......... 59
Conclusions .................................. 59
Recommendations ............................. 60
Incremental Implementation.................... 61
Privacy Act Implications ....................... 62
Education .................................. 63
Choosing Technologies ........................ 63
Implementation Oversight...................... 64
Additional Issues............................. 64
Appendix
A. BIOMETRICS: A TECHNICAL PRIMER .............. 67
B. PROGRAM REPORTS ........................... 87
C. LEGAL ASSESSMENT: LEGAL CONCERNS RAISED BY
THE ARMY’S USE OF BIOMETRICS................. 111
D. BIOMETRIC CONSORTIUM...................... 167
E. INDIVIDUALS INTERVIEWED..................... 169
F. BIBLIOGRAPHY ............................... 173

FIGURES
1.1 Dimensions of the Issues About Army Use of
Biometrics ................................ 5
2.1 Example of the Formation of a Template for a
Fingerprint................................ 13
ix