Guide to Biometric Reference Systems and Performance Evaluation PDF
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Guide to Biometric Reference Systems and Performance Evaluation Dijana Petrovska-Delacrétaz Gérard Chollet (cid:129) Bernadette Dorizzi Editors Guide to Biometric Reference Systems and Performance Evaluation withaForewordby ProfessorAnilK. Jain,MichiganState University,USA ABC DijanaPetrovska-Delacrétaz,PhD GérardChollet,PhD ElectronicsandPhysicsDepartment, CentreNationaldelaRecherche TELECOMSudParis, Scientifique(CNRS-LTCI), France TELECOMParisTech, France BernadetteDorizzi,Professor ElectronicsandPhysicsDepartment, TELECOMSudParis, France ISBN:978-1-84800-291-3 e-ISBN:978-1-84800-292-0 DOI:10.1007/978-1-84800-292-0 LibraryofCongressControlNumber:2008940851 (cid:2)c Springer-VerlagLondonLimited2009 Apartfromanyfairdealingforthepurposesofresearchorprivatestudy,orcriticismorreview,asper- mittedundertheCopyright, DesignsandPatents Act1988,thispublication mayonlybereproduced, storedortransmitted,inanyformorbyanymeans,withthepriorpermissioninwritingofthepublish- ers,orinthecaseofreprographicreproductioninaccordancewiththetermsoflicensesissuedbythe CopyrightLicensingAgency.Enquiriesconcerningreproductionoutsidethosetermsshouldbesentto thepublishers. Theuseofregisterednames,trademarks,etc.,inthispublicationdoesnotimply,evenintheabsenceofa specificstatement,thatsuchnamesareexemptfromtherelevantlawsandregulationsandthereforefree forgeneraluse. Thepublishermakesnorepresentation,expressorimplied,withregardtotheaccuracyoftheinformation containedinthisbookandcannotacceptanylegalresponsibilityorliabilityforanyerrorsoromissions thatmaybemade. Printedonacid-freepaper SpringerScience+BusinessMedia springer.com Foreword WiththepioneeringstudiesofGaltonandHenryonfingerprint-basedhumaniden- tificationoverahundredyearsago,biometricsrecognitionisnowpermeatingmany sectors of our society. Even though the origins and the most frequent use of bio- metrics, primarily fingerprints, have been in forensics and law enforcement appli- cations,biometricrecognitionisnowneededtoaddressanumberofsocietalprob- lemsrelatedtosecurityrisks,terrorthreatsandfinancialfraud.Insomesituations, forexample,detectingduplicateenrolments(forissuingofficialdocumentssuchas passportsanddriverlicenses),biometricsistheonlymethodtoconfirmthatanap- plicanthasnotbeenpreviouslyenrolledinthedatabase.Inadditiontofingerprints, newanatomicalandbehavioraltraits,viz.,face,iris,voiceandhandshapehavealso becomepopular. Biometrics recognition is an excellent proving ground for pattern recognition. While pattern recognition systems have been available for document imaging, speechrecognition,medicalimageanalysis,remotesensingandvarietyofinspec- tiontasks,nootherapplicationdomainoffersasmanychallengesasthebiometrics domain.Someofthesechallengesinclude(i)sensingthebiometrictraitsofavery large number of individuals of different ages and profession and with diverse cul- tural and religions backgrounds, (ii) large number of pattern classes (millions in applicationssuchasbiometric-enablednationalIDcard),(iii)largeintra-classand inter-class variations, (iv) accuracy, cost and throughput requirements, (v) integra- tion of biometrics with existing security infrastructure, and (vi) securing the bio- metric system itself so that user’s privacy is preserved. While there are no perfect solutionsthatmatchtherequirementsofalltheapplications,thenumberofdeployed biometricsystemsissteadilyincreasing.Withcontinuedresearchanddevelopment, particularly in areas related to biometric system performance and system security, userswillbecomemorecomfortableusingthistechnology,resultinginevenbroader adoptionofbiometrics. This book, edited by three leading researchers in biometrics, Ge´rard Chollet, Bernadette Dorizzi and Dijana Petrovska-Delacre´taz, is a valuable addition to the growing body of knowledge in biometrics. The value of this book lies in provid- ing complete source code for matching major biometric traits (2D face, 3D face, v vi Foreword fingerprints, iris, hand, voice and online signature). Additional chapters on multi- modalbiometricsandbenchmarkingmethodology,alongwithreferencedatabases, will be of great value to young researchers and for training future biometric re- searchers. All the chapter authors are active researchers in biometrics and they formedthecoreoftheverysuccessfulEuropeanUnionBioSecureNetworkofEx- cellence.Iamconfidentthatthisbookwillserveasavaluablereferencebookand willenableinadvancingthestateoftheartinbiometricrecognition. MichiganStateUniversityApril13,2008 AnilK.Jain Preface This book would never have existed without the BioSecure Network of Excel- lence(NoE).ThisEuropeanproject,launchedin2004andthatendedin2007,was partlysupportedbytheEuropeanCommission.Itgrouped30partners(allacademic but one) from eight countries. Its main objective was to federate the biometric re- searchconductedindependentlyindifferentlaboratories,aswellastogivevisibility totheEuropeanresearchinbiometrics. WiththegoaltocontinuetoexploittheachievementsoftheBioSecureproject, the“AssociationBioSecure”wascreatedtohandlethepropertyrightsandlegalis- suesrelatedtothedistributionofbiometricdatabases,aswellastoassurethemain- tenanceofthereferencesystems.TheAssociationisalsoeagertoorganizefurther open evaluation campaigns in order to continue to exploit the biometric databases acquiredduringtheBioSecureproject. Whenstartingthisproject,itseemedobvioustousthatoneofthemainobstacles to the progress of research in this domain was the lack of facilities for evaluation, consideringthelargenumberofmodalitiesthatcanbeencountered,withoutspeak- ingoftheemergenceeitherofnewmodalitiesoroftheinterestinmultimodality. At that time the National Institute of Standards and Technologies (NIST) was conductingyearlyspeakerrecognitionevaluations,aswellasthefirstfacerecogni- tioncompetitions,puttingdatabases,experimentalprotocolsandbaselinesoftware at the disposal of researchers for comparative evaluations. The Fingerprint Verifi- cationCompetitions(FVC)offeredanindependentevaluationforfingerprintsevery twoyears.Butwhatabouthand,iris,onlinehandwrittensignatureormultimodality? Oureffortswerethereforefocusedonprovidingnewevaluationtoolsfordifferent modalities such as 2D and 3D face, iris, speaker, talking faces, hand, fingerprints, and online handwritten signature. Taking advantage of the multisite repartition of theNetwork,threelargedatabasesweregathered,includingmodalitiesrecordedin different application conditions (mobility, access control and Internet communica- tions).Opensourcereferencesystemswerealsoproducedforeachmodality,aswell asassessmentprotocolsforbenchmarking. vii viii Preface During the First Residential Workshop organized in August2005 within the BioSecure NoE1, following the model of John’s Hopkins University2, we put the premises of the design of an evaluation framework, including publicly available databases, assessment protocols, and reference systems. They allowed a prelimi- narycomparativeevaluationofthealgorithmsdevelopedbytheBioSecurepartners intheirownlaboratories. Duringthe2005ResidentialWorkshop,theideaofthisbookwasinitialized,and it took us two more years to complete the drafted tasks, namely to complement andtestthetenopensourcereferencesystemsavailableatthecompanionURLsite of this book3. In the meantime, the acquisition of the upper-mentioned databases wascompleted,andtheBioSecureMultimodalEvaluationCampaign(BMEC’2007) tookplaceinSeptember2007.Unfortunately,duetolackoftimeanddatadistribu- tionobstacles,thisevaluationwasnotopenlargelyoutsideBioSecure. Content This book is composed of eleven chapters. In Chap.1, a short introduc- tionaboutbiometricsisprovided.Theproposedbenchmarkingmethodologyandits basicterminologyarepresentedinChap.2.Thenexteightchapters(Chaps.3–10), dedicated to iris, fingerprint, hand, online handwritten signature, speech, 2D and 3D face, and talking face modalities, follow a common structure. First, the state of the art and current issues and challenges are addressed. The existing databases and evaluation campaigns are next summarized. Then, the Biometric Evaluation Frameworkforthespecificmodalityisintroduced.Researchsystemsarepresented after,withexperimentalresultsaccordingtothebenchmarking protocols.Because foreachmodalityallexperimentspresentedfollowthebenchmarkingprotocol,the presentedresearchresultscouldbecompared.Chapter11presentstheexperimental resultsfromthemobilescenariooftheBioSecureMultimodalEvaluationCampaign (BMEC’2007). Intendedaudience Thisbook,withit’suniquecombinationofstate-of-the-artre- search on common benchmarking experimental protocols and practical evaluation tools, is intended for graduates, researchers and practitioners in the fields of Bio- metricsandPatternRecognition. Conclusions and Perspectives This book may not answer all the questions set forthinChap.1!Atleastsomemethodologicalsuggestionsareputforwardtoim- provetheperformanceandcomparabilityofbiometricsystems: • Opensourcereferencesoftwarecanbeuploadedforanumberofmodalities. • For each of the presented modalities, publicly available databases are used to definethebenchmarkingexperimentalprotocols. • The benchmarking results, obtained with the open source reference systems, benchmarking databases, and protocols are fully reproducible (How-to docu- mentsarealsoavailableonthecompanionURL.3) 1http://www.biosecure.info 2http://www.clsp.jhu.edu/workshops/ 3http://share.int-evry.fr/svnview-eph/ Preface ix Whatismissing?Whatneedstobeimproved? • Referencesystemsshouldbemaintainedandimproved. • Reference systems should be developed for emerging modalities, such as palm prints, hand vein, DNA, ear, teeth, etc. State-of-the-art classification and statis- ticalmodelingtechniqueshouldbemadecompatiblewiththeexistingandnew referencesystems. • Existingreferencesystemsneedtobeimprovedandsubmittedtostandardization organizations (such as ISO, CEN, W3C, etc.) to facilitate interoperability and comparability.Asimilarapproachhasprovenquitesuccessfulforspeech,audio andvideocoders.Itshouldalsobeprofitableforbiometrics. • Moredatabasesshouldberecordedindiverseconditions,withnewsensors,over alongtimespan,withahugenumberofsubjects,etc. • Evaluation protocols must be defined and published as soon as databases are available.Databases(andparticularlymultimodaldata)shouldbemadeanony- moustoprotectprivacy. • Multimodal biometrics, revocability of biometric data, spoofing, privacy, and user acceptance are major issues that require further research and experimen- tation. • Sequesteredevaluationcampaignsneedtobeorganizedregularly. Acknowledgments We would like first to thank all the authors of the different chapters for their hard work,cooperation,andforthetimetheyspenttore-runtheirexperimentswiththe benchmarkingdatabasesandprotocols.Thanksarealsoduetoseveralauthorsand membersoftheBioSecureNetworkwhoparticipatedinthereviewprocess. Special thanks to Aure´lien Mayoue for his dedicated efforts to maintain, docu- ment,andtestthereferencesystems. TheassistanceofDaniellePaesdeA.CamarafortheLATEXversionisgratefully acknowledged. Thanks to all the BioSecure partners and in particular to the participants to the BioSecureResidentialWorkshopandtotheBMEC’2007EvaluationCampaign. DijanaPetrovska-Delacre´taz,InstitutTELECOM,TELECOMSudParis Ge´rardChollet,InstitutTELECOM,TELECOMParisTech BernadetteDorizzi,InstitutTELECOM,TELECOMSudParis August2008 Contents Preface............................................................ vii Contributors....................................................... xix Acronyms .........................................................xxv Symbols...........................................................xxix 1 Introduction—About the Need of an Evaluation Framework inBiometrics ............................................... 1 Ge´rardChollet,BernadetteDorizzi,andDijanaPetrovska-Delacre´taz 1.1 ReferenceSoftware ....................................... 1 1.2 Biometrics ............................................... 3 1.3 Databases................................................ 4 1.4 Risks.................................................... 5 1.5 Biometric“Menagerie” .................................... 6 1.6 Spoofing................................................. 6 1.7 Evaluation ............................................... 6 1.8 EvaluationCampaigns ..................................... 7 1.9 OutlineofThisBook ...................................... 8 References..................................................... 9 2 The BioSecure Benchmarking Methodology for Biometric PerformanceEvaluation...................................... 11 DijanaPetrovska-Delacre´taz,Aure´lienMayoue,BernadetteDorizzi, andGe´rardChollet 2.1 Introduction.............................................. 11 2.2 Terminology ............................................. 12 2.2.1 WhenExperimentalResultsCannotbeCompared ...... 13 2.2.2 ReportingResultsonaCommonEvaluationDatabase andProtocol(s).................................... 15 2.2.3 ReportingResultswithaBenchmarkingFramework .... 17 xi
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